DOL SORNs list

Vol. 81

Friday,

No. 83

April 29, 2016

Part II

Department of Labor

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Privacy Act of 1974; Publication in Full of All Notices of Systems of
Records, Including Several New Systems, Substantive Amendments to
Existing Systems, Decommissioning of Obsolete Legacy Systems, and
Publication of Proposed Routines Uses; Notice

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

DEPARTMENT OF LABOR
Office of the Secretary
Privacy Act of 1974; Publication in Full
of All Notices of Systems of Records,
Including Several New Systems,
Substantive Amendments to Existing
Systems, Decommissioning of
Obsolete Legacy Systems, and
Publication of Proposed Routines
Uses
Office of the Secretary, Labor.
Notice: Publication In Full of
All Notices of Systems of Records,
including several new systems;
substantive amendments to systems;
decommissioning of obsolete legacy
systems; and publication of new
universal routine uses for all system of
records.

AGENCY:
ACTION:

This notice provides a
complete publication of all Department
of Labor Systems of Records. This notice
proposes two new universal routine
uses to the systems. This notice will
update our last complete publication in
full which appeared in the Federal
Register on April 8, 2002. In addition to
the 21 new systems which are being
published for the first time, the notice
proposes substantive and
nonsubstantive amendments to 108
other systems that have been previously
published. The notice also deletes 43
systems. Changes to the systems are
summarized in the introductory portion
of the Supplementary Information
section.
DATES: Persons wishing to comment on
the changes set out in this notice may
do so on or before June 8, 2016.
Effective Date: Unless there is a
further notice in the Federal Register,
these proposed 21 new systems of
records and 108 amended systems of
records and decommissioned 43
existing systems of records, as well as
the two new routine uses, will become
effective on June 23, 2016.
FOR FURTHER INFORMATION CONTACT:
Written comments may be sent to
Joseph J. Plick, Counsel for FOIA and
Information Law, Office of the Solicitor,
Department of Labor, 200 Constitution
Avenue NW., Room N–2420,
Washington, DC 20210, telephone (202)
693–5527, or by email to plick.joseph@
dol.gov.
SUPPLEMENTARY INFORMATION:

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SUMMARY:

1. Background
Pursuant to the Privacy Act of 1974 (5
U.S.C. 552a(e)(4)), hereinafter referred to
as the Act, on April 8, 2002, in Volume
67 at Page 16816 of the Federal
Register, the Department published a

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notice of 147 systems of records
maintained under the Act. In February
2003, a new system of records was
published on behalf of the Office of the
21st Century Workforce, entitled DOL/
21st CENTURY–1, Correspondents with
the Office of the 21st Century
Workforce, which appeared at 68 FR
6185 (February 6, 2003). Additionally,
in September 2003, the Department
amended two existing systems of
records, which appear at 68 FR 54012
(September 15, 2003).
On January 11, 2012, the Department
published five new and five amended
systems of records, which appears at 77
FR 1728 (January 11, 2012). In 2014 the
Department published a notice of the
addition of five new SORNs,
amendment of nine existing SORNs and
decommissioning of five SORNs, which
appears at 79 FR 8489 (February 12,
2014). The Notice became effective on
April 8, 2014. Finally on July 6, 2015
the Department published a SORN for
DOL/VETS–5, Veterans’ Data Exchange
Initiative (VDEI). This system contains
records related to Exiting Service
Members (ESMs) participating in the
United States Department of Defense
(DOD) Pre-separation Counseling of the
Transition Assistance Program. The
Notice became effective on August 31,
2015.
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 129 systems of records, including
21 new systems; 108 amended systems;
and 43 decommissioned systems. A
chart listing all of the actions the
Department has taken with regards to its
systems of records is attached as
Appendix A to this notice. This notice
also proposes two new universal routine
uses to be added to the Department’s
current list of 12 universal routine uses,
making a total of 14 universal routine
uses. These universal routine uses apply
across the board to all of the
Department’s system of records.
A. New Universal Routine Uses
1. The first proposed new Universal
Routine Use to the General Prefatory
Statement (new Universal Routine Use
#13) permits the Department to disclose
information to a State or local
government that has legal authority to
make decisions about the issuance,
retention and revocation of licenses,
certifications or registrations of law
practitioners and health care
professionals.
2. The second proposed new
Universal Routine Use to the General

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Prefatory Statement (new Universal
Routine Use #14) permits the
Department to disclose information to
the United States Department of Justice
(DOJ) and the Federal Bureau of
Investigation (FBI) that will be included
in the National Instant Criminal
Background Check System (NICS).
B. Proposed Decommissioned Systems
The Department proposes to
decommission 43 legacy systems of
records. The decommissioned systems
are listed in the Notice of
Decommissioned Systems of Records,
Section E below. Notably, the
Department proposes to decommission a
group of legacy systems entitled
Employment Standards Administration
(ESA), because that agency no longer
exists due to a Departmental
reorganization. The ESA legacy systems
will be renamed as a system that relates
to each of the constituent parts of the
former ESA agency namely, The Office
of Workers’ Compensation Programs
(OWCP), The Wage and Hour Division
(WHD), The Office of Federal Contract
Compliance Programs (OFCCP), and The
Office of Labor-Management Standards
(OLMS). Additionally, the Department
proses to decommission a second group
of legacy systems entitled Pension and
Welfare Benefits Administration
(PWBA). Several of the former PWBA
systems will be renamed as an
Employee Benefits Security
Administration (EBSA) system.
C. Proposed New Systems
1. The first proposed new system is
entitled DOL/CENTRAL–7, DOL
Employee Conduct Investigation Files.
This system contains information
related to records of employee(s)
misconduct or violations of law such as,
investigative report(s), sworn affidavits,
written statements, time and attendance
records, earnings and leave statements,
applications for leave.
2. The second proposed new system
is entitled DOL/EBSA–1, The
Employment Retirement Income
Security Act of 1974 (ERISA), Filing and
Acceptance System 2-One Participant
Plans Filing a Form 5500SF. This
system contains records related to
information contained on all fields of
the Form 5500SF form.
3. The third proposed new system is
entitled DOL/EBSA–11, ERISA Filing
and Acceptance System Internet
Registration Database (IREG). This
system contains records of personally
identifiable information of individual
filers.
4. The fourth proposed new system is
entitled DOL/EBSA–12, Delinquent
Filer Voluntary Compliance Program

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(DFVC) Tracking System; Delinquent
Filer Voluntary Compliance Program 99.
This system contains records of the plan
name, plan administrator’s name,
service provider’s name, and trustee’s
name involved in the DFVC programs,
among other things.
5. The fifth proposed new system is
entitled DOL/EBSA–13, OCA Case
Tracking System. This system contains
paper and electronic records of
individuals involved in investigations
and enforcement actions.
6. The sixth proposed new system is
entitled DOL/EBSA–14, Office of Health
Plans Standards and Compliance
Assistance (OHPSCA) Case Tracking
System. This system contains records of
personally identifiable information of
requestors.
7. The seventh proposed new system
is entitled DOL/EBSA–15, Fee
Disclosure Failure Notice Database.
This system contains records of plan
name, fiduciary’s name, and service
provider’s name relating to contracts
and arrangements between plans and
service providers.
8. The eighth proposed new system is
entitled DOL/ETA–30, DOL
Employment and Training
Administration (ETA) Evaluation,
Research, Pilot or Demonstration
Contractors’ Project Files. This system
contains records related to Workforce
Investment Act and Workforce
Innovation and Opportunities Act
participants’ personally identifiable
information, characteristics of program
participants, description of program
activities, and services received by
participants, among other things,
obtained after the completion of the
program.
9. The ninth proposed new system is
entitled DOL/ETA–31, The Enterprise
Business Support System (EBSS). This
system contains records related to initial
requests under the Workforce
Investment Act and its successor
statutes, responses, and related
documents.
10. The tenth proposed new system is
entitled DOL/ETA–32, Contract Officer
Files. This system contains records of
the names, job title, qualifications and
other human resource information
relating to contracting officers or other
contracting personnel.
11. The eleventh proposed new
system is entitled DOL/OASAM–37,
Personal Identity Verification
Credential. This system contains records
related to personally identifiable
information such as names, birth date,
and social security numbers of federal
employees, contractors, students and
other individuals who require ongoing
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technology systems of information
classified in the interest of national
security.
12. The twelfth proposed new system
is entitled DOL/OIG–6, Hotline and
Complaints Analysis Files. This system
contains records of complaints and
allegations of waste, fraud, abuse and
violations of the law or other
authorities.
13. The thirteenth proposed new
system is entitled OIG–7,
Correspondence Tracking System. This
system contains records of
correspondence to and from the OIG.
14. The fourteenth proposed new
system is entitled DOL/OIG–8, Office of
Inspector General (OIG) Employee
Credential System. This system contains
personally identifiable information
related to the credentials of all DOL
personnel.
15. The fifteenth proposed new
system is entitled DOL/OIG–9, OIG
Property Tracking Systems. This system
contains records related to OIG owned
and leased property, and the employees
that are assigned such property.
16. The sixteenth proposed new
system is entitled DOL/OIG–10, Office
of Inspector General (OIG) Preemployment Checks and Inquiries
(PECI) System. This system contains
records related to pre-employment
clearance forms and reports filed
individuals, and federal and other law
enforcement records related to
background checks.
17. The seventeenth proposed new
system is entitled DOL/OIG–11,
Investigative Files Case Tracking
System, Case Development and
Intelligence Records, USDOL/OIG. This
system contains records related to
individuals associated with OIG
investigative operations and activities.
18. The eighteenth proposed new
system is entitled DOL/SOL–18, Matter
Management System. This system
contains records related to pending and
active litigation, opinion and advice,
and regulation review legal services
provided to support DOL and its
component agencies.
19. The nineteenth proposed new
system is entitled DOL/SOL–19,
Evidence Management System. This
system contains individuals,
government or organizations records
related to pleadings, court records,
witness statements or other documents
that may be filed with or obtained by
DOL.
20. The twentieth proposed new
system is entitled DOL/VETS–5,
Veterans’ Data Exchange Initiative
(VDEI). This system contains records
related to Exiting Service Members
(ESMs) participating in the United

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States Department of Defense (DOD)
Pre-separation Counseling of the
Transition Assistance Program.
21. The twenty-first proposed new
system is entitled DOL/VETS–6,
Veterans’ Case Management System
(VCMS). This system contains records
related to USERRA, VP, and the TAP
Employment Workshop.
D. Proposed Amended Systems
22. The first proposed amended
system of records is entitled DOL/
GOVT–1, Office of Workers’
Compensation Programs, Federal
Employees’ Compensation Act File. The
Department proposes to amend this
system to update the System Location,
Categories of Records in the System, and
the Routine Uses of Records Maintained
in the System.
23. The second proposed amended
system of records is entitled DOL/
GOVT–2, Job Corps Students Records.
The Department proposes to amend this
system to amend one routine use and to
update the Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records,
Notification Procedures, and Records
Access, and several other categories.
24. The third proposed amended
system of records is entitled DOL/
CENTRAL–1, Correspondents with the
Department of Labor. The Department
proposes to amend this system to refine
several of the categories.
25. The fourth proposed amended
system of records is entitled DOL/
CENTRAL–2, Registrants for
Department of Labor Events and
Activities. The Department proposes to
amend this system to update the
Retention and Disposal section, and
several other categories.
26. The fifth proposed amended
system of records is entitled DOL/
CENTRAL–3, Internal Investigations of
Harassing Conduct. The Department
proposes to amend this system to
update the System Name, Security
Classification, Categories of Individuals
Covered by the System, and several
other categories.
27. The sixth proposed amended
system of records is entitled DOL/
CENTRAL–4, Department of Labor
Advisory Committee Members Files. The
Department proposes to amend this
system to update the Notification
Procedure, Record Access Procedure,
Contesting Record Procedure, and
several other categories.
28. The seventh proposed amended
system of records is DOL/CENTRAL–5,
Privacy Act/Freedom of Information Act
Request Files. The Department proposes
to amend this system to update the
System Number, Routine Uses of

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Records Maintained in the System,
Policies and Practices for Storing,
Retrieving, Accessing, Retaining and
Disposing of Records, Notification
Procedures, and several other categories.
29. The eighth proposed amended
system of records is DOL/CENTRAL–6,
Supervisor’s/Team Leader’s Records of
Employees. The Department proposes to
amend this system to update the System
Number, Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records,
Notification Procedures, and several
other categories.
30. The ninth proposed amended
system of records is entitled DOL/
ADJBDS–1, DOL Appeals Management
System (AMS). The Department
proposes to amend this system to
update the Authority for Maintenance of
the System section.
31. The tenth proposed amended
system of records is entitled DOL/BLS–
3, Staff Time Utilization System. The
Department proposes to amend this
system to update the System Name,
System Location, Categories of
Individuals Covered by the System,
Purposes, and several other categories.
32. The eleventh proposed amended
system of records is entitled DOL/BLS–
8, Automated Training Request
Application (ATRA). The Department
proposes to amend this system to
update the Categories of Records in the
System, Purposes, System Manager(s)
and Address, and several other
categories.
33. The twelfth proposed amended
system of records is entitled DOL/BLS–
9, Routine Administrative Files. The
Department proposes to amend this
system to update the Categories of
Records in the System, Purposes,
Policies and Practices for Storing,
Retrieving, Accessing, Retaining, and
Disposing, and several other categories.
34. The thirteenth proposed amended
system of records is entitled DOL/BLS–
10, Commissioner’s Correspondence
Control System. The Department
proposes to amend this system to
update the System Location, Categories
of Individuals Covered by the System,
Authority for Maintenance of the
System, and several other categories.
35. The fourteenth proposed amended
system of records is entitled DOL/BLS–
11, Mainframe User ID Database. The
Department proposes to amend this
system to update the System Location,
Purpose, and Policies and Practices for
Storing, Retrieving, Accessing,
Retaining, and Disposing of Records in
the System, and several other categories.
36. The fifteenth proposed amended
system of records is entitled DOL/BLS–
13, National Longitudinal Survey of

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Youth 1979 (NLSY79) Database. The
Department proposes to amend this
system to update the System Location,
Categories of Individuals Covered by the
System, Categories of Records in the
System, and several other categories.
37. The sixteenth proposed amended
system of records is entitled DOL/BLS–
14, BLS Behavioral Science Research
Laboratory Project Files. The
Department proposes to amend this
system to update the System Location,
Policies and Practices for Storing,
Retrieving Accessing, Retaining, and
Disposing of the Records in the System,
and several other categories.
38. The seventeenth proposed
amended system of records is entitled
DOL/BLS–17, National Longitudinal
Survey of Youth 1997 (NLSY97)
Database. The Department proposes to
amend this system to update the System
Location, Categories of Records in the
System, Retention and Disposal and
several other categories.
39. The eighteenth proposed amended
system of records is entitled DOL/BLS–
18, Postal Square Building Parking
Management Records. The Department
proposes to amend this system to
update the System Location, Purposes,
Routine Uses of records in the System,
and several other categories.
40. The nineteenth proposed
amended system of records is entitled
DOL/BLS–19, Customer Information
Files. The Department proposes to
amend this system to update the
Categories of Individuals Covered by the
System, Purposes, and Policies and
Practices for storing, Retrieving,
Accessing, Retaining, and Disposing of
Records in the System, along with
several other categories.
41. The twentieth proposed amended
system of records is entitled DOL/BLS–
20, Fellowship Applicants and
Recipients Files. The Department
proposes to amend this to update the
Retrievability, Safeguards, Retention
and Disposal, and several other
categories.
42. The twenty-first proposed
amended system of records is entitled
DOL/EBSA–2, EBSA Correspondence.
The Department proposes to amend this
to update the Authority for Maintenance
of the System, Retention and Disposal,
Notification Procedure, and several
other categories.
43. The twenty-second proposed
amended system is entitled DOL/EBSA–
3, Technical Assistance and Inquiries
System. The Department proposes to
amend this to update the System
Number, Authority for Maintenance of
the System, Retention and Disposal,
Notification Procedure, and several
other categories.

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44. The twenty-third proposed
amended system is entitled DOL/EBSA–
4, Public Disclosure Request Tracking
System. The Department proposes to
amend this to update the System
Number, System Location, Authority for
the Maintenance of the System,
Purposes, and several other categories.
45. The twenty-fourth proposed
amended system is entitled DOL/EBSA–
5, EBSA Debt Management System. The
Department proposes to amend this to
update the System Number, Security
Classification, System Location, and
Policies and Practices for Storing,
Retrieving, Accessing, Retaining and
Disposing of Records categories.
46. The twenty-fifth proposed
amended system is entitled DOL/EBSA–
6, EBSA Consolidated Training Record.
The Department proposes to amend this
to update the System Number, Policies
and Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records, Notification Procedures
category.
47. The twenty-sixth proposed
amended system is entitled DOL/EBSA–
7, Office of Enforcement
Correspondence Tracking System DFO
CTS. The Department proposes to
amend this to update the System
Number, Authority for the Maintenance
of the System, Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records,
Notification Procedures, and several
other categories.
48. The twenty-seventh proposed
amended system is entitled DOL/EBSA–
8, EBSA Enforcement Management
System (electronic); EBSA Civil
Litigation Case Tracking System (paper);
EBSA Criminal Case Information
System (paper). The Department
proposes to amend this to update the
System Number, Security Classification,
Authority for the Maintenance of the
System, Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records,
Routine Uses, Notification Procedures,
and several other categories.
49. The twenty-eighth proposed
amended system is entitled DOL/EBSA–
9, Office of Exemption Determinations
(OED) ERISA Section 502(1) Files; OED
Case Tracking System. The Department
proposes to amend this to update the
System Number, Security Classification,
Authority for the Maintenance of the
System, and Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records, and
Notification Procedures categories.
50. The twenty-ninth proposed
amended system is entitled DOL/EBSA–
10, Form 5500EZ Filings. The
Department proposes to amend this to

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update the System Number, Authority
for the Maintenance of the System,
Purposes, and Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records, and
Notification Procedures categories.
51. The thirtieth proposed amended
system of records is entitled DOL/
EBSA–11, ERISA Filing and Acceptance
System 2 Internet Registration Database
(IREG). The Department proposes to
amend this to update the System
Number, Authority for the Maintenance
of the System, Purposes, and Policies
and Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records, Routine Uses, Notification
Procedures, and several other categories.
52. The thirty-first proposed amended
system of records is entitled DOL/
EBSA–12, Delinquent Filer Voluntary
Compliance Program (DFVC) Tracking
System; Delinquent Filer Voluntary
Compliance Program 99. The
Department proposes to amend this to
update the Authority for Maintenance of
the System, Retention and Disposal,
Notification Procedure, and several
other categories.
53. The thirty-second proposed
amended system of records is entitled
DOL/EBSA–13, OCA Case Tracking
System. The Department proposes to
amend this to update the Authority for
Maintenance of the System, Retention
and Disposal, Notification Procedure,
and several other categories.
54. The thirty-third proposed
amended system of records is entitled
DOL/EBSA–14, Office of Health Plans
Standards and Compliance Assistance
(OHPSCA) Case Tracking System. The
Department proposes to amend this to
update the Authority for Maintenance of
the System, Retention and Disposal,
Notification Procedure, and several
other categories.
55. The thirty-fourth proposed
amended system of records is entitled
DOL/EBSA–15, Fee Disclosure Failure
Notice Database. The Department
proposes to amend this to update the
Authority for Maintenance of the
System, Retention and Disposal,
Notification Procedure, and several
other categories.
56. The thirty-fifth proposed amended
system of records is entitled DOL/
OMBUDSMAN–1, Office of the
Ombudsman for the Energy Employees
Occupational Illness Compensation
Program Act (EEOICPA) File. The
Department proposes to amend this
system to update the Routine Uses of
Records Maintained in the System
category.
57. The thirty-sixth proposed
amended system of records is entitled
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Budget and Position Control Files. The
Department proposes to amend this
system to update the System Name,
System Location, and several other
categories.
58. The thirty-seventh proposed
amended system of records is entitled
DOL/ETA–4, Registered Apprenticeship
Partners Information Data System
(RAPIDS). The Department proposes to
amend this system to update the System
Name, System Location, Routine Uses,
and several other categories.
59. The thirty-eighth proposed
amended system of records is entitled
DOL/ETA–7, Employer Labor
Certification System and Employer
Application Case Files. The Department
proposes to amend this system to
update the System Name, System
Location, Categories of Individuals
Covered by the System, Categories of
Records in the System, Routine Uses,
and several other categories.
60. The thirty-ninth proposed
amended system of records is entitled
DOL/ETA–8, Job Corps Student Pay,
Allotment and Management Information
System (SPAMIS). The Department
proposes to amend this system to
update the System Location, Routine
Uses, and several other categories.
61. The fortieth proposed amended
system of records is entitled DOL/ETA–
16, Employment and Training
Administration Investigation File. The
Department proposes to amend this
system to update the System Location,
Categories of Individuals covered by the
System, and several other categories.
62. The forty-first proposed amended
system of records is entitled DOL/ETA–
20, Federal Bonding Program, Bondees
Certification Files. The Department
proposes to amend this system to
update the System Location, Categories
of Individuals Covered by the System,
Authority for Maintenance of the
System, and several other categories.
63. The forty-second proposed
amended system of records is entitled
DOL/ETA–24, Grant Officer Files. The
Department proposes to amend this
system to update the System Name,
System Location, Categories of
Individuals Covered by the System, and
several other categories.
64. The forty-third proposed amended
system of records is entitled DOL/ETA–
29, National Agricultural Workers
Survey (NAWS) Research Files. The
Department proposes to amend this
system to update the Security
Classification, Authority for
Maintenance of the System, Policies and
Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records, Notification Procedures, and
several other categories.

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65. The forty-fourth proposed
amended system of records is entitled
DOL/MSHA–1, Mine Safety and Health
Administration Standard Information
System (MSIS). The Department
proposes to amend this system by
renaming the system and migrating
eight other systems of records to this
system. MSIS is an umbrella
information system in which some but
not all records are covered under the
Privacy Act. MSIS provides centralized
access to records already covered by
nine current systems of records: DOL/
MSHA–1, MSHA–3, MSHA–10, MSHA–
13, MSHA–15, MSHA–18, MSHA–20,
MSHA–21, and MSHA–24. This notice
consolidates these nine systems under a
single SORN. This SORN describes the
records within MSIS that are covered
under the Privacy Act. The Department
also proposes to amend this system
notice to update the System Location
and Categories of Records in the System,
among other amendments specific to
particular categories of MSIS records.
66. The forty-fifth proposed amended
system of records is entitled DOL/
MSHA–22, Educational Policy and
Development; National Mine Health and
Safety Academy Permanent Record
Card or Student Information System.
The Department proposes to amend this
system to update the System Name,
Security Classification, Policies and
Practices for Storing, Retrieving,
Accessing, Retaining and Disposing
Section, Notification Procedure, and
several other categories.
67. The forty-sixth proposed amended
system of records is entitled DOL/
MSHA–23, Educational Policy and
Development Activity Reporting System.
The Department proposes to amend this
system to update the System Name,
System Location, Categories of Records
in the System, and several other
categories.
68. The forty-seventh proposed
amended system of records is entitled
DOL/OALJ–1, Office of Administrative
Law Judges Case Tracking System. The
Department proposes to amend this
system to update the System Name,
Authority for Maintenance of the
System, and several other categories.
69. The forty-eighth proposed
amended system of records is entitled
DOL/OALJ–2, Office of the
Administrative Law Judges Case Files.
The Department proposes to amend this
system to update the Authority for
Maintenance of the System, Retention
and Disposal, and several other
categories.
70. The forty-ninth proposed
amended system of records is entitled
DOL/OASAM–4, Safety and Health
Information Management System

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(SHIMS). The Department proposes to
amend this system to update the System
Name, System Location, Categories of
Individuals Covered by the System,
Authority for Maintenance of the
System, and several other categories.
71. The fiftieth proposed amended
system of records is entitled DOL/
OASAM–5, Employee Assistance
Program (EAP) Records. The
Department proposes to amend this
system to update the System Name,
System Location, Categories of Records
in the System, Authority for
Maintenance of the System, and several
other categories.
72. The fifty-first proposed amended
system of records is entitled DOL/
OASAM–7, Employee Medical File
System Records (Not Job Related). The
Department proposes to amend this
system to update the System Name and
Routine Uses sections.
73. The fifty-second proposed
amended system of records entitled
DOL/OASAM–12, Administrative
Grievance Records. The Department
proposes to amend this system to
update the System Location and
Categories of Individuals Covered by the
System sections.
74. The fifty-third proposed amended
system of records entitled DOL/
OASAM–19, Negotiated Grievance
Procedure and Unfair Labor Practice
Files. The Department proposes to
amend this system to update the
Categories of Individuals Covered by the
System and Categories of Records in the
System sections.
75. The fifty-fourth proposed
amended system of records is entitled
DOL/OASAM–20, Personnel
Investigation Records. The Department
proposes to amend this system to
update the System Location,
Retrievability and Safeguards Sections,
Disclosure to Consumer Reporting
Agencies, and several other categories.
76. The fifty-fifth proposed amended
system of records is entitled DOL/
OASAM–22, Civil Rights Center
Discrimination Complaint Case Files.
The Department proposes to amend this
system to update the System Name,
Categories of Individuals Covered by the
System, Purpose(s), Routine Uses of
Records Maintained in the System
sections, Authority for Maintenance of
the System, and several other categories.
77. The fifty-sixth proposed amended
system of records is entitled DOL/
OASAM–25, Intergovernmental
Personnel Act Assignment Records. The
Department proposes to amend this
system to update the Categories of
Individuals Covered by the System,
Disclosure to Consumer Reporting
Agencies, Policies and Practices for

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Storing, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
78. The fifty-seventh proposed
amended system of records is entitled
DOL/OASAM–26, Frances Perkins
Building Parking Management System.
The Department proposes to amend this
system to update the Policies and
Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records in the System Section.
79. The fifty-eighth proposed
amended system of records is entitled
DOL/OASAM–27, Employee/
Contractor/Visitor Identification
System. The Department proposes to
amend this system to update the System
Name, System Location, Categories of
Individuals, Categories of Records in the
System, the System Manager, and
several other categories.
80. The fifty-ninth proposed amended
system of records is entitled DOL/
OASAM–28, Incident Report/Restriction
Notice. The Department proposes to
amend this system to update the System
Location, Categories of Individuals and
Policies and Practices for Storing,
Retrieving, Accessing, Retaining and
Disposing of Records. In addition, the
System Manager, and several other
categories are proposed to be refined.
81. The sixtieth proposed amended
system of records is entitled DOL/
OASAM–29, OASAM Employee
Administrative Investigation File. The
Department proposes to amend this
system to update the System Location,
Categories of Individuals, Policies and
Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records, the System Manager, and
several other categories.
82. The sixty-first proposed amended
system of records is entitled DOL/
OASAM–30, Injury Compensation
System (ICS). The Department proposes
to amend this system to update the
System Location, Authority for
Maintenance of the System, and several
other categories.
83. The sixty-second proposed
amended system of records is entitled
DOL/OASAM–31, DOL Flexible
Workplace Programs Evaluation and
Files. The Department proposes to
amend this system to update the System
Name, Categories of Individuals
Covered by the System.
84. The sixty-third proposed amended
system of records is entitled DOL/
OASAM–32, Transit Subsidy
Management System. The Department
proposes to amend this system to
update the Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records
section.

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85. The sixty-fourth proposed
amended system of records is entitled
DOL/OASAM–34, DOL Fitness
Association (DOLFA) Membership Files.
The Department proposes to amend this
system to update the Policies and
Practices for Storing, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, Notification
Procedures, Record Access Procedure,
and other categories.
86. The sixty-fifth proposed amended
system of records is entitled DOL/
OASAM–35, DOL Childcare Subsidy
Programs Records. The Department
proposes to amend this system to
update the System Manager’s Name and
Address, and Policies and Practices for
Storing, Retrieving, Accessing,
Retaining and Disposing of Records
sections.
87. The sixty-sixth proposed amended
system of records is entitled DOL/
OCFO–2, New Core Financial
Management System (NCFMS). The
Department proposes to amend this
system to update the Categories of
Individuals Covered by the System,
Categories of Records in the System,
Authority for Maintenance of the
System, and several other categories.
88. The sixty-seventh proposed
amended system of records is entitled
DOL/OCFO–3, Travel and
Transportation System. The Department
proposes to amend this system to
update Policies and Practices for
Storing, Retrieving, Accessing,
Retaining, and Disposing of Records in
the System, Notification Procedure,
Records Access Procedure, Contesting
Record Procedure, and several other
categories.
89. The sixty-eighth proposed
amended system of records is entitled
DOL/ODEP–1, Job Accommodation
Network (JAN) Files. The Department
proposes to amend this system to
update the Policies and Practices for
Storing, Retrieving, Accessing,
Retaining, and Disposing of Records in
the System category.
90. The sixty-ninth proposed
amended system is entitled DOL/
OFCCP–1, Office of Federal Contract
Compliance Programs, Executive
Management Information System
(OFCCP/EIS) which includes the Case
Management System (CMS), and the
Time Reporting Information System
(TRIS). The Department proposes to
amend this system to update the System
Number, Security Classification,
Categories of Individuals Covered by the
System, and Policies and Practices for
Storing, Retrieving, Accessing,
Retaining, and Disposing of Records
categories.

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91. The seventieth proposed amended
system is entitled DOL/OFCCP–2, Office
of Federal Contract Compliance
Programs Complaint Case Files. The
Department proposes to amend this
system to update the System Number,
Security Classification, Routine Uses of
records Maintained in the System, and
Policies and Practices for Storing,
Retrieving, Accessing, Retaining, and
Disposing of Records, and several other
categories.
92. The seventy-first proposed
amended system of records is entitled
DOL/OIG–2, Freedom of Information/
Privacy Acts Records. The Department
proposes to amend this system to
update the System Number and refine
several categories.
93. The seventy-second proposed
amended system of records is entitled
DOL/OIG–5, Audit Information
Reporting Team Tech Tracking Systems.
The Department proposes to amend this
system to update the System Number,
Security Classification, and Policies and
Practices for Storing, Retrieving,
Accessing, Retaining, and Disposing of
Records categories.
94. The seventy-third proposed
amended system is entitled DOL/
OLMS–1, Investigative Files of the
Office of Labor-Management Standards.
The Department proposes to amend this
system to update the System Number,
Routine Uses of Records Maintained in
the System, Policies and Practices for
Storing, Retrieving, Accessing,
Retaining, and Disposing of Records,
and several other categories.
95. The seventy-fourth proposed
amended system is entitled DOL/
OLMS–2, OLMS Public Disclosure
Request Tracking System. The
Department proposes to amend this
system to update the System Number,
System Location, Policies and Practices
for Storing, Retrieving, Accessing,
Retaining, and Disposing of Records,
and several other categories.
96. The seventy-fifth proposed
amended system of records is entitled
DOL/OSHA–1, Retaliation Complaint
Files. The Department proposes to
amend this system to update the System
Name, Categories of Individuals
Covered by the System, Authority for
Maintenance of the System, System
Location, and several other categories.
97. The seventy-sixth proposed
amended system of records is entitled
DOL/OSHA–9, OSHA Compliance
Safety and Health Officer Training
Records. The Department proposes to
amend this system to update the
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System,

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System Manager, Notification
Procedure, and several other categories.
98. The seventy-seventh proposed
amended system of records is entitled
DOL/OSHA–10, OSHA Outreach
Training Program. The Department
proposes to amend this system to
update the System Name, Categories of
Records in the System, Policies and
Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, and several other
categories.
99. The seventy-eighth proposed
amended system of records is entitled
DOL/OSHA–14, Directorate of Training
and Education Computer-based
Acquisition/Financial Records System.
The Department proposes to amend this
system to update the Retention and
Disposal section.
100. The seventy-ninth proposed
amended system of records is entitled
DOL/OSHA–15, Directorate of Training
and Education Resource Center Loan
Program. The Department proposes to
amend this system to update the System
Name, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System category.
101. The eightieth proposed amended
system is entitled DOL/OWCP–1, Office
of Workers’ Compensation Programs,
Black Lung Antidiscrimination Files.
The Department proposes to amend this
system to update the System Number,
Categories of Individuals in the System,
Authority for Maintenance of the
System, Routine Uses of Records
Maintained in the System, and several
other categories.
102. The eighty-first proposed
amended system is entitled DOL/
OWCP–2, Office of Workers’
Compensation, Black Lung Benefits
Claim Files. The Department proposes
to amend this system to update the
System Number, Security Classification,
Authority for Maintenance of the
System, Routine Uses of Records
Maintained in the System, and several
other categories.
103. The eighty-second proposed
amended system is entitled DOL/
OWCP–3, Office of Workers’
Compensation, Longshore and Harbor
Workers’ Compensation Act Case File.
The Department proposes to amend this
system to update the System Number,
Categories of Individuals Covered by the
System, Categories of Records in the
System, Security Classification,
Authority for Maintenance of the
System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.

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104. The eighty-third proposed
amended system is entitled DOL/
OWCP–4, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Special Fund System. The Department
proposes to amend this system to
update the System Number, Categories
of Individuals Covered by the System,
Routine Uses of Records Maintained in
the System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
105. The eighty-fourth proposed
amended system is entitled DOL/
OWCP–5, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Investigation Files. The Department
proposes to amend this system to
update the System Number, Categories
of Individuals Covered by the System,
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System, and
several other categories.
106. The eighty-fifth proposed
amended system is entitled DOL/
OWCP–6, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Claimant Representatives. The
Department proposes to amend this
system to update the System Number,
Categories of Individuals Covered by the
System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
107. The eighty-sixth proposed
amended system is entitled DOL/
OWCP–7, Office of Workers’
Compensation Programs, Physicians
and Health Care Providers Excluded
under the Longshore Act. The
Department proposes to amend this
system to update the System Number,
Categories of Individuals Covered by the
System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
108. The eighty-seventh proposed
amended system is entitled DOL/
OWCP–8, Office of Workers’
Compensation Programs, Physicians
and Health Care Providers Excluded
under the Federal Employees’
Compensation Act. The Department
proposes to amend this system to
update the System Number and Policies
and Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System.
109. The eighty-eighth proposed new
system is entitled DOL/OWCP–9, Office
of Workers’ Compensation Programs,
Black Lung Automated Support

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Package. The Department proposes to
amend this system to update the System
Number, Security Classification,
Authority for Maintenance of the
System, and several other categories.
110. The eighty-ninth proposed
amended system is entitled DOL/
OWCP–10, 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 Nurse. The Department
proposes to amend this system to
update the System Number, Categories
of Individuals Covered By the System,
Categories of records in the System,
Authority for Maintenance of the
System, and several other categories.
111. The ninetieth proposed amended
system is entitled DOL/OWCP–11,
Office of Workers’ Compensation
Programs, Energy Employees
Occupational Illness Compensation
Program Act File. The Department
proposes to amend this system to
update the System Number, Categories
of Individuals Covered by the System,
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System, and
several other categories.
112. The ninety-first proposed
amended system is entitled DOL/
OWCP–12, Office of Workers’
Compensation Programs, Physicians
and Health Care Providers Excluded
under the Energy Employees
Occupational Illness Compensation
Program Act. The Department proposes
to amend this system to update the
System Number, System Location,
Categories of Individuals Covered by the
System, Routine Uses of Records
Maintained in the System, and several
other categories.
113. The ninety-second proposed
amended system of records is entitled
DOL/SOL–3, Tort Claim Files. The
Department proposes to amend this
system to update the Security
Classification, System Location,
Authority for Maintenance of the
System, and several other categories.
114. The ninety-third proposed
amended system of records is entitled
DOL/SOL–5, Workforce Investment Act
Tort Claim Files. The Department
proposes to amend this system to
update the Security Classification,
Authority for Maintenance of the
System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
115. The ninety-fourth proposed
amended system of records is entitled

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DOL/SOL–6, Military Personnel and
Civilian Employees’ Claims. The
Department proposes to amend this
system to update the Security
Classification, Authority for
Maintenance of the System, Policies and
Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, and several other
categories.
116. The ninety-fifth proposed
amended system of records is entitled
DOL/SOL–9, Freedom of Information
Act Privacy Act Appeals Files. The
Department proposes to amend this
system to update the Policies and
Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, Notification
Procedure, Contesting Record
Procedures, and several other categories.
117. The ninety-sixth proposed
amended system of records is entitled
DOL/SOL–15, Solicitor’s Office
Litigation Files. The Department
proposes to amend this system to
update the Retention and Disposal
section.
118. The ninety-seventh proposed
amended system of records is entitled
DOL/VETS–1, Uniformed Services
Employment and Re-employment Rights
Act (USERRA) Complaint File. The
Department proposes to amend this
system to update the Policies and
Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, Notification
Procedure, and Contesting Record
Procedures.
119. The ninety-eighth proposed
amended system of records is entitled
DOL/VETS–2, Veterans’ Preference
Complaint File under the Veterans
Equal Opportunities Act of 1998
(VEOA). The Department proposes to
amend this system to update the
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System,
Notification Procedure, and Contesting
Record Procedures.
120.
121. The ninety-ninth proposed
amended system is entitled DOL/WHD–
1, ‘‘Time Report’’ Component of the
Wage and Hour Investigative Support
and Reporting Database (WHISARD).
The Department proposes to amend this
system to update the System Number,
Categories of Records in the System,
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System,
Notification Procedure, and several
other categories.
122. The one hundredth proposed
new system is entitled DOL/WHD–2,
MSPA Civil Money Penalties in the

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Wage Hour Investigative Support and
Report Database (WHISARD). The
Department proposes to amend this
system to update the System Number,
Categories of Records in the System,
Policies and Practices for Storage,
Retrieving, Accessing, Retaining and
Disposing of Records in the System,
Notification Procedure, and several
other categories.
123. The one hundred and first
proposed amended system is entitled
DOL/WHD–3, MSPA Public Central
Registry Records File. The Department
proposes to amend this system to
update the System Number, System
Location, Routine Uses of Records
Maintained in the System, Disclosure of
Consumer Report Agencies, and several
other categories.
124. The one hundred and second
proposed amended system is entitled
DOL/WHD–4, Wage and Hour
Clearance List—MSPA Registration. The
Department proposes to amend this
system to update the System Number,
System Name, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
125. The one hundred and third
proposed amended system is entitled
DOL/WHD–5, MPSA Certificate Action
Record Files. The Department proposes
to amend this system to update the
System Number, Disclosure to
Consumer Reporting Agencies, Policies
and Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, and several other
categories.
126. The one hundred and fourth
proposed amended system is entitled
DOL/WHD–6, Case Registration/
Investigator Assignment Form; in the
Wage and Hour Investigative Support
and Reporting Database (WHISARD).
The Department proposes to amend this
system to update the System Number,
System Name, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, Notification Procedures,
and several other categories.
127. The one hundred and fifth
proposed amended system is entitled
DOL/WHD–7, Migrant and Seasonal
Agricultural Worker Protection Act
(MPSA) Ineligible Farm Labor
Contractors. The Department proposes
to amend this system to update the
System Number, Security Classification,
System Location, Policies and Practices
for Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.

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128. The one hundred and sixth
proposed amended system is entitled
DOL/WHD–8, ‘‘Customer Service
Component’’ of the Wage and Hour
Investigative Support and Reporting
Database (WHISARD). The Department
proposes to amend this system to
update the System Number, Categories
of Records in the System, Policies and
Practices for Storage, Retrieving,
Accessing, Retaining and Disposing of
Records in the System, and several other
categories.
129. The hundred and seventh
proposed amended system is entitled
DOL/WHD–9, Farm Labor Contractor
Registration File. The Department
proposes to amend this system to
update the System Number, Routine
Uses of records Maintained in the
System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
130. The hundred and eighth
proposed amended system is entitled
DOL/WHD–10, Farm Labor Contractor
Employee Registration File. The
Department proposes to amend this
system to update the System Number,
Routine Uses of Records Maintained in
the System, Policies and Practices for
Storage, Retrieving, Accessing,
Retaining and Disposing of Records in
the System, and several other categories.
Signed at Washington, DC, this 13th day of
January, 2016.
Thomas E. Perez,
Secretary of Labor.

Table of Contents
General Prefatory Statement
A. Universal Routine Uses of the Records
B. System Location-Flexiplace Programs
C. Government-Wide Records
D. Text of the Department of Labor’s Systems
of Records
Government-Wide Records
• DOL/GOVT–1, Office of Workers’
Compensation Programs, Federal
Employees’ Compensation Act File
• DOL/GOVT–2, Job Corps Student Records

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Central—DOL Central Systems of Records
• DOL/CENTRAL–1, Correspondents with
the Department of Labor
• DOL/CENTRAL–2, Registrants for
Department of Labor Events and Activities
• DOL/CENTRAL–3, Internal Investigations
of Harassing Conduct
• DOL/CENTRAL–4, Department of Labor
Advisory Committee Members Files
• DOL/CENTRAL–5, Privacy Act/Freedom of
Information Act Request File System
• DOL/CENTRAL–6, Supervisor’s/Team
Leader’s Records of Employees
• DOL/CENTRAL–7, DOL Employee
Conduct Investigations

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ADJBDS—DOL Adjudicatory Boards
Systems of Records
• DOL/ABJBDS–1, DOL Appeals
Management Systems (AMS)
BLS—DOL Bureau of Labor Statistics
Systems of Records
• DOL/BLS–3, Staff Time Utilization System
• DOL/BLS–8, Automated Training Request
Application (ATRA)
• DOL/BLS–9, Routine Administrative Files
• DOL/BLS–10, Commissioner’s
Correspondence Control System
• DOL/BLS–11, Mainframe User ID Database
• DOL/BLS–13, National Longitudinal
Survey of Youth 1979 (NLSY79) Database
• DOL/BLS–14, BLS Behavioral Science
Research Laboratory Project Files
• DOL/BLS–17, National Longitudinal
Survey of Youth 1997 (NLSY97) Database
• DOL/BLS–18, Postal Square Building
Parking Management Records
• DOL/BLS–19, Customer Information Files
• DOL/BLS–20, Fellowship Applicants and
Recipients Files
• DOL/BLS–21, Data Sharing Agreements
Database (DSA)
EBSA—DOL Employees Benefits Security
Administration Systems of Records
• DOL/EBSA–1, The Employee Retirement
Income Security Act of 1974 (ERISA) Filing
and Acceptance System 2—One Participant
Plans Filing a Form 5500SF
• DOL/EBSA–2, EBSA Correspondence Files
• DOL/EBSA–3, Technical Assistance and
Inquiries System
• DOL/EBSA–4, Public Disclosure Request
Tracking System
• DOL/EBSA–5, EBSA Debt Management
System
• DOL/EBSA–6, EBSA Consolidated
Training Record
• DOL/EBSA–7, Office of Enforcement
Correspondence Tracking System, DFO
CTS
• DOL/EBSA–8, EBSA Enforcement
Management System (electronic); EBSA
Civil Litigation Case Tracking System
(paper; EBSA Criminal Case Information
System (paper)
• DOL/EBSA–9, Office of Exemption
Determination (OED) ERISA Section 502(1)
Files; OED Case Tracking System
• DOL/EBSA–10, Form 5500EZ Filings
• DOL/EBSA–11, ERISA Filing and
Acceptance System 2 Internet Registration
Database (IREG)
• DOL/EBSA–12, Delinquent Filer Voluntary
Compliance Program (DFVC) Tracking
System; Delinquent Filer Voluntary
Compliance Program 99
• DOL/EBSA–13, OCA Case Tracking System
• DOL/EBSA–14, Office of Health Plans
Standards and Compliance Assistance
(OHPSCA) Case Tracking System
• DOL/EBSA–15, Fee Disclosure Failure
Notice Database
EEOICP—DOL Ombudsman for the Energy
Employees Occupational Illness
Compensation Program Systems of Records
• DOL/OMBUDSMAN–1, Office of the
Ombudsman for the Energy Employees
Occupational Illness Compensation
Program Act (EEOICPA) File

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ETA—DOL Employment and Training
Administration Systems of Records
• DOL/ETA–1, Office of Apprenticeship,
Budget and Position Control File
• DOL/ETA–4, Registered Apprenticeship
Partners Information Data System
(RAPIDS)
• DOL/ETA–7, Foreign Labor Certification
System and Employer Application Case
Files
• DOL/ETA–8, Job Corps Student Pay,
Allotment and Management Information
System (SPAMIS)
• DOL/ETA–16, Employment and Training
Administration Investigatory File
• DOL/ETA–20, Federal Bonding Program,
Bondee Certification Files
• DOL/ETA–24, Grant Officer Files
• DOL/ETA–29, National Agricultural
Workers Survey (NAWS) Research File
• DOL/ETA–30, DOL Employment and
Training Administration (ETA) Evaluation,
Research, Pilot or Demonstration
Contractors’ Project Files
• DOL/ETA–31, The Enterprise Business
Support System (EBSS)
• DOL/ETA–32, Contract Files
MSHA—DOL Mine Safety and Health
Administration Systems of Records
• DOL/MSHA–1, Mine Safety and Health
Administration Standardized Information
System (MSIS)
• DOL.MSHA–22, Educational Policy and
Development; National Mine Health and
Safety Academy Permanent Record Card or
Student Information System
• DOL/MSHA–23, Educational Policy and
Development Activity Reporting System
OALJ—DOL Office of Administrative Law
Judges Systems of Records
• DOL/OALJ–1, Office of Administrative
Law Judges Case Tracking System (CTS)
• DOL/OALJ–2, Office of Administrative
Law Judges Case Files
OASAM—DOL Office of the Assistant
Secretary for Administration and
Management Systems of Records
• DOL/OASAM–4, Safety and Health
Information Management System (SHIMS)
• DOL/OASAM–5, Employee Assistance
Program (EAP) Records
• DOL/OASAM–7, Employee Medical File
System Records (Not Job Related)
• 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
Discrimination Complaint Case Files
• DOL/OASAM–25, Intergovernmental
Personnel Act (IPA) Assignment Records
• DOL/OASAM–26, Francis Perkins
Building Parking Management System
• DOL/OASAM–27, Employee/Contractor/
Visitor Identification System
• DOL/OASAM–28, Incident Report/
Restriction Notice
• DOL/OASAM–29, OASAM Employee
Administrative Investigation File

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• DOL/OASAM–30 Injury Compensation
System (ICS)
• DOL/OASAM–31, DOL Flexible Workplace
Programs Evaluation and Files
• DOL/OASAM–32, Transit Subsidy
Management System
• DOL/OASAM–34, DOL Fitness Association
(DOLFA) Membership Files
• DOL/OASAM–35, DOL Child Care Subsidy
Program Records
• DOL/OASAM–37, Personal Identity
Verification Credential
OCFO—DOL Office of the Chief Financial
Officer Systems of Records
• DOL/OCFO–2, New Core Financial
Management System (NCFMS)
• DOL/OCFO–3, Travel and Transportation
System
ODEP—DOL Office of Disability Employment
Policy Systems of Records
• DOL/ODEP–1, Job Accommodation
Network (JAN) Files
• DOL/ODEP–2, Workforce Recruitment
Program for College Students with
Disabilities (WRP) Database
OFCCP—DOL Office of Federal Contract
Compliance Programs Systems of Records
• DOL/OFCCP–1, 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)
• DOL/OFCCP–2, Office of Federal Contract
Compliance Programs/Complaint Case
Files
OIG—DOL Office of Inspector General
Systems of Records

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• DOL/OIG–2, Freedom of Information Act/
Privacy Act Records
• DOL/OIG–5, Audit Information Reporting
Team Tech Tracking System
• DOL/OIG–6, Hotline and Complaints
Analysis Files
• DOL/OIG–7, Correspondence Tracking
System
• DOL/OIG–8, Office of Inspector General
(OIG) Employee Credential System
• DOL/OIG–9, OIG Property Tracking
Systems
• DOL/OIG–10, Office of Inspector General
(OIG) Pre-employment Checks and
Inquiries (PECI) System
• DOL/OIG–11, Investigative Case Files and
Tracking System, Case Development and
Intelligence Records, USDOL/OIG
OLMS—DOL Office of Labor-Management
Standards Systems of Records
• DOL/OLMS–1, Investigative Files of the
Office of Labor-Management Standards
• DOL/OLMS–2, OLMS Public Disclosure
Request Tracking System
OSHA—DOL Occupational Safety and
Health Administration Systems of Records
• DOL/OSHA–1, Retaliation Complaint File
• DOL/OSHA–6, Program Activity File
• DOL/OSHA–9, OSHA Compliance Safety
and Health Officer Training Records
• DOL/OSHA–10, OSHA Outreach Training
Program

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• DOL/OSHA–14, Directorate of Training
and Education Computer-Based
Acquisition/Financial Records System
• DOL/OSHA–15, Directorate of Training
and Education Resource Center Loan
Program
OWCP—DOL Office of Workers’
Compensation Programs Systems of Records
• DOL/OWCP–1, Office of Workers’
Compensation Programs, Black Lung
Antidiscrimination Files
• DOL/OWCP–2, Office of Workers’
Compensation, Black Lung Benefits Claim
File
• DOL/OWCP–3, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act Case
Files
• DOL/OWCP–4, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act Special
Fund System
• DOL/OWCP–5, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Investigation Files
• DOL/OWCP–6, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Claimant Representatives
• DOL/OWCP–7, Office of Workers’
Compensation Programs, Physicians and
Health Care Providers Excluded under the
Longshore Act
• DOL/OWCP–8, Office of Workers’
Compensation Programs, Physicians and
Health Care Providers Excluded under the
Federal Employees’ Compensation Act
• DOL/OWCP–9, Office of Workers’
Compensation Programs, Black Lung
Automated Support Package
• DOL/OWCP–10, Office of Workers’
Compensation Programs, Federal
Employees’ Compensation Act (FEC) and
Longshore and Harbor Workers’
Compensation Act Rehabilitation
Counselor Case Assignment, Contract
Management and Performance Files and
FEC Field Nurses
• DOL/OWCP–11, Office of Workers’
Compensation Programs, Energy
Employees Occupational Illness
Compensation Program Act File
• DOL/OWCP–12, Office of Workers’
Compensation Programs, Physicians and
Health Care Providers Excluded under the
Energy Employees Occupational Illness
Compensation Program Act
SOL—DOL Office of the Solicitor Systems of
Records
• 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–9, Freedom of Information Act
and Privacy Act Appeals Files
• DOL/SOL–15, Solicitor’s Office Litigation
Files
• DOL/SOL–18, Matter Management System
(MMS)
• DOL/SOL–19, Evidence Management
System (EMS)

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VETS—DOL Veterans’ Employment and
Training Service Systems of Records
• DOL/VETS–1, Uniformed Services
Employment and Reemployment 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
• DOL/VETS–5, Veterans’ Data Exchange
Initiative (VDEI)
• DOL/VETS–6, Veterans’Case Management
System (VCMS)
WHD—DOL Wage and Hour Division
Systems of Records
• DOL/WHD–1, ‘‘Time Report’’ Component
of the Wage and Hour Investigative
Support and Reporting Database
(WHISARD)
• DOL/WHD–2, MSPA Civil Money Penalties
in the Wage Hour Investigative Support
and Reporting Database (WHISARD)
• DOL/WHD–3, MSPA Public Central
Registry Records File
• DOL/WHD–4, Wage and Hour Clearance
List—MSPA Registration
• DOL/WHD–5, MSPA Certificate Action
Record Files
• DOL/WHD–6, Case Registration/
Investigator Assignment Form in the Wage
and Hour Investigative Support and
Reporting Database (WHISARD)
• DOL/WHD–7, Migrant and Seasonal
Agricultural Worker Protection Act
(MSPA) Ineligible Farm Labor Contractors
• DOL/WHD–8, ‘‘Customer Service
component’’ of the Wage Hour
Investigative Support and reporting
Database (WHISARD)
• DOL/WHD–9, Farm Labor Contractor
Registration File
• DOL/WHD–10, Farm Labor Contractor
Employee Registration File

General Prefatory Statement
In its April 8, 2002, publication, the
Department gave notice of 12 routine
uses that apply to all of its systems of
records, except for DOL/OASAM–5,
DOL/OASAM–7, and DOL/CENTRAL–
3. These 12 routine uses were presented
in the General Prefatory Statement for
that document, and appeared at Page
16825 of Volume 67 of the Federal
Register. As a convenience to the reader
of this document, we are republishing
this General Prefatory Statement. This
republication shall include the
statement, also contained in the 2002
and 2011 publications, that pursuant to
the Flexiplace Program (also known as
‘‘telework’’ consistent with the
Telework Enhancement Act), the system
location for all systems of records may
be temporarily located at alternate
worksites, including remote locations,
employees’ homes, or at geographically
convenient satellite offices at some
times.

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At this time, the Department proposes
two new routine uses that will apply to
all of its systems of records. The first
proposed routine use governs the
Department’s ability to disclose
information to a State or local
government agency in charge of issuing
licenses to attorneys and health care
professionals. The second proposed
routine use governs the Department’s
ability to disclose information to the
United States Department of Justice
and/or the Federal Bureau of
Investigation that will be included in
the National Instant Criminal
Background Check System (NICS). The
new routine uses are described in
paragraphs 13 and 14 below.
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;
DOL/OASAM–7, Employee Medical
Records, and DOL/CENTRAL–3,
Internal Investigations of Harassing
Conduct.
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
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 for a purpose that
is compatible with the purpose for
which the agency collected the records.
3. When a record on its face, or in
conjunction with other information,
indicates a violation or potential
violation of law, whether civil, criminal
or regulatory in nature, and whether
arising by general statute or particular

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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 pursuant to 44 U.S.C. 2904
and 2906.
6. To disclose to contractors,
employees of contractors, consultants,
grantees, and volunteers who have been
engaged to assist the agency in the
performance of or working on a
contract, service, grant, cooperative
agreement or other activity or service for
the Federal Government.
Note: Recipients shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a; see also 5 U.S.C. 552a(m).
7. To the parent locator service of the
Department of Health and Human
Services or to other authorized persons
defined by Public Law 93–647 (42
U.S.C. 653(c)) the name and current
address of an individual for the purpose
of locating a parent who is not paying
required child support.
8. To any source from which
information is requested in the course of
a law enforcement or grievance
investigation, or in the course of an
investigation concerning retention of an
employee or other personnel action, the
retention of a security clearance, the
letting of a contract, the retention of a
grant, or the retention of any other
benefit, to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request,
and identify the type of information
requested.
9. To a Federal, State, local, foreign,
tribal, or other public authority of the
fact that this system of records contains

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information relevant to the hiring or
retention of an employee, the granting
or retention of a security clearance, the
letting of a contract, a suspension or
debarment determination or the
issuance or retention of a license, grant,
or other benefit.
10. To the Office of Management and
Budget during the coordination and
clearance process in connection with
legislative matters.
11. To the Department of the
Treasury, and a debt collection agency
with which the United States has
contracted for collection services, to
recover debts owed to the United States.
12. To the news media and the public
when (1) the matter under investigation
has become public knowledge, (2) the
Solicitor of Labor determines that
disclosure is necessary to preserve
confidence in the integrity of the
Department or is necessary to
demonstrate the accountability of the
Department’s officers, employees, or
individuals covered by this system, or
(3) the Solicitor of Labor determines that
there exists a legitimate public interest
in the disclosure of the information,
provided the Solicitor of Labor
determines in any of these situations
that the public interest in disclosure of
specific information in the context of a
particular case outweighs the resulting
invasion of personal privacy.
13. To disclose information to a State
or local government entity which has
the legal authority to make decisions
concerning the issuance, retention or
revocation of licenses, certifications or
registrations required to practice law or
a health care profession, when
requested in writing by an investigator
or supervisory official of the licensing
entity for the purpose of making a
decision concerning the issuance,
retention or revocation of the license,
certification or registration of a named
attorney or health care professional.
14. To disclose information to the
United States Department of Justice
and/or the Federal Bureau of
Investigation for inclusion in the
National Instant Criminal Background
Check System (NICS), pursuant to the
reporting requirements of the Brady
Handgun Violence Prevention Act, as
amended by the NICS Improvement
Amendments Act of 2007.
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 (also known as

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‘‘telework’’ pursuant to the Telework
Enhancement Act), copies of records
may be temporarily located at
alternative worksites, including
employees’ homes or at geographically
convenient satellite offices for periods
of time. All appropriate safeguards will
be taken at these sites.
C. 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.
1. Federal Employees’ Compensation
Act Files—DOL/GOVT–1: All records
relating to injury or death of civilian
employees or other persons entitled to
benefits under the Federal Employees’
Compensation Act are the records of the
Office of Workers’ Compensation
Programs (OWCP of the Department of
Labor). OWCP asserts control of these
records under the provisions of 5 U.S.C.
8149 and Department regulations at 20
CFR 10.10. This system applies to
copies of claim forms and other
documents relating to a compensation
claim maintained by the employing
agency. This system, 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.

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2. Job Corps Student Records—DOL/
GOVT–2: 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 at which the
student is enrolled. The Employment
and Training Administration asserts
control of these records under 29 U.S.C.
2881 et seq. This system is entitled
DOL/GOVT–2, Job Corps Student
Records.
Initial determinations concerning
access, amendment or correction of this
government-wide system of records
shall be made by screening contractors,
Job Corps Center Directors, Job Corps
National or Regional Offices.
Administrative appeals shall be referred
to the Solicitor of Labor, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
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

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D. Text of the Department of Labor’s
System of Records Government-Wide
Systems by the U.S. Department of
Labor
DOL/GOVT–1
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Federal Employees’
Compensation Act File.
SECURITY CLASSIFICATION:

Most files and data are unclassified.
Files and data in certain cases have Top
Secret classification, but the rules
concerning their maintenance and
disclosure are determined by the agency
that has given the information the
security classification of Top Secret.
SYSTEM LOCATION:

The central database for DOL/GOVT–
1 is located at the DOL National office
and the offices of OWCP’s contractor.
Paper claim files are located at the
various OWCP district offices; claim
files of employees of the Central
Intelligence Agency are located at that
agency. Copies of claim forms and other
documents arising out of a job-related
injury that resulted in the filing of a
claim under the Federal Employees’
Compensation Act (FECA) may also be
maintained by the employing agency
(and where the forms were transmitted
to OWCP electronically, the original
forms are maintained by the employing
agency). In addition, records relating to
third-party claims of FECA beneficiaries
are maintained in the Division of
Federal Employees’ and Energy
Workers’ Compensation, Office of the
Solicitor, United States Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals and/or their survivors
who file claims seeking benefits under
FECA by reason of injuries sustained
while in the performance of duty. FECA
applies to all civilian Federal
employees, including various classes of
persons who provide or have provided
personal service to the Government of
the United States, and to other persons
as defined by law such as State or local
law enforcement officers, and their
survivors, who were injured or killed
while assisting in the enforcement of
Federal law. In addition, FECA covers
employees of the Civil Air Patrol, Peace
Corps Volunteers, Job Corps students,
Volunteers in Service to America,
members of the National Teacher Corps,
certain student employees, members of
the Reserve Officers Training Corps,
certain former prisoners of war, and

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employees of particular commissions
and other agencies.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 8101 et seq., 20 CFR 1.1 et
seq.
PURPOSE(S):

FECA establishes the system for
processing and adjudicating claims that
Federal employees and other covered
individuals file with the Department’s
OWCP seeking monetary, medical and
similar benefits for injuries or deaths

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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 employmentrelated injury and the resulting
disabilities and/or impairments, if any,
on which decisions awarding or
denying benefits provided under the
FECA must be based.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those Department-wide
routine uses set forth in the General
Prefatory Statement to this document,
disclosure of information from this
system of records may be made to the
following individuals and entities for
the purposes noted when the purpose of
the disclosure is both relevant and
necessary and is compatible with the
purpose for which the information was
collected:
a. To any attorney or other
representative of a FECA beneficiary for
the purpose of assisting in a claim or
litigation against a third party or parties
potentially liable to pay damages as a
result of the FECA beneficiary’s FECAcovered injury and for the purpose of
administering the provisions of Sections
8131–8132 of FECA. Any such third
party, or a representative acting on that
third party’s behalf, may be provided
information or documents concerning
the existence of a record and the amount
and nature of compensation paid to or
on behalf of the FECA beneficiary for
the purpose of assisting in the
resolution of the claim or litigation
against that party or administering the
provisions of Sections 8131–8132 of
FECA.
b. To Federal agencies that employed
the claimant at the time of the
occurrence or recurrence of the injury or
occupational illness in order to verify
billing, to assist in administering FECA,
to answer questions about the status of
the claim, to consider rehire, retention
or other actions the agency may be
required to take with regard to the claim
or to permit the agency to evaluate its
safety and health program. Disclosure to
Federal agencies, including the
Department of Justice, may be made
where OWCP determines that such
disclosure is relevant and necessary for
the purpose of providing assistance in
regard to asserting a defense based upon
FECA’s exclusive remedy provision to
an administrative claim or to litigation
filed under the Federal Tort Claims Act.
c. To other Federal agencies, other
Government or private entities and to
private-sector employers as part of

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rehabilitation and other return-to-work
programs and services available through
OWCP, where the entity is considering
hiring the claimant or where otherwise
necessary as part of that return-to-work
effort.
d. To Federal, State or private
rehabilitation agencies and individuals
to whom the claimant has been referred
for evaluation of rehabilitation and
possible reemployment.
e. To physicians, pharmacies, and
other health care providers for their use
in treating the claimant, in conducting
an examination or preparing an
evaluation on behalf of OWCP and for
other purposes relating to the medical
management of the claim, including
evaluation of and payment for charges
for medical and related services and
supplies.
f. To medical insurance or health and
welfare plans (or their designees) that
cover the claimant in instances where
OWCP has paid for treatment of a
medical condition that is not
compensable under FECA, or where a
medical insurance plan or health and
welfare plan has paid for treatment of a
medical condition that may be
compensable under FECA, for the
purpose of resolving the appropriate
source of payment in such
circumstances.
g. To labor unions and other
voluntary employee associations from
whom the claimant has requested
assistance for the purpose of providing
such assistance to the claimant.
h. To a Federal, State or local agency
for the purpose of obtaining information
relevant to a determination concerning
initial or continuing eligibility for FECA
benefits, and for a determination
concerning whether benefits have been
or are being properly paid, including
whether dual benefits that are
prohibited under any applicable Federal
or State statute are being paid; and for
the purpose of utilizing salary offset and
debt collection procedures, including
those actions required by the Debt
Collection Act of 1982, to collect debts
arising as a result of overpayments of
FECA compensation and debts
otherwise related to the payment of
FECA benefits.
i. To the Internal Revenue Service
(IRS) for the purpose of obtaining
taxpayer mailing addresses for the
purposes of locating a taxpayer to
collect, compromise, or write-off a
Federal claim against such taxpayer;
and informing the IRS of the discharge
of a debt owed by an individual.
Records from this system of records may
be disclosed to the IRS for the purpose
of offsetting a Federal claim from any

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income tax refund that may be due to
the debtor.
j. To the Occupational Safety and
Health Administration (OSHA) for
purpose of using injury reports filed by
Federal agencies pursuant to FECA to
fulfill agency injury reporting
requirements. Information in this
system of records may be disclosed to
OSHA by employing agencies as part of
any Management Information System
established under OSHA regulations to
monitor health and safety.
k. To contractors providing services to
the Department or any other Federal
agency or any other individual or entity
specified in any of these routine uses or
in the Department’s General Prefatory
Statement who require the data to
perform the services that they have
contracted to perform, provided that
those services are consistent with the
routine use for which the information
was disclosed to the contracting entity.
Should such a disclosure be made to the
contractor, the individual or entity
making such disclosure shall ensure
that the contractor complies fully with
all Privacy Act provisions, including
those prohibiting unlawful disclosure of
such information.
l. To the Defense Manpower Data
Center—Department of Defense and the
United States Postal Service to conduct
computer matching programs for the
purpose of identifying and locating
individuals who are receiving Federal
salaries or benefit payments and are
delinquent in their repayment of debts
owed to the United States under
programs administered by the
Department in order to collect the debts
under the provisions of the Debt
Collection Act of 1982 (Pub. L. 97–365)
by voluntary repayment, or by salary or
administrative offset procedures.
m. To a credit bureau for the purpose
of obtaining consumer credit reports
identifying the assets, liabilities,
expenses, and income of a debtor in
order to ascertain the debtor’s ability to
repay a debt incurred under FECA, to
collect the debt, or to establish a
payment schedule.
n. To consumer reporting agencies as
defined by Sec. 603(f) of the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or in
accordance with Sec. 3(d)(4)(A)(ii) of
the Federal Claims Collection Act of
1966 as amended (31 U.S.C. 3711(f)) for
the purpose of encouraging the
repayment of an overdue debt, the
amount, status and history of overdue
debts, the name and address, taxpayer
identification (SSN), and other
information necessary to establish the
identity of a debtor, the agency and
program under which the claim arose,

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may be disclosed pursuant to 5 U.S.C.
552a(b)(12).
o. To a Member of Congress or to a
Congressional staff member in response
to an inquiry made by an individual
seeking assistance who is the subject of
the record being disclosed for the
purpose of providing such assistance.
p. To individuals, and their attorneys
and other representatives, and
Government agencies, seeking to enforce
a legal obligation on behalf of such
individual or agency, to pay alimony
and/or child support for the purpose of
enforcing such an obligation, pursuant
to an order of a State or local court of
competent jurisdiction, including
Indian tribal courts, within any State,
territory or possession of the United
States, or the District of Columbia or to
an order of a State agency authorized to
issue income withholding notices
pursuant to State or local law or
pursuant to the requirements of Sec.
666(b) of title 42, U.S.C., or for the
purpose of denying the existence of
funds subject to such legal obligation.
q. To the National Institute for
Occupational Safety and Health
(NIOSH), for the purpose of performing
statistical analyses of injury and illness
patterns to identify patterns and
locations of high incidence, help devise
safety and return-to-work interventions,
and guide worker safety and health
research. The statistical analyses
performed by NIOSH will assist OWCP
and OSHA in their efforts to reduce the
occurrence of employment injuries,
assist employees in achieving a smooth
transition and return to work following
employment injuries, and improve
Federal employee safety and health.
r. To the General Services
Administration (GSA), for the purpose
of permitting GSA and its investigators
to evaluate information about potential
exposures to hazardous substances to
non-GSA federal employees in buildings
or complexes managed by GSA.
s. To investigators in employing
agency Offices of Inspector General, for
the purpose of assisting in the
investigation of potential fraud by
recipients of compensation benefits
under the FECA for their agencies, and
for the purpose of assisting in
evaluation of compliance by employing
agencies with timely filing requirements
under the FECA and its implementing
regulations as well as for audits related
to the employing agencies’ handling of
their portion of the FECA claims
process.
t. To a Federal, State or local agency
charged with the responsibility for
investigating compliance with laws
relating to health and safety, for the
purpose of assisting such agency in

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fulfilling its statutory or regulatory
responsibilities.
u. For claims arising under 42 U.S.C.
Sections 1701 and 1704 of the WHCA,
to insurance carriers or self-insured
employers and their attorneys, for the
purpose of assisting in administering
the claim, and for the purpose of
verifying eligibility for payments to
claimants and reimbursements of
amounts already paid.
Note: Disclosure of information
contained in this system of records to
the subject of the record, a person who
is duly authorized to act on his or her
behalf, or to others to whom disclosure
is authorized by these routine uses, may
be made over the telephone or by
electronic means. Disclosure over the
telephone or by electronic means will
only be done where the requestor
provides appropriate identifying
information. Telephonic or electronic
disclosure of information is essential to
permit efficient administration and
adjudication of claims under FECA.
Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records
may be disclosed to members and staff
of the Employees’ Compensation
Appeals Board, the Office of
Administrative Law Judges, the Office of
the Solicitor and other components of
the Department that have a need for the
record in the performance of their
duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files and automated data are retrieved
after identification by coded file number
and/or Social Security Number which is
cross-referenced to employee by name,
employing establishment, and date and

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nature of injury. Since the electronic
case management files were created in
1975, these electronic files are located
in District Offices that have jurisdiction
over the claim, and (as noted above
under ‘‘System Location’’), a complete
central data base is maintained at the
location of the contractor. Prior to 1975,
a paper index file was maintained; these
records were transferred to microfiche
and are located in the national office.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files. Only personnel
having an appropriate security clearance
may handle or process security files.
RETENTION AND DISPOSAL:

All case files and automated data
pertaining to a claim are destroyed 15
years after the case file has become
inactive. Case files that have been
scanned to create electronic copies are
destroyed after the copies are verified.
Electronic data is retained in its most
current form only, and as information is
updated, outdated information is
deleted. Some related financial records
are retained only in electronic form, and
destroyed six years and three months
after creation or receipt.
SYSTEM MANAGER(S) AND ADDRESS:

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

An individual wishing to inquire
whether this system of records contains
information about him/her may write or
telephone the OWCP district office that
services the state in which the
individual resided or worked at the time
he or she believes a claim was filed. In
order for the record to be located, the
individual must provide his or her full
name, OWCP claim number (if known),
date of injury (if known), and date of
birth.

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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, 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.

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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.

Screening contractors; Job Corps
centers and operators (which includes
contract and agency centers); Job Corps
National Office; Job Corps Regional
Offices; Federal Records Centers.

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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
Department systems of records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

Job Corps Student Records.
SECURITY CLASSIFICATIONS:

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None.

Frm 00015

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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:
a. To disclose photographs and
student identities, with appropriate
consent, to the news media, for the
purpose of promoting the merits of the
program.
b. 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.
c. 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.
d. To disclose information to
appropriate Federal, State, and local

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agencies which have law enforcement
jurisdiction over students (which
includes probation or parole officers)
and/or the property on which the center
is located, 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.
e. To disclose all or any information
to parents/guardians regarding students
under the age of 18 for performance of
parental rights and responsibilities.
f. 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.
g. 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.
h. 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.
i. To disclose information to medical
laboratories necessary in identifying
specimens for the purpose of testing.
j. 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.
k. To disclose information to the
Army Finance Center, Fort Benjamin
Harrison, Indiana, to pay student
allowances and maintain and dispose of
their pay records.
l. To disclose information to Federal,
State, and local agencies and to
community-based organizations for the
operation of experimental, research,
demonstration, evaluation and pilot
projects authorized under sections 156
or 169 of the Workforce Innovation and

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Opportunity Act, 29 U.S.C. 3206 or
3224, except that in the case of a
research project, the researcher shall
guarantee to protect the anonymity of all
staff and students involved in any
presentation of the results of such study.
m. To disclose information to
contractors and agencies that operate
centers or have Outreach Admissions
and Placement (OAandP) issues which
demonstrate a legitimate need for the
information to enable them to properly
administer their responsibilities in the
Job Corps program.
n. To disclose to the Selective Service
system names, social security number,
date of birth, and address of students, to
ensure 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:

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

Records are retrieved by name, social
security number, and date of student
entry.
SAFEGUARDS:

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

Job Corps centers will maintain
records of terminated students for a
period of 3 years unless custodianship
is extended or terminated, for
administrative reasons, by the regional
office. Counseling records are retained
on the Job Corps center for 6 months
after student’s termination, after which
they are destroyed. After termination, a
summary or copy of the counseling
record is placed in the health record.
After 3 years, centers will retire the
records to the appropriate Federal
Records center. Students’ records are
subject to destruction 75 years from the
birth date of the youngest student’s
record contained in a GSA records
retirement box, with the disposal
authority being NC 369–76–2, item 59.
[Note: Centers will send a copy of the
SF 135–135 A (transmittal and receipt
form) to the appropriate Job Corps
regional office, after they have received
the accession number from the
appropriate Federal Records Center. In
the event of a student’s death, the

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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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from outreach/screening and
placement contractors; Job Corps
centers; Job Corps students;
employment services; parole officers;
State and local law enforcement
agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
CENTRAL—DOL Central Systems of
Records
DOL/CENTRAL–1
SYSTEM NAME:

Correspondents with the Department
of Labor.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

At the offices of each component
agency within the U.S. Department of
Labor, including national, regional, and
contractor offices, and at the offices of
call centers serving the Department
including the Department’s national call
center currently located at the
contractor’s site in Chantilly, Virginia.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individual correspondents with the
various components of the Department
who contact, by telephone, U.S. Mail or
other mail/delivery service, online,
email, or phone bank, components
within the Department for various
reasons such as, but not limited to,
requests for information, brochures,
requests for compliance assistance,
requests to subscribe to message boards,
and/or to use Web site based programs.
It includes callers to the Department’s

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call center and contractors providing
mail and public information services to
the Department.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains comments by, or
requests from, individuals and
information necessary to satisfy requests
for information or brochures, requests
for compliance assistance, requests to
subscribe to message boards, or email
management systems, and/or to use Web
site based programs. It includes
information received from callers to the
Department’s call centers. Depending on
the nature of the request, the file may
include (but is not limited to) the
following information regarding
individuals who have contacted the
Department: name, title, mailing
address, telephone and fax number,
email address, area of interest, and other
information necessary to respond to a
request.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

To enhance information exchange by
improving the availability of
Departmental component information
on automated systems; to facilitate
sending information on compliance
assistance to correspondents; to use
Web site based programs; to provide
usage statistics associated with the
Department’s public access Internet site;
and to provide a framework from which
to select an unbiased sample of
individuals for surveys. Among other
things, maintaining the names,
addresses, etc. of individuals requesting
data/publications will streamline the
process for handling subsequent
inquiries and requests by eliminating
duplicative gathering of mailing
information, data, and material on
individuals who correspond with the
Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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SAFEGUARDS:

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

In accordance with General Records
Schedule 14 item 1., current
correspondent information files are
updated as necessary and are destroyed
after three months.
SYSTEM MANAGER(S) AND ADDRESS:

The relevant agency head for the
applicable component agency within
the U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.
Inquiries should be mailed to the
System Manager.

PURPOSE(S):

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from correspondents with
the relevant component agency within
the Department.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/CENTRAL–2
SYSTEM NAME:

Registrants for Department of Labor
Events and Activities.
SECURITY CLASSIFICATION:

None.
At the offices of each component
agency within the Department of Labor,
including national, regional and
contractor offices.

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

Files are stored electronically and/or
on paper.

Jkt 238001

RECORD ACCESS PROCEDURE:

SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

19:00 Apr 28, 2016

Files are retrieved by name, telephone
or fax number (including the telephone
number from which the individual
dials), email address or other identifying
information in the system.

NOTIFICATION PROCEDURE:

5 U.S.C. 301.

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RETRIEVABILITY:

Individual correspondents with the
various components of the Department
who contact, by telephone, fax, U.S.
Mail or other mail/delivery services, online, or email, components within the
Department to register for conferences,

PO 00000

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events, activities, seminars, special
interest Web sites, and programs.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains information
necessary to satisfy requests by
individuals to register for Department
conferences, events, activities, seminars,
programs and special interest Web sites,
including their requests for special
accommodations and items such as
meal preferences. Depending on the
nature of the request, the file may
include (but is not limited to) the
following information on the
individuals who have contacted the
Department: name, title, mailing
address, telephone and fax number, and
email address.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

To permit persons to register, by mail,
telephone, fax, email and on-line, for
Departmental conferences, events,
activities, seminars, special interest Web
sites, and programs; to enhance
information exchange by improving the
availability of Departmental component
information on automated systems; to
provide a framework from which to
select an unbiased sample of
individuals for surveys; and to maintain
the names, addresses, etc. of individuals
who register for conferences and
seminars.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, a record
from this system of records may be
disclosed to private entities and/or State
or other Federal agencies that cosponsor or have a statutory interest in
the subject of a particular conference or
Web site. A record from this system may
be disclosed to hotels, conference
centers, caterers, interpreters and other
entities that provide services for the
purpose of holding the conferences and
seminars, including services to persons
with disabilities. The names and
business addresses of attendees may be
disclosed to conference attendees and/
or the public, where appropriate.
Records also may be disclosed where
required by law.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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

Employment Opportunity (EEO)
Managers in the national office.

STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

By name, telephone or fax number
(including the telephone number from
which the individual dials), email
address or other identifying information
in the system.
SAFEGUARDS:

CATEGORIES 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.

The system contains all documents
related to a complaint or report of
harassment, which may include the
complaint, statements of witnesses,
reports of interviews, investigators and
agency EEO manager’s findings and
recommendations, final decisions and
corrective action taken, and related
correspondence and exhibits.
Note: Records compiled by the Office
of Inspector General in its investigations
of harassing conduct are covered by its
own system of records, entitled DOL/
OIG–1, and are not part of this system
of records.

RETENTION AND DISPOSAL:

In accordance with General Records
Schedule 14, Item 1, current
correspondent information files are
updated as necessary and are destroyed
three months after the conclusion of
event related activities.
SYSTEM MANAGER(S) AND ADDRESS:

The relevant agency head for the
applicable component agency within
the U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Correspondents with the relevant
component agency within the
Department.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/CENTRAL–3
SYSTEM NAME:

Internal Investigations of Harassing
Conduct.
asabaliauskas on DSK3SPTVN1PROD with NOTICES

Current or former Department
employees, Department interns, or other
such agents of the Department,
nationwide, who have filed a complaint
or report of harassment, or have been
accused of harassing conduct under the
Department’s Policy to Prevent
Harassing Conduct in the Workplace
(the Policy).

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Records on covered individuals are
located at the Department of Labor,
Office of the Assistant Secretary for
Administration and Management and
with respective agency Equal

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19:00 Apr 28, 2016

Jkt 238001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 44 U.S.C. 3101.
PURPOSE(S):

These records are maintained for the
purpose of conducting internal
investigations into allegations of
harassment brought against Department
employees and for taking appropriate
action in accordance with the
Department’s Policy.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses contained in the General Prefatory
Statement to this document, disclosure
of information from this system of
records regarding the status of any
investigation that may have been
conducted may be made to the party
who was subject to the harassment and
to the alleged harasser when the
purpose of the disclosure is both
relevant and necessary and is
compatible with the purpose for which
the information was collected.
Note: Records compiled under the
Policy which subsequently become part
of the investigation record in an EEO
complaint may be disclosed to the
complainant if the Civil Rights Center
(CRC) determines that the records are
relevant and necessary with respect to
adjudicating the EEO complaint, when
such disclosure is compatible with the
purpose for which the information was
collected.

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Fmt 4701

Sfmt 4703

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

These records are indexed by the
name of the alleged victim(s) and/or the
name of the individual accused of
harassing conduct.
SAFEGUARDS:

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

These records are maintained for four
years from the date that the
investigation is closed.
SYSTEM MANAGER(S) AND ADDRESS:

Respective agencies’ EEO managers,
U.S. Department of Labor, 200
Constitution Ave. NW., Suite N–4123,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Individual complainants; agency EEO
Managers; supervisors; management
officials; employee relations staff;
witness statements; Solicitor’s Office
staff; CRC staff, and summary reports on
harassing conduct complaints.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

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disclosure of the material would reveal
the identity of a source who furnished
information to the Government with an
express promise that the identity of the
source would be held in confidence.

RETRIEVABILITY:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records are retrieved by member
name, nominee name, committee name,
or via identification number if
electronically maintained.

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).

DOL/CENTRAL–4

SAFEGUARDS:

Department of Labor Advisory
Committees Members Files.
SECURITY CLASSIFICATION:

RETENTION AND DISPOSAL:

None.
SYSTEM LOCATION:

Offices in various components within
the U.S. Department of Labor, at the
Frances Perkins Building, 200
Constitution Avenue NW., Washington,
DC 20210, or other Department offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Present and former members of
advisory committees established by the
Department, and candidates for a
position on an advisory committee.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records contained in this system are
biographical information of individuals
who are or have been members, or are
being considered for membership on the
committees. The records also include
the biographical information regarding
individuals who have been nominated
for membership on advisory
committees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

The records are used to ensure that all
appropriate personal records of advisory
committee members, and nominees, are
retained and are available for official
use.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, information
in these records may be disclosed to the
General Services Administration when
necessary to comply with the Federal
Advisory Committee Act.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are stored electronically and/or
on paper.

Jkt 238001

SYSTEM MANAGER(S) AND ADDRESS:

The relevant agency head for the
applicable component agency within
the U.S. Department of Labor, 200
Constitution Ave. NW., Washington, DC
20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

This system of records is maintained
for various reasons as follows:
a. To process individuals’ requests
made under the Privacy Act and
Freedom of Information Act.
b. To provide a record of
communications between the requester
and the agency.
c. To ensure that all relevant,
necessary and accurate data are
available to support any process for
appeal.
d. To provide a legal document to
support any process for appeal.
e. To prepare the annual reports to
OMB and Congress as required by the
Privacy and Freedom of Information
Acts.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

a. Departmental Offices in
Washington, DC;
b. Regional offices of the Department.

These records, and information in
these records, may be used to disclose:
a. 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. Information to Federal agencies
(e.g., Department of Justice or the Office
of Government Information Services) in
order to obtain advice and
recommendation concerning matters on
which the agency has specialized
experience or particular competence, for
use in making required determinations
under the Freedom of Information Act
or the Privacy Act of 1974.
c. 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 or Freedom of
Information Act request.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
relates to individual members of the
committee and those persons making
nominations to the committee.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/CENTRAL–5
SYSTEM NAMES:

Privacy Act/Freedom of Information
Act Requests File System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

19:00 Apr 28, 2016

After a committee term ends, its
records are transferred to the National
Archives and Records Administration
for permanent retention.

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

None.

VerDate Sep<11>2014

PURPOSE(S):

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

SYSTEM NAME:

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25783

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

PO 00000

Frm 00019

Fmt 4701

Sfmt 4703

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

Files are stored electronically and/or
on paper.

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RETRIEVABILITY:

SECURITY CLASSIFICATION:

Files are retrieved by name of
individual making request and by date
of request.
SAFEGUARDS:

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

Records are retained for two years
after response date if no denial was
involved, and 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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

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

Information contained in this system
of records is obtained from individual
requester, official documents, agency
officials, and other Federal agencies.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Department of Labor has claimed
exemptions from several of its other
systems of records under 5 U.S.C.
552a(k) (1), (2), (3), (5), and (6). During
the course of a PA/FOIA action, exempt
materials from those other systems may
become part of the case record in this
system. To the extent that copies of
exempt records from those other
systems are entered into these PA/FOIA
case records, the Department has
claimed the same exemptions for the
records as they have in the original
primary system of records of which they
are a part.
DOL/CENTRAL–6
SYSTEMS NAME:

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

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19:00 Apr 28, 2016

Jkt 238001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

None.
SYSTEM LOCATION:

Records of membership in
professional licensing organizations
such as those for attorneys, accountants
and physicians will be maintained in
the supervisor’s offices and in the
national and regional Human Resources
Offices. Emergency addressee
information may be kept at the
residence of or upon the supervisor’s
person when appropriate.
Note: Requests for a reasonable
accommodation are made to
supervisors. The Civil Rights Center
may temporarily maintain a copy of
such requests and of the medical
documents submitted by the employee
when the Public Health Service (PHS)
physician completes his or her review of
the request.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current employees, employees who
have retired or left the office within the
last 12 months, and employees who
have been separated from the office or
Department for more than 12 months for
whom the former supervisor/team
leader has retained records.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records related to individuals while
employed by the Department and which
contain such information as: Record of
employee/supervisor discussions,
supervisor(s)/team leader(s)
observations, supervisory copies of
officially recommended actions, reports
of Federal Telecommunications System
telephone usage containing call detail
information, awards, disciplinary
actions, emergency addressee
information, flexiplace records, reports
of on-the-job accidents, injuries, or
illnesses, correspondence from
physicians or other health care
providers, training requests, requests for
regular leave, advanced leave, family
and medical leave, and records of
membership in professional licensing
organizations such as those for
attorneys, accountants and physicians.
The system also contains records
relating to requests for reasonable
accommodation and/or leave, including
medical documents submitted by
employees, as well as reports and
records by the PHS physicians who
have reviewed the accommodation
requests. The system also contains labor
relations materials such as performance
improvement plans, reprimands,
suspensions of less than 14 days, leave
restrictions and related materials.

PO 00000

Frm 00020

Fmt 4701

Sfmt 4703

5 U.S.C. 301, 1302, 2951, 4118,
Reorganization Plan 6 of 1950, and the
Civil Service Reform Act of 1978. The
Rehabilitation Act and the Americans
with Disabilities Act.
PURPOSES(S):

To maintain a file for the use of
supervisor(s)/team leader(s) in
performing their responsibilities and to
support specific personnel actions
regarding employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES AND USERS AND
THE PURPOSE OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, the
following routine uses apply to this
system of records:
a. Selected information may be
disclosed at appropriate stages of
investigation and adjudication to the
Department’s Civil Rights Center, Merit
Systems Protection Board, Office of
Special Counsel, Federal Labor
Relations Authority, Equal Employment
Opportunity Commission, arbitrators, or
the courts for the purposes of satisfying
requirements related to investigation of
or litigation related to alleged
discrimination, prohibited personnel
practices, and unfair labor practices.
b. Records relating to a request for a
reasonable accommodation may be
referred to PHS or other physicians for
their review and evaluation of the
request.
c. Data may be disclosed to medical
providers for the purpose of evaluating
sick leave absences based upon illness
or injury.
d. Information may be disclosed to
professional licensing organizations
such as those for attorneys, accountants,
and physicians for the purpose of
confirming the membership status of the
employee.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Records are maintained in electronic
and/or paper files.
RETRIEVABILITY:

Files are retrieved by name of
employee or other identifying
information.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used

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for electronically stored data, and
locked locations for paper files.
RETENTION AND DISPOSAL:

Records are maintained on current
employees. Review annually and
destroy superseded or obsolete
documents, or destroy file relating to an
employee within 1 year after separation
or transfer in accordance with General
Records Schedule 1 Item 18a.
SYSTEM MANAGER(S) AND ADDRESS:

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

public; statements by subject and fellow
employees; and other investigative
reports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

5 U.S.C. 301.

None.

PURPOSES(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:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Inquiries should be mailed to the
applicable System Manager.

None.

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the applicable System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendments should be
mailed to the applicable System
Manager
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from the individual,
supervisor(s)/team leader(s), agency
officials, medical providers, co-workers,
and professional licensing organizations
such as those for attorneys, accountants
and physicians.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

None.
DOL/CENTRAL–7
SYSTEM NAME:

DOL Employee Conduct
Investigations.

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

None.
SYSTEM LOCATION:

The offices of each component agency
within the U.S. Department of Labor,
including the National and Regional
offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of the Boards and their
Information Technology (IT) service
provider(s).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

Records contain information
assembled in case files pertaining to
appeals to the Boards with respect to
claims of employees for benefits under
various statutes and programs.

RETENTION AND DISPOSAL:

Records are maintained on current
employees. Review annually and
destroy superseded or obsolete
documents, or destroy file relating to an
employee within 1 year after separation
or transfer in accordance with General
Records Schedule 1 Item 18a.
The relevant agency head for the
applicable component agency within
the U.S. Department of Labor, 200
Constitution Ave. NW., Washington, DC
20210.
NOTIFICATION PROCEDURE:

Inquiries should be sent to the
applicable System Manger.
RECORD ACCESS PROCEDURES:

A petition for amendment should be
mailed to the applicable System
Manager.

Jkt 238001

DOL Appeals Management System
(AMS)

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

CATEGORIES OF RECORDS IN THE SYSTEM:

19:00 Apr 28, 2016

SYSTEM NAMES:

SAFEGUARDS:

A request for access shall be mailed
to the applicable System Manager.

VerDate Sep<11>2014

DOL/ADJBDS–1

Files are retrieved by name or case file
number.

RETRIEVABILITY:

Employee(s) against whom any
allegations of misconduct or violations
of law have been made.
Investigative report(s), sworn
affidavits, written statements, time and
attendance records, earnings and leave
statements, applications for leave,
notifications of personnel actions, travel
vouchers, performance appraisals,

ADJ—DOL Adjudicatory Boards Systems
of Records

Parties involved in appeals
proceedings before the Administrative
Review Board (ARB), Benefits Review
Board (BRB), and Employees’
Compensations Appeals Board (ECAB),
collectively referred to as the Boards.

Files are stored electronically and/or
on paper.

SYSTEM MANAGER(S) AND ADDRESS:

SECURITY CLASSIFICATION:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

interviews and other data gathered from
involved parties and organizations
which are associated with the case.

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

NOTIFICATION PROCEDURE:

25785

CONTESTING RECORD PROCEDURES:

RECORD SOURCE CATEGORIES:

Incident reports submitted by
employees or members of the general

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Fmt 4701

Sfmt 4703

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; The Privacy Act of 1974
(5 U.S.C. 552a); 30 U.S.C. 901–62
(1982); 33 U.S.C. 901–50 (1982); 42
U.S.C. 1651–54 (1982); 36 DC Code 501–
04 (1973); 5 U.S.C. 8171–73 (1982); 42
U.S.C. 1701–17 (1982); Surface
Transportation Assistance Act, 49
U.S.C. 31105; 29 CFR part 1978; 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(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(Supp. V 1981); 20 CFR part 627;
Workforce Innovation and Opportunity
Act, 29 U.S.C. 3101 et seq.; The
Workforce Investment Act of 1998, 29
U.S.C. 2801 et seq., Davis-Bacon Act, 40
U.S.C. 276a (1994); McNamara-O’Hara
Service Contract Act of 1965, as
amended; Migrant and Seasonal

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Agricultural Worker Protection Act, 29
U.S.C. 1813(b), 1853(b) (1988);
Longshore and Harbor Workers’
Compensation Act, 33 U.S.C. 907(j)
(1988); Walsh-Healey Public Contracts
Act, as amended, 41 U.S.C. 38; 41 CFR
part 50–203; Age Discrimination Act of
1975, 42 U.S.C. 6101–6107 (1988); Title
VI of the Civil Rights Act of 1964;
Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq.; 29
CFR part 6; 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.; 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. 7501–7507 (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; 5 U.S.C. 8101 et seq.
PURPOSE:

Records are maintained for use in
adjudication of appeals.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Disclosure outside the Department of
Labor may be made to federal courts.
The Boards decisions are sent to
commercial publishing companies for
publication, and are also placed on the
respective Board’s Internet Web site.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETRIEVABILITY:

CATEGORIES OF RECORDS IN THE SYSTEM:

Records are retrieved by the Boards’
docket number, Office of Administrative
Law Judges (OALJ) number, Office of
Workers’ Compensation Programs
(OWCP) number and claimant’s name.

Records include name, pay period,
hours worked, units accomplished by
PAS code for functions such as data
collection, quality assurance, training,
and other activities.

SAFEGUARDS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

RETENTION AND DISPOSAL:

The Board retains the case file until
it renders a decision on the appeal. The
case file is then returned to the
appropriate lower, adjudicatory entity
(e.g., the OWCP or OALJ). Copies of the
appeal 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:

Individuals requesting information
pertaining to them should send a
written and signed request to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access may be addressed
to the System Manager. The request
must be in writing and be signed by the
requester.

5 U.S.C. 301.
STU data is used in the development
of cost models for Bureau survey work.
Codes define program and sub-program
areas, work activities, and work
locations. The data is used to track
productivity and time usage.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

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

Files are retrieved by a data field,
such as name.

CONTESTING RECORD PROCEDURES:

SAFEGUARDS:

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

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.

RECORD SOURCE CATEGORIES:

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

RETENTION AND DISPOSAL:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Chief, Division of Business
Operations, Office of Field Operations,
Postal Square Building, 2 Massachusetts
Ave. NE., Washington, DC 20212.

None.
BLS—DOL Bureau of Labor Statistics
Systems of Records

SYSTEM MANAGER(S) AND ADDRESS:

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager. Provide the name and
dates of employment.

DOL/BLS–3
SYSTEM NAMES:

Staff Time Utilization System.

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

SECURITY CLASSIFICATION:

None.

None.

Records are retained by fiscal year, in
accordance with BLS Records Schedule
N1–257–86–4.

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

SYSTEM LOCATION:

CONTESTING RECORD PROCEDURES:

Bureau of Labor Statistics
Washington, DC 20212.

A petition for amendment should be
mailed to the System Manager.

STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD SOURCE CATEGORIES:

Files are stored electronically and/or
on paper.

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19:00 Apr 28, 2016

Jkt 238001

PO 00000

Regional Office (R.O.) BLS employees.

Frm 00022

Fmt 4701

Sfmt 4703

Employee information contained in
this system is obtained from the

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credit card records, cardkey security
records, print and duplication records,
and emergency contact records.

Department of Labor Human Resources
system (HR Connect). Regional Office
employees self-report, electronically
entering time worked into the ‘‘Staff
Time and Utilization System’’ each pay
period.

for electronically stored data and locked
locations for paper files. Network
passwords are necessary to access
records. Access levels are created within
automated systems to restrict
unauthorized access to system utilities.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETENTION AND DISPOSAL:

PURPOSE(S):

Records are retained for 5 years or
when superseded or obsolete,
whichever is sooner, in accordance with
BLS Records Schedule N1–257–88–1.

To record and track routine
administrative data, maintain security,
manage the facility, plan expenditures,
maintain an employee locator system,
and maintain emergency contact
information.

None.
DOL/BLS–8
SYSTEM NAMES:

SYSTEM MANAGER(S) AND ADDRESS:

Automated Training Request
Application (ATRA).

Chief, Workforce Development and
Training Branch, Division of Human
Resources and Organization
Management, Postal Square Building, 2
Massachusetts Ave. NE., Washington,
DC 20212.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Bureau of Labor Statistics, National
Office.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

BLS employees who take training.
CATEGORIES OF RECORDS IN THE SYSTEM:

Employee name, employee
organization, course taken, course start
date, course end date, total hours for
course, course completion date, and
course fee.
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 managers and employees to track
courses taken by employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Information contained in this system
is obtained from applications for
employees, training forms such as SF–
182, certificates of course completion,
BLS routine administrative files, or
other application forms BLS may
designate.

Files are retrieved by individual’s
name, Social Security Number, or other
information in the system.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DOL/BLS–9

Access by authorized personnel only.
Computer security safeguards are used

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19:00 Apr 28, 2016

Jkt 238001

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

BLS employees, BLS contractors, and
visitors to the Postal Square Building.
CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

Several groups of records exist: ID
card records, employee location records,
separations database records, Postal
Square Building Visitor system records,
Postal Square Building Phone system
records, facility service requests records,
transit subsidy records, government

PO 00000

Frm 00023

SAFEGUARDS:

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

None.

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

Files are retrieved by course title,
course number, name of employee
attending course, or other identifying
codes.

None.

Files are stored electronically and/or
on paper.

SYSTEM LOCATION:

RETRIEVABILITY:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

STORAGE:

None.

Files are stored electronically and/or
on paper.

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

A petition for amendment should be
mailed to the System Manager.

SECURITY CLASSIFICATION:

STORAGE:

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

CONTESTING RECORD PROCEDURES:

Routine Administrative Files.

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

5 U.S.C. 301.

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

SYSTEM NAMES:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

A request for access should be mailed
to the System Manager.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

25787

Fmt 4701

Sfmt 4703

Records are retained one to four years,
in accordance with BLS Records
Schedule N1–257–88–1, BLS Records
Schedule N1–257–06–2, and the
National Archives and Records
Administration (NARA) General
Records Schedule (GRS) 1–4, 6, 9, 11–
13, 18, and 20.
SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

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CONTESTING RECORD PROCEDURES:

SAFEGUARDS:

A petition for amendment should be
mailed to the System Manager.

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

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from the individual
requester, official documents, agency
officials, and other federal agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETENTION AND DISPOSAL:

Records are retained for five years, in
accordance with BLS Records Schedule
N1–257–88–1.
SYSTEM MANAGER(S) AND ADDRESS:

None.

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

DOL/BLS–10
SYSTEM NAMES:

Commissioner’s Correspondence
Control System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

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

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.

CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from correspondence
received in the Commissioner’s Office.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

Files are retrieved by name, control
number, office assigned response, dates.

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

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

Records are reviewed at the beginning
of each fiscal year, and inactive IDs from
the previous year are deleted.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Technology
Measurement and Strategic Initiatives,
Postal Square Building, 2 Massachusetts
Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the
System Manager.

SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

None.

CONTESTING RECORD PROCEDURES:

SYSTEM LOCATION:

Offices of the Bureau of Labor
Statistics (BLS) in Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from BLS mainframe users.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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

DOL/BLS–13

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

National Longitudinal Survey of
Youth 1979 (NLSY79) Database.

5 U.S.C. 301.

RETRIEVABILITY:

SAFEGUARDS:

SYSTEM NAMES:

STORAGE:

Files are stored electronically and/or
on paper.

Files are stored electronically and/or
on paper.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

None.

STORAGE:

DOL/BLS–11

BLS employees, BLS contractors, state
agencies employees.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are retrieved by any of the fields
listed in the Categories of Records in the
System Section.

Mainframe User ID Database.

To record the receipt of
correspondence, monitor the handling
of correspondence, and facilitate a
timely response to correspondence.

None.

RETRIEVABILITY:

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

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Inquiries should be mailed to the
System Manager.
A request for access should be mailed
to the System Manager.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

Bureau of Labor Statistics,
Washington, DC 20212.

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

SECURITY CLASSIFICATION:

PURPOSE(S):

To assign and maintain ID numbers,
mainframe computer uses, locate
mainframe users, and run an accounting
program.

PO 00000

Frm 00024

SYSTEM NAMES:

Fmt 4701

Sfmt 4703

None.
SYSTEM LOCATION:

Maintained at the offices of a Bureau
of Labor Statistics (BLS) contractor and

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
BLS offices in Washington, DC and
Chicago, IL.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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,
economically disadvantaged whites, and
persons serving in the military.
Records include, but are not limited
to, name, social security number,
control number, marital history,
education, job history, unemployment
history, military service, training
history, family planning, child health
history, alcohol use, drug use, reported
police contacts, anti-social behavior,
assets and income, school records,
Government assistance program
participation, childhood residence,
child development outcomes,
expectations, history of parent/child
relationship, time use, time spent on
child care and household chores,
immigration history, and Armed
Services Vocational Aptitude Battery
scores.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. Sec. 2.
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:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

STORAGE:

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

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

Records are retained permanently, in
accordance with BLS Records Schedule
N1–257–11–1.
SYSTEM MANAGER(S) AND ADDRESS:

Program Manager, NLS Youth 1979
Cohort Study, Office of Employment
and Unemployment Statistics, Room
4945, Postal Square Building, 2
Massachusetts Ave. NE., Washington,
DC 20212.
NOTIFICATION PROCEDURE:

PURPOSE(S):

BLS may release records to a
contractor 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, 12, 13, and 14
listed in the General Prefatory Statement
to this document are not applicable to
this system of records.

19:00 Apr 28, 2016

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

RETRIEVABILITY:

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate Sep<11>2014

None.

Jkt 238001

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals who have
participated in the survey.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/BLS–14

25789

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:

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

Biographic/personal information is
used by BLS to select participants for
studies. Test results and observations
are used by BLS to better understand the
behavioral and psychological processes
of individuals, as they reflect on the
accuracy of BLS information collections.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document
with the following limitations: The
Routine Uses listed at paragraphs 3, 4,
7, 8, 9, and 11 in the General Prefatory
Statement to this document are not
applicable to this system of records. The
records also may be disclosed where
required by law.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by respondent’s
name, study title or participant
identification 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:

SYSTEM NAMES:

BLS Behavioral Science Research
Laboratory Project Files.
SECURITY CLASSIFICATION:

Records are retained for one to three
years, in accordance with BLS Records
Schedule N1–257–09–02.
SYSTEM MANAGER(S) AND ADDRESS:

None.

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

SYSTEM LOCATION:

Bureau of Labor Statistics,
Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

NOTIFICATION PROCEDURE:

Individual respondents who
participate in studies.

Inquiries should be mailed to the
System Manager.

PO 00000

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RECORD ACCESS PROCEDURES:

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.

CONTESTING RECORD PROCEDURES:

Information contained in this system
is obtained from respondents.

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

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

BLS may release records to a
contractor 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, 11, 12, 13, and 14 listed
in the General Prefatory Statement to
this document are not applicable to this
system of records.

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

None.
DOL/BLS–17
SYSTEM NAMES:

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

None.
SYSTEM LOCATION:

Maintained at the offices of a Bureau
of Labor Statistics (BLS) contractor and
BLS offices in Washington, DC and
Chicago, IL.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

To serve a variety of policy-related
research interests concerning the
school-to-work transition and the labor
market problems of youth. Data are used
for studies such as (but not limited to):
diffusion of useful information on labor,
examination of employment and
training programs, understanding labor

19:00 Apr 28, 2016

Jkt 238001

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

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.

VerDate Sep<11>2014

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are retrieved by 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.
Records are retained permanently, in
accordance with BLS Records Schedule
N1–257–11–1.
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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

Frm 00026

Fmt 4701

Sfmt 4703

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals who have
participated in the survey.

None.
DOL/BLS–18
SYSTEM NAMES:

Postal Square Building Parking
Management Records.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Bureau of Labor Statistics (BLS),
Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

This system includes the following
information on all individuals assigned
or applying for parking privileges in the
Postal Square Building: Name of driver
and rider(s), office building and room
number, office telephone number,
employing agency home address
including city, State and zip code,
federal service computation date,
handicap certification, automobile
license numbers, make and year of car,
permit number (if assigned parking
privileges), category of assignments,
estimated times of arrival and departure,
and whether the applicant is in or out
of the zone of special consideration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

RETENTION AND DISPOSAL:

PO 00000

A petition for amendment should be
mailed to the System Manager.

PURPOSE(S):

The information is used by the BLS in
the administration of the Postal Square
Building vehicle parking and car pool
programs.
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, permit number office
telephone number and address of the
driver and rider, home address, will be

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
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, or their
supervisors in order to confirm
information provided on the
application.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by individual’s
name, permit number or other
information in the system.

RETRIEVABILITY:

Offices in the Bureau of Labor
Statistics (BLS), Washington, DC and in
each of the BLS Regional Offices.

Files are retrieved by name, email
address, telephone (including the
telephone number from which the
customer dials), or other identifying
information in the System.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals (customers) requesting
BLS information.
Information necessary to satisfy
customers’ requests and enhance service
to customers. Depending on the nature
of the request, may include (but is not
limited to) name, occupation,
organization name, mailing address,
telephone and fax numbers, information
requested, electronic mail addresses,
registration keys, and dates.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

SAFEGUARDS:

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

Records are retained for three months,
in accordance with the National
Archives and Records Administration
(NARA) General Records Schedule
(GRS) 11, Item 4a [http://
www.archives.gov/records-mgmt/grs/
grs11.html].
SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual requesters’
applications.
asabaliauskas on DSK3SPTVN1PROD with NOTICES

SYSTEM LOCATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

None.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

To enhance customer service by
improving the availability of BLS
information on automated systems, to
facilitate providing information about
BLS and its data products to customers
with corresponding interests, and to
allow BLS staff to better understand
who our customers are and what they’re
interested in. 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.
Maintaining electronic mail addresses
and provided organization name allows
BLS to proactively contact customer of
problems with data requests such as
‘run away queries’ ensuring fairer access
to all BLS data customers. Another
purpose is to inform customers of new
features, changes to existing features or
changes in the conditions of use of the
files.
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:

SYSTEM NAME:

Customer Information Files.
SECURITY CLASSIFICATION:

None.

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SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

Email addresses remain on mailing
lists until the customer requests removal
from the list, or when the email bounces
back. Other PII is deleted from the
database 90 days after the customer’s
last date of inquiry. Registration keys
expire after 366 days and associated
records are deleted unless a customer
registers again for another year.
SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

None.
DOL/BLS–19

25791

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 Enterprise Web
Systems, Postal Square Building, 2
Massachusetts Ave. NE., Washington,
DC 20212.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Managers.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Managers.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Managers.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from subject of the record.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/BLS–20
SYSTEM NAME:

Fellowship Applicants and Recipients
Files.
SECURITY CLASSIFICATION:

None.

STORAGE:

SYSTEM LOCATION:

Information is stored electronically
and/or on paper.

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

PO 00000

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

Records include the individual’s
name, 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:

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from applicants and award
recipients, references, the Education
Testing Service, educational institutions
supplying transcripts, review records,
and administrative data developed
during the selection process and/or
award tenure.

5 U.S.C. 301.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

PURPOSE(S):

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

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

SYSTEM NAME:

Data Sharing Agreements Database
(DSA).

SYSTEM LOCATION:

Offices of the Bureau of Labor
Statistics (BLS).

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:

Files are retrieved by name.
SAFEGUARDS:

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

asabaliauskas on DSK3SPTVN1PROD with NOTICES

DOL/BLS–21

None.

None.

Records are retained on a permanent
basis. Records are transferred to the
Federal Records Center when five (5)
years old. They are offered to National
Archives and Records Administration in
ten (10) year blocks, when the most
recent record is twenty (20) years old.
BLS Record schedule N1–257–09–02.

Applicants and recipients of BLS data
sharing agreements who are granted
access to non-public BLS data files.
Individuals may be federal employees or
private individuals designated as
‘‘agents’’ under the Confidential
Information Protection and Statistical
Efficiency Act (CIPSEA).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records include individuals’ names,
addresses, telephone numbers, email
addresses, organizational affiliation,
project title, and project description.
The records also include the name,
addresses, telephone numbers, and
email addresses of the signing official
for the agreement at the individual’s
organization.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

SYSTEM MANAGER(S) AND ADDRESS:

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

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PURPOSE(S):

To assure that appropriate records on
data sharing agreements are maintained
and are available for official use.

PO 00000

Frm 00028

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

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

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

Files are retrieved by individual’s
name.
SAFEGUARDS:

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

None.

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Fmt 4701

Sfmt 4703

RETENTION AND DISPOSAL:

Records are retained for 5 years after
agreement has become inactive (i.e.
expired), in accordance with BLS
Historical Records Schedule N1–257–
88–1.
SYSTEM MANAGER(S) AND ADDRESS:

Data Sharing Agreement Coordinator,
Division of Management Systems, Office
of Administration, Bureau of Labor
Statistics, Postal Square Building, 2
Massachusetts Avenue NE., Washington
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from applicants and
recipients of BLS data sharing
agreements who request and/or are
granted access to non-public BLS data
files.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
EBSA—DOL Employees Benefits Security
Administration Systems of Records
DOL/EBSA–1
SYSTEM NAME:

The Employee Retirement Income
Security Act of 1974 (ERISA) Filing and
Acceptance System 2—One Participant
Plans Filing a Form 5500SF.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Technology and Information
Services, U.S. Department of Labor,
Employee Benefits Security
Administration (EBSA), 200
Constitution Avenue NW., Washington,
DC 20210.
The EFAST2 servers are located at the
sites of contractors, who operate the
system on behalf of the Department of
Labor. Contractors own the system
hardware and communications and the
Department of Labor owns the custom
software and data.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Files are stored electronically and/or
on paper.

None.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/EBSA–2
SYSTEM NAME:

EBSA Correspondence Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Exemption Determinations,
Office of Regulations and
Interpretations, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Correspondents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Individuals who have filed a Form
5500SF and checked the one-participant
plan box in Part I item A of the form.

RETRIEVABILITY:

Files are retrieved by individual’s
name.

Records includes 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.
Medium sensitivity due to the
possibility of SSN provided with
correspondence, though not requested
by this Agency.

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Data includes all fields on the Form
5500SF and any included schedules or
attachments.

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

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

PURPOSE(S):

ERISA and provisions of the Internal
Revenue Code require certain employee
benefit plans to submit information
annually to the Federal Government
(EBSA, Internal Revenue Service (IRS),
and Pension Benefit Guaranty
Corporation (PBGC)) through the Form
5500 series. One-participant plan filers
are given the option to file Form 5500EZ
on hard copy directly to the IRS or they
may file electronically through EFAST2
using the Form 5500SF.
Note: This system of records is
maintained by the Department of Labor
for the benefit of the Internal Revenue
Service (IRS).
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, EFAST2
data is used for internal reporting by
EBSA and furnished to three other
Government Agencies: The Internal

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Jkt 238001

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

RETENTION AND DISPOSAL:

29 U.S.C. 1021 et seq.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Revenue Service (IRS), the Social
Security Administration (SSA), and
PBGC.
Consistent with DOL’s information
sharing mission, information stored in
EFAST2 may be shared with other DOL
components, as well as appropriate
Federal, State, local, tribal, foreign, or
international government agencies. This
sharing will only take place after it is
determined that the receiving
component or agency has a need to
know the information to carry out
functions consistent with the routine
uses set forth in this system of records
notice. The IRS uses one-participant
Form 5500–SF data to administer
requirements of I.R.C. 6058(a) and
6059(a).

25793

The EFAST2 Record Schedule (N1–
317–11–1) was approved by National
Archives and Records Administration
on May 10, 2011. All records will be
maintained in accordance with the
approved schedule.
SYSTEM MANAGER(S) AND ADDRESS:

EFAST2 Program Manager, Office of
Technology and Information Services,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from one participant filers
who file a Form 5500SF electronically.

Frm 00029

Fmt 4701

Sfmt 4703

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.

NOTIFICATION PROCEDURE:

PO 00000

29 U.S.C., 1134 and 1136.

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

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

Files are retrieved by an individual
name or control number.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

for electronically stored data and locked
locations for paper files.
RETENTION AND DISPOSAL:

In accordance with the Record
Schedule (N1–317–02–2), 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, Office of Exemption
Determinations, Director, Office of
Regulations and Interpretations
Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

Correspondents and callers requesting
information from the EBSA Public
Disclosure Room.
CATEGORIES OF RECORDS IN THE SYSTEM:

Written and telephone inquiries from
employee benefit plan participants, plan
professionals and congressional offices
regarding all aspects of pension and
welfare benefit plans and records which
provide the status of individuals under
these plans. System also contains
referrals from the Department of Health
and Human Services (HHS) and state
agencies related to health care benefit
plans. Medium sensitivity due to the
possibility of the record containing
social security numbers, personal
financial data or personal medical
information. Includes names, addresses
and other contact information.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134 and 1136.

NOTIFICATION PROCEDURE:

PURPOSE(S):

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from correspondence from
individuals and responses thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/EBSA–3
SYSTEM NAME:

Technical Assistance and Inquiries
System.
SECURITY CLASSIFICATION:

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Electronic information is housed in
Office of Technology and Information
Services, U.S. Department of Labor,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210.
Ancillary hard copy records such as
incoming/outgoing correspondence are
housed in the regional or district office
that handled the inquiry.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Correspondents and callers requesting
information and assistance;

19:00 Apr 28, 2016

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; or to the referring component
within HHS or referring state agency in
order to report on the status or final
disposition of the referral. Information
disclosed will be provided periodically
via electronic reports.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM LOCATION:

VerDate Sep<11>2014

These records are used to take action
on or respond to inquiries from
Members of Congress and private
citizens or referrals from the HHS or
state insurance agencies.

Jkt 238001

None.

SAFEGUARDS:

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

Manual records are maintained for
one year after closing the file, then
destroyed. Computer files are
maintained for the same period as the
manual records or are kept indefinitely
in the database and deleted when no
longer needed, whichever is later,
pursuant to General Records Schedule
14 (Information Services).
SYSTEM MANAGER(S) AND ADDRESS:

In the National office: Director, Office
of Outreach, Education, and Assistance,
Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210. In the Regional
offices: Regional Director. In the District
Offices: District Supervisor.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Individuals or Members of Congress
seeking technical assistance,
information, or referrals from HHS or
state agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Records or portions of records
containing personally identifiable
information for individuals other than
the subject of the file shall be exempt
from disclosure under the Privacy Act.
Records or portions of records
comprising information that is exempt
from disclosure under Specific
Exemption (k)(2) or Subsection (d)(5).
DOL/EBSA–4

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

SYSTEM NAME:

Public Disclosure Request Tracking
System.

Files are stored electronically and/or
on paper.

SECURITY CLASSIFICATION:

RETRIEVABILITY:

SYSTEM LOCATION:

Files are retrieved by name of
individual, telephone number, email
address, company, Employer
Identification Number, or HHS or state
agency referral number.

U.S. Department of Labor, Employee
Benefits Security Administration
(EBSA), Public Disclosure Room, U.S.
Department of Labor, Washington, DC
20210.

PO 00000

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who request documents.

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.

determination of collection status and
assignment of delinquent debts to
Treasury and private collection
agencies.

CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

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.

A request for access should be mailed
to the System Manager.

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

CONTESTING RECORD PROCEDURES:

Relevant records may be disclosed to
Treasury or private collection agencies
in order for them to collect debts subject
to this program.

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals requesting
documents from the Public Disclosure
Room.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

29 U.S.C. 1021 et seq.

None.

PURPOSE(S):

These records are used by authorized
EBSA disclosure personnel to process
requests made to the Public Disclosure
Room and by EBSA 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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records may be disclosed for
delinquent accounts.

DOL/EBSA–5

STORAGE:

SYSTEM NAME:

Files are stored electronically and/or
on paper.

EBSA Debt Management System.

RETRIEVABILITY:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Program Planning,
Evaluation and Management, and Office
of Technology and Information Services,
U.S. Department of Labor, Employee
Benefits Security Administration, 200
Constitution Avenue NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Debt Collection/Management data is
retrieved by the EBSA-assigned case
number and cross-reference debtor
taxpayer identification number or
company EIN.
SAFEGUARDS:

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

In accordance with Records Schedule
N1–317–92–1, records are retained for
two years after the case is closed or until
expiration of applicable statute of
limitations, whichever occurs earlier.

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

Individuals and/or companies who
have been assessed fines or penalties
under provisions of ERISA sections
502(c)(2), 502(i) and 502(l).

STORAGE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Files are stored electronically and/or
on paper.

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 and/or companies name,
street address, city, state, zip code,
telephone number, taxpayer
identification number or company EIN,
and transaction information (e.g.,
correspondence, penalty amount, debt
status, and payment records). Moderate
sensitivity due to storage of company/
personal identifiable data and financial
information.

SYSTEM MANAGER(S) AND ADDRESS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

A petition for amendment should be
mailed to the System Manager.

RETRIEVABILITY:

Files are retrieved by individual
name, control number or EIN/PN of
requested plan.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
RETENTION AND DISPOSAL:
asabaliauskas on DSK3SPTVN1PROD with NOTICES

25795

Records are retained in accordance
with General Records Schedule 14.

29 U.S.C. 1132, 31 U.S.C. 3711(a) and
29 CFR part 20.

SYSTEM MANAGER(S) AND ADDRESS:

Director of the Office of Outreach,
Education and Assistance, Employee
Benefits Security Division, 200
Constitution Avenue NW., Washington,
DC 20210.

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PURPOSE(S):

Records are used for maintaining an
ongoing Debt Collection/Management
Program requiring tracking and
accounting for assessed fines/penalties,

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Administrative Officer, Employee
Benefits Security Administration, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURE:

RECORD SOURCE CATEGORIES:

Investigators and auditors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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DOL/EBSA–6

RETRIEVABILITY:

SYSTEM NAME:

Files are retrieved by individual
employee name.

EBSA Consolidated Training Record.

SAFEGUARDS:
SECURITY CLASSIFICATION:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.

None.
SYSTEM LOCATION:

Office of Program Planning,
Evaluation and Management, Employee
Benefits Security Administration
(EBSA), 200 Constitution Avenue NW.,
Washington, DC 20210.

RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Employees of the Employee Benefits
Security Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records reflect educational
attainment levels (to include areas of
study), professional certifications, date
of accession to EBSA, in-house (EBSA)
technical training courses, Federal Law
Enforcement Training Center programs,
and Office of Personnel Management
classes completed by employees of the
Employee Benefits Security
Administration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
These records are used to identify
which employees have completed
certain courses, and the number of
employees awaiting training. This
information, in the aggregate, helps
project the number of courses to
schedule for succeeding years. The prior
formal education information is used to
respond to Congressional and other
inquiries regarding the educational
attainment level of our workforce.
Finally, a combination of the data
elements is used to identify employees
with specific educational backgrounds
and current skill levels who may be
considered as instructors for the several
agency-sponsored courses.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

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

Files are stored electronically.

19:00 Apr 28, 2016

EBSA Training Coordinator, Office of
Program Planning, Evaluation and
Management, EBSA, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

Jkt 238001

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134 and 1136.
PURPOSE(S):

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

PURPOSE(S):

VerDate Sep<11>2014

In accordance with General Records
Schedule 1, records are retained for 5
years or when no longer needed,
whichever is later.

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.

Individual employees, SF171s, or
resume(s) submitted at time of accession
to EBSA and individual training course
records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

This system of records is used to track
the progress of correspondence through
the Office of Enforcement, including a
record of action taken on or response to
an inquiry received from the general
public or others, and to access
investigative information related to field
office correspondence regarding
investigations instituted by the
Department of Labor (DOL) under the
Title I of the Employee Retirement
Security Act of 1974 (ERISA). The
investigative files are used in the
prosecution of violations of law,
whether civil, criminal or regulatory in
nature.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Office of Technology and Information
Services, U.S. Department of Labor,
Employee Benefits Security
Administration, (EBSA), 200
Constitution Avenue NW., Washington,
DC 20210.

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.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOL/EBSA–7
SYSTEM NAME:

Office of Enforcement
Correspondence Tracking System, DFO
CTS.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

None.

Correspondents, such as employee
benefit plan professionals, and other
individuals involved in investigations
and enforcement actions.

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

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

Information including plan name,
plan administrator’s name, service

Files are stored electronically and/or
on paper.

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RETRIEVABILITY:

Files are retrieved 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. Files are also retrieved
by case number and the plan’s employer
identification number (EIN).
SAFEGUARDS:

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

In accordance with the Records
Schedule, N9–317–00–02, records are
retained for seven years. The electronic
database files are deleted when no
longer needed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Enforcement, Employee
Benefits Security Administration, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURES:

Inquiries should be made to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be made
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
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
EBSA field offices.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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 EBSA’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

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

subsections (c)(3), (d)(1), (2), (3), and (4),
(e)(1), (e)(4)(G), (H), (I), and (f) of 5
U.S.C. 552a.
DOL/EBSA–8
SYSTEM NAMES:

EBSA Enforcement Management
System (electronic); EBSA Civil
Litigation Case Tracking System (paper);
EBSA Criminal Case Information
System (paper).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Technology and Information
Services, U.S. Department of Labor,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210;
Office of Enforcement, EBSA, U.S.
Department of Labor, 200 Constitution
Ave. NW., Washington, DC 20210, and
all EBSA 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:

Records tracked electronically
includes fields such as 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. Case notes are
entered to document case activity
during the investigative process.
In addition to an electronic database,
paper case files are generated for
enforcement activities, both civil and
criminal.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134 and 29 U.S.C. 1136.
PURPOSE(S):

This system of records is used to
access information related to case files
involving investigations instituted by
the Department of Labor (DOL) under
the Title I of the Employee Retirement
Security Act of 1974 (ERISA). The
investigative files are used in the
prosecution of violations of law,
whether civil or criminal in nature.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

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

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25797

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. Consistent with DOL’s
enforcement mission, records of
individuals debarred under 29 U.S.C.
1111 will be posted on EBSA’s Web site.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

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:

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

In accordance with the Records
Schedule, NCI–317–00–02, records are
retained for one year after case
completion by voluntary compliance or
litigation, or related actions following
voluntary compliance or litigation. After
one year, the case files are transferred to
the Federal Records Center for seven (7)
years and then destroyed. The electronic
database files are retained permanently.
SYSTEM MANAGER(S) AND ADDRESS:

In the national office: Director of
Enforcement, Employee Benefits
Security 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:

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The District Supervisor (as listed in the
Appendix A to this document).
NOTIFICATION PROCEDURES:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

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. Includes names and
addresses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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 EBSA field offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

29 U.S.C. 1108 and 29 U.S.C. 1135.
PURPOSE(S):

These records are maintained to
document the Department’s response to
petitioners’ requests for relief from the
section 502(l) penalties. Such penalties
are imposed upon those who are found
to have violated the fiduciary and
prohibited transaction provisions of Part
4 of Title I of ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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 EBSA’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), (H) and (I), and (f) of 5
U.S.C. 552a.

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

DOL/EBSA–9

Access to these records is limited to
authorized EBSA staff. Computer system
is password protected and accessible
only to personnel creating the database.

SYSTEM NAME:

Office of Exemption Determination
(OED) ERISA Section 502(l) Files; OED
Case Tracking System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF RECORDS IN THE SYSTEM:

Office of Exemption Determinations
and Office of Technology and
Information Services, Employee Benefits
Security Administration, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.

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

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

Files are retrieved by name of
requestor and/or control number using a
computerized index.
SAFEGUARDS:

RETENTION AND DISPOSAL:

In accordance with Records Schedule
Number N1–317–93–1, 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.

Individuals who have petitioned the
Secretary of Labor for relief from the
monetary penalties imposed under
ERISA Sec. 502(l).

Director, Office of Exemption
Determinations, Employee Benefits
Security Administration, U.S.
Department of Labor, 200 Constitution

Jkt 238001

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals requesting
a 502(l) exemption and the responses
thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/EBSA–10
SYSTEM NAME:

Form 5500EZ Filings.

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Frm 00034

None.
SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

19:00 Apr 28, 2016

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate Sep<11>2014

Avenue NW., Suite 400, Washington,
DC 20210.

Fmt 4701

Sfmt 4703

U.S. Department of Labor, Employee
Benefits Security Administration,
Attention: EFAST 3833 Greenway Drive,
Lawrence, KS 66046–1290.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who have filed a Form
5500EZ with the Department of Labor
prior to January 1, 2010.
CATEGORIES OF RECORDS IN THE SYSTEM:

Forms 5500EZ filed with the
Department of Labor prior to January 1,
2010.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

26 U.S.C. 6058(a); 29 U.S.C. 1134 and
1136.
PURPOSE(S):

To satisfy the reporting and disclosure
requirements mandated by the
Employee Retirement Income Security
Act of 1974, as amended, and the
Internal Revenue Code.
Note: This system of records is
maintained by the Department of Labor
for the benefit of the Internal Revenue
Service (IRS).
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Files are retrieved using any Form
5500–EZ field, including plan
administrator name, employer
identification number, plan number;
and plan year.

Individuals who file/sign Form 5500
and Form 5500–SF electronically, third
party software developers, and certain
Government staff.

SAFEGUARDS:

Records includes the individual filer’s
name, street address, city, state, zip
code, telephone number, fax number,
email address, company name,
password, user type, security challenge
questions and answers, User ID, and
PIN.

CATEGORIES 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.
RETENTION AND DISPOSAL:

The EFAST2 Record Schedule (N1–
317–11–1) was approved by National
Archives and Records Administration
on May 10, 2011. All records will be
maintained in accordance with the
approved schedule.
SYSTEM MANAGER(S) AND ADDRESS:

EFAST2 Program Manager, Office of
Technology and Information Services,
Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals filing Form
5500EZ filings.
DOL/EBSA–11
SYSTEM NAME:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Constitution Avenue NW., Washington,
DC 20210.
EFAST2 is located at the site of
contractors, who operate the system on
behalf of the Department of Labor.
Contractors own the system hardware
and communications and the
Department of Labor owns the custom
software and data.

ERISA Filing and Acceptance System
2 Internet Registration Database (IREG).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Technology and Information
Services, U.S. Department of Labor,
Employee Benefits Security
Administration (EBSA), 200

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Jkt 238001

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1021 et seq., 29 U.S.C. 1135.
PURPOSE(S):

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

Filing credentials are used by the
public to electronically file Form 5500
and/or Form 5500–SF through the
EFAST2 Web Portal. Filing credentials
are also used as electronic signatures on
Form 5500 and/or Form 5500–SF
filings. Filing credentials are tied to the
registration data to provide the
Government with contact information
(i.e., name, address and phone number)
for EFAST2 users. In addition to those
universal routine uses listed in the
General Prefatory Statement to this
document, the Government may use the
IREG information to contact signers/

Frm 00035

transmitters of EFAST2 filings, issue
official correspondence, and to provide
registrants with information from
EBSA’s compliance assistance
programs. DOL may also share the
contact information with other federal
agencies, if it 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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

The EFAST2 Record Schedule (N1–
317–11–1) was approved by National
Archives and Records Administration
on May 10, 2011. All records will be
maintained in accordance with the
approved schedule.
STORAGE:

The Internet registration (IREG)
application allows the public to
electronically register on the EFAST2
Web site and obtain electronic filing
credentials (User ID and PIN). These
credentials are required for accessing
restricted portions of the EFAST2 Web
site, signing the Form 5500 or Form
5500–SF, and issuing authenticated web
service requests to the EFAST2 system.
EFAST2 will use the registration
database to restrict Web site access,
authenticate web service requests,
validate filing signatures upon receipt of
each filing, and to facilitate official
correspondence and compliance
assistance outreach. The IREG Database
stores the electronic filing participant
credentials. The IREG Database is
populated by the IREG application.

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Fmt 4701

Sfmt 4703

Files are stored electronically.
RETRIEVABILITY:

Files are retrieved by searching IREG
Database by UserID, an individual’s
registration information (i.e., name,
address, phone number, etc.) can be
retrieved.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

The EFAST2 Record Schedule (N1–
317–11–1) was approved by National
Archives and Records Administration
on May 10, 2011. All records will be
maintained in accordance with the
approved schedule.
SYSTEM MANAGER(S) AND ADDRESS:

EFAST2 Program Manager, Office of
Technology and Information Services,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual filers, third
party software developers, and certain
government staff who register electronic
filing credentials through the EFAST2
Web site.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

Delinquent Filer Voluntary
Compliance Program (DFVC) Tracking
System; Delinquent Filer Voluntary
Compliance Program 99.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Technology and Information
Services, Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Fiduciaries who failed to comply with
plan administrator fiduciary
responsibilities; non-filers, stop filers
and late filers of ERISA annual reports
who voluntarily seek relief of reporting
penalties after filing appropriate annual
report(s).
CATEGORIES OF RECORDS IN THE SYSTEM:

Information including plan name,
plan administrator’s name, service
provider’s name, trustee’s name,
addresses and names of other
individuals involved in the DFVC
program. Information about individuals
may contain Personally Identifiable
Information (PII).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 1134 and 1136.

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

Files are stored electronically and/or
paper.

The Office of the Chief Accountant
(OCA) uses the application to track
records of participants of the EBSA
Delinquent Filer Voluntary Compliance
Program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, records of
plans that participate in the DFVC
program help to avoid opening
investigations by the OCA for violations
that would otherwise be subject to more
strict penalties.

19:00 Apr 28, 2016

Files are retrieved using a relational
database and Form 5500 plan identifiers
such as plan name, plan number, city,
state and unique case ID.

Jkt 238001

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

In accordance with Records Schedule
N1–317–92–1, manual records are
maintained in the Office of the Chief
Accountant for up to two years after
case closure, then transferred to the
Federal Records Center for retention for
an additional six 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, Office of the Chief
Accountant, U.S. Department of Labor,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

Information contained in this System
is obtained from submissions of filings
by Plan Administrators and Plan
Sponsors under the EBSA DFVC
Program.
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 EBSA’s Office
of Enforcement or its field offices is
exempt from subsections I(3) and (4),
(d), (e)(1), (2), and (3), (e)(4)(G), (H), and

Frm 00036

DOL/EBSA–13
SYSTEM NAME:

OCA Case Tracking System.

Fmt 4701

Sfmt 4703

None.
SYSTEM LOCATION:

Office of Technology and Information
Services, Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Fiduciaries who fail to comply with
plan administrator fiduciary
responsibilities, or those fiduciaries
who are engaged in activities prohibited
by ERISA; non-filers, stop filers, late
filers, and deficient filers of ERISA
annual reports.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records include paper files which
may contain Personally Identifiable
Information (PII) and electronic files
which may contain PII. The electronic
files contain only plan administrator
information. Information stored
includes plan name, plan
administrator’s name, service provider’s
name, trustee’s name, addresses and
names of other individuals involved in
investigations and enforcement actions.
There are also case notes to document
case activity during the investigative
process.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 1134 and 1136.

RECORD SOURCE CATEGORIES:

PO 00000

(I), (e)(5) and (8), (f), and (g) of 5 U.S.C.
552a.b.
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
subsection (c)(3), (d)(1), (2), (3), and (4),
(e)(1), (e)(4)(G), (H), and (I), and (f) of 5
U.S.C. 552a.

SECURITY CLASSIFICATION:

SAFEGUARDS:

A petition for amendment should be
mailed to the System Manager.

PURPOSE(S):

asabaliauskas on DSK3SPTVN1PROD with NOTICES

None.

RETRIEVABILITY:

DOL/EBSA–12

VerDate Sep<11>2014

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

PURPOSE(S):

The Office of the Chief Accountant
(OCA) uses the OCATS application to
monitor enforcement actions against
fiduciaries who fail to comply with plan
administrator fiduciary responsibilities,
or those fiduciaries who are engaged in
activities prohibited by ERISA. On
average 3500 to 5000 cases per year are
generated requiring OCA intervention.
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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
Statement to this document, pursuant to
29 U.S.C. 1134, a record from this
system of records may be disclosed,
subject to the restrictions imposed by
various statutes and rules, such as the
Privacy Act, to a department or agency
of the United States, or to any person
actually affected by any matter which
may be the subject of the investigation;
except that any information obtained by
the Secretary of Labor pursuant to
section 6103 of Title 26 shall be made
available only in accordance with
regulations prescribed by the Secretary
of the Treasury.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by using a
relational database and Form 5500 plan
identifiers such as plan name, plan
number, city, state and unique case ID.
SAFEGUARDS:

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

In accordance with Records Schedule
N1–317–92–1, manual records are
maintained in the Office of the Chief
Accountant for up to two years after
case closure, then electronically imaged
to the OCATs database for retention for
an additional six 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, Office of the Chief
Accountant, U.S. Department of Labor,
Employee Benefits Security
Administration, 200 Constitution
Avenue NW., Washington, DC 20210.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Investigations and computer targeting
searches of previous Forms 5500 filings
performed by the OCA of existing plan
filings to determine status of non-filers,
deficient filers, late and stop filers of
required information returns for
employee benefit plans. Ancillary
sources within the EBSA include
investigations by the Office of
Enforcement and EBSA 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 EBSA’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.

Office of Health Plans Standards and
Compliance Assistance (OHPSCA) Case
Tracking System.

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

RETRIEVABILITY:

Office of Technology and Information
Services, Employee Benefits Security
Administration, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

Files are retrieved via a relational
database, using the fields listed under
categories of records that are captured
from inquiries made and
correspondence issued to the Agency.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

Records include requestor’s name,
address, telephone number, as well as
plan administrator contact information
and associated case notes encompassing
compliance assistance requests as well
as enforcement activities.

Jkt 238001

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.

SYSTEM LOCATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

19:00 Apr 28, 2016

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

Files are stored electronically and/or
on paper.

None.

A request for access should be mailed
to the System Manager.

VerDate Sep<11>2014

The system tracks inquiries from
participants and group health plans for
compliance assistance and technical
assistance on HIPAA, ERISA and other
laws and regulations. The system also
tracks enforcement cases against group
health plans and multi-employer
welfare arrangements.

STORAGE:

SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

PURPOSE(S):

None.

SYSTEM NAME:

Inquiries should be mailed to the
System Manager.

CONTESTING RECORD PROCEDURES:

29 U.S.C. 1134 and 29 U.S.C. 1136.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOL/EBSA–14

Health benefits plan administrators,
sponsors and health plan participants
who request information and assistance
on HIPAA, ERISA and other laws
affecting group health plans, as well as
enforcement of HIPAA and ERISA with
respect to group health plans and multiemployer welfare arrangements.

NOTIFICATION PROCEDURE:
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RECORD SOURCE CATEGORIES:

25801

PO 00000

Frm 00037

Fmt 4701

Sfmt 4703

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

In accordance with Records Schedule
Number N1–317–93–1, manual records
are maintained in the Office of Health
Plan Standards and Compliance
Assistance 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.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Health Plan
Standards and Compliance Assistance,
U.S. Department of Labor, Employee
Benefits Security Administration, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

name, relating to contracts and
arrangements between plans and service
providers.

RETENTION AND DISPOSAL:
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1104, 29 U.S.C. 1108, and
29 U.S.C. 1134–1136.
PURPOSE(S):

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access to records should
be mailed to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from plan participants,
group health plan administrators and
state insurance commissioners.
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 EBSA’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),(H), and (I), and (f) of 5
U.S.C. 552a.

This system of records maintains
information related to the notice
responsible plan fiduciaries submit, as a
condition of the class exemption under
29 U.S.C. 2550.408b–2(c)(1)(ix),
regarding service providers who have
failed to make disclosures as required
under 29 U.S.C. 2550.408b–2(c). The
Office of Enforcement and EBSA field
offices will use the information to carry
out their enforcement responsibilities
under Title I of the Employee
Retirement Income Security Act of 1974
(ERISA), including the fee and expense
disclosure requirements of 29 U.S.C.
2550.408b–2(c) and 29 U.S.C.
2550.404a–5.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, records in
this system may be disclosed, subject to
the restrictions imposed by various
statutes or rules, such as the Privacy
Act, to any department or agency of the
United States; except that any
information obtained by the Secretary of
Labor pursuant to section 6103 of Title
26 shall be made available only in
accordance with regulations prescribed
by the Secretary of the Treasury.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

DOL/EBSA–15

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

SYSTEM NAME:

Fee Disclosure Failure Notice
Database.

STORAGE:

SECURITY CLASSIFICATION:

Files are stored electronically and/or
paper.

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

SYSTEM LOCATION:

Office of Enforcement, EBSA, U.S.
Department of Labor, 200 Constitution
Ave. NW., Washington, DC 20210, and
all EBSA field offices as listed in
Appendix A to this document.

RETRIEVABILITY:

Responsible plan fiduciaries and
covered service providers.

Files are retrieved from the electronic
database by the name of the plan, name
of the responsible plan fiduciary,
service provider name, or the name of
a contact person for the plan or service
provider. Records are also retrieved by
the plan number, the plan sponsor’s
employer identification number (EIN),
or the covered service provider’s EIN.

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

Records include plan name,
fiduciary’s name, and service provider’s

Access by authorized personnel only.
Computer security safeguards are used

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

for electronically stored data and locked
locations for paper files.

PO 00000

Frm 00038

Fmt 4701

Sfmt 4703

In accordance with Records Schedule
Number N1–317–92–1, records are
retained by the Office of Enforcement
for one year after receipt or completion
by voluntary compliance or litigation or
subsequent related actions, whichever is
later, and then transferred to the Federal
Records Center and kept for seven (7)
years and then destroyed. Electronic
database files are retained for the same
period as manual files.
SYSTEM MANAGER(S) AND ADDRESS:

In the National Office: The Director of
Enforcement, Employee Benefits
Security Administration, US
Department of Labor, 1200 Constitution
Avenue NW., Washington, DC 20210.
In the Regional offices: The Regional
Director.
In the District offices: The District
Supervisor.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from plan fiduciaries,
investigators, and other appropriate
Office of Enforcement or EBSA field
office staff.
SYSTEMS EXEMPTED FROM CERTAIN CATEGORIES:

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 this system of
records 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),
and (e)(1) and (4)(G), (H), and (I) and (f)
of 5 U.S.C. 552a.

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EEOICP—DOL Ombudsman for the
Energy Employees Occupational Illness
Compensation Program Systems of
Records
DOL/OMBUDSMAN–1
SYSTEM NAME:

Office of the Ombudsman for the
Energy Employees Occupational Illness
Compensation Program Act (EEOICPA)
File.
SECURITY CLASSIFICATION:

Most files and data are unclassified.
Files and data in certain cases may have
Top Secret classification and the rules
concerning their maintenance and
disclosure are determined by the agency
that has given the information the
security classification of Top Secret.
SYSTEM LOCATION:

U.S. Department of Labor, Office of
the Ombudsman for the Energy
Employees Occupational Illness
Compensation Program Act, Frances
Perkins Building, 200 Constitution
Avenue NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals or their survivors who are
seeking benefits under the Energy
Employees Occupational Illness
Compensation Program Act (EEOICPA).
These individuals include, but are not
limited to, employees or survivors of
employees of Department of Energy
contractors and subcontractors, and
certain uranium workers or survivors of
those workers as described under
Section 5 of the Radiation Employees
Compensation Act (RECA).

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the
following kinds of records:
Correspondence between the Office of
the Ombudsman and claimants,
potential claimants, and/or survivors of
such individuals or correspondence
between the Office of the Ombudsman
and the program agency regarding those
individuals’ EEOICPA claims; logs
recording and detailing communications
between claimants, potential claimants,
and/or survivors of such individuals
and the Office of the Ombudsman; 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 United States
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

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

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 or complaint.
The system may also contain
information relating to dates of birth,
marriage, divorce, and death; notes
(written or typed in email or other
correspondence) of telephone
conversations conducted in connection
with the claim or complaint;
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) that the
employee and/or survivor may be
entitled to, including previously filed
claims; and information received from
various investigative agencies
concerning possible violations of civil
or criminal laws.
The system may also contain
consumer credit reports on individuals
indebted to the United States including
information relating to the debtor’s
assets, liabilities, income and expenses,
personal financial statements,
correspondence to and from the debtor,
and information relating to the location
of the debtor. In addition, the system
may contain 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 of
2000, Title XXXVI of Public Law 106–
398, as amended by Public Law 108–
375, 3161 (October 28, 2004), 42 U.S.C.
7385s–15.
PURPOSE(S):

To fulfill the duties of the
Ombudsman under the EEOICPA as
specified by Congress. The EEOICPA
establishes a program for compensating
certain individuals for covered illnesses
related to exposure to toxic substances.
These records are necessary to provide
information to the public regarding the
benefits available under the EEOICPA
and the procedures attendant to those
benefits, as well as to prepare the
Congressionally-mandated Report to

PO 00000

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Fmt 4701

Sfmt 4703

25803

Congress detailing the complaints and
concerns received in the Office of the
Ombudsman concerning that program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, the
Ombudsman may disclose relevant and
necessary information to the
Department of Labor’s Office of
Workers’ Compensation Program
(OWCP); the Department of Health and
Human Services’ National Institute for
Occupational Safety and Health
(NIOSH); and/or the Department of
Energy’s Office of Health and Safety in
order for the Ombudsman to respond to
inquiries made by claimants, potential
claimants, and/or survivors of such
individuals regarding those individuals’
EEOICPA claims, to the extent necessary
to identify the individual and inform
the source of the purpose(s) of the
request.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status and history of
overdue debts; the name and address,
taxpayer identification (SSN), and other
information necessary to establish the
identity of a debtor; and 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:

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

By name, employer, contractor, date,
or nature of injury.
SAFEGUARDS:

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

All case files and automated data
pertaining to a claim are destroyed 15
years after the case file has become
inactive. Paper records that have been
scanned to create electronic records are

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destroyed after the electronic records
are verified. Automated data is retained
in its most current form only, and as
information is updated, outdated
information is deleted. Electronic
records are destroyed six years and
three months after creation or receipt.
SYSTEM MANAGER(S) AND ADDRESS:

Ombudsman, Energy Employees
Occupational Illness Compensation
Program Act, 200 Constitution Avenue
NW., Suite N–2454, Washington, DC
20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them may write or
telephone the Office of the Ombudsman.
In order for the record to be located, the
individual must provide his or her full
name, claim number (if known), and
date of injury (if known).

ETA—DOL Employment and Training
Administration Systems of Records

RECORD ACCESS PROCEDURES:

Any individual seeking access to nonexempt information about a claim in
which he/she is a party in interest may
write or telephone the Office of the
Ombudsman.
CONTESTING RECORD PROCEDURES:

Any individual requesting
amendment of non-exempt records
should contact the Office of the
Ombudsman. Individuals requesting
amendment of records must comply
with the Department’s Privacy Act
regulations at 29 CFR 71.1 and 71.9.

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),

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19:00 Apr 28, 2016

Jkt 238001

Files are retrieved by region, budget
position number, and name of
employee.
SAFEGUARDS:

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

Records are retained indefinitely for
employment reference requests on
former employees.
SYSTEM MANAGER(S) AND ADDRESS:

DOL/ETA–1
SYSTEM NAME:

NOTIFICATION PROCEDURE:

Office of Apprenticeship, Budget and
Position Control File.

Inquiries should be mailed to the
System Manager.

SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

None.

A request for access should be mailed
to the System Manager.

SYSTEM LOCATION:

Employment and Training
Administration (ETA), Office of
Apprenticeship, Room N–5311, Frances
Perkins Building, 200 Constitution
Avenue NW., Washington, DC 20210.

Federal employees currently
employed by OA.

Claimants who are the subject of the
record and their family members;
employers; current and former Federal
contractors and subcontractors and their
family members; 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; EEOICPA
investigations; consumer credit reports;
investigative reports; correspondence
with the debtor including personal
financial statements; records relating to
hearings on the debt; and other
Department systems of records.

RETRIEVABILITY:

Administrator, Office of
Apprenticeship, Room N–5311,
Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Avenue NW.,
Washington DC 20210.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD SOURCE CATEGORIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

(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.

CATEGORIES OF RECORDS IN THE SYSTEM:

Personal records concerning grades
and salaries.
AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:

5 U.S.C. 301.
For ready access in preparing
management reports as required by
ETA, and controlling OA FTE Ceiling
(Full Time Equivalent) employment.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

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

None.

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from personal records,
including SF-Form 50.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–4
SYSTEM NAME:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Employment and Training
Administration (ETA), Office of
Apprenticeship, Room N–5311, Frances
Perkins Building, 200 Constitution
Avenue NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Apprentices/Trainees.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

Files are stored electronically and/or
paper.

Frm 00040

A petition for amendment should be
mailed to the System Manager.

Registered Apprenticeship Partners
Information Data System (RAPIDS).

PURPOSE(S):

PO 00000

CONTESTING RECORD PROCEDURE:

Fmt 4701

Sfmt 4703

The categories of records include the
following identifying information on
apprentices/trainees: Social Security
number, program number, State Code,
O*NET/RAPIDS Occupation Code, Job
Title, name, birth date, sex, ethnic code,

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Veteran code, registration date, previous
experience date, and expected
completion date.

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD ACCESS PROCEDURES:

The National Apprenticeship Act,
also referred to as the Fitzgerald Act, 29
U.S.C. 50.

A request for access should be mailed
to the System Manager.

PURPOSE(S):

RECORD SOURCE CATEGORIES:

Apprentice/trainee and also Program
Sponsor.

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

Statistical records may be disclosed to
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 (SAAs) and
other State/Federal agencies concerned
with apprenticeship/training needs; to
research and community organizations
such as the Urban League to utilize
apprenticeship information in research.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Records are retrieved by the social
security number of the apprentice/
trainee by program type. However, data
files are provided to researchers that
have been cleaned of PII.
SAFEGUARDS:

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

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RETENTION AND DISPOSAL:

Paper files retain for five years and
then destroy. Inactive programs are
stored indefinitely using routine IT
protocols. Inactive and completed
apprentices are stored indefinitely using
routine IT protocols.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of
Apprenticeship, Room N–5311,
Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Avenue NW.,
Washington, DC 20210.

19:00 Apr 28, 2016

Jkt 238001

CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.

Records of individual apprentice/
trainee and apprenticeship/trainee
program sponsors are used for the
operation and management of the
apprenticeship system of training.

VerDate Sep<11>2014

Inquiries should be mailed to the
System Manager.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–7

Foreign Labor Certification System
and Employer Application Case Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Employment and Training
Administration (ETA), Office of Foreign
Labor Certifications, Frances Perkins
Building, 200 Constitution Avenue NW.,
Washington, DC 20210; National
Processing Centers in Atlanta, Georgia;
Chicago, Illinois; and National
Prevailing Wage Center in Washington,
DC, and contractor offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employers who file labor certification
applications, or labor condition
applications for permanent or temporary
employment of foreign workers;
employers who file requests for
prevailing wage determinations that
may support an application for
temporary and permanent labor
certification; agents and foreign labor
recruiters whom employers may engage
in the recruitment of prospective H–2B
workers with regard to labor
certification applications filed in the H–
2B temporary employment program and
all persons or entities hired by or
working for such recruiters or agents
and any agents or employees of those
persons or entities. The foreign worker
is identified on Applications for
Permanent Employment Certification,
they are not identified nor listed on
Applications for Temporary
Employment Certification, Prevailing
Wage Determination, nor Labor
Condition Applications.
CATEGORIES OF RECORDS IN THE SYSTEM:

Employers’ names, addresses, type
and size of businesses to include annual

Frm 00041

gross revenue and proof of insurance
coverage, 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, employer provided source
wage documents and surveys, names of
agents and recruiters whom employers
may engage in the recruitment of
prospective H–2B workers, as well as
the identity and location of all persons
or entities hired by or working for such
recruiters or agents, and any of the
agents or employees of those persons
and entities, engaged in recruitment of
prospective workers for the H–2B job
opportunities offered by the employer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM NAME:

PO 00000

25805

Fmt 4701

Sfmt 4703

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 Public Law 101–649. 8 CFR
214.2(h). 20 CFR 655 Subpart A. 20 CFR
655.9.
PURPOSE(S):

To maintain a record of applicants
and actions taken by ETA on requests to
employ foreign workers and requests for
prevailing wage determinations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

1. Case files developed in processing
labor certification applications, labor
condition applications, and prevailing
wage determination, are released to the
employers which filed such
applications and their representatives;
to review ETA actions in connection
with appeals of denials or other wagerelated final determinations before the
Office of Administrative Law Judges
(OALJ) or Federal Courts; to
participating agencies such as the DOL
Office of Inspector General, DOL Wage
and Hour Division, Department of
Homeland Security, United States
Citizenship and Immigration Services,
and Department of State in connection
with administering and enforcing
related immigration laws and
regulations. Records may also be
released to named alien beneficiaries or
their representatives, and third party
requests under the under the Freedom
of Information Act.
2. The Department will maintain a
publicly available list of agents and
recruiters whom employers have
reported to the Department that they
engage or plan to engage in the
recruitment of prospective H–2B
workers, as well as the identity and

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location of all persons or entities hired
by or working for such recruiters or
agents, and any of the agents or
employees of those persons and entities,
including the locations in which these
entities operate as they engage in
recruitment of prospective workers for
H–2B job opportunities offered by the
employer. This list will be maintained
online, and will be used for the same
purposes as stated in #1 above and may
also be used by the public, including
current or prospective H–2B workers or
their representatives, to assist in the
effective use of the H–2B temporary
labor certification program.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by case number
and employer name and in limited
instances by the named beneficiary. In
the case of labor certification
applications in the H–2B program, files
may be retrieved by name, including the
name of the employer, agent, recruiter,
or other entity involved in the
recruitment of prospective H–2B
workers as provided to the Department
by the employer; and by country where
recruitment activity may occur.
SAFEGUARDS:

Access by authorized personnel.
Computer security safeguards are used
for electronically stored data and
scanned images; and paper files are
maintained in secured locations.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RETENTION AND DISPOSAL:

FLC Case Files are retained for a
period of 5 years after close in
accordance with Records Schedule
Number DAA–0369–2013–0002. Paper
files are retained on-site at national
processing centers for six months from
the date of final determination. OFLC
will continuously scan or convert paper
records into OFLC Archive and Scan
database(s). Paper copies of employer
applications that are scanned will be
destroyed once converted to an
electronic medium and verified, or
when no longer needed for legal or audit
purposes in accordance with the records
schedule. Paper copies of case files that
are not scanned are retained on-site for
six months after close, then transferred
to Federal Records Center for duration
of 5 year retention period.

19:00 Apr 28, 2016

Jkt 238001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Administrator, Office of Foreign Labor
Certifications, ETA, 200 Constitution
Avenue NW., Room C–4312,
Washington, DC 20210.

Subtitle C of Title I of the Workforce
Investment Act of 1998, 29 U.S.C. 2882
et seq.; Subtitle C of Title I of the
Workforce Innovation and Opportunity
Act, 29 U.S.C. 3191 et seq.

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

None.

VerDate Sep<11>2014

SYSTEM MANAGER(S) AND ADDRESS:

Information contained in this system
is obtained from labor certification
applications, labor condition
applications, and prevailing wage
determination requests completed by
employers. Certain information is
furnished by named alien beneficiaries
of permanent labor certification
applications, State Workforce Agencies,
and the resumes and applications of
U.S. workers. Additional information is
obtained from employer provided
surveys.
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:

Job Corps Data Center (JCDC), 1627
Woodland Avenue, Austin, Texas 78741
(and Job Corps Centers).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Job Corps students and Job Corps
terminees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personal information about the
student: Pre-enrollment status, number
of months enrolled in school, home
address, family status and income;
characteristics, such as age, race/ethnic
group, sex; summarization of basic
education and vocational training
received in Job Corps; and initial
Placement status (entry into
employment, school, military service, or
other status) after separation from the
Program.

Fmt 4701

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:
a. To disclose photographs and
student identities to the news media for
the purpose of promoting the merits of
the program.
b. 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:
a. Job Corps Center staff and
operators/contractors;
b. Outreach, Admissions and
Placement staff and contractors;
c. Support Contractors;
d. Federal staff at the regional and
national levels.

None.

SYSTEM LOCATION:

Frm 00042

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.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

PO 00000

PURPOSE(S):

Sfmt 4703

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

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

Files are retrieved by social Security
number or name and center enrolled.
SAFEGUARDS:

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

Records are retained 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

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Center where they are kept 75 years in
accordance with Records Schedule NC–
369–76–2.
SYSTEM MANAGER(S) AND ADDRESS:

National Director, Office of Job Corps
U.S. Department of Labor, Employment
and Training Administration, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

incident reports, hotline complaints,
and investigative memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

A petition for amendment should be
mailed to the System Manager.

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.

RECORD SOURCE CATEGORIES:

The records and information in this
system that are relevant and necessary
may be used to disclose pertinent
information to states, Workforce
Development Boards, and other DOLfunded grantees as necessary to enforce
ETA rules and regulations; and other
uses noted in the prefatory statement.

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOL/ETA–16

None.

SYSTEM NAME:

Employment and Training
Administration Investigatory File.

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

SECURITY CLASSIFICATION:

STORAGE:

None.

Files are stored electronically and/or
on paper.

SYSTEM LOCATION:

Employment and Training
Administration, OMAS/OGM, Division
of Policy, Review and Resolution,
Frances Perkins Building, 200
Constitution Ave. NW., Washington, DC
20210, and each of the Employment and
Training Administration Regional
Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Applicants, contractors,
subcontractors, grantees, members of the
general public, ETA employees, who are
alleged violators of ETA, and federal
laws and regulations.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF RECORDS IN THE SYSTEM:

Reports of alleged and confirmed
problems, abuses or deficiencies relative
to the administration of programs and
operations of the agency, and of possible
violations of Federal law whether civil
or criminal; reports on resolution of
criminal or conduct violations, and
information relating to investigations
and possible violations of ETA
administered programs and projects;

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

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

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

NOTIFICATION PROCEDURE:

5 U.S.C. 301; Workforce Investment
Act, 29 U.S.C. 2801 et seq.; Workforce
Innovation and Opportunity Act, 29
U.S.C. 3101 et seq.

A petition for amendment should be
mailed to the System Manager.
Job Corps students, Outreach,
Admissions and Placement Contractors;
Support Contractors, and Job Corps
Centers.

25807

RETRIEVABILITY:

Files are retrieved by OIG case
number along with case name and
subject in excel spreadsheet in OGM S
(shared drive).

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals, program
sponsors, contractors, grantees,
complainants, witnesses, Office of the
Inspector General and other Federal,
State and local government records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ETA–20
SYSTEM NAME:

SAFEGUARDS:

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

Federal Bonding Program, Bondee
Certification Files.
SECURITY CLASSIFICATION:

None.

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

Non-investigatory records are retained
for 5 years after the case is closed.
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.

U.S. Department of Labor, Frances
Perkins Building, 200 Constitution
Avenue NW., Washington, DC 20210.

SYSTEM MANAGER(S) NAME AND ADDRESS(ES):

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.

PO 00000

Frm 00043

Fmt 4701

Sfmt 4703

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Any at-risk job applicant is eligible for
bonding services, including: Exoffender, recovering substance abusers
(alcohol or drugs), welfare recipients
and other persons having poor financial
credit, economically disadvantaged
youth and adults who lack a work
history, individuals dishonorably
discharged from the military, and

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anyone who cannot secure employment
without bonding, and State Employment
Service applicants who are eligible.

RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

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.

A petition for amendment should be
mailed to the System Manager.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Workforce Investment Act of 1998
(WIA) (29 U.S.C. 2801 et seq.);
Workforce Innovation and Opportunity
Act (WIOA) (29 U.S.C. 3101 et seq.).

A request for access should be mailed
to the System Manager.

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from State Job Service files,
applicants for the bond and bonded
employee’s employer.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE 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 listed in the General
Prefatory Statement to this document.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Employment and Training
Administration, Office of Office of
Management and Administrative
Services, Office of Grants Management,
200 Constitution Avenue NW.,
Washington, DC 20210.

CATEGORIES OF RECORDS IN THE SYSTEM:

Files are stored electronically and/or
paper.
RETRIEVABILITY:

Files retrieved by assigned bond
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:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

States and regions dispose of data 3
years and older; The Punch Card
Processing Co. keeps master DOS of all
bondees prior to 1980.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of Workforce
Investment, Frances Perkins Building,
200 Constitution Ave. NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

Files are stored electronically and on
paper.
RETRIEVABILITY:

Files are retrieved by Grant Officer
name.
SAFEGUARDS:

RETENTION AND DISPOSAL:

Grant Officer Files.

Present and former grant officers.

STORAGE:

STORAGE:

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

DOL/ETA–24

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

None.

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.

None.

PURPOSE(S):

The purpose of these records is to
provide information to the DOL project
officer on the activities of the contracted
project—the Federal Bonding Program.
These records are used solely for
statistical information and not used in
any way for making any determination
about an identifiable individual.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records relating to and reflecting the
designation of Grant Officers and
terminations of such designations, are
retained until destroyed 6 years after
termination of appointment in
accordance with Records Schedule
Number NI–369–00–1.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Workforce System
Federal Assistance, U.S. Department of
Labor, ETA, 200 Constitution Avenue
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.

Name, Social Security Number, job
title and grade, qualifications, training
and experience, request for appointment
as Grant Officer, Certification of
Appointment, copy of Certificate of
Appointment, and other correspondence
and documents relating to the
individual’s qualifications.

RECORD ACCESS PROCEDURES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Information contained in this system
is obtained from the grant officer’s
Certification of Appointment and
background information on education,
SF–171, and specific information on
procurement authorities delegated.

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 grant
officer; to determine if limitations on
procurement authority are appropriate;
to complete Certificate of Appointment.

A request for access should be mailed
to System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–29
SYSTEM NAMES:

ROUTINE USES OF RECORD MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES AND USERS
AND THE PURPOSES OF SUCH USES:

National Agricultural Workers Survey
(NAWS) Research File.

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.

SECURITY CLASSIFICATION:

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None.
SYSTEM LOCATIONS:

The NAWS Sponsor, Employment
and Training Administration (ETA),
Office of Policy Development and

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Research, U.S. Department of Labor, 200
Constitution Avenue NW., Room N–
5641, Washington, DC, 20210; the office
of the System Manager, currently JBS
International, Inc., Aguirre Division
(JBS), 555 Airport Blvd., Suite 400,
Burlingame, CA 94010; and in two
locations of the NAWS Co-Sponsor, the
National Institute for Occupational
Safety and Health (NIOSH): (1) The
Division of Surveillance, 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.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Files are retained for four years after
the collection of the data.

NAWS respondents. These are
randomly selected individuals who are
engaged in crop and nursery activities.
Between 1,500 and 4,000 individuals
will be included in the file each year.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

5 U.S.C. 301.

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

Files are retrieved by the name of
individual making request.
SAFEGUARDS:

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

SYSTEM MANAGER(S) AND ADDRESSES:

The NAWS Sponsor, Employment
and Training Administration, Office of
Policy Development and Research, U.S.
Department of Labor, 200 Constitution
Avenue NW, Washington, DC 20210; the
System Manager, currently JBS, 555
Airport Blvd., Suite 400, Burlingame,
CA 94010; and the NAWS Co-Sponsor,
the National Institute for Occupational
Safety and Health (NIOSH): (1) The
Division of Surveillance, Hazard
Evaluations, and Field Studies, NIOSH,
4676 Columbia Drive, Cincinnati, Ohio
45226, and (2) The Division of Safety
Research, NIOSH, 1095 Willowdale
Road,—mail stop 180–p, Morgantown,
West Virginia 26505.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
appropriate System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the appropriate System Manager.

PURPOSE(S):

asabaliauskas on DSK3SPTVN1PROD with NOTICES

STORAGE:

To gather and analyze data on the
demographic, employment, and health
characteristics of hired crop and nursery
farm workers.

CONTESTING RECORD PROCEDURES:

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

RECORD SOURCE CATEGORIES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document
with the following limitations: The
Routine Uses listed at paragraphs 3, 4,
7, 8, 9, and 11 in the General Prefatory
Statement to this document are not
applicable to this system of records. The
records also may be disclosed where
required by law.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

A petition for amendment should be
mailed to the appropriate System
Manager.
Information in this system is obtained
from the NAWS respondents.
SYSTEMS EXEMPTED FROM CERTAIN PROVISION
OF THE ACT:

None.
DOL/ETA–30
SYSTEM NAMES:

DOL Employment and Training
Administration (ETA) Evaluation,
Research, Pilot or Demonstration
Contractors’ Project Files.
SECURITY CLASSIFICATION:

None.

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None.

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25809

SYSTEM LOCATION:

Individual contractors’ and
subcontractors’ project worksites
Department Offices in Washington DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Participants in programs of the
Workforce Investment Act (WIA) and
Workforce Innovation and Opportunity
Act (WIOA), Job Corps, Trade
Adjustment Assistance, Registered
Apprenticeship, and employers or
employees covered under a State
unemployment compensation law; or
other research, pilot or demonstration
projects.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records in the system(s) may include
personally identifiable information,
characteristics of program participants,
description of program activities,
services received by participants,
program outcomes and participant
follow-up information; or Claimant
(Employee) records, Employer
contribution records, and Employee
wage records obtained after the
completion of the program for the
purposes of the research/evaluation
project(s).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Workforce Investment Act of 1998,
Secs. 156, 171, and 172; Workforce
Innovation and Opportunity Act, Secs.
156 and 169; 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; and
Social Security Act, Sections 303(a)(l),
303(a)(6), and 906, (42 U.S.C. 503(a)(l),
503(a)(6), 902, ll06); 5 U.S.C. 8506(b).
PURPOSE(S):

The purpose of this system is to
provide necessary information for
statutorily-required and other
evaluations of ETA programs,
evaluations of ETA-sponsored pilot and
demonstration programs, and other
statistical and research studies of
employment and training program and
policy issues. These records are used
solely for statistical research or
evaluation and are not used in any way
for making any determination about an
identifiable individual.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Contractors or grantees of particular
projects may disclose records without
personal identifiable information to
other Federal, State and local
government agencies in order to
facilitate the collection of additional

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data necessary for statistical and
evaluation purposes.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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.
RETRIEVABILITY:

Files 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:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

Records are retained by the
contractors for one to five years, then
the identifiers are destroyed. After the
conclusion of the studies the records are
retired to the Federal Records Center
and are destroyed after being retained
by the Records Center for 20 years.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of Policy and
Research, Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Ave. NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual participants,
and Federal, State, and local
Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

DOL/ETA–31
SYSTEM NAMES:

The Enterprise Business Support
System (EBSS).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

U.S. Departmental of Labor, 200
Constitution Avenue, Washington, DC.

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a. Workforce Investment Act
Standardized Record Data (WIASRD)—a
system which manages file submissions
and serves as a repository for annually
submitted files of individual records on
all participants who exit the Workforce
Investment Act (WIA) programs.
b. WIOA Participant Individual
Record Layout (PIRL)—a system which
manages file submissions and serves as
a repository for annually submitted files
of individual records on all participants
who exit the Workforce Innovation and
Opportunity Act (WIOA) programs.
c. Registered Apprenticeship Partners
Information Data Systems (RAPIDS)—is
a web-based apprenticeship training
program management and reporting
system. It is composed of two major
components: The RAPIDS system and
the E-Registration. The RAPIDS system
allows RAPIDS users (Apprenticeship
Training Employer and Labor Services
management, regional and state
directors and Apprenticeship Training
Representatives) to register, process,
manage, and report apprenticeship
programs and apprentices registered in
these programs. E-Registration allows
apprenticeship sponsors to register and
manage apprentices in programs they
sponsor.
d. Common Reporting Interchange
System (CRIS)—CRIS uses state and
Federal Employment Data Exchange
System (FEDES) and Wage Record
Interchange System (WRIS) in
generating reports. CRIS provides
common performance measures for the
grant programs, which do not have the
ability to collect the common measure
outcomes i.e. Entered Employment Rate,
Retention Rate, and Average Earnings
etc. on their own.
e. The Reintegration of ExOffenders—Adult Program (RExO),
formerly known as the Prisoner Reentry
Initiative (PRI), is designed to
strengthen urban communities through
an employment-centered program that
incorporates mentoring, job training,
and other comprehensive transitional
services. Participants enrolled in
RExO—Adult grants and the affiliated
random assignment evaluation.
f. Youth Build—a case management
and grantee performance reporting
system. The system collects participant
level data and manages the program
lifecycle at the participant level. The
system also provides grantees with
quarterly reporting capability and tools
to manage sub-grantees.
g. Enhanced Transitional Jobs
Demonstration (ETJD)—These
evaluations will inform the Federal
government about the effectiveness of

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subsidized and transitional employment
programs in helping vulnerable
populations secure unsubsidized jobs in
the labor market and achieve selfsufficiency.
h. Senior Community Service
Employment Program (SCSEP)
Performance and Results Quarterly
Performance Results (QPR) System
(SPARQ)—Participants in the SCSEP
funded under the Older Americans Act
Amendments of 2006 (OAA
Amendments), Public Law 109–365.
i. Indian and Native American
Program (INAP)—Participants who have
exited from the Workforce Investment
Act (WIA), Section 166 program and the
Workforce Innovation and Opportunity
Act, Section 166 programs.
j. Bene-Choice (formerly Youth
Offenders)—a case management and
grantee performance reporting system.
The system collects participant level
data and manages the program lifecycle
at the participant level. The system also
provides grantees with quarterly
reporting capability and tools to manage
sub-grantees.
k. Trade Act Participant Records
(TAPR)—an application which collects
and maintains program performance
and participant outcomes for TAA and
NAFTA Transitional Adjustment
Assistance (NAFTA–TAA) programs.
l. High Growth and Community Based
Job Training and Performance Reporting
(HGJTP)—a web-enabled application
that collects performance results from
High Growth and Community Based
grant programs.
CATEGORIES OF RECORDS IN THE SYSTEM:

WISARD: This system contains initial
requests under the Workforce
Investment Act, responses, and related
documents.
WIOA (PIRL): This system contains
WIOA participant personally
identifiable information such as social
security numbers and birthdates.
RAPIDS: 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, race code, Veteran
code, accession date, previous
experience date, expected completion
date, exit wage, and apprenticeship
school link.
CRIS: This system contains initial
requests under the Workforce
Investment Act and Workforce
Innovation and Opportunity Act,
responses, and related documents.
RExO: This system contains
participant contact and demographic
data, as well as services provided and
performance outcomes obtained.

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YOUTH BUILD: This system contains
participant contact and demographic
data, as well as services provided and
performance outcomes obtained.
ETJD: This system contains
participant contact and demographic
data, as well as services provided and
performance outcomes obtained.
SCSEP: Records in the system include
personal characteristics of each SCSEP
participant; the description of training,
community service assignments, and
unsubsidized employment placements
the participants received; wages and
supportive services received; and
program outcome and participant
follow-up information obtained after
completion of the program.
INAP: Records in the system include
(scrambled) 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.
BeneChoice (formerly Youth
Offenders): Case managers enter the data
provided by the participants.
TAPR: Standardized set of data
elements, definitions, and specifications
that describe the characteristics,
activities, and outcomes of TAA
participants.
HGJTP: Electronic file of individual
records on all participants who exit
from the program during the reporting
quarter. These individual records follow
a comma-delimited format and contain
the minimal amount of information
needed in order for ETA to collect
employment-related outcomes data
using wage records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Workforce Investment Act of
1998, Public Law 105–220, 29 U.S.C.
2871, Section 136; Workforce
Innovation and Opportunity Act, Public
Law 113–128, Section 116, 29 U.S.C.
3141.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

PURPOSE(S):

This system of records is maintained
to:
a. Generate statistical reports that will
present detailed information on the
characteristics of program participants,
program activities, and outcomes.
b. Provide information for evaluation
purposes.
c. Provide a suitable national database
to enable the Department to provide
technical guidance to local programs in
establishing performance goals for their
service providers.
d. Provide grantees with a case
management system to record
individual participant outcomes.

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e. Provide access to real-time data to
grantees for data tracking and program
improvement.
f. Provide access to real-time data to
Federal office staff in response to
requests for information from Congress,
GAO, OMB and other sources, as
requested.
g. Provide access to necessary
demographic and outcome information
necessary for the affiliated random
assignment evaluation of the programs.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records, and information in
these records, may be used to:
a. Report performance outcomes on
individual grants and aggregated grant
performance.
b. Share performance information to
the workforce system via the Quarterly
Workforce System Results.
c. Share demographic and service
counts as requested by Congress, OCIA,
OMB, GAO or other requesters.
d. Track case management and
performance by grantees to improve
outcomes and meet performance
measure goals.
e. Disclose information to researchers
and public interest groups those records
that are relevant and necessary to
evaluate the effectiveness of the overall
programs and its various training
components in serving different
subgroups of the eligible population.
f. Disclose information to Federal,
state, and local agencies and
community-based organizations to
facilitate statistical research, audit, and
evaluation activities necessary to ensure
the success, integrity, and improvement
of the employment and training
programs.
g. Disclose information to placement
and welfare agencies, prospective
employers, school, or training
institutions to assist in participant
employment.
h. Disclose statistical information to
the news media or members of the
general public for the purpose of
promoting the merits of the programs.
i. Disclose to Native American
organizations receiving WIA, section
166 and WIOA, section 166 funding to
provide relevant and necessary
information to allow for comparative
self-analysis of their programs’
performance.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

PO 00000

None.

Frm 00047

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

Files are stored electronically.
RETRIEVABILITY:

Files are retrieved by the grant,
recipient’s grant number and unique
identification assigned to individuals.
Records can also be retrieved by social
security number but only by individuals
that have access to the database and the
encryption methodology.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

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

Director, Office of Information
Systems and Technology, Employment
and Training Administration (ETA).
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Owner.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Owner.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
addressed to the System Owner.
RECORD SOURCE CATEGORIES:

Information in this system is obtained
from the individual requester, official
documents, agency officials, and other
Federal agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Department of Labor has claimed
exemptions from several of its other
systems of records under 5 U.S.C.
552a(k) (1), (2), (3), (5), and (6). During
the course of a PA/FOIA action, exempt
materials from those other systems may
become part of the case record in this
system. To the extent that copies of
exempt records from those other
systems are entered into these PA/FOIA
case records, the Department has
claimed the same exemptions for the
records as they have in the original
primary system of records of which they
are a part.
DOL/ETA–32
SYSTEM NAME:

Contract Files.
SECURITY CLASSIFICATION:

None.

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SYSTEM LOCATION:

Employment and Training
Administration, Office of Contracts
Management, 200 Constitution Avenue
NW., Suite N–4643, Washington, DC
20210, Regional Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Present and former contracting
officers, contract specialists, and
contracting officer representatives.

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

Files are stored electronically and/or
paper. Paper records in file folders.
RETRIEVABILITY:

Files are retrieved by Contract
Number and Name.

CATEGORIES OF RECORDS IN THE SYSTEM:

Name, job title, qualifications,
training and experience, request for
appointment as Contracting Officer,
Contracting Officer Representative,
Contracting Officer Representative
Letter of Appointment, and other
correspondence and documents relating
to the individual’s qualifications
therefor.

SAFEGUARDS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

48 CFR Subpart 4.8; Department of
Labor Acquisition Regulations 2901.6;
Department of Labor Manual Series 2–
800, and Section 830.

Records are retained for 6 years after
termination of appointment in
accordance with Records Schedule
Number GRS–03–02.

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

a. To ascertain an individual’s
qualifications to be appointed as a
contracting officer;
b. To determine if limitations on
procurement authority are appropriate;
c. To complete Certificate of
Appointment;
d. To provide a record of
communications between the requester
and the agency;
e. To ensure that all relevant,
necessary and accurate data are
available to support any process for
appeal; and
f. To provide a legal document to
support any process for appeal.

Chief, Division of Contract Services,
Policy and Administration, U.S.
Department of Labor, ETA, 200
Constitution Avenue NW., Suite N–
4643, Washington, DC 20210.

A. Disclosure to Office of Government
Ethics: A record from a systems of
record 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 record may
be disclosed, as a routine use, to the
United States General Accountability
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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Records are maintained in a secured,
locked file room, accessible to the
authorized personnel having need for
the information in the performance of
their duties. Computer security
safeguards are used for electronically
stored data and locked locations for
paper files.

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORD MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES AND USERS
AND THE PURPOSES OF SUCH USES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Information contained in this system
is obtained from individual requesters,
official documents, agency officials, and
other federal agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
MSHA—DOL Mine Safety and Health
Administration Systems of Records
DOL/MSHA–1
SYSTEM NAME:

Mine Safety and Health
Administration Standardized
Information System (MSIS).
SECURITY CLASSIFICATION:

PO 00000

None.

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SYSTEM LOCATION:

Mine Safety and Health
Administration (MSHA)—Program
Evaluation and Information Resources
(PEIR), U.S. Department of Labor,
Denver, Colorado. Some records in
paper form are located at:
MSHA—Educational Development
and Policy (EPD), U.S. Department of
Labor, Denver, Colorado (Health safety
training and examination, qualification
and certification records);
MSHA—Coal Mine Safety and Health,
U.S. Department of Labor, Arlington,
Virginia and district and field offices
(Coal respirable dust and other
enforcement records);
MSHA—Metal and Nonmetal Mine
Safety and Health, U.S. Department of
Labor, Arlington, Virginia and district
and field offices (Exposure and other
enforcement records; Radon daughter
exposure records);
MSHA—Office of Assessments,
Accountability, Special Enforcement
and Investigations, U.S. Department of
Labor, Arlington, Virginia
(Discrimination investigations and civil/
criminal investigations) and WilkesBarre, Pennsylvania (Penalty
assessments).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

MSHA enforcement personnel who
conduct inspection or investigation
activities at mines; individuals for
whom personal dust samples have been
submitted for analysis; individuals with
evidence of the development of coal
workers’ pneumoconiosis (black lung
disease) as defined under 30 CFR part
90; individuals who MSHA has certified
or qualified to complete certain mining
tasks or has approved to provide
training; individuals who are indebted
to the United States in the form of a
civil penalty; individuals with
ownership interests in mines and
individuals listed as responsible for
health and safety at mines; individuals
involved in accidents, occupational
injuries, or occupational illnesses;
individuals for whom mine operators
are required to calculate and record
radon daughter exposure in each
calendar year; individuals who have
been allegedly discriminated against in
violation of the Federal Mine Safety and
Health Act of 1977, as amended (Mine
Act); individuals who are alleged to
have knowingly or willfully committed
violations of the Mine Act; and
individuals who are criminally
prosecuted or who are assessed a
monetary civil penalty for violations of
the Mine Act.

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CATEGORIES OF RECORDS IN THE SYSTEM:

Records for the mine identification
number and legal identity report contain
information which includes: Mine
(including mill) name, company name,
ownership information, Taxpayer
Identification Number (TIN), mine
location, operating status, and
individuals listed as responsible for
health and safety at mines. Records for
mine inspection personnel time and
activity, inspections, citations and
orders issued to operators; sampling
data on personal exposure of nonidentified miners and MSHA personnel
to radiation, dust, noise, and other
contaminants; and comprehensive
health surveys at mines.
Since 2008, MSHA requires certain
individuals to submit their Taxpayer
Identification Numbers (which includes
Social Security Numbers), to receive
their unique MSHA Individual
Identification Numbers (MIIN). The
MIIN is substituted for the Social
Security Number (SSN), eliminating the
need for miners and other individuals to
provide their SSNs on certain
documents submitted to MSHA.
Coal Respirable Dust records contain
information such as the mine and
company name, mine identification
number, designated areas in the mine
and designated occupations where
samples were taken, occupations and
SSNs of individuals sampled (before
1981) and of 30 CFR part 90 miners
(after 1980), date sampled,
concentration of respirable dust
measured in the miners’ work
environment, tons of material produced
during sampling shift, sampling time,
and SSN of the certified person taking
the sample. Since 2008, MIINs replaced
SSNs for identifying Part 90 miners
sampled and the certified person taking
the samples. Consequently, SSNs are no
longer collected on sample records.
Qualification and Certification
records contain mine identification
number, MSHA identification number,
training course codes, instructor’s name
and SSN, date of training, name and
SSN of persons who have taken training
and examinations to become qualified
or certified for certain mine tasks or
approved instructors, and the results of
any monitoring of an instructor. Since
2008, MIINs replaced SSNs for persons
trained and for the instructors of the
courses. Consequently, SSNs are no
longer collected in Qualification and
Certification records.
Penalty Assessment records contain
proposed civil penalty assessments,
civil penalty payment information,
bankruptcy information, delinquent
debt referrals to Treasury for collection,
and civil penalty final orders of the

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Federal Mine Safety and Health Review
Commission on individuals.
Accident, injury, and occupational
illness records include the mine name
and identification number; date, time,
and place of occurrence; type and
description of accident; and name and
partial SSN for the individual injured or
reporting an occupational illness. For
1978 and subsequent years, only the last
four digits of the SSN are collected.
Radon Daughter Exposure records
contain the mine identification number,
mine name, section, township, range,
county, and state of mine location,
operator, time period, miner’s name,
current year’s radon daughter exposure,
and cumulative radon daughter
exposure in working level months
(WLM). Prior to 2008, SSNs were
collected for miners exposed to radon
daughters; MSHA no longer collects
SSNs. A ‘‘Miner’s Identification
Number’’ is now used for these records.
Discrimination investigation records
include the name, address, telephone
number, social security number,
occupation, place of employment, other
identifying data, and allegation
information from complainants, mine
operators, miners, and other
individuals. This material includes
interview statements and other data
gathered by the investigator.
Civil and criminal investigation
records include the name, address,
telephone number, social security
number, occupation, place of
employment, and other identifying data
concerning individuals who are the
focus of civil or criminal investigations
along with allegation information from
miners, mine operators, and other
individuals. This material includes
interview statements and other
information gathered by the
investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 557a, 668; 30 U.S.C. 811,
813, 814 (Coal and Metal and Nonmetal
Enforcement records including health
records); 30 U.S.C. 813(a), 842 (Coal
Respirable Dust records); 30 U.S.C. 825,
877(i), 952 (Qualification and
Certification records); 31 U.S.C. 3701,
3711–12, 3716–19, 3720A–E, 7701
(MIIN and Legal identity records); 30
U.S.C. 815 and 820 (Penalty
Assessments records); 30 U.S.C. 811
(Radon Daughter Exposure); 30 U.S.C.
815(c) (Discrimination investigation
records); 30 U.S.C. 820 (Civil and
criminal investigation records).
PURPOSE(S):

Records in MSIS are used by
authorized personnel to:

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25813

a. Maintain information on
individuals with ownership interests in
mines and individuals listed as
responsible for health and safety at
mines;
b. maintain information on mine
inspection personnel time and activity,
inspections, citations and orders (to
include terminating conditions or
practices) issued to operators to
determine workload, work scheduling,
and performance;
c. maintain sampling data on
exposure levels of individuals and
MSHA personnel to radiation, dust,
noise and other contaminants, and
comprehensive health surveys at mines
to determine compliance with
standards;
d. maintain records of training and
examination of individuals, who have
taken MSHA-approved training courses
to attain certain skills;
e. issue qualification or certification
cards to individuals who MSHA has
certified or qualified to complete certain
mining tasks or has approved to provide
training;
f. monitor approved instructors;
g. provide information on individuals
who are indebted to MSHA for the
purpose of assessing penalties and take
appropriate actions to collect or
otherwise resolve the debts;
h. provide MSHA with timely
statistical 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 in
order to reduce accidents and
occupational injuries and illnesses;
i. determine probable cause of
accidents, injuries, and illnesses;
j. determine validity and gravity of
discrimination allegations, the amount
of any civil penalty assessment, and the
nature of other appropriate remedies;
and
k. determine validity and gravity of
allegations under Mine Act §§ 110(c)–
(h), the amount of any civil penalty
assessment, and the propriety of
referrals for possible criminal
prosecution.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those routine universal
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 was
collected:

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

a. Disclosures of inspection and
investigation and accident, injury, and
occupational illness information may be
made: (1) To the U.S. Department of
Health and Human Service, Centers for
Disease Control and Prevention,
National Institute for Occupational
Safety and Health (NIOSH) and the
Environmental Protection Agency to
determine radiation, dust, noise and
other contaminant exposure levels; (2)
to NIOSH for research on mine safety
and health; (3) to appropriate Federal,
State, local or foreign agencies for
research purposes, for enforcing or
implementing a statute, rule, regulation,
order or license and to determine
contaminant exposure levels; (4) to
mine operators to determine
contaminant exposure levels and to
furnish accident, injury, and
occupational illness as the information
relates to their mines; (5) to labor,
industry, and academic organizations to
monitor dust concentration and
compliance trends; and (6) to
individuals requesting information on
sampling data for contaminant exposure
levels and comprehensive health
surveys at mines.
b. Disclosures of Qualification and
Certification records may be made: (1)
To mine operators and labor
organizations requesting information to
verify that MSHA has certified or
qualified individuals to perform certain
mining tasks or approved to provide
training; (2) to appropriate Federal,
State, local or foreign agencies for
enforcing or implementing a statute,
rule, regulation, order or license; and (3)
to individuals requesting information on
their certifications or qualifications to
perform certain mining tasks or their
approval to provide training.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The Department of Treasury discloses
delinquent debtor information that
MSHA transmits to them to credit
bureaus.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

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

STORAGE:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Files are stored electronically, on
paper, or both.

RETENTION AND DISPOSAL:

RETRIEVABILITY:

The Coal and Metal and Nonmetal
records are indexed and retrieved by
mine identification number for the
operator and certain mine officials; and
by authorized representative or right of
entry number, the MSHA organization
office code, inspection event number,

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and citation number for MSHA
enforcement personnel.
The Coal Respirable Dust records are
indexed and retrieved by mine
identification number and MIIN for all
30 CFR part 90 miners. Historical
records are indexed and retrieved by
mine identification number and SSN.
The Qualification and Certification
records are indexed and retrieved by
name, MIIN, MSIS document number,
mine identification number and MSHA
identification number. Microfilm
records are retrieved on basis of cycle
number, mine identification number,
date, and course examination.
For MIINs, MSHA indexes records by
the name and taxpayer identification
number (including SSN). These
taxpayer identification numbers
(includes SSNs) are not accessible to the
public in a secure internal location that
is not viewable by the public or the
MSIS user community.
The Penalty Assessment records are
indexed and retrieved by mine
identification number, TIN (including
SSN), name, or MSHA assessment case
number.
Accident, injury, and occupational
illness records are indexed and
retrieved by mine identification
number, MSHA identification number,
date of accident, date of birth, last name
and last four digits of SSN for the
individual injured or reporting an
occupational illness.
Radon Daughter Exposure records are
indexed and retrieved by year and by
mine name. For paper records, the
records are indexed and retrieved by
year, mine name, mine operator, and
individual’s name.
Discrimination investigation records
are indexed and retrieved by case
number, complainant’s name, company
name, mine name, or mine
identification number.
Civil and criminal investigation
records are indexed and retrieved by
case number; individual’s name;
company name; mine name, or mine
identification number.

MSIS, which includes data
repositories, are updated from source
documents generally daily and weekly.
The records associated with the
decommissioned systems and computer
systems reside in MSIS. Paper records
generally are included, except for the
radon daughter exposure records.

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Historical, migrated data is retained
indefinitely on disk within MSIS and on
magnetic tape.
Inspection reports and related
documents included in the Coal and
Metal and Nonmetal Enforcement
records are permanent records and are
retired to National Archives and Record
Administration (NARA) in 10-year
blocks; temporary reports are destroyed
after 10 years. (NC1–433–81–1, Item 6)
Legal identity reports are retained as
long as the mine is in operation, once
mine closes the reports are sent to
NARA and destroyed when 10 years
old. (NC1–433–81–1, Item 19) Activity
reports for Coal enforcement personnel
are transferred to NARA after three
years and destroyed when 10 years old.
(NC1–433–81–1, Item 23) Activity
reports including health surveys at
mines for Metal and Nonmetal
enforcement personnel are permanent
records which are retained for 24
months and then transferred to an
historical database for transfer to NARA
annually. (NC1–433–85–1, Item 10)
Sampling data and results on personal
exposure of non-identified miners and
MSHA personnel to radiation, dust,
noise, and other contaminants at mines
are transferred to NARA after three
years and destroyed when 10 years old.
(NC1–433–81–1, Item 24) Summary
monthly and annual mine inspection
activity reports that breakdown
inspections, violations, notices issued,
and orders of withdrawal including
results of dust and noise sampling are
retained as necessary and then
destroyed because they are copies of
other source documents. (NC1–433–81–
1, Item 29)
Dust data cards and results submitted
by MSHA enforcement personnel are
transferred to the NARA when three
years old and destroyed when 10 years
old. (NC1–433–81–1, Item 25) Dust data
cards submitted by mine operators are
retained for one year and transferred to
NARA and destroyed when five years
old. (NC1–433–85–1, Item 11)
Qualification and Certification
(training) documents are destroyed
when three years old and microfilm is
destroyed when 50 years old. (NC1–
433–81–1, Items 32 and 33) Penalty
assessment source documents are
retained until cases are closed, retired to
NARA for 10 years, and then destroyed.
(NC1–433–81–1, Item 12)
MSHA Form 7000–1, Mine Accident,
Injury, and Illness Report on paper are
source documents and are retained for
six years after year of record and then
destroyed. Electronic copies of these
documents are retained by MSHA
permanently. Records in electronic
media are transferred to NARA as

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
permanent records immediately after
each annual close-out. (NC1–433–85–1,
Item 9)
Radon Daughter Exposure records are
permanent records and MSHA retains
them until all individuals identified in
the records become 75 years old or until
10 years after their known death. (30
CFR 57.5040, American National
Standard Institute, ANSI N13.8–1073
Paragraph 9.7 and 9.8) Since the
beginning of 2014, all paper forms are
temporary forms and will be destroyed
after converted to electronic format.
(NC1–433–85–1, Item 10)
Discrimination investigation records
are retained for one year after the case
is closed, then are transferred to a
Federal Records Center where they are
retained until they are 15 years old; they
are then destroyed. (N1–433–94–2, Item
1)
Civil and criminal investigation
records are retained for one year after
the case is closed, then are transferred
to a Federal Records Center where they
are retained until they are 15 years old;
they are then destroyed. (N1–433–94–2,
Item No. 1)
SYSTEM MANAGER(S) AND ADDRESS:

Director of Office of Standards,
Regulations, and Variances, Arlington,
VA.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from MSHA personnel who
submit inspection time utilization,
violation, sampling, and other
enforcement information. In addition,
information is received from mine
operators including independent
contractors concerning contaminant and
radon sampling, legal identity, and mine
accidents, injuries, and occupational
illnesses at their mines. Training and
other information for qualifications and
certifications are received from
individuals, instructors, States, mining
industry, and MSHA personnel. Civil
penalty and special enforcement
information is obtained from MSHA
personnel, miners, mine operators, civil
penalty assessment and special
investigation case files, payment
installment plans, bankruptcy case files,
Treasury cross-servicing (debt-

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collection) files, and Treasury offset
files. Discrimination investigation
information is obtained from
individuals alleging discrimination,
mine operators, witnesses, and thirdparty sources. Civil and criminal
investigation information is obtained
from miners, mine operators, MSHA
investigators and personnel, 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)(1), (d)(2), (d)(3),
(d)(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 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 such material,
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.
The Department of Labor has claimed
exemptions from several of its other
systems of records under 5 U.S.C.
552a(j)(2) and (c)(3) and (c)(4); (d),
(e)(1)–(3); (e)(4)(G), (H), and (I); (e)(5)
and (8); (f) and (g). During the course of
an investigation, 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 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/MSHA–22

Educational Policy and Development;
National Mine Health and Safety
Academy Permanent Record Card or
Student Information System.
SECURITY CLASSIFICATION:

None.

MSHA personnel and other
individuals who receive training
through MSHA, including training
offered through the National Mine
Health and Safety Academy (Academy).
CATEGORIES OF RECORDS IN THE SYSTEM:

This system includes records of
training authorized under sections 502,
503(f), or 505 of the Federal Mine Safety
and Health Act of 1977 (Mine Act), as
amended by the Mine Improvement and
New Emergency Response Act of 2006
(MINER Act). Records include
instructor’s grade sheets and student
transcripts, reflecting courses and
grades received. Starting in Fiscal Year
2003, MSHA started to store the records
electronically.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 557a; 30 U.S.C. 952, 953(f),
954.
PURPOSE(S):

To maintain records on Mine Safety
and Health inspectors and others to
assure that proper training is received
under the Mine Act. Records are used
by individuals, inspectors, 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:

In addition to those universal routine
uses listed in the General Prefatory
Statement, disclosures may be made to:
(1) Appropriate Federal, State, local
agencies when individuals transfer from
one agency to another; (2) colleges that
accept training received at the Academy
for transferable credit hours; or (3)
supervisors of individuals who request
transcripts on employees to assure that
proper training has been received or
completed.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Records are stored electronically, on
paper, or both.
RETRIEVABILITY:

SYSTEM LOCATION:

Mine Safety and Health
Administration (MSHA)—Directorate of
Educational Policy and Development,
National Mine Health and Safety
Academy, U.S. Department of Labor,
Beaver, West Virginia.

Frm 00051

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

SYSTEM NAME:

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Records are indexed and retrieved by
name of the student only.
SAFEGUARDS:

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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

RETENTION AND DISPOSAL:

PURPOSE(S):

Instructor grade sheets are destroyed
after 3 years. Academy Permanent
Records Cards (Transcripts) and other
documentation are retained for 50 years
and then destroyed. NC1–433–81–1,
Item 33.

Records in this system are used by
authorized personnel to: (1) Determine
the workload, work scheduling, and
performance of EPD personnel; and (2)
assist in budgeting and staffing of
education and training specialists.

SYSTEM MANAGER(S) AND ADDRESS:

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

Director of Office of Standards,
Regulations, and Variances, Arlington,
VA.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.

CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from Educational Policy and
Development, National Mine Health and
Safety instructors and individuals who
receive training through MSHA.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/MSHA–23

SECURITY CLASSIFICATION:

SYSTEM LOCATION:

Mine Safety and Health
Administration (MSHA) Directorate of
Educational Policy and Development;
U.S. Department of Labor, Beaver, WV.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Educational Policy and Development
(EPD), Education and Training
specialists.

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

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

Records are indexed and retrieved by
mine identification number, EPD
employee’s name, and district code.
SAFEGUARDS:

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

Records are retained for 3 years.
(NC1–433–81–1, Item 34).
Director of Office of Standards,
Regulations, and Variances, Arlington,
VA.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

The records in this system include the
mine identification number, mine name,
name and MSHA Individual
Identification Number (MIIN) of an
instructor, and the education and
training personnel tracking information
such as training specialist’s name, types
of activities conducted, and time spent
on activities.

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from Educational Policy and
Development’s Education and Training
Specialists.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

29 U.S.C. 557a.

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SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

CATEGORY OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Office of Administrative Law Judges
Case Tracking System (CTS).

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM MANAGER(S) AND ADDRESS:

None.

SYSTEM NAMES:

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

SYSTEM NAME:

Educational Policy and Development
Activity Reporting System

DOL/OALJ–1

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

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

OALJ—DOL Office of Administrative Law
Judges Systems of Records

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Claimants, complainants,
respondents, and other party litigants in
cases before the OALJ for hearing and
decision.
CATEGORY OF RECORDS IN THE SYSTEM:

Records include 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; Consumer Product Safety
Improvement Act of 2008, 15 U.S.C.
2087; 29 CFR part 1983; 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; Corporate and
Criminal Fraud Accountability Act,
Title VIII of the Sarbanes Oxley Act, 18
U.S.C. 1514A; 29 CFR part 1980; DavisBacon 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; Dodd-Frank Wall Street Reform
and Consumer Protection Act, 12 U.S.C.
5567; 29 CFR part 1985; 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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
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; E.O. 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; Fair Labor
Standards Act of 1938, as amended, 29
U.S.C. 218(C), as added by Affordable
Care Act of 2010, P.L. 111–148, 1558;
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 Railroad
Safety Act, 49 U.S.C. 20109; 29 CFR part
1982; 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; FDA Food Safety Modernization
Act, 21 U.S.C. 399d; 29 CFR part 1987;
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; Labor-Management
Reporting and 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—the Defense Base Act, Outer
Continental Shelf Lands Act, District of
Columbia Workmen’s Compensation
Act, 36 DC Code 501 et seq., and 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; Moving Ahead for Progress in
the 21st Century Act, 49 U.S.C. 30171;
National Apprenticeship Act, 29 U.S.C.
50; 29 CFR parts 29 and 30; National
Transit Systems Security Act of 2007, 6
U.S.C. 1142; 29 CFR part 1982; Pipeline
Safety Improvement Act of 2002, 49
U.S.C. 60129; 29 CFR part 1981;
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; 504 of the

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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; Seaman’s Protection Act, 46 U.S.C.
2114; 29 CFR part 1986; Social Security
Act, 42 U.S.C. 503; 20 CFR part 601;
Solid Waste Disposal Act, 42 U.S.C.
6971; 29 CFR part 24; Surface
Transportation Assistance Act, 49
U.S.C. 31105; 29 CFR part 1978; Toxic
Substances Control Act, 15 U.S.C. 2622;
29 CFR part 24; Vietnam Era Veterans
Readjustment Assistance Act, as
amended, 38 U.S.C. 4211, 4212; 41 CFR
part 60–250, subpart B; Wagner-Peyser
Act, as amended, 29 U.S.C. 49 et seq.;
20 CFR part 658; Walsh-Healey Public
Contracts Act, as amended, 41 U.S.C.
38; 41 CFR part 50–203; Wendell H.
Ford Aviation Investment and Reform
Act for the 21st Century, 49 U.S.C.
42121; 29 CFR part 1979; Workforce
Innovation and Opportunity Act, 29
U.S.C. 3101 et seq.; Workforce
Investment Act of 1998, 29 U.S.C. 2801
et seq.; 20 CFR parts 652, 660 through
670; 29 CFR part 37; other statutes,
executive orders and regulations
providing for an ALJ hearing as they
may become applicable in the future.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

PURPOSE(S):

CONTESTING RECORD PROCEDURES:

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.

A petition for amendment should be
mailed to the System Manager.

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

SYSTEM NAME:

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 proceedings conducted by
the Office of Administrative Law Judges
are public, court docket records are
available for public inspection.

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

Records are stored electronically.
RETRIEVABILITY:

Files are retrievable by case number
and other searchable fields such as
name of the party.
SAFEGUARDS:

Access is by authorized personnel
only. Computer security safeguards are
used for electronically stored data
Printed extracts are destroyed when the
report is no longer needed.
RETENTION AND DISPOSAL:

Records are retained for 50 years, in
accordance with Records Schedule
Number N1–074–09–02.
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 should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

RECORD SOURCE CATEGORIES:

Information contained in the system
is obtained from the Office of
Administrative Law Judge case files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

None.
DOL/OALJ–2

Office of Administrative Law Judges
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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

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 the OALJ for hearing
and decision.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records may contain claim files;
determinations and referral letters from
the agency with initial claim
development or investigatory
responsibility; documents proffered as
evidence; pleadings, motions, and other
submissions by litigants; Administrative
Law Judge (ALJ) orders, decisions, and
orders; hearing transcripts; and other
documents and information necessary to
hear and decide cases.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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; Consumer Product Safety
Improvement Act of 2008, 15 U.S.C.
2087; 29 CFR part 1983; 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; Corporate and
Criminal Fraud Accountability Act,
Title VIII of the Sarbanes Oxley Act, 18
U.S.C. 1514A; 29 CFR part 1980; DavisBacon 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; Dodd-Frank Wall Street Reform
and Consumer Protection Act, 12 U.S.C.
5567; 29 CFR part 1985; 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; E.O. No. 11,246, as

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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; Fair Labor
Standards Act of 1938, as amended, 29
U.S.C. 218(C), as added by Affordable
Care Act of 2010, P.L. 111–148, 1558;
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 Railroad
Safety Act, 49 U.S.C. 20109; 29 CFR part
1982; 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; FDA Food Safety Modernization
Act, 21 U.S.C. 399d; 29 CFR part 1987;
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; Labor-Management
Reporting and 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—the Defense Base Act, Outer
Continental Shelf Lands Act, District of
Columbia Workmen’s Compensation
Act, 36 D.C. Code 501 et seq, and 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;
National Transit Systems Security Act
of 2007, 6 U.S.C. 1142; 29 CFR part
1982; Pipeline Safety Improvement Act
of 2002, 49 U.S.C. 60129; 29 CFR part
1981; 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; 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

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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; Seaman’s Protection Act, 46 U.S.C.
2114; 29 CFR part 1986; Social Security
Act, 42 U.S.C. 503; 20 CFR part 601;
Solid Waste Disposal Act, 42 U.S.C.
6971; 29 CFR part 24; Surface
Transportation Assistance Act, 49
U.S.C. 31105; 29 CFR part 1978; Toxic
Substances Control Act, 15 U.S.C. 2622;
29 CFR part 24; Vietnam Era Veterans
Readjustment Assistance Act, as
amended, 38 U.S.C. 4211, 4212; 41 CFR
part 60–250, subpart B; Wagner-Peyser
Act, as amended, 29 U.S.C. 49 et seq.;
20 CFR part 658; Walsh-Healey Public
Contracts Act, as amended, 41 U.S.C.
38; 41 CFR part 50–203; Wendell H.
Ford Aviation Investment and Reform
Act for the 21st Century, 49 U.S.C.
42121; 29 CFR part 1979; Workforce
Innovation and Opportunity Act, 29
U.S.C. 3101 et seq.; Workforce
Investment Act of 1998, 29 U.S.C. 2801
et seq.; 20 CFR parts 652, 660 through
670; 29 CFR part 37; other statutes,
executive orders and regulations
providing for an ALJ hearing as they
may become applicable in the future.
PURPOSE(S):

To maintain the court records for
public administrative-adjudicative
hearings. These records and information
in these records are used as the court
record in ALJ 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:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, the
Department may disclose relevant and
necessary data as follows:
Official case records, including final
decisions and orders, may be disclosed
to the Federal courts and boards that are
charged with reviewing decisions on
appeal.
Information from the official record
may be disclosed to the parties or their
attorneys or their non-attorney
representatives in matters pending
before the OALJ. Information from case
files may also be disclosed pursuant to
the Freedom of Information Act (FOIA),
5 U.S.C. 552.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
ALJ decisions and orders and other
selected orders are public agency
records and are released to the public,
for the purpose of creating a body of
legal precedent which serves to guide
the public regarding the statutes over
which the OALJ exercises jurisdiction.
Final decisions and orders and other
selected orders are available on the
agency’s internet Web site at
www.oalj.dol.gov and may be sent to
commercial publishing companies for
publication in paper form and over the
internet. They are also available for
public inspection at the OALJ’s reading
room.
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 their records should send a written,
signed request to the System Manager.
CONTESTING RECORD PROCEDURES:

Individuals wishing to petition for an
amendment to their records should send
a written, signed request to the System
Manager.
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, ALJs involved in a
case, the court reporter, and in the case
of remanded cases, the administrativeappellate body or Federal court.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

STORAGE:

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

Retrieved by case number or name of
party.

DOL/OASAM–4

SAFEGUARDS:

Safety and Health Information
Management System (SHIMS).

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
In cases where the OALJ is the official
custodian, inactive case files are
retained for three years before being sent
to a Federal Records Center. The Federal
Records Center retains the files for an
additional 15 years before they are
authorized for destruction, except for
certain cases designated as precedent
setting, which become permanent
records. In cases where OALJ is not the
official custodian, for example matters
relating to Black Lung and Longshore
(and extensions) cases, the official file is
transferred to the appropriate federal
custodial agency. When a case is
appealed, the case file is forwarded to
the appropriate administrative appellate
agency, such as the Benefits Review
Board, or the Administrative Review
Board.
SYSTEM MANAGER(S) AND ADDRESS:

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

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

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SYSTEM NAME:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

RETENTION AND DISPOSAL:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

OASAM—DOL Office of the Assistant
Secretary for Administration and
Management Systems of Records

Jkt 238001

a. Office of Worker Safety and Health,
OASAM, U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210;
b. DOL regional offices;
c. A copy of the modified CA–1/CA–
2 Form used by the Office of Workers’
Compensation Programs (OWCP) and
the Form 301 used by the Occupational
Safety and Health Administration
(OSHA) may be reproduced and
retained in the office of the supervisor
who files the form.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOL employees, Job Corps students
and Contractors involved in
occupationally related accidents,
injuries and illnesses. (SHIMS host
other Federal agencies, and their
employees would be included in
coverage as well.)
CATEGORIES OF RECORDS IN THE SYSTEM:

Reports of on-the-job accidents,
injuries, and illnesses generated as a
result of filing forms CA–1, CA–2, and
OSHA Form 301.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 651 et seq., 29 CFR part
1960, 5 U.S.C. 7902, the Occupational

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25819

Safety and Health Act of 1970 (PL 91–
596), Executive Order 12196; 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; DOL Secretary’s Order 5–2009.
PURPOSE(S):

This system is used (a) to provide an
information source for compliance with
the Occupational Safety and Health Act;
(b) to provide a documented record of
job related accidents, injuries, and
illnesses for the purpose of measuring
safety and health programs’
effectiveness; (c) to provide summary
data of accident, injury and illness
information to Departmental agencies in
a number of formats for analytical
purposes in establishing programs to
reduce or eliminate loss producing
hazards or conditions; (d) to provide
summary listings of individual cases to
Departmental agencies to ensure that all
work-related injury/illness cases are
reported through the SHIMS; and (e) to
use as a reference when adjudicating
tort and employee claims.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

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

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

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

Files are retrieved by claimant’s last
name, social security number, and
employee category (DOL employee or
Job Corps student) and SHIMS Incident
Claim Number (ICN).
SAFEGUARDS:

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

All workers’ compensation records
contained in SHIMS should be disposed
of in accordance with applicable records
schedules under General Records
Schedule (GRS) 1.31. All OSHA 301
records contained in SHIMS should be
disposed of in accordance with
applicable records schedules under GRS
1.34.

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SYSTEM MANAGER(S) AND ADDRESS:

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

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.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Inquiries should be mailed to the
System Manager.

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 recommendation 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 substance abuse assessment,
treatment, aftercare, and substance use
monitoring results.

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from:
a. The employee (or someone acting
on his/her behalf);
b. Witness (if any);
c. Employing agency (supervisor or
comp specialist);
d. CA–1 and CA–2, forms used by
OWCP; and/or
e. Form 301 used by OSHA.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

None.
DOL/OASAM–5
SYSTEM NAME:

Employee Assistance Program (EAP)
Records.
SECURITY CLASSIFICATION:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

SYSTEM LOCATION:

The Employee Assistance Program
(EAP), headquartered in the Human
Resources 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

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5 U.S.C. 7361, 7362, 7901, 7904; 44
U.S.C. 3101.
PURPOSE(S):

These records are used to document
the nature and extent of the client’s
problem; the short-term problem
solving/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 client records will be disclosed
to these providers.

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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:
i. Disclosed to the Department of
Justice when: (A) DOL or any
component thereof; or (B) any employee
of the agency in his or her official
capacity; or (C) the United States
Government, is a party to litigation or
has an interest in such litigation, and by
careful review, the agency determines
that the records are both relevant and
necessary to the litigation, and the use
of such records by the Department of
Justice is for a purpose that is
compatible with the purpose for which
the agency collected the records.
ii. 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:
i. To disclose, in accordance with 42
CFR 2.51(a), 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.
ii. To disclose patient identifying
information to medical personnel of the
Food and Drug Administration (FDA)
who assert a reason to believe that the
health of any individual may be
threatened by an error in the
manufacture, labeling, or sale of a
product under FDA jurisdiction, and
that the information will be used for the
exclusive purpose of notifying patients
or their physicians of potential dangers.
(See 42 CFR 2.51(b)).
iii. To disclose patient information
when authorized by an order of a court
of competent jurisdiction in accordance
with 42 CFR 2.61;
iv. To disclose information to a
Federal, State or local law enforcement
authority that is directly related to a
patient’s commission of a crime

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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));
v. 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);
vi. 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));
vii. To disclose to a minor’s parent or
guardian, facts relevant to reducing a
threat to the life or physical wellbeing
of any individual, if the minor lacks
capacity for rational choice (See 42 CFR
2.14(d); Note: I’ve never seen these
items in a SORN;
viii. 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;
ix. To disclose patient identifying
information for the purpose of
conducting scientific research under the
circumstances set forth in 42 CFR 2.52;
x. 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:

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

Records are retrieved by a case code
number, unique to the client utilizing
the program. These numbers are crossindexed by name.

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SAFEGUARDS:

a. Authorized Users: Access to these
records is limited to EAP
Administrators who work directly with
clients of the program and their
immediate staffs (including counselors,
secretaries, and contract or consortia
administrators, counselors or
secretaries). OASAM EAP
Administrators as well as EAP
Administrators and Coordinators from
other Federal agencies who contract
with OASAM, whether or not they
directly provide clinical services, may
have access to the records for the
purposes of program evaluation,
destroying records at the end of the
period of maintenance, and transferring

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records from one EAP contractor to
another. OASAM may also contract with
either a private organization or other
Federal agency to destroy these records.
The personnel of these record
destruction organizations or agencies
may have access to the records at the
end of their period of maintenance for
the purpose of transferring records from
the EAP location to a destruction site
and subsequently destroying the
records.
b. Physical Safeguards: All paper
records are stored in metal filing
cabinets equipped with at least
combination locks and preferably
locking crash bars. These file cabinets
are in secured areas, accessible only to
the EAP staff outlined above, and are
locked when not in use. These records
are always maintained separate from
other systems of record. Computers
containing records are discrete from
other computer systems and/or are
password protected. Computers are also
stored in secured areas, accessible only
to the EAP staff outlined above.
c. Procedural Safeguards: All persons
having access to these records shall
already have been trained in the proper
handling of records covered by the
Privacy Act and 42 CFR part 2
(Confidentiality of Alcohol and Drug
Abuse Patient Records). These acts
restrict disclosures to unique situations,
such as threats of physical harm,
medical emergencies, and suspected
child abuse, except where the client has
consented in writing to such disclosure.
Clients of the EAP will be informed in
writing of the confidentiality provisions.
Secondary disclosure of released
information is prohibited without client
consent.
RETENTION AND DISPOSAL:

Records are retained 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, in accordance
with http://www.archives.gov/recordsmgmt/grs/grs01.html (item #26). Some
OASAM EAPs provide substance abuse
evaluations as part of Federal Drug-Free
Workplace Program. These records will
be retained for five years after contact
with the program has ceased or any
litigation is completed. Individual states
may require longer retention. The rules
in this system notice should not be
construed to authorize any violation of
such state laws that have greater
restrictions.

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25821

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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORDS SOURCE CATEGORIES:

Information contained in this system
of records comes from the individual to
whom it applies, the supervisor of the
individual if the individual was referred
to the EAP by a supervisor, the staff of
the EAP, other therapists or
organizations providing treatment and/
or rehabilitation, and other sources
whom the EAP believes may have
information relevant to treatment of the
individual.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM–7
SYSTEM NAME:

Employee Medical File System
Records (Not Job Related).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

For current employees, records are
located in a health unit or dispensary of
the Federal Occupational Health (FOH),
U.S. Public Health Service, Department
of Health and Human Services, or in a
health unit or dispensary of another
Federal or private sector entity which
provides health services, under an
interagency agreement or other
contractual arrangement, to DOL
employees. Medical records maintained
by one of the latter entities may be
considered the property of the entity
providing care to the DOL employee;
however, records maintained by FOH
are considered the property of DOL.
For former employees, most records
will be located in an Employee Medical
Folder (EMF) stored at the National
Personnel Records Center operated by
the National Archives and Records
Administration (NARA). Agencies may
retain some records on former
employees for a limited time.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals covered are those of the
following who have received voluntary
employee health services provided by
the agency under the authority of 5
U.S.C. 7901:
a. Current and former DOL employees
as defined in 5 U.S.C. 2105;
b. DOL contract employees and other
visitors (including minors and
employees of other Federal agencies)
who may have received emergency care
from the health unit or dispensary.

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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:
a. Medical records, forms, and reports
completed or obtained when an
individual applies for a Federal job and
is subsequently employed;
b. 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;
c. Records pertaining to and resulting
from the testing of the employee for use
of illegal drugs under Executive Order
12564. Such records may be retained by
the agency (e.g., by the agency Medical
Review Official) or by a contractor
laboratory. This includes records of
negative results, confirmed or
unconfirmed positive test results, and

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documents related to the reasons for
testing or other aspects of test results;
d. 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);
e. 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.
PURPOSE(S):

These records document the
utilization and provision of voluntary
employee health services authorized by
5 U.S.C. 7901.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The records and information in this
system of records may be used as
follows:
a. Disclosed to the Department of
Justice when: (1) DOL or any component
thereof; or (2) any employee of the
agency in his or her official capacity; or
(3) the United States Government, is a
party to litigation or has an interest in
such litigation, and by careful review,
the agency determines that the records
are both relevant and necessary to the
litigation, and the use of such records by
the Department of Justice is for a
purpose that is compatible with the
purpose for which the agency collected
the records.
b. Disclosed in a proceeding before a
court or adjudicative body, when: (1)
DOL or any component thereof; or (2)
any employee of the agency in his or her
official capacity; or (3) any employee of
the agency in his or her individual
capacity; or (4) the United States

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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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by the individual’s
name.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files. Records are
retained for six (6) years after the date
of last entry in accordance with OPM/
GOVT–10.
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 request for access should be mailed
to the System Manager.

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RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

procedures with recognized labor
organizations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

CONTESTING RECORD PROCEDURES:

5 CFR part 771.

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from:
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; and/or
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:

a. Human Resources Center, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
and National and Regional Human
Resources Offices;
b. Office of the Solicitor, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
and regional offices of the Solicitor.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current or former Department
employees who have filed grievances
under the Department’s administrative
grievance procedures in accordance
with 5 CFR part 771 and Departmental
Personnel Regulation 771.

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CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records relating
to grievances filed by Department
employees under administrative
grievance procedures and in accordance
with 5 CFR part 771 and Departmental
Personnel Regulation 771. These case
files contain all documents related to
interviews and hearings, fact-finder’s
findings and recommendations, a copy
of the original decision, and related
correspondence and exhibits, including
settlement agreements. This system does
not include files and/or records of any
grievance filed under negotiated

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PURPOSE(S):

The records are used to process
grievances submitted by 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:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, the
Department may disclose relevant and
necessary data as follows:
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
Department 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:

None.

25823

SAFEGUARDS:

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

Records are destroyed no sooner than
four (4) years but no later than 7 years
after case is closed. (N1 GRS 92–1 item
30a).
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Human Resources
Policy and Accountability, Human
Resources Center, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals submitting grievances
should already be provided with 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 about them. Such
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 ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information in this system of records
is provided by the following:
a. The individual on whom the
records are maintained;
b. Testimony of witnesses;
c. Investigative and other employment
records;
d. Decisions by agency officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM—17

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

SYSTEM NAME:

Equal Employment Opportunity
Complaint Files.

Files are stored electronically and/or
on paper.

SECURITY CLASSIFICATION:

RETRIEVABILITY:

SYSTEM LOCATION:

Records are retrieved by the names of
the individuals on whom they are
maintained.

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

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None.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

b. Office of the Solicitor, Washington,
DC; and regional offices of the Solicitor;
c. Agency Equal Employment
Opportunity (EEO) Managers,
Washington, DC and regional offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals, classes of individuals, or
representatives designated to act on
behalf of Department employees, former
employees, or applicants for
employment who have consulted with
an Equal Employment Opportunity
(EEO) counselor and/or who have filed
a formal complaint alleging
discrimination on the basis of race,
color, religion, sex (including gender
identity and pregnancy), national origin,
disability, age, genetic information,
sexual orientation, parental status and/
or any basis covered by Executive Order
11478, because of a determination,
decision, action, or non-action
administered against them by a
departmental official, as well as
individuals alleging reprisal for having
previously participated in EEO activity.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records include information and/or
documents pertaining to pre-complaint
processing, informal resolutions, formal
complaints, and investigations of
complaints. These records contain
complainants’ names; addresses; job
titles and descriptions, and dates of
employment; agencies involved;
counselors’ 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; and proposed
and final decisions.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Secretary’s Order 1–2004; Title VII of
the Civil Rights Act of 1964, as
amended; the Equal Pay Act; the Lilly
Ledbetter Fair Pay Act of 2009; the Age
Discrimination in Employment Act of
1967, as amended; the Rehabilitation
Act of 1973, as amended; the Americans
with Disabilities Act Amendments Act
of 2008; the Genetic Information
Nondiscrimination Act of 2008; the
Civil Service Reform Act of 1978; the
Civil Rights Act of 1991; the No FEAR
Act; Executive Order 11478, as
amended; Executive Order 11375, as
amended; Executive Order 13163;

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Executive Order 13164; Executive Order
13145; 29 CFR 1614; and the Equal
Employment Opportunity Commission’s
(EEOC) Management Directives 110
(Complaint Processing) and 715
(Effective Affirmative Programs).
PURPOSE(S):

These records are used to process,
investigate and resolve Equal
Employment Opportunity complaints
within the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The records in the complaint file are
classified into three categories:
Correspondence, investigative, and
transcripts. In addition to the universal
routine uses listed in the General
Prefatory Statement to this document,
records that are relevant and necessary
may be disclosed as follows:
a. To responding officials (ROs) or
other witnesses consistent with the
instructions in the Equal Employment
Opportunity Commission’s (EEOC’s)
Complaint Processing Manual which
provides that during the investigative
process witnesses may be given access
to information and documents in the
correspondence files and the
investigative file where the investigator
determines that the disclosure of
information or documents is necessary
to obtain information from the witness.
If the Department issues a final decision
on the complaint rejecting the
complainant’s allegations, ROs or other
witnesses may not have access to the
complaint file. If the Department takes
or proposes adverse action against an
RO or other witness, only the records
upon which the decision is based,
without deletions, must be made
available for his or her review.
b. To Federal agencies with
jurisdiction over a complaint, including
the EEOC, 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.
c. To a physician or medical official
for the purpose of evaluating medical
documents in complaints of
discrimination on the basis of disability.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

Paper files are indexed by
complainant’s name and by the office

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case number. Electronic files are
retrieved by: Office case number;
complainant’s name; fiscal year; current
status of complaint; region code; issue
code; basis code; agency code; class
action; relief code; EOS identification;
investigator identification.
SAFEGUARDS:

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

Records are destroyed 4 years after
resolution of case. (N1 GRS 80 9 item 1)
SYSTEM MANAGER(S) AND ADDRESS:

Director, Civil Rights Center, OASAM,
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
non-exempt information about him/her
should contact the System Manager.
Individuals must furnish in writing the
following information for their records
to be located and identified: 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, and the kind(s) of action(s)
taken.
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to their records should contact the
System Manager as indicated in the
Notification Procedure section above.
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of
Department’s Privacy Act regulations at
29 CFR 71.1 and 71.9.
RECORD SOURCE CATEGORIES:

An individual to whom the record
pertains; official documents relating to
the processing of a complaint, including
the informal and formal allegations, and
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)(l), (e)(4)(G), (H), and (I),

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and (f). Release of information from the
complaint file to the complainant 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 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.
DOL/OASAM–19
SYSTEM NAME:

Negotiated Grievance Procedure and
Unfair Labor Practice Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

a. Human Resources Center, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
and National and Regional personnel
offices.
b. Office of the Solicitor, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
and Regional offices of the Solicitor.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Department employees who have filed
grievances under negotiated grievance
procedures, and Department employees
or Union/Union representatives (AFGE
Local 12, NULI and NCFLL) who have
filed unfair labor practices charges
against the Department.

PURPOSE(S):

To process an employee’s grievance
filed under a negotiated grievance
procedure, or an unfair labor practice
charge filed by an employee or union.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, records that
are relevant and necessary may be
disclosed to:
a. 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 Department rules and regulations,
investigations or alleged or possible
prohibited personnel practices, and
such other functions as may be
authorized by law.
b. The Equal Employment
Opportunity Commission when
requested in connection with
investigations into alleged or possible
discrimination practices or examination
of affirmative employment programs.
c. 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. The union when requested in
connection with the union’s
representation of the Department
employee who has filed the grievance or
unfair labor practice.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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CATEGORIES OF RECORDS IN THE SYSTEM:

Records include information relating
to employee grievances filed under
procedures established by labormanagement negotiations in the
collective bargaining agreements
between DOL and its three (3) Unions:
The NCFLL, AFGE Local 12 and NULI,
and unfair labor practice charges filed
under the Federal Service LaborManagement Relations Act. 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 a
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
Act and related amendments of 5 U.S.C.
5596(b) for back pay.

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

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

25825

Resources Center, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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:
(c)(3), (d), (e)(l), (e)(4)(G), (H), and (I),
and (f). Release of information from the
complaint file to the complainant 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 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.
DOL/OASAM–20
SYSTEM NAMES:

STORAGE:

Files are stored electronically and on
paper.
RETRIEVABILITY:

Records are retrieved by name and/or
case file number.
SAFEGUARDS:

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

Personnel Investigation Records
SECURITY CLASSIFICATION:

None, except items or records within
the system may have national defense/
foreign policy classifications up through
secret.
SYSTEM LOCATION:

Director, Security Center (OASAM),
U.S. Department of Labor, 200
Constitution Avenue NW, Washington,
DC, 20210.

RETENTION AND DISPOSAL:

Records are destroyed 5 years after
expiration of agreement. (NC1–64–77–
10 item 29a1)
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Employee and
Labor Management Relations, Human

PO 00000

Frm 00061

Fmt 4701

Sfmt 4703

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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

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.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

PURPOSE(S):

The purposes of this system 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:

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

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, the Department of
Homeland Security, and the Federal
Bureau of Investigation for use in
intelligence activities.
d. To Federal agencies as a data
source for management information
through the production of summary
descriptive statistics and analytical
studies in support of the functions for
maintained or for related studies.
e. To disclose information to officials
of the Merit Systems Protection Board,
including the Office of the Special
Counsel, when requested in connection
with appeals, special studies of the civil
service and other merit systems, review
of office rules and regulations,
investigations of alleged or possible
prohibited personnel practices, and
such other functions, e.g., as
promulgated in 5 U.S.C. 1205 and 1206,
or as may be authorized by law.
f. To disclose information to the Equal
Employment Opportunity Commission
when requested in connection with
investigations into alleged or possible
discrimination practices in the Federal
sector, examination of Federal
affirmative employment programs,
compliance by Federal agencies with
the Uniform Guideline Employee
Selection Procedures, or other functions
vested in the Commission by the
President’s Reorganization Plan No. 1 of
1978.

PO 00000

Frm 00062

Fmt 4701

Sfmt 4703

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:

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

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

Files are retrieved by the individual’s
name.
SAFEGUARDS:

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

Records are retained as follows:
a. Reports of action after OPM or FBI
section 8(d) background investigation
are retained for the life of the
investigative file.
b. Notices of Security Investigations
are retained for 20 years.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Security Center, OASAM,
U.S. Department of Labor, 200
Constitution Avenue NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this 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

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departments, courts, credit bureaus,
medical records, probation officials,
prison officials, newspapers, magazines,
periodicals, and other publications.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

This system may contain the
following types of information:
a. Investigatory material compiled
solely for the purpose of determining
suitability, eligibility, or qualifications
for Federal civilian employment. The
Privacy Act, at 5 U.S.C. 552a(k)(5),
permits an agency to exempt such
material from certain provisions of the
Act. Materials may be exempted to the
extent that release of the material to the
individual whom the information is
about would:
i. 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
ii. Reveal the identity of a source who,
prior to September 27, 1975, furnished
information to the Government under an
implied promise that the identity of the
source would be held in confidence.
b. For all the above reasons the
Department hereby exempts this system
from the following provisions of the
Privacy Act: 5 U.S.C. 552a (c)(3),(d),
(e)(1),(e)(4)(G), (H) and (I) and (f).
DOL/OASAM–22
SYSTEM NAME:

Civil Rights Center Discrimination
Complaint Case Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals, classes of individuals, or
representatives designated to act on
behalf of individuals, who file
complaints against recipients of
financial assistance under Title I of
either the Workforce Investment Act
(WIA) or the Workforce Innovation and
Opportunity Act (WIOA); One-Stop
Center partners listed in Section 121(b)
of either WIA or WIOA that offer
programs or activities through the
American Job Center system; any other
recipients of financial assistance from

19:00 Apr 28, 2016

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; Section 504 of the
Rehabilitation Act of 1973, as amended,
29 U.S.C. 794; Title IX of the Education
Amendments of 1972, as amended, 20
U.S.C. 1681–1688; the Age
Discrimination Act of 1975, as
amended, 42 U.S.C. 6101 et seq.;
Section 188 of the Workforce
Investment Act of 1998, 29 U.S.C. 2938;
Section 188 of the Workforce Innovation
and Opportunity Act, 29 U.S.C. 3248;
Title II, Subpart A, of the Americans
with Disabilities Act of 1990, as
amended, 42 U.S.C. 12131 et seq.;
Executive Orders 13160 and 13166;
Secretary’s Order 4–2000; 29 CFR parts
31, 32, 33, 35, 36 37, and 38; and 28
CFR part 35.
PURPOSE(S):

a. Civil Rights Center, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
b. Office of the Solicitor, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
and regional offices of the Solicitor.

VerDate Sep<11>2014

the Department itself; Department
conducted programs; or components of
State or local governments that exercise
responsibilities, regulate, or administer
services, programs, or activities
(including regulatory activities) relating
to labor and the workforce.

Jkt 238001

These records are used to process,
investigate and resolve discrimination
complaints filed with the Department
against (a) recipients of financial
assistance from the Department, and, in
the circumstances described in
‘‘CATEGORIES OF INDIVIDUALS
COVERED BY THE SYSTEM’’ above,
from other Federal departments and
agencies; (b) Department conducted
programs or activities; and (c)
components of State and local
governments that exercise
responsibilities, regulate, or administer
services, programs, or activities in all
programs, services, and regulatory
activities relating to labor and the
workforce.

25827

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

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, records that
are relevant and necessary may be
disclosed as follows:
a. To the Equal Employment
Opportunity Commission, Department
of Justice, Federal Mediation and
Conciliation Service, and other Federal
departments and agencies, when
relevant to matters within the
jurisdiction of those agencies over a
complaint, for investigatory,
conciliation, enforcement, or litigation
purposes.
b. To organizations (and their
employees) which are subject to CRC
jurisdiction under the circumstances
described above, 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 relevant witnesses so that they
may be given access to information and
documents in the correspondence files
and the investigative file where the
investigator determines that the
disclosure of information or documents
is necessary to obtain information from
the witness.
d. To the Equal Employment
Opportunity Commission, the
Department of Justice, the Department
of Health and Human Services, and
other Federal entities having
responsibility for coordinating civil
rights activities and/or preparing reports
to Congress under authorities indicated
in this particular notice.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

These records are retrieved by various
combinations of office case numbers,
complainant’s name, fiscal year, current
status of complaint, State, basis code,
and program code.
SAFEGUARDS:

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

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

PO 00000

None.

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Records in this system are destroyed
after one to four years. (N1 GRS 92 3
item 25c2).

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Individual complainants; respondent
officials, employees, and witnesses;
interrogatories; recipient files and
records; and physicians’ and other
medical service providers’ records.
SYSTEMS EXEMPTED FROM CERTAIN 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)(l); (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 with an
express promise that the identity of the
source would be held in confidence.
DOL/OASAM–25

SECURITY CLASSIFICATION:

a. In Washington, DC: OASAM,
Human Resources Center
b. OASAM Regional Personnel
Offices.

Current or former State or local
government agency or educational
institution employees, employees of
Indian tribal governments or employees
of other organizations who have
completed or are presently on an

Jkt 238001

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM–26
SYSTEM NAMES:

PURPOSE(S):

These records are maintained to
document and track mobility
assignments under IPA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

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

Files are retrieved by the name of the
individual.
SAFEGUARDS:

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

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Information contained in this system
is obtained from the assignee and
officials in DOL agencies, State and
local governments, educational
institutions, Indian tribal governments
and other organizations where the
assignee is employed.

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

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

SYSTEM LOCATION:

RECORDS SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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.

Records are retained for a period of
three years following the completion of
the assignment in accordance with the
applicable Records Schedule.

Intergovernmental Personnel Act
(IPA) Assignment Records.

19:00 Apr 28, 2016

CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION:

SYSTEM NAMES:

VerDate Sep<11>2014

assignment in a DOL agency under the
provisions of IPA.

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

PO 00000

Frm 00064

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Sfmt 4703

Frances Perkins Building Parking
Management System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Facilities Management,
Frances Perkins Building, 200
Constitution Avenue NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

This system includes: name, office
building and room number, office
telephone number, employing agency,
home address, federal service
computation date, handicap
certification, automobile license
number, make and year of car, permit
numbers (if assigned parking privileges),
category of assignment, and office
location in/out of zone of special
consideration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

To maintain records on individuals
who are assigned or applying for
assignment of parking privileges in the
Frances Perkins Building.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosure of information may be
made to other government agencies to
compare names of car pool members.
[For verification, the names of car pool
members, their office telephone number
and permit numbers will be displayed
within the Frances Perkins Building.]
Applications for disabled parking shall
be disclosed to the PHS for medical
review and approval. The names of car
pool members, permit number, agency

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
and office telephone numbers will be
provided to the management contractor
for the sale of permits.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

RECORD ACCESS PROCEDURE:

CATEGORIES OF INDIVIDUALS:

A petition for amendment should be
mailed to the System Manager.

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

CATEGORIES OF RECORDS IN THE SYSTEM:

Files are stored electronically and/or
on paper.

Records include individual identifiers
plus a photographic image of DOL
employees, DOL contractors and
individuals requiring access to the
department.

Files are retrieved by name or permit
number.

AUTHORITY OF MAINTENANCE OF 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:

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:

5 U.S.C. 301

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.

RECORD ACCESS PROCEDURE:

STORAGE:

A request for access should be mailed
to the System Manager.

Files are stored electronically and/or
on paper.

CONTESTING RECORDS PROCEDURES:

RETRIEVABILITY:

A petition for amendment should be
mailed to the System Manager.

Files are retrieved by the employee’s
or contractor’s last name or social
security number and agency.

Information contained in this system
is obtained from the individuals to
whom the information pertains and
other government agencies that provide
information to the Department.

SAFEGUARDS:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETENTION AND DISPOSAL:

DOL/OASAM–27
SYSTEM NAMES:

Employee/Contractor/Visitor
Identification System

CONTESTING RECORD PROCEDURE:

RECORD SOURCE CATEGORIES:

Information contained in this System
is obtained from DOL employees,
employees of contractors doing business
with DOL and individuals requiring
access to the DOL.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM–28

Incident Report/Restriction Notice.

To maintain records on the
identification of persons to be rightfully
admitted to DOL facilities.

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

None.

A request for access should be mailed
to the System Manager.

SYSTEM NAMES:

PURPOSE(S):

Inquiries should be mailed to the
System Manager.

RECORDS SOURCE CATEGORIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Administration and Management
(OASAM), Security Center (SC), 200
Constitution Avenue NW., Washington,
DC 20210.
DOL employees and employees of
contractors doing business with DOL
and individuals requiring access to the
DOL.

RETRIEVABILITY:

25829

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
Records are retained indefinitely, in
accordance with Records Schedule 174
(https://www.archives.gov/recordsmgmt/grs/grs11.pdf).
SYSTEM MANAGER(S) AND ADDRESS:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

U.S. Department of Labor, Office of
the Assistant Secretary for
Administration and Management
(OASAM), Security Center, 200
Constitution Avenue NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS:

Complainants, and Suspects (Subjects
of the investigations?).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records which contain information
on incidents that occurred in the
Frances Perkins Building. Information
includes name, agency and date of
incident.
AUTHORITY OF MAINTENANCE OF THE SYSTEM:

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

To provide a means of identifying
security problems thereby making it
possible to better utilize security
resources.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
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.

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

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

SYSTEM LOCATION:

NOTIFICATION PROCEDURE:

STORAGE:

U.S. Department of Labor, Office of
the Assistant Secretary for

Inquiries should be mailed to the
System Manager.

Files are stored electronically and/or
on paper.

SECURITY CLASSIFICATION:

None.

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

PO 00000

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

RETRIEVABILITY:

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

attendance records, earnings and leave
statements, applications for leave,
notifications of personnel actions, travel
vouchers, SF–171’s, certificates of
eligible, performance appraisals,
interviews and other data gathered from
involved parties and organizations
which are associated with the case.

RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Files are retrieved by names.
SAFEGUARDS:

Records are retained for two years, in
accordance with General Schedule
Number 18.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Security Center, U.S.
Department of Labor, OASAM/SC, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals, DOL
records, Federal investigatory agencies,
e.g. Federal Protective Services, U.S.
Secret Service, and Federal Bureau of
Investigations records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM–29
SYSTEM NAMES:

OASAM Employee Administrative
Investigation File.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Offices within the Office of the
Assistant Secretary for Administration
and Management (OASAM) at the
National Office and in each of the
Regional Offices in addition to all
OASAM client agencies in the National
Office and in the regions.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

OASAM employees and OASAM
client agency personnel against whom
allegations of misconduct have been
made.

To maintain records on investigations
of allegations of misconduct.
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.

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

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

Files are retrieved by name or case file
number.
SAFEGUARDS:

DOL/OASAM–30

RETENTION AND DISPOSAL:

SECURITY CLASSIFICATION:

Records are retained for four (4) years
following the date either case is: (a)
Referred to the Office of Inspector
General (OIG); (b) transferred to the
Office of Personnel (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.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Human Resources Center,
200 Constitution Avenue NW.,
Washington, DC 20210, and appropriate
Regional Human Resources Officers.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
A request for access shall be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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SYSTEM NAMES:

Injury Compensation System (ICS).
None.
SYSTEM LOCATION:

a. Offices in Washington, DC: Office
of Worker Safety and Health, OASAM,
and
b. OASAM Regional Personnel
Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current/former employees of the
Department of Labor and current/former
Job Corps Center students who file, or
who have filed on their behalf, workers’
compensation claims for traumatic
injury, occupational disease, recurrence
of disability, and death.
CATEGORIES OF RECORDS IN THE SYSTEM:

RECORDS ACCESS PROCEDURES:

Investigative report(s), sworn
affidavits, written statements, time and

19:00 Apr 28, 2016

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 5 U.S.C. 552a (f),
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.

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

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate Sep<11>2014

Information contained in this system
is obtained from hotline complaints
received through the OIG or 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:

PURPOSE(S):

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURE:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

5 U.S.C. 301.

RECORD SOURCE CATEGORIES:

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.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD SOURCE CATEGORIES:

SAFEGUARDS:

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; DOL Secretary’s Order 5–
2009.

Records in this system contain
information extracted from OWCP/
payroll data files/tapes and the Safety
and Health Information Management
System (SHIMS).

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

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Records are retained for no longer
than one year after the end of the
employee’s participation in the
program. (N1 GRS 92–1 item 42.)

PURPOSE:

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.

None.
DOL/OASAM–31

DOL Flexible Workplace Programs
Evaluation and Files.
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 IN THE SYSTEM:

None.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A request for access should be mailed
to the System Manager.

DOL participants in Flexible
Workplace Programs.

CONTESTING RECORD PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Files are stored electronically and/or
on paper.

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.

Paper files are indexed by agency/
region. Electronic files are retrieved by:
agency/region code, case number,
claimant’s name, fiscal year.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

SAFEGUARDS:

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

All records contained in the Injury
Compensation System should be
disposed of in accordance with
applicable records schedules under
General Records Schedule (GRS) 1.31.
SYSTEM MANAGER(S) NAME AND ADDRESS:

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

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.

DOL/OASAM/Office of Human
Resources, Office of Human Resource
Systems and with each employee’s
supervisor.

STORAGE:

RETRIEVABILITY:

RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:
SYSTEM NAMES:

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

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

25831

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual participants
and their supervisors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OASAM–32

PURPOSE(S):

These records are used for statistical
reporting and evaluation of the DOL
Flexible Workplace 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.

SYSTEM NAMES:

Transit Subsidy Management System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

U.S. Department of Labor, Office of
the Assistant Secretary for
Administration and Management
(OASAM), Human Resources Center
(HRC), Office of HR Works Systems
(OHRWS), 200 Constitution Avenue
NW., Room S–3308, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Inquiries should be mailed to the
System Manager.

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

All DOL employees who apply for
Transit Subsidy benefits.

RECORD ACCESS PROCEDURES:

STORAGE:

A request for access should be mailed
to the System manager.

Files are stored electronically and/or
on paper.

CONTESTING RECORD PROCEDURES:

RETRIEVABILITY:

Records include information on DOL
employees, such as name, grade,
organization (code), office location, and
home/work addresses.

A petition for amendment should be
mailed to the System Manager.

Files are retrieved by individual(s)
name(s).

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19:00 Apr 28, 2016

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CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S. C. 301.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

PURPOSES(S):

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

To maintain records on the Transit
Subsidy Program.

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

Team Leader, Health and Fitness
Team, Safety and Health Center, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington DC 20210.

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.

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.

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:

5 U.S.C. 301.

STORAGE:

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

Records are retrieved by employee’s
name.
SAFEGUARDS:

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

Records are retained for three years
and then destroyed in accordance with
OASAM Record Schedule.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of HR Works Systems,
HRC, OASAM, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Room S–3308, Washington DC, 20210
NOTIFICATION PROCEDURES:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES

A request for access should be mailed
to System Manager.
CONTESTING RECORDS PROCEDURES:

A petition for amendments should be
mailed to the System Manager.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

None.
DOL/OASAM–34
SYSTEM NAMES:

DOL Fitness Association (DOLFA)
Membership Files.
SECURITY CLASSIFICATION:

None.

19:00 Apr 28, 2016

Records are used to determine
eligibility for membership, emergency
contact numbers, and statistical
utilization of the Fitness Center.

Jkt 238001

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORDS PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
Information contained in this system
is obtained from members.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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

DOL/OASAM–35

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.

DOL Child Care Subsidy Program
Records.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

RETRIEVABILITY:

Files are retrieved by name.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

VerDate Sep<11>2014

PURPOSES(S):

Files are stored electronically and/or
on paper.

The information contained in this
system is obtained from the applicant
and manually verified against DOL’s
Human Resources System.

Inquiries should be mailed to the
System Manager.

RECORD SOURCE CATEGORIES:

STORAGE:

RECORD SOURCE CATEGORIES:

NOTIFICATION PROCEDURES:

SAFEGUARDS:

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

SYSTEM NAMES:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

DOL/OASAM/Worklife Center.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees of the Department of Labor
who apply for child care subsidies.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records include application forms for
the child care subsidy containing
personal information, including
employee (parent) name, grade, home
and work addresses, telephone
numbers, total family income, sources
and amounts of State/County/Local
subsidies, names of children on whose
behalf the parent is applying for the
child care subsidy, children’s Social
Security Numbers, children’s dates of
birth; information on child care
providers used, including name,
address, provider license number and
State where issued, tuition cost, and
provider tax identification number; and
copies of earnings and leave statements
and IRS Form 1040 and 1040A for
verification purposes.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Public Law 106–58, section 643 and
E.O. 9397.

RETENTION AND DISPOSAL:

PURPOSE(S):

Records are retained for five years
after a member terminates membership
in DOLFA in accordance with the
applicable Records Schedule.

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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / 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 set forth in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are retrieved by individual’s
name.
SAFEGUARDS:

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

Records are retained for three years in
accordance with OASAM Records
Schedule.
U.S. Department of Labor, Office of
the Assistant Secretary for
Administration and Management,
Human Resources Center, Office of
Worklife, Leave, and Benefits Policy and
Programs, Frances Perkins Building, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Information contained in the system
is obtained from DOL employees who
apply for the child care subsidy
program.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Personal Identity Verification
Credential

VerDate Sep<11>2014

19:00 Apr 28, 2016

Jkt 238001

Individuals who require regular,
ongoing access to Federal facilities,
information technology systems, or
information classified in the interest of
national security, including applicants
for employment or contracts, Federal
employees, contractors, students,
interns, volunteers, affiliates,
individuals authorized to perform or use
services provided in Department
facilities (e.g., Credit Union, Fitness
Center, etc.), and individuals formerly
in any of these positions.
Note: This system notice does not
apply to occasional visitors or shortterm guests to whom the Department
issues temporary identification cards.

PURPOSE(S):

The records are used to document and
verify the identity of personnel
requiring routine access to a DOL
facility or network.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The universal routine uses listed at
paragraphs 1, 2, 3 (except as noted on
forms SF 85, 85–P, and 86), 4, 5, 6, 8,
9, 10, and 12 in the General Prefatory
Statement to this document apply to
this system of records.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

5 U.S.C. § 301; E.O. 10450, 10865,
12333, and 12356; §§ 3301 and 9101 of
title 5, U.S. Code; §§ 2165 and 2201 of
title 42, U.S.C.; §§ 781–887 of title 50,
U.S.C.; parts 5, 732, and 736 of title 5,
Code of Federal Regulation; and
Homeland Security Presidential
Directive (HSPD) 12, Policy for a
Common Identification Standard for
Federal Employees and Contractors,
August 27, 2004.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

STORAGE:

DOL/OASAM–37

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Most personnel identity verification
records are not classified, however, in
some cases, records of certain
individuals, or portions of some records,
may be classified in the interest of
national security.
At national and regional offices of the
Department of Labor.

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

None.

SECURITY CLASSIFICATION:

SYSTEM LOCATION:

None.

25833

a. Name, former names, birth date,
birth place, Social Security Number,
signature, home address, email address,
phone numbers, residential history,
citizenship, fingerprints, results of
suitability decisions, date of issuance of
security clearance.
b. Copies of personal identity
verification (PIV) Application forms as
supplied by individuals covered by the
system.
c. Records maintained on individuals
issued credentials by the Department
include the following data fields: full
name; Social Security Number; date of
birth; image (photograph); fingerprints;
hair color; eye color; height; weight;
home address; work address; email
address; agency affiliation (i.e.,
employee, contractor, volunteer, etc.);
telephone numbers; PIV card issue and
expiration dates; personal identification
number (PIN); results of background
investigation; PIV request form;
emergency responder designation;
copies of ‘‘I–9’’ documents (e.g., driver’s
license, passport, birth certificate, etc.)
used to verify identification or
information derived from those
documents such as document titled,
document issuing authority, document
number, or document expiration date;
user access and permission rights,
authentication certificates; and digital
signature information.

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

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

Records are retrieved by name of
employee, Social Security Number,
other ID 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:

Records are destroyed upon
notification of death or not later than
five years after separation or transfer of
employee to another agency or
department, whichever is applicable in
accordance with GRS 18 item 22a.
Additionally, in accordance with
HSPD–12, PIV Cards are deactivated
within 18 hours of notification
regarding cardholder separation, loss of
card, or expiration. The information on
PIV Cards is maintained in accordance
with General Records Schedule 11, Item
4. PIV Cards are destroyed by cross-cut
shredding no later than 90 days after
deactivation.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

SYSTEM MANAGER(S) AND ADDRESS:

The relevant agency head for the
applicable component agency within
the U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
OCFO—DOL Office of the Chief Financial
Officer Systems of Records
DOL/OCFO–2
SYSTEM NAME:

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

New Core Financial Management
System (NCFMS).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

The information is accessed from the
following locations:
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 a payment(s)
from an agency/regional finance office,
as well as persons who are indebted to
DOL. Persons receiving payments
include but are not limited to
employees, vendors, travelers on official
business, grantees, contractors, and
consultants. Persons indebted to DOL
include but are not limited to persons
who have been overpaid, erroneously
and/or improperly paid, as well as
persons who have received from DOL
goods or services for which there is a
charge or fee (e.g., Freedom of
Information Act requesters).

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF RECORDS IN THE SYSTEM:

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

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

The records are an integral part of the
accounting system at the principal

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19:00 Apr 28, 2016

Jkt 238001

operating location, agency regional
offices, and specific area locations. The
system uses these records to keep track
of all commitments, obligations, and
payments to individuals, exclusive of
salaries and wages. When an individual
is to repay funds advanced, the records
could be used to establish a receivable
record and to track repayment status. In
the 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 U. S. Department
of Treasury 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
above.

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),
identification number (Taxpayer
Identification Number or other
identifying number), as well as 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.
g. Information will be disclosed:
i. To credit card companies for billing
purposes;
ii. To other Federal agencies for travel
management purposes;

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Sfmt 4703

iii. To airlines, hotels, car rental
companies and other travel related
companies for the purpose of serving
the traveler. This information will
generally include the name, phone
number, address, charge card
information and itineraries; and/or
iv. To state and local taxing officials
informing them of taxable income.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status, and history of
overdue debts; the name and address,
identification number (Taxpayer
Identification Number or other
identifying number), and other
information necessary to establish the
identity of a debtor; and 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) (Check cite)), 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) (check cite))
for the purpose of encouraging the
repayment of an overdue debt.
Note: Debts incurred by use of the official
travel charge card are personal and the
charge card company may report account
information to credit collection and reporting
agencies.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

Retrievability varies according to the
particular operating accounting system
within the Operating Division, Agency,
and Regional Office. Computer records
may be retrieved by accounting
classification, identification number,
voucher number, or on any field in the
record.
SAFEGUARDS:

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

All records in NCFMS are stored and
retained for the life of the system and a
minimum of six years and three months.
SYSTEM MANAGER(S) AND ADDRESS:

Associate Deputy CFO of Financial
Systems, Office of the Chief Financial
Officer, Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.

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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)

NOTIFICATION PROCEDURE:

Inquiries should be mailed or
presented to the System Manager.
RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the System Manager.
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, credit
card companies, government
contractors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OCFO–3
SYSTEM NAME:

Travel and Transportation System
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

a. All component offices in
Washington, DC;
b. Regional and area offices of the
components.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All individuals who travel in an
official capacity for the Department of
Labor.
CATEGORIES OF RECORDS IN THE SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Various records are created and
maintained in support of official travel.
The forms or succeeding forms may
include the following:
DL 1–33 Travel Authorization
SF 1038 Advance of Funds Application and
Account
SF 1012 Travel Voucher
DL 1–2024 Request and Authorization for
Exception From Standard Contract Terms
for City-Pair Service
DL 1–289 Request for Approval of GSA
Vehicle Option or Exemption
DL 1–473 Employment Agreement for
Transfers Within the Continental U.S.
DL 1–474 Employment Agreement for
Persons Assigned to Posts Outside the
Continental U.S.
DL–1–2030 Estimated PCS Travel and
Transportation Data for Travel
Authorization
DL–1–2031 Claim Form for Payment of
Relocation Income Tax Allowance
DL–1–2032 Covered Taxable
Reimbursements
DL–1–2033R Withholding Tax Allowance,
Summary of Transactions, Withholding of
Taxes, and W–2 Reporting
DL 1–472 Employee Application for
Reimbursement of Expenses Incurred in

VerDate Sep<11>2014

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Jkt 238001

Telephone charge cards.
As a result of travel, individuals may
become indebted to the Government.
Records used to cure these claims
include: Consumer credit reports,
information or records relating to the
debtor’s current whereabouts, assets,
liabilities, income and expenses,
debtor’s personal financial statements,
and other information such as the
nature, amount and history of the debt,
and other records and reports relating to
the implementation of the Debt
Collection Act of 1982, including any
investigative reports or administrative
review matters.
Individuals expecting to travel at least
two times per year are required to have
charge cards provided by Government
contract. Besides the application for
such cards, records created include
transaction, payment and account status
data.
Travel arrangement services are also
available by Government contract.
Records include traveler’s profile
containing name of individual, social
security number, home and office
telephones, agency’s name, address, and
telephone number, air travel preference,
rental car identification number and
preference of car, hotel preference,
current passport and/or visa number,
personal credit card numbers, and
additional information; travel
authorization; and monthly reports from
travel agent(s) showing charges to
individuals, balances, and other types of
account analyses. Permanent change of
station travel arrangements may include
information about real estate and
movement of household goods. To
provide more efficient processing of
travel documents, travel document
processing software will be used by
employees to record travel planning
information, expenses incurred,
traveler/employer identification
information (SSN, and other identifying
information used in conjunction with
the purposes of the software), user ID’s,
passwords, electronic signatures,
routing lists and other information used
by the system to track and process travel
documentation.
Vendors and contractors provide to
the Department itemized statements of

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25835

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 (check cite)
(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 (check cite) (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
(Check the cite) (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 ensure that the charge
cards are used only in the course of
official travel as required by the
contract. Data will also be analyzed to
permit more efficient and cost effective
travel planning and management,
including negotiated costs of
transportation, lodging, subsistence and
related services.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

a. Transmittal of data to the U.S.
Treasury to effect issuance of checks
and Electronic Funds Transfer (EFT)
payments to payees.
b. Information may be forwarded to
the Department of Justice as prescribed
in the Joint Federal Claims Collection
Standards (4 CFR Chapter II). When
debtors fail to make payment through
normal collection routines, the files are
analyzed to determine the feasibility of
enforced collection by referring the
cases to the Department of Justice for
litigation.
c. Pursuant to sections 5 and 10 of the
Debt Collection Act of 1982, information
relating to the implementation of the
Debt Collection Act of 1982 may be
disclosed to other Federal Agencies to
effect salary or administrative offsets, or
for other purposes connected with the

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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:
i. To credit card companies for billing
purposes;
ii. To Departmental and other Federal
agencies such as GSA for travel
management purposes;
iii. 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.

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:

SYSTEM MANAGER(S) AND ADDRESS:

Office of the Chief Financial Officer,
Travel Management Division,
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORDS ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Individuals, employees, other Federal
agencies, consumer reporting agencies,
credit card companies, government
contractors, state and local law
enforcement.

None.
ODEP—DOL Office of Disability
Employment Policy Systems of Records

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

Files are retrieved by name and/or
social security number of traveler or by
travel document number at each
location.

SYSTEM NAME:

Job Accommodation Network (JAN)
Files.
SECURITY CLASSIFICATION:

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

19:00 Apr 28, 2016

Jkt 238001

Job Accommodation Network, West
Virginia University, P.O. Box 6080,
Morgantown, West Virginia, 26505–
6080.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals with disabilities,
employers and the general public who
request information through the JAN
system.
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.
5 U.S.C. 301.
PURPOSE(S):

The Job Accommodation Network
(JAN) provides free expert and

Frm 00072

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

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

RETRIEVABILITY:

SYSTEM LOCATION:

PO 00000

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

Files are stored electronically.

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

confidential one-on-one technical
assistance to the general public via
phone, email and Web chat. JAN also
provides online resources and
publications, as well as in-person and
Web-based trainings to private and
federal sector employers; people with
disabilities, including disabled veterans;
employment service providers; and
educational institutions regarding
individualized job accommodations and
workplace strategies for job applicants
and employees with disabilities. JAN
offers guidance on the Americans with
Disabilities Act (ADA) and other
disability-related legislation and selfemployment and entrepreneurship
options for people with disabilities.

None.

DOL/ODEP–1

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Records are retained for 6 years or 3
months.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate Sep<11>2014

RETENTION AND DISPOSAL:

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Sfmt 4703

Files are retrieved by caller’s name,
state, date, and case file identifying
number.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

Records are retained permanently on
the file server with access by program
personnel only.
SYSTEM MANAGER(S) AND ADDRESS:

The Systems Manager is the Project
Director of the Job Accommodation
Network, West Virginia University, P.O.
Box 6080, Morgantown, WV 26506–
6080.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
Office of Disability Employment Policy,
200 Constitution Ave. NW.,
Washington, DC 20210 or to the
Freedom of Information Act/Privacy Act
Coordinator, at U.S. Department of

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
Labor/Office of Disability Employment
Policy, 200 Constitution Avenue NW.,
Washington, DC 20210.
RECORDS ACCESS PROCEDURES:

A request for access should be mailed
to Assistant Secretary for Disability
Employment Policy at the above
addresses.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual participants
in the JAN system.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are stored electronically and/or
on paper.

SYSTEM NAME:

Workforce Recruitment Program for
College Students with Disabilities
(WRP) Database.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Disability Employment
Policy, U.S. Department of Labor, 200
Constitution Ave. NW., Room S–1303,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

College students and recent graduates
with disabilities who have interviewed
with a WRP recruiter on or through a
college campus.
CATEGORIES OF RECORDS IN THE SYSTEM:

Student’s name, address, telephone
number, email address, college, major,
minor, credits earned, degree sought,
graduation date, Grade Point Average,
job preference categories, appointment
type, job location preference, type of
disability, job accommodation
information, resume, transcripts,
recruiter’s summary of student’s
interview and ratings, veteran status,
Schedule A eligibility, security
clearance status and type, age, gender,
and race/ethnicity.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
asabaliauskas on DSK3SPTVN1PROD with NOTICES

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. Accommodation information
concerning interviewees is disclosed to
interested federal employers but not to
private sector employers.

STORAGE:

DOL/ODEP–2

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

To provide federal and private sector
employers a database resource of college
students and recent graduates with
disabilities from which to identify
qualified temporary and permanent
employees in a variety of fields.

VerDate Sep<11>2014

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

19:00 Apr 28, 2016

Jkt 238001

25837

RECORD SOURCE CATEGORIES:

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

None.
OFCCP—DOL Office of Federal Contract
Compliance Programs Systems of
Records
OFCCP–1
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:

None.
SYSTEM LOCATION:

RETRIEVABILITY:

Records are retrieved by candidate’s
name, system generated unique
identification number, school attended,
academic major keyword, graduation
date, veteran status, interview notes and
resume keyword, location preference,
appointment type, degree program, and
job preference category.
SAFEGUARDS:

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

The application materials are retained
in a secure, online database for one year
from date of the interview through
December of the next year.
SYSTEM MANAGER(S) AND ADDRESS:

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

Individuals filing complaints with
OFCCP 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:

The System Manager is the WRP
Project Manager, Office of Disability
Employment Policy, U.S. Department of
Labor, 200 Constitution Ave. NW.,
Washington, DC 20210.

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.

NOTIFICATION PROCEDURE:

PURPOSE(S):

Inquiries should be mailed or
presented in writing to the System
Manager at the address listed above.

The Case Management System is the
data entry portion of OFCCP’s core case
management and management
information system. OFCCP Executive
Information System (OFEIS) makes up
the reporting side of the total system.
The Office of Contract Compliance
Programs Case Management System
(OFCMS) provides the umbrella under
which numerous applications can be
accessed. The purposes of the systems
are: To track and monitor, by means of
an automated database, complaint
investigations of employment

RECORDS ACCESS PROCEDURES:

Individuals wishing to gain access
shall write to the Office of Disability
Employment Policy at the above address
or to request access to the database can
register at www.wrp.gov.
CONTESTING RECORD PROCEDURES:

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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

discrimination by Federal contractors.
To provide OFCCP Managers with a
viable means of tracking the number of
hours used in performing OFCCP
program responsibilities. To track the
number of hours utilized by compliance
officers in performing their assigned
program duties and responsibilities.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

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

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

Computer security safeguards are
used for electronically stored data and
locked locations for paper files.
RETENTION AND DISPOSAL:

All data in the OFCCP Information
System is a permanent record. In
accordance with the agency records
schedule, data is to be transferred to
NARA every five calendar years in a
format acceptable to NARA at the time
of transfer [OFCCP Records Schedule
N1–448–01–02, Item 9(a)].
SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from OFCCP personnel
working in district and regional offices.

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Jkt 238001

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.

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

Files may be disclosed to:
a. 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;
b. Federal contractors and
subcontractors against whom a
complaint is filed, including providing
a copy of the complaint or a summary
for purposes of notice;
c. 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.

OFCCP–2

STORAGE:

VerDate Sep<11>2014

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

Office of Federal Contract Compliance
Programs Complaint Case Files.
SECURITY CLASSIFICATION:

None.

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

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).

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

Files are retrieved by name or OFCCP
control number.
SAFEGUARDS:

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.

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Sfmt 4703

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

a. Copies of complaints referred to
EEOC and other agencies for disposition
under Title VII of the Civil Rights Act
of 1964—Maintain in the office and
destroy one calendar year after referral
[OFCCP Records Schedule N1–448–01–
02, Item 32(b)].
b. Records of complaints determined
to be within the jurisdiction of OFCCP
and investigated of OFCCP—Retain in
active files until case is resolved. Retire
to inactive files for a period of four
calendar years in case of an appeal of
findings in the case. Maintain in the
office and destroy four calendar years
after case is resolved [OFCCP Records
Schedule N1–448–01–02, Item 32(c)].
c. All cases that are recommended for
administrative enforcement under the
jurisdiction of Executive Order 11246,
as amended, the Rehabilitation Act of
1973, as amended, and Vietnam Era
Veterans’ Readjustment Assistance Act
of 1974 or the Civil Rights Act of 1964—
Retain in active files until case is
resolved. Retire to inactive files for a

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period of four calendar years in case of
an appeal of findings in the case.
Maintain in the office and destroy four
calendar years after case is resolved
[OFCCP Records Schedule N1–448–01–
02, Item 32(d)].
SYSTEM MANAGER(S) AND ADDRESS:

Director 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:

Inquiries should be mailed to the
System Manager.

Persons who request access to, and
copies of, records pursuant to the
Freedom of Information Act (FOIA);
persons who request access to, copies
of, or correction of records pertaining to
themselves 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 individuals
identified above.
CATEGORIES OF RECORDS IN THE SYSTEM:

A petition for amendment should be
mailed to the System Manager.

The system contains (a) copies of all
correspondence, memoranda, and other
documents related to FOIA and Privacy
Act requests, and related records
necessary to the processing of such
requests; (b) copies of all documents
relevant to appeals and other litigation
under the FOIA and the Privacy Act.

RECORD SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Information contained in this system
is obtained from individual and class
action complainants, employers, coworkers, witnesses, State rehabilitation
agencies, physicians, and other health
care providers.

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3; Freedom of
Information Act, 5 U.S.C. 552; Privacy
Act, 5 U.S.C. 552a, and; 29 CFR parts 70
and 71.

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

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.
OIG—DOL Office of Inspector General
Systems of Records
DOL/OIG–2
SYSTEM NAME:

Freedom of Information Act/Privacy
Act Records.
SECURITY CLASSIFICATION:
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None but sensitive information used
for law enforcement purposes.
SYSTEM LOCATION:

Freedom of Information Act/Privacy
Act Disclosure Office, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

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PURPOSE(S):

This system of records is maintained
in order to reflect the identity of
requesters, the substance of each
request, the responses made by the
Office of Inspector General (OIG), and
compliance with the disclosure and
reporting requirements of the FOIA and
the Privacy Act. 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 administrative, and whether arising
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.

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25839

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 to either 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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to a contractor, grantee,
or other direct or indirect recipient of
federal funds. 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 respect to a
recipient’s activities, organization, or
personnel, and disclosure of the record
is made to permit the 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 or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
f. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
g. Disclosure to an entity hearing a
contract protest or dispute. A record
from a system of records may be
disclosed, as a routine use, to the United
States Government Accountability
Office, a Board of Contract Appeals, the

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Court of Federal Claims, or other court
or tribunal, in connection with bid
protest cases or contract dispute cases.
h. Disclosure to Office of Management
and Budget (OMB) or Department of
Justice (DOJ) regarding Freedom of
Information Act and Privacy Act advice.
Information from a system of records
may be disclosed, as a routine use, to
OMB or DOJ in order to obtain advice
regarding statutory and other
requirements under the FOIA or Privacy
Act.
i. Disclosure to the Department of the
Treasury (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
Treasury and DOJ when the OIG seeks
an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
j. 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, or other matters related
to the responsibilities of the OIG.
k. 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 of a computer matching
program or procedure.
l. Disclosure to any law enforcement
agency for inclusion in a database,
system, or process. A record from a
system of records may be disclosed, as
a routine use, to any law enforcement
agency for inclusion in a database,
system, or process designed to generate
investigative leads and information to
be used for law enforcement purposes.
This routine use also permits the
disclosure of such records to any law
enforcement agency with responsibility

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for investigating any investigative leads
or information generated by the
database, system, or other process in
which the records were included.
m. Disclosure to any inspector
general, receiver, trustee, or other
overseer of any entity with respect to
matters within the investigative
jurisdiction of the United States
Department of Labor (DOL) or the DOL
OIG. A record from this system of
records may be disclosed to any
individual or entity with responsibility
for oversight or management of any
entity with respect to matters within the
investigative jurisdiction of the DOL or
the DOL OIG. This would include, but
not be limited to, any receiver, trustee,
or established inspector general,
whether court appointed or otherwise,
that has been duly granted authority for
oversight of an entity with respect to
matters within the investigative
authority of the DOL or the DOL OIG.
n. Information may be disclosed to
complainants and victims to the extent
necessary to provide them with
information concerning the process or
results of the investigation or case
arising from the matter about which
they complained or were the victim.
o. Information may be disclosed to
other Federal Offices of Inspector
General and/or to the Council of the
Inspectors General on Integrity and
Efficiency for purposes of conducting
the external review process required by
the Homeland Security Act.
p. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by
DOL or another agency or entity) that
rely upon the compromised
information, and; (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with DOL’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.

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

Files are stored electronically and/or
on paper. The records in this system are
maintained in an electronic system and
paper file system in a locked office.
RETRIEVABILITY:

Files are retrieved by the name of the
individual or by the case file numbers.
SAFEGUARDS:

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

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).
SYSTEM MANAGER(S) AND ADDRESS:

Disclosure Officer, Office of Inspector
General, U.S. Department of Labor,
Room S1303, 200 Constitution Avenue
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from the persons or entities
making requests, from the systems of
records searched to respond to requests,
and from other agencies referring
requests for access or correction of
records originating in the Office of
Inspector General.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Records obtained and stored in this
system may originate from other
systems of records which have been
exempted under the provisions of FOIA
and the Privacy Act, and these records
are exempt under this system to the
same extent as the systems of records
from which they were obtained.
DOL/OIG–5
SYSTEM NAME:

Audit Information Reporting Team
Tech TEX Tracking System, within the
Workpaper Tracking System.

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SECURITY CLASSIFICATION:

None.
SYSTEM LOCATIONS:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington DC 20210;
OIG regional and field offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Office of Inspector General (OIG)
Office of Audit staff.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records or information contained in
the system include: Employee name,
position, projects assigned to employee,
work and leave hours, workflow, case
tracking data, and statistical data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.
PURPOSE(S):

This system is maintained in order to
track and monitor the audit projects and
other matters assigned to OIG audit
staff, to document auditors’ work and
leave hours and travel expenses, and to
run statistical reports.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to either 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 relates to

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19:00 Apr 28, 2016

Jkt 238001

qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to a contractor, grantee,
or other direct or indirect recipient of
federal funds. 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 respect to a
recipient’s activities, organization, or
personnel, and disclosure of the record
is made to permit the 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 or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
f. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
g. Disclosure to an entity hearing a
contract protest or dispute. A record
from a system of records may be
disclosed, as a routine use, to the United
States Government Accountability
Office, a Board of Contract Appeals, the
Court of Federal Claims, or other court
or tribunal, in connection with bid
protest cases or contract dispute cases.
h. Information may be disclosed to
other Federal Offices of Inspector
General and/or the Council of Inspectors
General on Integrity and Efficiency
(CIGIE) for purposes of conducting the
external review process required by the
Homeland Security Act.
j. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security
or confidentiality of information in the

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25841

system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Department or another agency or entity)
that rely upon the compromised
information, and; (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Department’s
efforts to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, AND DISPOSING OF
RECORDS IN THE SYSTEM:
STORAGE:

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

Files are retrieved by individual
name(s) or project/case name/case
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:

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).
SYSTEM MANAGERS AND ADDRESS:

Assistant Inspector General for Audit,
200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this System
is obtained from activity supervisors,
and audit personnel assigned to directly

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input work hours and leave associated
with audit project activity.
SYSTEMS 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:

DOL/OIG–6
SYSTEM NAME:

Hotline and Complaints Analysis
Files.
SECURITY CLASSIFICATION:

Unclassified but sensitive information
used for law enforcement purposes.
SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Complainants, federal and other
public employees, contractors and
subcontractors, grantees and subgrantees, benefits claimants, alleged
violators of federal, state, and local
laws, regulations and policies, union
officers, trustees of benefit plans, and
employers.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records of
complaints and allegations of waste,
fraud, abuse, and violations of laws,
regulations, and policies; complaint
letters; referrals to federal, state, and
local agencies; tracking information
regarding referrals; summary
information for indexing and cross
referencing; reports and associated
materials filed with the Department of
Labor (DOL) or other government
agencies from medical providers,
grantees, contractors, employers,
insurance companies, and other sources;
other evidence and background material
relating to complaints existing in any
form.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.

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PURPOSE(S):

This system is established and
maintained to fulfill the purposes of the
Inspector General Act of 1978, as
amended, and to fulfill the
responsibilities assigned by that Act
concerning receipt of complaints and
other information from which audits,
investigations, inspections, and
evaluations may develop. The OIG
initiates investigations, audits,
inspections, and evaluations of
individuals, entities and programs. This
system is the repository of complaint
information documented and reviewed

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for investigative merit, referral for
investigation, referral for auditing,
referral to DOL program agencies or
other public agencies, or no action.

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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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to 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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to a contractor, grantee,
or other direct or indirect recipient of
federal funds. 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 respect to a
recipient’s activities, organization, or
personnel, and disclosure of the record
is made to permit the 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 or other matters
related to the responsibilities of the
Office of Inspector General (OIG). 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

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sought in furtherance of an investigation
or other matters related to the
responsibilities of the OIG.
f. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
g. Disclosure to an entity hearing a
contract protest or dispute. A record
from a system of records may be
disclosed, as a routine use, to the United
States Government Accountability
Office, a Board of Contract Appeals, the
Court of Federal Claims, or other court
or tribunal, in connection with bid
protest cases or contract dispute cases.
h. Disclosure to the Office of
Management and Budget (OMB) or
Department of Justice (DOJ) regarding
Freedom of Information Act (FOIA) and
Privacy Act advice. Information from a
system of records may be disclosed, as
a routine use, to OMB or DOJ in order
to obtain advice regarding statutory and
other requirements under the FOIA or
Privacy Act.
i. Disclosure to the Department of the
Treasury (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
Treasury and DOJ when the OIG seeks
an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
j. 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, or other matters related
to the responsibilities of the OIG.
k. Disclosure in accordance with
computer matching laws, regulations,
and/or guidelines. A record may be
disclosed to a federal, state, or local

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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 of a computer matching
program or procedure.
l. Disclosure to any law enforcement
agency for inclusion in a database,
system, or process. A record from a
system of records may be disclosed, as
a routine use, to any law enforcement
agency for inclusion in a database,
system, or process designed to generate
investigative leads and information to
be used for law enforcement purposes.
This routine use also permits the
disclosure of such records to any law
enforcement agency with responsibility
for investigating any investigative leads
or information generated by the
database, system, or other process in
which the records were included.
m. Disclosure to any inspector
general, receiver, trustee, or other
overseer of any entity with respect to
matters within the investigative
jurisdiction of DOL or the DOL OIG. A
record from this system of records may
be disclosed to any individual or entity
with responsibility for oversight or
management of any entity with respect
to matters within the investigative
jurisdiction of DOL or the DOL OIG.
This would include, but not be limited
to, any receiver, trustee, or established
inspector general, whether court
appointed or otherwise, that has been
duly granted authority for oversight of
an entity with respect to matters within
the investigative authority of DOL or the
DOL OIG.
n. Information may be disclosed to
complainants and victims to the extent
necessary to provide them with
information concerning the process or
results of the investigation or case
arising from the matter about which
they complained or were the victim.
o. Information may be disclosed to
other Federal Offices of Inspector
General and/or to the President’s
Council of the Inspectors General on
Integrity and Efficiency for purposes of
conducting the external review process
required by the Homeland Security Act.
p. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security

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or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Department or another agency or entity)
that rely upon the compromised
information, and; (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with DOL’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OR RECORDS IN THE SYSTEM:
STORAGE:

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

Paper files are retrieved by case
number. Electronic files are retrieved by
case number, case name, subject, cross
referenced item, or batch retrieval
applications.
SAFEGUARDS:

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

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).
SYSTEM MANAGER(S) AND ADDRESS:

Counsel to the Inspector General,
Office of Legal Services, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual
complainants and other individuals
possessing relevant information,
Federal, state and local government
records, individual and company
records, court records, publicly
available articles, Web sites, financial
data, corporate information, and other
sources that may arise.
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
Privacy 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 Privacy Act would substantially
compromise the efficacy and integrity of
OIG operations in a number of ways.
The 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 confidentially 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 the
integrity of 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

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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 also would
be counter-productive to the thorough
performance of clandestine criminal
investigations. See, 5 U.S.C. 552a(e)(2).
Finally, providing notice to an
individual interviewed of the authority
of the interviewer, the purpose 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 Privacy 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. 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 under a DOL contract is
exempt from the following sections of
the Privacy 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 confidential
sources when an express promise of
confidentiality has been given in order
to obtain information from sources that
would otherwise be unwilling to
provide necessary information.
DOL/OIG–7
SYSTEM NAME:

Correspondence Tracking System.
SECURITY CLASSIFICATION:

None.

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SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Members of Congress and
Congressional staff members;
individuals who correspond with, or
otherwise contact, the Office of
Inspector General (OIG), and OIG staff
assigned to process and handle such
correspondence.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records of
correspondence to and from the OIG, via
letter, email, fax, or other media, and
any associated records or attachments
provided by the correspondent or
included with the response provided by
the OIG.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.
PURPOSE(S):

This system is established and
maintained to fulfill the purposes of the
Inspector General Act of 1978, as
amended, regarding audits,
investigations, inspections, evaluations,
and other oversight of Department of
Labor (DOL) programs and operations,
and to report to and be responsive to
inquiries and other input from the
public and from Congressional
Committees and Members. This system
is the repository of correspondence to
and from the OIG, the public, and
Congressional Committees and
Members, and includes complaints and
referrals reviewed for response by the
OIG, which may include full
investigation, referral for auditing,
referral for DOL program agency action,
or no action. The system files maintain
information from the time the
correspondence has been received until
the correspondence file has been closed.
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
from 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

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local agency or professional
organization, charged with
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to 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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to a contractor, grantee,
or other direct or indirect recipient of
federal funds. 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 respect to a
recipient’s activities, organization, or
personnel, and disclosure of the record
is made to permit the 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 or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
f. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.

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g. Disclosure to an entity hearing a
contract protest or dispute. A record
from a system of records may be
disclosed, as a routine use, to the United
States Government Accountability
Office, a Board of Contract Appeals, the
Court of Federal Claims, or other court
or tribunal, in connection with bid
protest cases or contract dispute cases.
h. Disclosure to the Office of
Management and Budget (OMB) or
Department of Justice (DOJ) regarding
Freedom of Information Act (FOIA) and
Privacy Act advice. Information from a
system of records may be disclosed, as
a routine use, to the OMB or DOJ in
order to obtain advice regarding
statutory and other requirements under
the FOIA or Privacy Act.
i. 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, or other matters related
to the responsibilities of the OIG.
j. 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 of a computer matching
program or procedure.
k. Disclosure to any inspector general,
receiver, trustee, or other overseer of
any entity with respect to matters
within the investigative jurisdiction of
the DOL or the DOL OIG. A record from
this system of records may be disclosed
to any individual or entity with
responsibility for oversight or
management of any entity with respect
to matters within the investigative
jurisdiction of DOL or the DOL OIG.
This would include, but not be limited
to, any receiver, trustee, or established
inspector general, whether court
appointed or otherwise, that has been
duly granted authority for oversight of

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an entity with respect to matters within
the investigative authority of DOL or the
DOL OIG.
l. Information may be disclosed to
complainants and victims to the extent
necessary to provide them with
information concerning the process or
results of the investigation or case
arising from the matter about which
they complained or were the victim.
m. Disclosure to appropriate agencies,
entities and persons when (1) it is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by
DOL or another agency or entity) that
rely upon the compromised
information, and; (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with DOL’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OR RECORDS IN THE SYSTEM:
STORAGE:

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

Files are retrieved by name and case
number, and are retrieved by case
number, correspondent’s name, subject,
or cross referenced item.
SAFEGUARDS:

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

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Management and Policy, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

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25845

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from correspondence
received from Congressional offices.
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
Privacy 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 Privacy Act would substantially
compromise the efficacy and integrity of
OIG operations in a number of ways.
The 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 confidentially 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 the
integrity of 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).

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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 also would
be counter-productive to the thorough
performance of clandestine criminal
investigations. See, 5 U.S.C. 552a(e)(2).
Finally, providing notice to an
individual interviewed of the authority
of the interviewer, the purpose 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 Privacy 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. 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 under a DOL contract is
exempt from the following sections of
the Privacy 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 confidential
sources when an express promise of
confidentiality has been given in order
to obtain information from sources that
would otherwise be unwilling to
provide necessary information.
DOL/OIG–8
SYSTEM NAME:

Office of Inspector General (OIG)
Employee Credential System

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SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Human Resources Division, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former employees of the
Office of Inspector General.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records contained in a personnel
database system established to control
issuance of credentials to United States
Department of Labor (DOL) Office of
Inspector General (OIG) personnel. The
system contains photographs of all
employees and other materials reflecting
employees’ names, titles, duty locations,
credential numbers, and dates of
issuance.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.
PURPOSE(S):

The credentials file system assists in
the issuance and control of official
credentials issued to OIG personnel for
identification purposes to establish
official identification and authority
when interacting with the general
public, or with other agencies in the
performance of official duties.
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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to 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.

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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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
e. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
f. Disclosure to appropriate agencies,
entities and persons when (1) it is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Department or another agency or entity)
that rely upon the compromised
information, and; (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Department’s
efforts to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

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

Files are retrieved by employee name.
SAFEGUARDS:

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

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA) http://
www.archives.gov/records-mgmt/grs/
index.pdf.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Management and Policy, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from OIG employees who
are issued official credentials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OIG–9
SYSTEM NAME:

OIG Property Tracking Systems.
SECURITY CLASSIFICATION:

None.

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SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals that are assigned custody
of the Office of Inspector General (OIG)
owned or leased property such as
computers, cell phones, vehicles, radios,
investigative equiment, firearms, and
ammunition.

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The systems contain records related to
OIG owned or leased property, and
related to the employees that are
assigned such property.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3; Title 41,
Federal Management Regulations.
PURPOSE(S):

To identify, monitor, and track all
OIG owned or leased property and
equipment, its assigned location, the
individual assigned custody of the
property, and to account for the
acquisition and disposal of such
property and equipment.
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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to 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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation or other matters
related to the responsibilities of the OIG.
A record from a system of records may
be disclosed, as a routine use, to any
source, either private or governmental,

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25847

to the extent necessary to secure from
such source information relevant to and
sought in furtherance of an investigation
or other matters related to the
responsibilities of the OIG.
e. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
f. Information may be disclosed to
other Federal Offices of Inspector
General and/or to the President’s
Council of the Inspectors General on
Integrity and Efficiency for purposes of
conducting the external review process
required by the Homeland Security Act.
g. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
DOL or another agency or entity) that
rely upon the compromised
information; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Department’s
efforts to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OR RECORDS IN THE SYSTEM:
STORAGE:

Files are stored electronically and/or
on paper.

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RETRIEVABILITY:

Files are retrieved by employee name
and/or assigned property number.
SAFEGUARDS:

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

CATEGORIES OF RECORDS IN THE SYSTEM:

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).

Pre-employment clearance forms and
reports filed by individuals, and
documents related to federal and other
law enforcement checks, prior employer
checks/references, credit checks, and
any other records gathered during the
course of the pre-employment process.
A paper file is maintained for PECIs that
are filed under each individual’s name.

SYSTEM MANAGER(S) AND ADDRESS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Assistant Inspector General for
Management and Policy, and Assistant
Inspector General for Labor
Racketeering and Fraud Investigations,
U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.; Executive
Order 10450.

RETENTION AND DISPOSAL:

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from OIG program managers
and employees possessing OIG owned
and leased property, or employees who
are responsible for monitoring such
property.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OIG–10
SYSTEM NAME:

Office of Inspector General (OIG) Preemployment Checks and Inquiries
(PECI) System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

(OIG); and individuals considered for
access to restricted areas and
information, such as contractors hired
by the OIG, and contractor employees.

Human Resources Division, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former employees of the
U.S. Department of Labor, Office of
Inspector General; applicants for
employment in the U.S. Department of
Labor (DOL), Office of Inspector General

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PURPOSE(S):

The PECI file system is a repository
for documentation related to individual
personnel determinations for suitability
and fitness for Federal employment. The
system also documents findings of law
enforcement, employment, and credit
inquiries, and personnel suitability
determinations made by the OIG as a
result of official pre-employment
inquiries.
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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
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 to 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 relates to

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qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
e. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
f. 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, or other matters related
to the responsibilities of the OIG.
g. Disclosure to any law enforcement
agency for inclusion in a database,
system, or process. A record from a
system of records may be disclosed, as
a routine use, to any law enforcement
agency for inclusion in a database,
system, or process designed to generate
investigative leads and information to
be used for law enforcement purposes.
This routine use also permits the
disclosure of such records to any law
enforcement agency with responsibility
for investigating any investigative leads
or information generated by the
database, system, or other process in
which the records were included.
h. Information may be disclosed to
other Federal Offices of Inspector
General and/or to the President’s

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Council of the Inspectors General on
Integrity and Efficiency for purposes of
conducting the external review process
required by the Homeland Security Act.
i. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Department or another agency or entity)
that rely upon the compromised
information; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Department’s
efforts to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy any harm.

CONTESTING RECORD PROCEDURES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM LOCATIONS:

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from: applications and other
personnel and security forms furnished
by individuals; investigative and other
information furnished by Federal
agencies, and; from sources such as
employers, educational institutions, and
credit bureaus.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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

SYSTEM NAME:

Investigative Case Files and Tracking
System, Case Development and
Intelligence Records, USDOL/OIG.
SECURITY CLASSIFICATION:

Unclassified but sensitive information
used for law enforcement purposes.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

STORAGE:

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA) http://
www.archives.gov/records-mgmt/grs/
index.pdf.

Individuals associated with OIG
investigative operations and activities,
including but not limited to: OIG
employees, DOL employees, applicants
for employment, contractors,
subcontractors, grantees, sub-grantees,
complainants, individuals threatening
the Secretary of Labor or other DOL
employees, alleged or suspected
violators of federal laws and regulations,
union officers, trustees of employee
benefit plans, employers, witnesses,
individuals filing claims for
entitlements or benefits under laws
administered by the Department of
Labor, and individuals providing
medical and other services for the Office
of Workers Compensation Programs
(OWCP) or for OWCP claimants.

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Assistant Inspector General for
Management and Policy, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

The system contains records related to
administrative, civil, and criminal
investigations, complaints, and case
workflow information, including but not
limited to: Statements and other
information from subjects, targets,
witnesses, and complainants; materials
obtained from federal, state, local, or
international law enforcement or other
organizations; intelligence information
obtained from various sources;
information relating to criminal, civil, or
administrative referrals and/or results of

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

Files are retrieved by name.
SAFEGUARDS:

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

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.

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Frm 00085

investigations or audits; investigative
notes and investigative reports;
summary information for indexing and
cross referencing; reports and associated
materials filed with DOL or other
government agencies from medical
providers, grantees, contractors,
employers, insurance companies, or
other entities; documents obtained by
subpoena, search warrant, or any other
means; other evidence and background
material.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.
PURPOSE(S):

DOL/OIG–11

Office of Inspector General (OIG), U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210;
OIG regional and field offices.

None.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

A petition for amendment should be
mailed to the System Manager.

25849

Fmt 4701

Sfmt 4703

This system is established and
maintained to fulfill the purposes of the
Inspector General Act of 1978, as
amended, and to fulfill the
responsibilities assigned by that Act
concerning investigative operations and
activities. The OIG initiates
investigations of individuals, entities,
and programs, and this system is the
repository of all investigative
information developed prior to and
during the course of such investigations.
This system includes: (1) Records
created as a result of external and
internal investigations conducted by the
OIG; (2) documents relating to targeting,
surveys, and other projects related to the
development of cases; (3) intelligence
information concerning individuals
identified as potential violators of
federal laws and regulations, and other
individuals associated with them; (4)
records of complaints which are
reviewed for investigative merit; and (5)
case agent assignment and work
allocation data.
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
from 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
responsibility for investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, rule, regulation, or order.
b. Introduction to a grand jury. A
record from a system of records may be

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

disclosed, as a routine use, to a grand
jury agent pursuant to either 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 relates to
qualifications, including moral,
educational or vocational qualifications,
of an individual seeking to be licensed
or to maintain a license.
d. Disclosure to a contractor, grantee,
or other direct or indirect recipient of
federal funds. 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 respect to a
recipient’s activities, organization, or
personnel, and disclosure of the record
is made to permit the 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 or other matters
related to the responsibilities of the OIG.
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
or other matters related to the
responsibilities of the OIG.
f. Disclosure 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 the assignment, hiring,
or retention of an individual, issuance
of a security clearance, 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, or
to solicit information from the federal,
state, local, foreign, or international
agency, for the OIG’s use in connection
with the assignment, hiring, or retention
of an individual, issuance of a security
clearance, letting of a contract, or
issuance of a license, grant or other
benefit.
g. Disclosure to an entity hearing a
contract protest or dispute. A record
from a system of records may be
disclosed, as a routine use, to the United
States Government Accountability
Office, a Board of Contract Appeals, the
Court of Federal Claims, or other court

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or tribunal, in connection with bid
protest cases or contract dispute cases.
h. 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.
i. 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.
j. 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, or other matters related
to the responsibilities of the OIG.
k. 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 of a computer matching
program or procedure.
l. Disclosure to any law enforcement
agency for inclusion in a database,
system, or process. A record from a
system of records may be disclosed, as
a routine use, to any law enforcement
agency for inclusion in a database,
system, or process designed to generate
investigative leads and information to
be used for law enforcement purposes.
This routine use also permits the
disclosure of such records to any law
enforcement agency with responsibility
for investigating any investigative leads

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or information generated by the
database, system, or other process in
which the records were included.
m. Disclosure to any inspector
general, receiver, trustee, or other
overseer of any entity with respect to
matters within the investigative
jurisdiction of the United States
Department of Labor (DOL) or the DOL
OIG. A record from this system of
records may be disclosed to any
individual or entity with responsibility
for oversight or management of any
entity with respect to matters within the
investigative jurisdiction of the United
States Department of Labor or the DOL
OIG. This would include, but not be
limited to, any receiver, trustee, or
established inspector general, whether
court appointed or otherwise, that has
been duly granted authority for
oversight of an entity with respect to
matters within the investigative
authority of the United States
Department of Labor or the DOL OIG.
n. Information may be disclosed to
complainants and victims to the extent
necessary to provide them with
information concerning the process or
results of the investigation or case
arising from the matter about which
they complained or were the victim.
o. Information may be disclosed to
other Federal Offices of Inspector
General and/or to the President’s
Council of the Inspectors General on
Integrity and Efficiency for purposes of
conducting the external review process
required by the Homeland Security Act.
p. Disclosure to appropriate agencies,
entities and persons when: (1) It is
suspected or confirmed that the security
or confidentiality of information in the
system of records has been
compromised; (2) it has been
determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Department or another agency or entity)
that rely upon the compromised
information; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Department’s
efforts to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy any harm.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records from this system are not
disclosed to consumer reporting
agencies for credit rating or related
purposes.

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

may arise during the course of an
investigation.

STORAGE:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

The written case records are retrieved
by case number. Electronic records are
retrieved by case number, case name,
subject, cross referenced item or, batch
retrieval applications. Case agent work
assignment information is retrieved by
agent name, case name number, or OIG
office.
SAFEGUARDS:

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

Records are retained and disposed of
in accordance with the schedules
approved by the National Archives and
Records Administration (NARA).
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for Labor
Racketeering and Fraud Investigations,
and Assistant Inspector General for
Inspections and Special Investigations,
Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to:
Disclosure Officer, Office of Inspector
General, U.S. Department of Labor, 200
Constitution Ave NW., Washington, DC
20210.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual complaints
and complainants, witnesses, interviews
conducted during investigations,
Federal, state and local government
records, individual and 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, service
providers, other law enforcement
organizations, grantees and subgrantees, contractors and
subcontractors, and other sources that

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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
Privacy 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 Privacy Act would substantially
compromise the efficacy and integrity of
OIG operations in a number of ways.
The 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 confidentially 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 the
integrity of 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. 552 a(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 also would
be counter-productive to the thorough
performance of clandestine criminal
investigations. See, 5 U.S.C. 552a(e)(2).
Finally, providing notice to an

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25851

individual interviewed of the authority
of the interviewer, the purpose 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 Privacy 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. 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 under a DOL contract is
exempt from the following sections of
the Privacy 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 confidential
sources 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.
OLMS—DOL Office of Labor-Management
Standards Systems of Records
DOL/OLMS–1
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

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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.

SYSTEM MANAGER(S) AND ADDRESS:

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.

Director, Office of Field Operations,
Office of Labor-Management Standards,
U.S. Department of Labor, 200
Constitution Avenue NW., Washington,
DC 20210.

DOL/OLMS–2

NOTIFICATION PROCEDURE:

SYSTEM NAME:

Inquiries should be mailed to the
System Manager.

OLMS Public Disclosure Request
Tracking 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.

RECORDS ACCESS PROCEDURE:

SECURITY CLASSIFICATION:

A request for access should be mailed
to the System Manager.

SYSTEM LOCATION:

PURPOSE(S):

CONTESTING RECORD PROCEDURE:

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.

A petition for amendment should be
mailed to the System Manager.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEMS, 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, 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).
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by the name of
union, union officials, individuals
investigated, business organizations,
labor relations consultants, and other
individuals and organizations deemed
significant.
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field offices. Closed files are retained
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)
in accordance with OLMS Records
Schedule Number N1–317–02–03/5B.

SAFEGUARDS:

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

Records pertaining to open
investigations are retained in the OLMS

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RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from labor unions, union
members, union officials and
employees, employers, labor relations
consultants, and other individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

To the extent this system of records is
maintained for criminal law
enforcement purposes, it is exempt
pursuant to 5 U.S.C. 552a(j)(2) from all
provisions of the Privacy Act except the
following: 5 U.S.C. 552a(b), (c)(1) and
(2), (e)(4)(A) through (F), (e)(6), (7), (9),
and (11), and (i). In accordance with 5
U.S.C. 552a(k)(2), investigatory material
in this system of records compiled for
civil law enforcement purposes is
exempt for subsections (c)(3), (d), (e)(1),
(e)(4), (G), (H), and (I); and (f) of 5 U.S.C.
552a, provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individuals, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
Exemption under 5 U.S.C. 552a(j)(2) and
(k)(2) of information within this system
of records is necessary to undertake the
investigative and enforcement

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None.
U.S. Department of Labor, Office of
Labor-Management Standards Division
of Reports, Disclosure and Audits U.S.
Department of Labor, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who request documents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Data regarding the request for copies
of annual financial reports, information
reports, trusteeship reports, and
constitution and bylaws filed with the
Department of Labor by labor unions, as
well as any other reports filed by labor
union officers and employees,
employers, labor relations consultants,
and surety companies, 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), email
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.

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

SECURITY CLASSIFICATION:

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

SYSTEM LOCATION:

At offices of the Occupational Safety
and Health Administration (OSHA)
including National, regional, and area
offices.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

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

Files are retrieved by individual
name, organization name, address,
control number, or request date.
SAFEGUARDS:

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

Records are retained for one year or
until no longer needed, in accordance
with General Records Schedule Number
23, N1–GRS–23–8.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Reports, Disclosure
and Audits Office of Labor-Management
Standards, 200 Constitution Avenue
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals requesting
documents from the OLMS Public
Disclosure Room, and OLMS employees
processing the request.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
OSHA—DOL Occupational Safety and
Health Administration Systems of
Records
DOL/OSHA–1
SYSTEM NAME:

Retaliation Complaint File.

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19:00 Apr 28, 2016

Jkt 238001

Individuals who have filed
complaints alleging retaliation against
them by their employers, or by others,
for engaging in activities protected
under the various statutes set forth
below, popularly referenced as
whistleblower protection statutes.
Complainants may file such claims with
OSHA pursuant to 22 statutes: The
Occupational Safety and Health Act (29
U.S.C. 660(c)); the Surface
Transportation Assistance Act (49
U.S.C. 31105); the Asbestos Hazard
Emergency Response Act (15 U.S.C.
2651); the International Safe Container
Act (46 U.S.C. 80507); the Safe Drinking
Water Act (42 U.S.C. 300j–9(i)); the
Federal Water Pollution Control Act (33
U.S.C. 1367); the Toxic Substances
Control Act (15 U.S.C. 2622); the
Wendell H. Ford Aviation Investment
and Reform Act for the 21st Century (49
U.S.C. 42121); the Solid Waste Disposal
Act (42 U.S.C. 6971); the Clean Air Act
(42 U.S.C. 7622); the Comprehensive
Environmental Response, Compensation
and Liability Act of 1980 (42 U.S.C.
9610); the Energy Reorganization Act of
1978 (42 U.S.C. 5851); the Pipeline
Safety Improvement Act of 2002 (49
U.S.C. 60129); the Corporate and
Criminal Fraud Accountability Act of
2002, Title VIII of the Sarbanes-Oxley
Act of 2002 (18 U.S.C. 1514A); the
Federal Railroad Safety Act (49 U.S.C.
20109); the National Transit Systems
Security Act (6 U.S.C. 1142); the
Consumer Product Safety Improvement
Act (15 U.S.C. 2087); the Affordable
Care Act (29 U.S.C. 218C) the Consumer
Financial Protection Act of 2010 (12
U.S.C. 5567); the Seaman’s Protection
Act (46 U.S.C. 2114); the FDA Food
Safety Modernization Act (21 U.S.C.
399d); and the Moving Ahead for
Progress in the 21st Century Act (49
U.S.C. 30171).
CATEGORIES OF RECORDS IN THE SYSTEM:

Complainant’s name, address,
telephone numbers, occupation, place of
employment, and other identifying data
along with the allegation, OSHA forms,
and evidence offered in the allegation’s
proof. Respondent’s name, address,
telephone numbers, response to
notification of the complaint,
statements, and any other evidence or

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25853

background material submitted as
evidence. This material includes records
of interviews and other data gathered by
the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

a. The Occupational Safety and
Health Act (29 U.S.C. 660(c));
b. The Surface Transportation
Assistance Act (49 U.S.C. 31105);
c. The Asbestos Hazard Emergency
Response Act (15 U.S.C. 2651);
d. The International Safe Container
Act (46 U.S.C. 1506);
e. The Safe Drinking Water Act (42
U.S.C. 300j–9(i));
f. The Federal Water Pollution Control
Act (33 U.S.C. 1367);
g. The Toxic Substances Control Act
(15 U.S.C. 2622);
h. The Wendell H. Ford Aviation
Investment and Reform Act for the 21st
Century (49 U.S.C. 42121);
i. The Solid Waste Disposal Act (42
U.S.C. 6971);
j. The Clean Air Act (42 U.S.C. 7622);
k. The Comprehensive Environmental
Response, Compensation and Liability
Act of 1980 (42 U.S.C. 9610);
l. The Energy Reorganization Act of
1978 (42 U.S.C. 5851);
m. The Pipeline Safety Improvement
Act of 2002 (49 U.S.C. 60129);
n. The Corporate and Criminal Fraud
Accountability Act of 2002, Title VIII of
the Sarbanes-Oxley Act of 2002 (18
U.S.C. 1514A);
o. The Federal Rail Safety Act (49
U.S.C. 20109);
p. The National Transit Security
Systems Act (6 U.S.C. 1142);
q. The Consumer Product Safety
Improvement Act (15 U.S.C. 2087);
r. The Affordable Care Act (29 U.S.C.
218C));
s. The Consumer Financial Protection
Act of 2010 (12 U.S.C. 5567);
t. The Seaman’s Protection Act (46
U.S.C. 2114);
u. The FDA Food Safety
Modernization Act (21 U.S.C. 399); and
v. The Moving Ahead for Progress in
the 21st Century Act (49 U.S.C. 30171).
PURPOSE(S):

The records are used to support a
determination by OSHA on the merits of
a complaint alleging violation of the
employee protection provisions of one
or more of the statutes listed under
‘‘Authority.’’ The records also are used
as the basis of statistical reports on such
activity by the system manager, national
office administrators, regional
administrators, investigators, and their
supervisors in OSHA, which reports
may be released to the public.

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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, a record
from this system of records may be
disclosed as follows:
a. With respect to the statutes listed
under the ‘‘Authority’’ category,
disclosure of the complaint, as well as
the identity of the complainant, and any
interviews, statements, or other
information provided by the
complainant, or information about the
complainant given to OSHA, may be
made to the respondent, so that the
complaint can proceed to a resolution.
Note: Personal information about
other employees that is contained in the
complainant’s file, such as statements
taken by OSHA or information for use
as comparative data, such as wages,
bonuses, the substance of promotion
recommendations, supervisory
assessments of professional conduct and
ability, or disciplinary actions, generally
may be withheld from the respondent
when it could violate those persons’
privacy rights, cause intimidation or
harassment to those persons, or impair
future investigations by making it more
difficult to collect similar information
from others.
b. With respect to the statutes listed
under the ‘‘Authority’’ category,
disclosure of the respondent’s responses
to the complaint and any other evidence
it submits may be shared with the
complainant so that the complaint can
proceed to a resolution.
c. With respect to the statutes listed
under the ‘‘Authority’’ category,
disclosure of appropriate, relevant,
necessary, and compatible investigative
records may be made to other Federal
agencies responsible for investigating,
prosecuting, enforcing, or implementing
the underlying provisions of those
statutes where OSHA deems such
disclosure is compatible with the
purpose for which the records were
collected.
d. With respect to the statutes listed
under the ‘‘Authority’’ category,
disclosure of appropriate, relevant,
necessary, and compatible investigative
records may be made to another agency
or instrumentality of any governmental
jurisdiction within or under the control
of the United States, for a civil or
criminal law enforcement activity, if the
activity is authorized by law, and if that
agency or instrumentality has made a
written request to OSHA, specifying the
particular portion desired and the law
enforcement activity for which the
record is sought.

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e. With respect to the statutes listed
under the ‘‘Authority’’ category,
disclosure may be made to the media,
researchers, or other interested parties
of statistical reports containing
aggregated results of program activities
and outcomes. Disclosure may be in
response to requests made by telephone,
email, fax, or letter, by a mutually
convenient method. Statistical data may
also be posted by the system manager on
the OSHA Web page.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by complainant’s
name, respondent’s name, case
identification number, or other
identifying information.
Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
RETENTION AND DISPOSAL:

Records are destroyed five years after
case is closed, in accordance with
Records Schedule NC 174–76–1.
SYSTEM MANAGER(S) AND ADDRESS:

Director of the Directorate of
Whistleblower Protection Programs in
the National Office, OSHA. 200
Constitution Avenue NW., Room
N–4618, Washington, DC 20210.
NOTIFICATION PROCEDURE:

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

Inquiries should be mailed to the
System Manager.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individual
complainants who filed allegation(s) of
retaliation by employer(s) against
employee(s) or persons who have
engaged in protected activities, also
employers, employees and witnesses.

Frm 00090

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or,
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/OSHA–6
SYSTEM NAME:

Program Activity File.

SAFEGUARDS:

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SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Fmt 4701

Sfmt 4703

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Electronic files are kept at National
Information Technology Center. Paper
files are kept at the Occupational Safety
and Health Administration’s (OSHA’s)
regional offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Compliance Safety and Health
Officers, State Program, Cooperative
Program and Compliance Assistance
Staff, and Safety and Health Consultants
of the Occupational Safety and Health
Administration and its grantees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Covering current and future program
activities and program support activities
conducted by safety and health
compliance officers, consultants, and
state program, cooperative program and
compliance assistance staff. Examples of
program activities include inspections,
complaint investigations, time tracking,
compliance assistance activities,
consultations, state program tracking,
Voluntary Protection Programs (VPP),
Partnership and Alliance activities.
Program support activities includes
training, administrative duties, and
general program work that is not
associated with a discrete program
activity.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).

Health Administration, U.S. Department
of Labor, 200 Constitution Avenue NW.,
Washington, DC 20210.

PURPOSE:

NOTIFICATION PROCEDURE:

These records are maintained to
manage, process and document OSHA
program actions and program related
activities that support the programs
(inspection, complaint investigation,
time tracking, compliance assistance,
consultation, state program tracking,
voluntary protection, partnership and
alliance). The data compiled from these
records are used to manage day-to-day
program operations and to analyze
program effectiveness, efficiency and
resource utilization in the various
program areas and on activities within
those program areas. The data are used
by agency officials for performance
management, planning and policy
purposes.

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the System Manager at the address
listed above.

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.

RECORD ACCESS PROCEDURE:

Individuals wishing to gain access to
records should contact the System
Manager at the address listed above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any record should
contact the System Manager at the
address listed above.
RECORD SOURCE CATEGORIES:

Data records for program areas
including inspection, complaint
investigation, time tracking, compliance
assistance, consultation, state program
tracking, voluntary protection,
partnership and alliance, completed by
safety and health compliance officers,
consultants, and state program,
cooperative program and compliance
assistance staff.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

None.

SAFEGUARDS:

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

Data files are maintained in
accordance with National Archives and
Records Administration Records
Disposition Schedule.

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

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

Files are retrieved by name of
individual Compliance Safety and
Health Officer.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
Records are retained for 20 years in
accordance with the applicable Records
Schedule.

SECURITY CLASSIFICATION:

SYSTEM MANAGER(S) AND ADDRESS:

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):

To determine which Compliance
Safety and Health Officers have

Jkt 238001

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

OSHA Compliance Safety and Health
Officer Training Record.

Director, Office of Management Data
Systems, Occupational Safety and

19:00 Apr 28, 2016

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

RETENTION AND DISPOSAL:

SYSTEM MANAGER AND ADDRESS:

VerDate Sep<11>2014

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

SYSTEM NAME:

RETRIEVABILITY:

Individual records are retrievable by
employee identifying number or by
activity number for information related
to a discrete activity. A system of
permissions by job title and
organization level will control access to
individual records. Aggregate or
summary data are retrievable based on
a variety of selection criteria, including
office, program area, activity type,
employee category, etc.

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.

DOL/OSHA–9

STORAGE:

Files are stored electronically and/or
on paper.

25855

PO 00000

Frm 00091

Fmt 4701

Sfmt 4703

Director of the Directorate of Training
and Education, 2020 South Arlington
Heights Road, Arlington Heights, IL
60005.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from official personnel
folders, training rosters, sign-in sheets,
and bio sheets/profile.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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DOL/OSHA–10

SYSTEM MANAGER AND ADDRESS:

Director, Office of Training and
Educational Programs, Directorate of
Training and Education, Occupational
Safety and Health Administration.

SYSTEM NAME:

OSHA Outreach Training Program.
SECURITY CLASSIFICATION:

None.

NOTIFICATION PROCEDURE:

SYSTEM LOCATION:

Directorate of Training and Education,
Occupational Safety and Health
Administration.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Authorized OSHA Outreach Training
Program trainers.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records contain the following
information: Trainer’s name, ID number,
most recent trainer course dates, trainer
expiration date, authorizing training
organization, trainer address, company
name, address, telephone number, and
email. Files also contain the course
conducted, course emphasis, training
site address, type of training site, course
duration, course dates, and sponsoring
organization, topics covered, the names
of the students taught, and a copy of the
letter sent to the trainer for that class.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from OSHA Outreach
Training Program trainers.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OSHA–14
SYSTEM NAME:

Directorate of Training and Education
Computer-Based Acquisition/Financial
Records System.

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678); 5 U.S.C. 501.

SECURITY CLASSIFICATION:

PURPOSE(S):

SYSTEM LOCATION:

To maintain, efficiently and
accurately, information on OSHA
authorized outreach trainers.

Directorate of Training and Education,
Occupational Safety and Health
Administration, U.S. Department of
Labor.

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.

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

Files are stored on paper.
RETRIEVABILITY:

Files are retrieved by the date that the
training class was held and by the name
of the authorized OSHA outreach
trainer.
SAFEGUARDS:

Access by authorized personnel only.
Locked locations for paper files.
RETENTION AND DISPOSAL:

Records are retained for five years in
accordance with Record Schedule NC
174–76–1, Item 16.

19:00 Apr 28, 2016

Jkt 238001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).
PURPOSE(S):

To provide an acquisition and
financial management system which
will improve the acquisition process;
and provide an efficient means for the
accurate recording, tracking, reporting,
and control of Directorate funds and
receivables.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

VerDate Sep<11>2014

None.

Staff of the Directorate of Training
and Education, including the Training
Institute. Individuals doing business
with the Directorate of Training and
Education that involve the payment or
receipt of funds.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

Inquiries should be mailed to the
System Manager.

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.

Records include necessary data to
prepare a procurement requisition
including: The requisition number; the
name of the bureau making the
procurement request; the specific page
number of the requisition; the date of
the requisition; the accounting code; the
delivery requirement address; the
official’s name, title, and phone number
for information concerning the
procurement; an identification if the
procurement is for instructional
services, or for other supplies/services,
if for instructional services-the course
number and location of the course; a
specific ordering item number and/or
stock number; a narrative description of
the item or service; the quantity

PO 00000

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Sfmt 4703

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

Files are retrieved by name of vendor,
by name of staff person making a
procurement request, by individual
travel authorization number, by
individual last name, and by any of the
data elements identified in the
Categories of Records in the System
category.
SAFEGUARDS:

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

Records are retained for 6 years 3
months, in accordance with N1–GRS–
95–4, Item 3a1a.
SYSTEM MANAGER AND ADDRESS:

Director, Office of Administration and
Training Information, Directorate of
Training and Education, Occupational
Safety and Health Administration.

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NOTIFICATION PROCEDURE:

to track status and history of overdue
materials, to maintain records on lost
and damaged materials.

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager.

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:

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from administrative and
procurement files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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

Files are stored electronically and/or
on paper.

SYSTEM NAME:

Directorate of Training and Education
Resource Center Loan Program.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Directorate of Training and Education,
Occupational Safety and Health
Administration.
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.

RETRIEVABILITY:

Files are retrieved 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:

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

OWCP–1
SYSTEM NAME:

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

None.
SYSTEM LOCATION:

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

Records are retained for 5 years in
accordance with NC 174–76–1, Item 16.
SYSTEM MANAGER AND ADDRESS:

Records contain borrower name,
company name and address, company
telephone numbers, fax number,
company email address, application
form number, application date,
borrower category, audiovisual program
title and accession number, audiovisual
copyright date, transaction
identification number, and transaction
date.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678) and 5 U.S.C.
301.

Director, Office of Training and
Educational Programs, Directorate of
Training and Education, Occupational
Safety and Health Administration.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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 ability and usage information,

19:00 Apr 28, 2016

Jkt 238001

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from individuals and
information pertaining to Resource
Center materials is taken from Resource
Center files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

PO 00000

None.

Frm 00093

Fmt 4701

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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.
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.

RETENTION AND DISPOSAL:

CATEGORIES OF RECORDS IN THE SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

OWCP—DOL Office of Workers’
Compensation Programs Systems of
Records

STORAGE:

DOL/OSHA–15

VerDate Sep<11>2014

25857

PURPOSE(S):

To maintain records that are used to
process complaints against employers
who discharge or otherwise
discriminate against individuals
because they suffer from
pneumoconiosis.
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 coal company’s insurer, the
claimant, medical providers, and legal
representatives of any party for
purposes related to the complaint.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by coal miner’s
name and social security number.

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SAFEGUARDS:

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

Records are retained for 10 years after
case is closed in accordance with the
applicable Records Schedule.
SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this System
is obtained from individuals, employers,
medical providers and investigators.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
OWCP–2
SYSTEM NAME:

Office of Workers’ Compensation,
Black Lung Benefits Claim File.
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,
and district offices (see addresses in the
Appendix to this document).

asabaliauskas on DSK3SPTVN1PROD with NOTICES

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

Personal (name, date of birth, social
security number, claim type, miner’s

19:00 Apr 28, 2016

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 901 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:

SECURITY CLASSIFICATION:

VerDate Sep<11>2014

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.

Jkt 238001

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

PO 00000

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Sfmt 4703

d. Other Federal agencies conducting
scientific research concerning the
incidence and prevention of black lung
disease.
e. Representatives of the claimant for
the purpose of processing the claim,
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
assisting the member.
g. Contractors providing automated
data processing services to the
Department of Labor, or to any agency
or entity to which 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 Departmental 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.
i. Debt collection agency that DOL has
contracted for collection services to
recover indebtedness owed to the
United States.
j. Internal Revenue Service for the
purpose of obtaining taxpayer mailing
addresses in order to locate such
taxpayers to collect, compromise, or
write-off a Federal claim against the
taxpayer; discharging an indebtedness
owed by an individual.
k. Credit Bureaus for the purpose of
receiving consumer credit reports
identifying the assets, liabilities, income
and expenses of a debtor to ascertain the
debtor’s ability to pay a debt and to
establish a payment schedule.
Note: Disclosure of information
contained in the file to a claimant or a
person who is duly authorized to act on
the claimant’s or beneficiary’s behalf
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

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program under which the claim arose,
are disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by the Fair Credit
Reporting Act (15 U.S.C. 1681a(f), or in
accordance with the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(e) for the purpose of
encouraging the repayment of an
overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

Files are retrieved by coal miner’s
name, social security number, and
claimant’s social security number
different from miner’s.

DOL/OWCP–3

SAFEGUARDS:

Accessed by authorized personnel
only. Computer security safeguards are
used for electronically stored data and
locked locations for paper files.
Records are retained for 10 years after
death of last beneficiary. Denied claims
are retained for 30 years after final
denial in accordance with the
appropriate Records Schedule.
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:

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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

19:00 Apr 28, 2016

SYSTEM NAME:

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

RETENTION AND DISPOSAL:

VerDate Sep<11>2014

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.

Jkt 238001

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, the Outer Continental
Shelf Lands Act, and the DC Workers’
Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA).
CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the
following kinds of records: Reports of
injury by the employee and/or
employer; 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

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25859

records); section 8(f) applications filed
by the employer; compensation orders
for or against the payment of benefits;
transcripts of hearings and depositions
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;
emails; information relating to
vocational and/or medical rehabilitation
plans and progress reports including
communication with rehabilitation
counselors, 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, vocational
testing, and other records pertaining to
the vocational rehabilitation process;
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 or employer may be
entitled to; and information received
from various investigative agencies
concerning possible violations of
Federal civil or criminal law.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

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

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

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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 which 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

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

None.

RECORD SOURCE CATEGORIES:

Information contained in this system
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.
OWCP–4

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

Files are stored electronically and/or
on paper.

SYSTEM NAME:

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

RETRIEVABILITY:

Files are retrieved after identification
by coded file number, which is crossreferenced to injured worker by name.
SAFEGUARDS:

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

The length of time that records are
retained varies by type of case. Losttime disability cases are retained for 20
years after the case is closed. Other
cases where the last possible beneficiary
has died are retained for 6 years and 3
months after the death of such
beneficiary. ‘‘No Lost Time’’ cases are
retained for three years after the end of
the fiscal year during which the related
report was received.

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, the Outer
Continental Shelf Lands Act, and the DC
Workers’ Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA).

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:

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.

PO 00000

Frm 00096

Fmt 4701

Sfmt 4703

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 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.

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asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may also be made to the
following individuals and entities for
the purposes noted when the purpose of
the disclosure is compatible with the
purpose for which the information was
collected:
a. The employer or employer’s
representatives, including third-party
administrators, and/or any party
providing the employer with workers’
compensation insurance coverage since
the employer and insurance carrier are
parties-in-interest to all actions on a
case, for the purpose of assisting in the
litigation of the claim, at any time after
report of the injury or report of the onset
of the occupational illness, or the filing
of a notice of injury or claim related to
such injury or occupational illness.
b. Doctors, pharmacies, and other
health care providers for the purpose of
treating the claimant, conducting
medical examinations, physical
rehabilitation or other services or
obtaining medical evaluations.
c. Public or private rehabilitation
agencies to which 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

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

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

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

Files are retrieved by social security
number, which is cross-referenced to
injured worker by name.
SAFEGUARDS:

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

Records are retained for seven 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.

PO 00000

Frm 00097

Fmt 4701

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25861

NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this system
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.
OWCP–5
SYSTEM NAME:

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

None.
SYSTEM LOCATION:

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

Individuals filing claims for workers’
compensation benefits under the
Longshore and Harbor Workers’
Compensation Act, the NonAppropriated Fund Instrumentalities
Act, the Defense Base Act, the War
Hazards Act, the Outer Continental
Shelf Lands 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.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

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.

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

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
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:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

Files are stored electronically and/or
on paper.
Files are retrieved by name of
individual being investigated.

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Jkt 238001

Retention time varies by type of
compensation case and/or investigative
file. For example, if the investigative file
is about a lost-time case, it is transferred
to the Federal Records Center two years
after the related compensation case is
closed, and destroyed twenty 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 six
years, three months after final closing.
‘‘No Lost Time’’ cases are destroyed
three years after the end of the fiscal
year during which the related report
was received.
SYSTEM MANAGER(S) AND ADDRESS:

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

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from Division claim and
payment files 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:

RETRIEVABILITY:

RETENTION AND DISPOSAL:

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

PO 00000

Frm 00098

Fmt 4701

Sfmt 4703

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.
OWCP–6
SYSTEM NAME:

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

None.
SYSTEM LOCATION:

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

Individuals alleged to have violated
the provisions of the Longshore and
Harbor Workers’ Compensation Act, the
Non-Appropriated Fund
Instrumentalities Act, the Defense Base
Act, the War Hazards Act, the Outer
Continental Shelf Lands Act, and the DC
Workers’ Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA) and the LHWCA’s
implementing regulations relating to
representation of claimants/
beneficiaries before the Department of
Labor, including the Office of
Administrative Law Judges and the
Benefits Review Board, 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

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
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.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of relevant and necessary information
from this system of records may also be
made to the following individuals and
entities for the purposes noted when the
purpose of the disclosure is compatible
with the purpose for which the
information was collected:
a. A claimant/beneficiary for the
purpose of informing him/her that his/
her representative has been disqualified
from further representation under the
Longshore Act.
b. Employers, insurance carriers, state
bar disciplinary authorities, and the
general public, for the purpose of
providing information concerning the
qualification of person(s) to act as a
claimant representative under the Act.
c. Federal, state or local agency
maintaining pertinent records, if
necessary to obtain information relevant
to a Departmental decision relating to
debarment actions.
Note: Disclosure of information
contained in the file of the claimant, a
person who is duly authorized to act on
his/her behalf, or to others to whom
disclosure is authorized by these routine
uses, may be made over the telephone.
Disclosure over the telephone will only
be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient
administration and adjudication of
claims.

19:00 Apr 28, 2016

Jkt 238001

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 Sep<11>2014

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.

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

Files are retrieved by the name of the
representative.
SAFEGUARDS:

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

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

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

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.

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Frm 00099

Fmt 4701

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25863

RECORD SOURCE CATEGORIES:

Information contained 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.
OWCP–7
SYSTEM NAME:

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

None.
SYSTEM LOCATION:

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

Providers of medical goods and
services, including physicians,
hospitals, and providers of medical
support services or supplies excluded or
considered for exclusion from payment
under the Longshore Act and Harbor
Workers’ Compensation Act, the NonAppropriated Fund Instrumentalities
Act, the Defense Base Act, the War
Hazards Act, the Outer Continental
Shelf Lands 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:

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,
emails, 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. 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.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

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19:00 Apr 28, 2016

Jkt 238001

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

POLICIES AND PROCEDURES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THIS SYSTEM:
STORAGE:

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

Files are retrieved by the name of the
provider.
SAFEGUARDS:

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

Frm 00100

Files are retained 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:

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURE:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained 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:

None.

PO 00000

RETENTION AND DISPOSAL:

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

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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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOL/OWCP–8

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

SYSTEM NAME:

PURPOSE(S):

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

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.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

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

Providers of medical goods and
services, including physicians,
hospitals, and providers of medical
support services or supplies excluded or
considered for exclusion from payment
under the Federal Employees’
Compensation Act for fraud or abuse (20
CFR 10.815–826).
CATEGORIES OF RECORDS IN THE SYSTEM:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

reinstatement, along with
recommendations and decisions; lists of
excluded providers released by the
OWCP.

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

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Jkt 238001

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 duly authorized to act on
his/her behalf, or to others to whom

PO 00000

Frm 00101

Fmt 4701

Sfmt 4703

25865

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:

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

Files are retrieved by the name of the
provider, a case citation, or date of
release.
SAFEGUARDS:

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

Files are retained 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:

Inquiries should be mailed to the
System Manager. 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:

SECURITY CLASSIFICATION:

A request for access should be mailed
to the System Manager. 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.
RECORD SOURCE CATEGORIES:

Information contained 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.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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 which
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 wellbeing of
investigative personnel and their
families.
OWCP–9
SYSTEM NAME:

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

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19:00 Apr 28, 2016

Jkt 238001

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

None.
SYSTEM LOCATION:

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

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

Records included are personal (name,
date of birth, SSN, claim type, miner’s
date of death); demographic (state,
county, city, congressional district, zip
code); mine employment history;
medical records; initial determination;
conference results; hearing results;
medical and disability payment history;
accounting information including data
on debts owed to the United States;
Social Security Administration black
lung benefits data; state workers’
compensation claim and benefits data;
coal mine operator names, addresses,
states of operation and histories of
insurance coverage; and medical service
providers’ names, addresses, license
numbers, medical specialties, tax
identifications and payment histories.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 901 et seq., 20 CFR 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.

PO 00000

Frm 00102

Fmt 4701

Sfmt 4703

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of relevant and necessary information
may be made to the following:
a. Mine operators (and/or any party
providing the operator with workers’
compensation insurance) who have
been determined potentially liable for
the claim at any time after the filing of
a notice of injury or claim related to
such injury or occupational illness, for
the purpose of determining liability for
payment.
b. State workers’ compensation
agencies and the Social Security
Administration for the purpose of
determining offsets as specified under
the Act.
c. Doctors and medical services
providers for the purpose of obtaining
medical evaluations, physical
rehabilitation or other services.
d. Other Federal agencies conducting
scientific research concerning the
incidence and prevention of black lung
disease.
e. Legal representatives, or person
authorized to act on behalf of the
claimant, responsible operator and
program representation on contested
issues.
f. Labor unions and other voluntary
employee associations of which the
claimant is a member for the purpose of
exercising an interest in claims of
members as part of their service to the
members.
g. Contractors providing automated
data processing services to the
Department of Labor, or to any agency
or entity to whom release is authorized,
where the contractor is providing a
service relating to the purpose for which
the information can be released.
h. Federal, state or local agencies if
necessary to obtain information relevant
to a 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;

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discharging an indebtedness owed by an
individual.
k. Credit Bureaus for the purpose of
receiving consumer credit reports
identifying the assets, liabilities, income
and expenses of a debtor to ascertain the
debtor’s ability to pay a debt and to
establish a payment schedule.
Note: Disclosure of information
contained in the file to the claimant, a
person who is duly authorized to act on
his/her behalf, or to others to whom
disclosure is authorized by these routine
uses, may be made over the telephone.
Disclosure over the telephone will only
be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient
administration and adjudication of
claims.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files are retrieved by coal miner’s
name and social security number;
medical provider number; coal mine
operator number; insurance carrier
number.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

SAFEGUARDS:

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

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19:00 Apr 28, 2016

Jkt 238001

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).

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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.

Frm 00103

Fmt 4701

Sfmt 4703

DOL/OWCP–10
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.

NOTIFICATION PROCEDURE:

PO 00000

25867

SYSTEM LOCATION:

Files concerning rehabilitation
counselors are located in the Federal
Employees’ Compensation (FEC) and
Longshore and Harbor Workers’
Compensation (Longshore) District
Offices where the counselor is certified.
Files for FEC field nurses are found in
FEC district offices. See the Appendix to
this document for District Office
addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

The rehabilitation counselor/nurse
files cover individuals who have
entered into a contract with the Office
of Workers’ Compensation Programs to
provide rehabilitation counselor or
nursing services under the Federal
Employees’ Compensation Act (FECA)
and/or the Longshore and Harbor
Workers’ Compensation Act (LHWCA).
CATEGORIES OF RECORDS IN THE SYSTEM:

Names, addresses and information on
qualifications of rehabilitation
counselors/nurses certified by and
under contract with OWCP to provide
rehabilitation services to injured
workers under the FECA and LHWCA or
field nurse services under FECA. In
addition there are records compiled and
maintained by the rehabilitation
specialist or the OWCP staff nurse,
concerning the assignment of
rehabilitation/field nurse cases to the
counselor/nurse and the performance of
the counselor/nurse in fulfilling the
duties under the contract with OWCP.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

33 U.S.C. 939(c)(2); 5 U.S.C. 8101 et
seq.
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.

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

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
Note: Disclosure of information
contained in the file to the claimant, a
person who is duly authorized to act on
his/her behalf, or to others to whom
disclosure is authorized by these routine
uses, may be made over the telephone.
Disclosure over the telephone will only
be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient
administration and adjudication of
claims.
Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records
may be disclosed to members and staff
of the Benefits Review Board, the
Employees’ Compensation Appeals
Board, the Office of Administrative Law
Judges, the Office of the Solicitor and
other components of the Department
who have a need for the record in the
performance of their duties.

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

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

Files are retrieved by the name of the
counselor/nurse through the database
and/or files maintained in the
appropriate OWCP district office.
SAFEGUARDS:

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

Records are retained for two years
after the rehabilitation counselor or field
nurse have stopped providing services
to OWCP.
asabaliauskas on DSK3SPTVN1PROD with NOTICES

A request for access should be mailed
to the System Manager or submitted in
such other manner as directed by
OWCP.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager or
submitted in such other manner as
directed by OWCP.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from 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/OWCP–11

SECURITY CLASSIFICATION:

STORAGE:

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 FECA
district offices set forth in the
Appendix.

Jkt 238001

RECORD ACCESS PROCEDURE:

Office of Workers’ Compensation
Programs, Energy Employees
Occupational Illness Compensation
Program Act File.

None.

19:00 Apr 28, 2016

Inquiries should be mailed to the
System Manager or submitted in such
other manner as directed by OWCP.

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate Sep<11>2014

NOTIFICATION PROCEDURE:

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 classified the information.
SYSTEM LOCATION:

At component agency national,
district, and contractor offices.
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; and
employees or survivors of employees of
the United States Department of Energy,
its predecessor agencies, and their
contractors and subcontractors.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the
following kinds of records: Claim forms
filed by or on behalf of individuals with
illnesses or their survivors seeking
benefits under the EEOICPA; reports by
the employee and/or the United States

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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 a claim. The system may also
contain information relating to dates of
birth, marriage, divorce, and death;
notes of telephone conversations
conducted in connection with a claim;
information relating to 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) that an employee and/or
survivor may be entitled to, including
previously filed claims; and information
received from various investigative
agencies concerning possible violations
of Federal civil or criminal law.
The system may also contain
consumer credit reports on individuals
indebted to the United States,
information relating to the debtor’s
assets, liabilities, income and expenses,
personal financial statements,
correspondence to and from the debtor,
information relating to the location of
the debtor, and other records an 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 of
2000, Title XXXVI of Public Law 106–
398, October 30, 2000, 114 Stat. 1654,
and as amended.
PURPOSE(S):

To maintain records on individuals
who file claims with the Department
under EEOICPA, which establishes a
program for compensating certain
individuals for covered illnesses related
to exposure to beryllium, radiation,
silica, and other toxic substances. These
records provide information and
verification about individual claimants’
covered illnesses that may be used to

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determine entitlement to medical
treatment, compensation, and survivors’
benefits under EEOICPA.

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

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may be made to the following
individuals and entities for the purposes
noted when the purpose of the
disclosure is 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 §§ 3641–3642 of the EEOICPA. Any
such third party, or a representative
acting on that third party’s behalf, may
be provided with 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
§§ 3641–3642 of the EEOICPA.
b. To the United States Department of
Energy, its contractors and
subcontractors, and the Federal agency
that employed the employee at the time
of the alleged exposure, as well as 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 or entity may be
required to take with regard to the
claim, or to permit the agency or entity
to evaluate its safety and health
program. Disclosure to other Federal
agencies, including the Department of
Justice, may be made when 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

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Jkt 238001

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, conducting an
examination, preparing an evaluation on
behalf of OWCP, and for other purposes
relating to the medical management of
the claim including evaluation of a
payment for charges of medical and
related services and supplies.
e. To medical insurance or health and
welfare plans (or their designees) that
cover the claimant in instances where
OWCP had paid for treatment of a
medical condition that is not
compensable under the EEOICPA, or
where a medical insurance plan or
health and welfare plan has paid for
treatment of a medical condition that
may be compensable under the
EEOICPA, for the purpose of resolving
the appropriate source of payment in
such circumstances.
f. To a Federal, State or local agency
for the purpose of obtaining information
relevant to a determination concerning
initial or continuing eligibility for
EEOICPA benefits, and for a
determination concerning whether
benefits have been or are being properly
paid, including whether dual benefits
that are prohibited under any applicable
Federal or State statute are being paid.
In addition, 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) in order to obtain 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 also 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 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

PO 00000

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Fmt 4701

Sfmt 4703

25869

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
Department in order to collect the debts
under the provisions of the Debt
Collection Act of 1982 (Pub. L. 97–365)
by voluntary repayment, or by salary or
administrative offset procedures.
j. To a credit bureau for the purpose
of obtaining consumer credit reports
identifying the assets, liabilities,
expenses, and income of a debtor in
order to ascertain the debtor’s ability to
repay a debt incurred under EEOICPA,
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 § 666(b)
of title 42, U.S.C., 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

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covered under the EEOICPA to enable
them to assess 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.
n. 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.
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 EEOICPA.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status and history of
overdue debts, the name and address,
taxpayer identification (SSN), and other
information necessary to establish the
identity of a debtor, the agency and
program under which the claim arose,
may be disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by 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.

Case files are considered closed when
no activity has taken place for two years
(after date of final action). The closed
files are to be held in the district offices
for three years, then transferred to
Federal Records Center and destroyed
twenty years after the date of the final
decision. Electronic records and reports
are to be destroyed when the
information is no longer needed.
Output, master file and documentation
pertaining to the master file are replaced
or destroyed when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Energy Employees
Occupational Illness Compensation,
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 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),
and date of birth.
RECORD ACCESS PROCEDURE:

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 may
contact the systems manager.

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

RECORD SOURCE CATEGORIES:

Records are stored in electronic and/
or paper form.

Employees who are the subject of the
record and their family members;
employing Federal agencies; current and
former Federal contractors and
subcontractors and their family
members; 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;

Files, electronic records, 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 nature
of the illness.
SAFEGUARDS:

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

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PO 00000

Frm 00106

Fmt 4701

Sfmt 4703

investigative reports; correspondence
with the debtor including personal
financial statements; records relating to
hearings on the debt; and other
Department systems of records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigative material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H) and (I), and (f) of 5 U.S.C. 552a,
provided, however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of those records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/OWCP–12
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Physicians and Health Care
Providers Excluded under the Energy
Employees Occupational Illness
Compensation Program Act.
SECURITY CLASSIFICATION:

None.

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.

RETRIEVABILITY:

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RETENTION AND DISPOSAL:

SYSTEM LOCATION:

At component agency national,
district, and contractor offices.
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 (EEOICPA) 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 EEOICPA
and their reinstatement; material
concerning possible fraud or abuse

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which could lead to exclusion of a
provider; documents relative to
reinstatement of providers, materials
concerning the conviction of providers
for fraudulent activities in connection
with any Federal or State program for
which payments are made to providers
for similar medical services; all letters,
memoranda, and other documents
regarding the consideration of a
provider’s exclusion, the actual
exclusion, or reinstatement under the
provisions of 20 CFR 30.715–30.726 (or
as updated); copies of all documents in
a claim file relating to medical care and/
or treatment including bills for such
services, as well as letters, memoranda,
and other documents obtained during
investigations, hearings and other
administrative proceedings concerning
exclusion for fraud or abuse, as well as
reinstatement, along with
recommendations and decisions; lists of
excluded providers released by OWCP.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Energy Employees Occupational
Illness Compensation Program Act of
2000, Title XXXVI of Public Law 106–
398, October 30, 2000, 114 Stat. 1654,
and as amended.
PURPOSE(S):

To maintain records in order to
determine the propriety of instituting
debarment actions under EEOICPA.
These records also provide information
regarding 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.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

In addition to the universal routine
uses listed in the General Prefatory
Statement to this document, the
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,

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19:00 Apr 28, 2016

Jkt 238001

professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of obtaining
information necessary to ensure that the
list of excluded providers is correct,
useful, and updated, as appropriate, and
for the purpose of obtaining information
relevant to a Departmental decision
regarding a debarment action. This
routine use encompasses the disclosure
of such information that will enable the
Department to properly verify the
identity of a provider, to identify the
nature of a violation, and the penalty
imposed for such violation.
Note: Disclosure of information
contained in the file to the claimant, a
person who is duly authorized to act on
his/her behalf, or to others to whom
disclosure is authorized by these routine
uses, may be made over the telephone.
Disclosure over the telephone will only
be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient
administration and adjudication of
claims.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are stored electronically and/or
in paper form.

SYSTEM MANAGER(S) AND ADDRESS:

Director for Energy Employees
Occupational Illness Compensation,
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 to
the system manager at the address
above. In order for the record to be
located, the individual must provide his
or her full name, date of birth, and
signature.
RECORD ACCESS PROCEDURES:

Any individual seeking access to 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.

Files are retrieved either by the name
of the provider, case citation, or date of
release.
SAFEGUARDS:

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

Specific electronic data tables
received from the Department of Health
and Human Services (HHS) should be
deleted from the server when HHS
advises that the period of exclusion has
expired due to reinstatement. The
Master file is maintained in a separate
file on the National Office server and
they are to be destroyed when they are
no longer needed. Hard copies of reports
are to be destroyed when new reports
are generated. In-house exclusions and
correspondence files are retained until
debarment action is finalized and then
transferred to the Federal Records
Center at the end of the fiscal/annual
year, and destroyed 30 years after the

Fmt 4701

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Frm 00107

date of final debarment action.
Documentation relating to a master file,
database and other electronic records
are destroyed or deleted upon
authorized deletion of the related
electronic records or upon the
destruction of the output of the system
if the output is needed to protect legal
rights, whichever is later.

CONTESTING RECORD PROCEDURES:

STORAGE:

PO 00000

25871

Sfmt 4703

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 systems of records.
SYSTEMS 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 OWCP, 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 which
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

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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 wellbeing of
investigative personnel and their
families.
SOL—DOL Office of the Solicitor
Systems 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/or
on paper.
RETRIEVABILITY:

DOL/SOL–3

Files are retrieved by the name of
claimant.

SYSTEM NAME:

Tort Claim Files.
None.
SYSTEM LOCATION:

Office of the Solicitor, Division of
Federal Employees’ and Energy
Workers’ Compensation, 200
Constitution Avenue NW., Washington,
DC 20210–0002; Offices of the Regional
Solicitors and Associate Regional
Solicitors at various field locations set
forth in the Appendix.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing claims for damages
under the Federal Tort Claims Act.
CATEGORIES OF RECORDS IN THE SYSTEM:

Federal Tort Claim Act files,
including claims forms and supporting
documents filed by claimants, agency
records, administrative reports and
supporting documents prepared by the
agency involved, internal memoranda,
legal pleadings, decisions, and other
documents received in connection with
Federal Tort Claims Act administrative
claims and litigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

28 U.S.C. 2671 et seq.; 29 CFR part 15.
PURPOSE(S):

To maintain records necessary for
adjudication of claims and defense of
litigation filed under the Federal Tort
Claims Act.

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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.

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

Records are retained for as long as a
case file remains open. Upon conclusion
of the matter, files are retained for two
years then transferred to the Federal
Records Center for two years and,
thereafter, destroyed, in accordance
with DOL/SOL Records Schedule
Number DAA–0174–0006.
SYSTEM MANAGER(S) AND ADDRESS:

Associate Solicitor for Federal
Employees’ and Energy Workers’
Compensation in Washington, DC, and
Regional Solicitors and Associate
Regional Solicitors in various locations
in the field.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
appropriate System Managers.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the appropriate System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the appropriate System
Manager.
RECORDS SOURCE CATEGORIES:

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

Information contained in this system
is obtained from claimants, current and
former employers, witnesses, physicians
and/or medical providers, insurance
companies, attorneys, police, hospitals,
and other persons.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/SOL–5
SYSTEM NAME:

Workforce Investment Act Tort Claim
Files.
SECURITY CLASSIFICATION:

PO 00000

None.

Frm 00108

Offices of the Regional Solicitors, U.S.
Department of Labor.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Claimants.
CATEGORIES OF RECORDS IN THE SYSTEM:

Tort claims, including negligence,
medical, personnel and legal reports,
summaries, correspondence, and
memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

SECURITY CLASSIFICATION:

SYSTEM LOCATION:

Fmt 4701

Sfmt 4703

29 U.S.C. 1501 et seq. and the
Workforce Investment Act, 29 U.S.C.
2801 et seq.; the Workforce Innovation
and Opportunity Act, 29 U.S.C. 3101 et
seq.; 29 CFR part 15.
PURPOSE(S):

To allow adjudication of claims filed
under the Workforce Investment Act
and Workforce Innovation and
Opportunity Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

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

Files are retrieved by the name of
claimant.
SAFEGUARDS:

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

Records are retained until completion
of a case. Thereafter, the files are
retained in the Office of the Solicitor for
two years, then retired to the
appropriate Federal Records Center for
three years and then destroyed in
accordance with DOL/SOL Records
Schedule Number DAA–0174–0006.
SYSTEM MANAGER(S) AND ADDRESS:

Regional Solicitors and Associate
Regional Solicitors, U.S. Department of
Labor. See the Appendix of this
document for the regional addresses.

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NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
appropriate System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

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

DOL/SOL–9

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

Freedom of Information Act and
Privacy Act Appeal Files.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

None.

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

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

SYSTEM NAME:

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.

Information contained in this system
is obtained from claimants, current and
former employers, witnesses,
physicians, insurance companies,
attorneys, police, hospitals, and other
individuals.

STORAGE:

Files are retrieved by the name of
claimant.

This system encompasses all
individuals who submit administrative
appeals under the Freedom of
Information and Privacy Acts.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

SAFEGUARDS:

CATEGORIES 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.

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.

None.
DOL/SOL–6
SYSTEM NAME:

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

RETENTION AND DISPOSAL:

Military Personnel and Civilian
Employees’ Claims.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of the Solicitor, Division of
Federal Employees’ and Energy
Workers’ Compensation, 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.

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25873

Records are retained for 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 in accordance with DOL/SOL
Records Schedule Number DAA–0174–
0006.
SYSTEM MANAGER(S) AND ADDRESS:

Associate Solicitor for Federal
Employees’ and Energy Workers’
Compensation in Washington, DC, and
Regional Solicitors and Associate
Regional Solicitors at various regional
locations set forth in the Appendix to
this document.
NOTIFICATION PROCEDURES:

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19:00 Apr 28, 2016

Jkt 238001

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.

These records, and information in
these records, that is relevant and
necessary may be used:
a. To disclose information to Federal
agencies (e.g., Department of Justice) in
order to obtain advice and
recommendations concerning matters
on which the agency has specialized
experience or competence, for use by
the Office of the Solicitor in making
required appeal determinations and
related dispositions under the Freedom
of Information Act or the Privacy Act of
1974.
b. To disclose information to any
source from which additional
information is requested (to the extent
necessary to identify the individual,
inform the source of the purpose of the

A request for access should be mailed
to the appropriate System Manager.
A petition for amendment should be
mailed to the appropriate System
Manger.

To maintain records necessary for
adjudication of claims filed under the
Military Personnel and Civilian
Employees’ Claims Act.

PURPOSE(S):

RECORD ACCESS PROCEDURES:

Claim files, including claim forms,
accident, investigative, medical or
personnel reports, witness statements,
summaries, correspondence and
memoranda.

PURPOSE(S):

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.

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

CONTESTING RECORD PROCEDURE:

31 U.S.C. 3721; 29 CFR part 15.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inquiries should be mailed to the
appropriate System Manager.

CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORDS SOURCE CATEGORIES:

Information contained in this system
is obtained from 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.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

appeal, and to identify the type of
information involved in an appeal),
where necessary to obtain information
relative to a decision concerning a
Freedom of Information or Privacy Act
appeal.
c. To disclose, in response to a request
for discovery or for appearance of a
witness, information that is relevant to
the subject matter involved in a pending
judicial or administrative proceeding.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Files 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.

d. Other sources whom the agency
believes have information pertinent to
an agency decision on a Freedom of
Information or Privacy Act appeal.

labor laws, for defending lawsuits and
claims brought against the Department,
and for otherwise representing the
Department in litigation matters.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

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–15
SYSTEM NAME:

Solicitor’s Office Litigation Files.
SECURITY CLASSIFICATION:

None.

SAFEGUARDS:

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

Records are retained for six years
until after final agency determination or
three years after final court
adjudication, whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:

Solicitor of Labor, U.S. Department of
Labor, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained 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;

19:00 Apr 28, 2016

Jkt 238001

National and regional locations of the
Office of the Solicitor; and offices of the
Department of Labor’s Human
Resources Center and personnel offices
in Washington, DC, and regional
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Plaintiffs, defendants, respondents,
witnesses and other individuals who
may have provided information relating
to, or who may have been involved in
matters that are part of litigation in
which the Department is involved.
CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

VerDate Sep<11>2014

SYSTEM LOCATION:

The system contains records,
including settlement agreements,
gathered by the various Offices of the
Solicitor. The records may be derived
from materials filed with the
Department, 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 Solicitor
offices and other privileged documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

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:

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

By name.
SAFEGUARDS:

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

Retention and disposal of the records
will be governed in accordance with the
applicable disposition instruction in the
DOL/SOL Records Schedule DAA–
0174–0006.
SYSTEM MANAGER(S) AND ADDRESS:

The appropriate Associate Solicitor,
Regional Solicitor, or Associate Regional
Solicitor, Office of the Solicitor, U.S.
Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210
and regional offices.
NOTIFICATION PROCEDURE:

Inquiries should be mailed or
presented to the appropriate System
Manager at the address listed above.
RECORD ACCESS PROCEDURES:

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

A petition for amendments shall be
addressed to the appropriate 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,
State and local agencies; opinion files;
miscellaneous files.

PURPOSE(S):

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

These records are maintained for the
purpose of prosecuting violations of

Under the specific exemption
authority provided by 5 U.S.C.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
552a(k)(2), this system is exempt from
the following provisions of the Privacy
Act: 5 U.S.C. 552a(c)(3), (d), (e)(l),
(e)(4)(G), (H), (I), and (f) of the Act.
Disclosure of the information contained
in this system to the subject of the
record could enable the subject of the
record to take action to escape
prosecution and could avail the subject
greater access to information than that
already provided under rules of
discovery. In addition, disclosure of
information might lead to intimidation
of witnesses, informants, or their
families, and impair future
investigations by making it more
difficult to collect similar information.
DOL/SOL–18

STORAGE:

Matter Management System (MMS).
SECURITY CLASSIFICATION:

None.

Silver Spring Data Center, 12401
Prosperity Drive, Silver Spring, MD
20904.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Attorneys and paralegal specialists,
individuals and/or parties involved in
pending and active litigation, opinion
and advice, and regulation review legal
services.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records which identify pending and
active litigation, opinion and advice,
and regulation review legal services
provided to support DOL and its
component agencies and the time spent
by attorneys providing legal services.

SYSTEM NAME:

SECURITY CLASSIFICATION:

None.

RETRIEVABILITY:

Files are retrieved by name of the
attorney, paralegal specialist, and matter
name which includes the name of
individuals and/or parties involved in
cases and other legal matters.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
Retention and disposal of the records
will be governed in accordance with the
applicable disposition instruction in the
DOL/SOL Records Schedule DAA–
0174–0006.
SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

DOL/SOL–19

Evidence Management System (EMS).

Files are stored electronically and/or
on paper.

RETENTION AND DISPOSAL:

SYSTEM NAME:

Department of Labor, Associate
Solicitor, Office of Management and
Administrative Legal Services, Office of
the Solicitor, 200 Constitution Avenue
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

SYSTEM LOCATION:

Contractor-based Data Centers,
including one presently located at
13640 Briarwick Drive, Austin, Texas
78729, and the Data Center maintained
by the U.S. Department of Labor, 200
Constitution Ave. NW., Washington,
DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Attorneys and paralegal specialists;
contractors and other staff employed or
retained by SOL; individuals, entities
and/or parties involved in pending and
active litigation, investigation or
facilitated resolution matters.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains documents and
records received from individuals and
private parties as well as federal, state,
local and foreign governments and
organizations, as well as additional
analysis derived from these documents.
These materials also include documents
filed with or obtained by the
Department of Labor, such as court
records, pleadings, and witness
statements. The system also contains
records that incorporate the work
product of the various SOL offices and
other privileged documents.

RECORD SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 5 U.S.C. 552, and 5
U.S.C. 552a.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Information contained in this system
is obtained from litigation case files,
opinion and advice files, and regulation
review files.

5 U.S.C. 301; 5 U.S.C. 552; and 5
U.S.C. 552a.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE PRIVACY ACT:

PURPOSE(S):

To provide information to manage
resources, monitor operational
performance and support budget
activities.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

25875

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.

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19:00 Apr 28, 2016

Jkt 238001

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 the
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.

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PURPOSE(S):

These records are maintained for the
purpose of investigating and/or
initiating enforcement actions involving
alleged violations of federal labor laws,
developing administrative regulations,
and 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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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

Files are stored electronically; source
materials from which electronic files are
derived may originate in hardcopy form.
RETRIEVABILITY:

Files are retrieved by plaintiff’s name,
defendant’s name, case identification
number, or other identifying
information of individuals, entities and/
or parties involved in pending and
active litigation, investigation or
facilitated resolution matters.
SAFEGUARDS:

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

Retention and disposal of the records
will be governed in accordance with the
applicable disposition instruction in the
DOL/SOL Records Schedule DAA–
0174–0006.
SYSTEM MANAGER(S) AND ADDRESS:

Department of Labor, Associate
Solicitor, Office of Management and
Administrative Legal Services, Office of
the Solicitor, 200 Constitution Avenue
NW., Washington, DC 20210.

SYSTEM NAME:

Uniformed Services Employment and
Reemployment Rights Act (USERRA)
Complaint File.

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to System Manager.
RECORD SOURCE CATEGORIES:

Information contained in this system
is obtained from DOL employees,
individuals, entities and other private
parties as well as federal, state, local
and foreign governments and
organizations involved in pending and
active litigation, investigation,
oversight, or facilitated resolution
matters.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE PRIVACY 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

Jkt 238001

Veterans’ Employment and Training
Service (VETS’) State Offices, Regional
Offices, and National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Complainants who are veterans,
enlistees, examinees, reservists or
members of the National Guard of the
U.S. Armed Forces on active or reserve
service or training duty, and other
complainants.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system of records contains data
related to civil investigations which
include: Initial investigative complaint
form, background, investigators’ fact
finding records, witness statements,
supporting documents provided by
claimants and employers, other
information relevant to a determination
of veterans reemployment rights.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

38 U.S.C. 4301 et seq.
PURPOSE:

Records are maintained for
enforcement of federal laws pertaining

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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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

SYSTEM LOCATION:

RECORD ACCESS PROCEDURES:

asabaliauskas on DSK3SPTVN1PROD with NOTICES

DOL/VETS–1

None.

Inquiries should be mailed to the
System Manager.

19:00 Apr 28, 2016

VETS—DOL Veterans’ Employment and
Training Service Systems of Records

SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURE:

VerDate Sep<11>2014

record in this system. To the extent that
copies of exempt records from those
other systems are entered into the
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.
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.

Files are retrieved by name of
complainant, name of employer, or
assigned case 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:

Records are retained until litigation is
completed, then transferred to Federal
Records Center two years after cutoff.
Records are destroyed when they are ten
years old, except in case files involving
pensions in which the claimant was not
in retired status from his/her civilian
employer at the time of cutoff; these will
be retained for fifty years after cutoff
(N1–174–88–1) and Veterans’
Employment and Training Service
Director’s Memorandum 1–01 (Change1). Limited electronic information is
retained indefinitely.
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.

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NOTIFICATION PROCEDURES:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the Systems Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

which include: Initial investigative
complaint form, background,
investigators’ fact finding records,
witness statements, supporting
documents provided by claimants and
employers, other information relevant to
a determination of veterans preference
consideration related to employment
with Federal agencies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 3330a.

RECORD SOURCE CATEGORIES:

Veterans, Reserve and National Guard
members, employees, employers, former
employees, Departments of Defense,
Department of Veterans Affairs,
physicians, union officers and maybe
the public.
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.

Veterans’ Preference Complaint File
under the Veterans Equal Opportunities
Act of 1998 (VEOA).
SECURITY CLASSIFICATION:

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None.

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

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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

Files are stored electronically and/or
on paper.

SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
Records are retained until the
litigation is completed. The files are
then transferred to Federal Records
Center two years after cutoff. Records
are destroyed when they are ten years
old. [N1–174–88–1]. Limited electronic
information is retained indefinitely.

The system of records contains
materials related to civil investigations

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19:00 Apr 28, 2016

Jkt 238001

CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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.

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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.
DOL/VETS–5
SYSTEM NAME:

Veterans’ Data Exchange Initiative
(VDEI)
SYSTEM CLASSIFICATION:

None.

Veterans’ Employment and Training
Service (VETS’) State Offices, Regional
Offices, and National Office.

CATEGORIES OF RECORDS IN THE SYSTEM:

A request for access should be mailed
to the Systems Manager.

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.

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).

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Inquiries should be mailed to the
System Manager.

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.

Files are retrieved by name of
complainant or name of Federal agency.

SYSTEM NAME:

NOTIFICATION PROCEDURES:

PURPOSE:

RETRIEVABILITY:

DOL/VETS–2

25877

SYSTEM LOCATION:

The VDEI servers are located at the
ByteGrid Data Center 12401 Prosperity
Drive, Silver Spring Maryland, 20904.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Exiting Service Members (ESMs)
participating in the United States
Department of Defense (DOD) Preseparation Counseling of the Transition
Assistance Program (TAP) who
complete documentation.

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CATEGORIES OF RECORDS IN THE SYSTEM:

The records in the system are for
ESMs who participated in this program.
Records contain the following
personally identifiable information (PII)
data for ESMs:
1. Branch
2. Name
3. Rank
4. SSN
5. Gender
6. Race
7. Basic Active Service Date
8. Expiration Service Date
9. Level of Education
10. Guard/Reserve Status
11. Date of Birth
12. Military Occupational Specialty
13. Type of Discharge
14. EDIPI (DOD Electronic Data Interchange
Person Identifier)
15. Marital Status
16. Home of Record State Code
17. Home of Record Country Code
18. Citizenship
19. Email Address
20. Mailing Address Street Address
21. Mailing Address City
22. Mailing Address State Code
23. Mailing Address Zip Code
24. Date Began the Department of Labor
Employment Workshop (DOL EW) During
TAP
25. Date End DOL EW During TAP
26. Location DOL EW During TAP
27. Number of Dependents Under Eighteen
28. Armed Services Vocational Aptitude
Battery (ASVAB)/Armed Forces
Qualification Test (AFQT) Score
29. Medical Discharge.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DMDC 01, Defense Manpower Data
Center Data Base, November 23, 2011,
76 FR 72391; 38 U.S.C. 4102, Job
Counseling, Training, and Placement
Service for Veterans; and 10 U.S.C.
1142, Pre-separation Counselling; E.O.
9397.
PURPOSE(S):

To provide services to ESMs in areas
of employment and training.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

The record is utilized by Department
of Labor (DOL). DOL Veterans’
Employment and Training Services
(VETS) will be establishing an
electronic connection to the TAP Data
Retrieval Web Service (TDRWS) for the
purposes of analyzing and evaluating
veterans’ data for gaining greater insight
to facilitate a more comprehensive
understanding of the veteran
population; analyze and evaluate
veterans’ data (both aggregate and
individual veterans’ data) to enhance
decision making within DOL on veteran
programs and initiatives while also

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Jkt 238001

enhancing DOL’s recommendations on
veteran related issues; and to provide
information that can support future DOL
initiatives related to veterans, including
enhanced outreach.
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.
RETRIEVABILITY:

Files are retrieved by:
a. Branch, Race, Level of Education,
Length of Service, Military
Occupational Specialty (MOS), Length
of Service (Basic Active Service Date
and Expiration Service Date), Marital
Status, Gender, Medical Discharge,
Number of Dependents Under 18 and
Type of Discharge; or
b. EDIPI, Rank, Mailing Address
Street Address, Mailing Address City,
Mailing Address State Code, Mailing
Address Zip Code, Mailing Address,
Home of Record State Code, Home of
Record Country Code, Length of TAP
(Date Begun DOL EW TAP and Date End
DOL EW TAP), Location of the DOL EW
during TAP, Citizenship, Guard/Reserve
status, and ASVAB score/AFQT score.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.
RETENTION AND DISPOSAL:

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

Director, Office of Agency
Management and Budget United States
Department of Labor Veterans’
Employment and Training Service
200 Constitution Avenue NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURE:

A request for access should be mailed
to the System Manager.
A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Information contained within this
system is obtained from the DOD/
DMDC.

Frm 00114

Fmt 4701

Sfmt 4703

None.
DOL/VETS–6
SYSTEM NAME:

Veterans’ Case Management System
(VCMS)
SYSTEM CLASSIFICATION:

None.
SYSTEM LOCATION:

The VCMS servers will be located at
the ByteGrid Data Center 12401
Prosperity Drive, Silver Spring
Maryland, 20904.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Public users initiating a USERRA or
Veterans’ Preference claim, VETS
grantees, Federal staff.
CATEGORIES OF RECORDS IN THE SYSTEM:

Will maintain USERRA and Veterans’
Preference investigations, Transition
Assistant Program—Employment
Workshop contract information and
course participation and evaluation
information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
PURPOSE:

Records are maintained for
investigation of possible violations of
federal laws pertaining to veterans’
preference, USERRA, and other special
consideration related to employment
with Federal agencies. Records are also
maintained for analysis and reporting of
the TAP Employment Workshop.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USERS:

In addition to those universal routine
uses listed in the General Prefatory
Statement, records and information may
be disclosed to the Federal or private
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. The TAP Employment
Workshop records will be used for
analysis and reporting.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

PO 00000

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:

Files are stored electronically.

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RETRIEVABILITY:

SAFEGUARDS:

Files are retrieved by name of
complainant or name of private or
Federal agency. For TAP Employment
Workshop documents, the files will be
retrieved via workshop site.

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

inspection reports, outcome of
investigation, notification of
determination to assess a CMP, hearing
requests and/or subsequent legal
documents.

RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

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

WHD—DOL Wage and Hour Division
Systems of Records

Printed forms generated by the
WHISARD system will be retained by
Wage and Hour in accordance with
records disposal schedule N1–155–11–
0003, Item 3. Database information will
be deleted 12 years after final action.

DOL/WHD–1

SYSTEM MANAGER(S) AND ADDRESS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data.

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

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue NW., Washington,
DC 20210; Regional Administrators
Wage and Hour Division.

SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURE:

SYSTEM NAME:

None.

Inquiries should be mailed to the
System Manager.

SYSTEM LOCATION:

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

Wage and Hour Division Investigators,
Assistants, and Supervisors.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

RECORD ACCESS PROCEDURES:

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.

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

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

Records are retrieved by name of the
investigator, assistant, and supervisor.

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19:00 Apr 28, 2016

Jkt 238001

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

None.

STORAGE:

A petition for amendment should be
addressed to the System Manager.

Files are stored electronically and/or
on paper.

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Records contained in this system
include investigators, assistants and
supervisors working in District Offices.

Records are retrieved by employer
name, Employer Identification Number,
case file number or Act violated.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

SAFEGUARDS:

None.

SYSTEM NAME:

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

None.

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

Records in this system are retained for
12 years, and then disposed of in
accordance with Records Schedule N1–
155–11–003, Item 3.
SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see The Appendix of this
document for addresses.

All persons investigated and assessed
civil money penalties (CMPs) under the
Migrant and Seasonal Agricultural
Worker Protection Act (MSPA).

None.

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

CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

DOL/WHD–2

PURPOSE(S):

PURPOSE(S):

A request for access should be mailed
to the System Manager.

5 U.S.C. 301.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

25879

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

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

CATEGORIES OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

Records contained in this system
include names, addresses, Social
Security numbers, complaint
information, employer information,
employer/employee interviews, payroll
information, housing and/or vehicle

A petition for amendment should be
mailed to the System Manager.

PO 00000

Frm 00115

Fmt 4701

Sfmt 4703

RECORD SOURCE CATEGORIES:

Records in this system include
information regarding the subject of the

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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:

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/WHD–3

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). This registry is also
electronically available through the
Wage and Hour public Web site.
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:

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

Files are stored electronically and/or
on paper.

SYSTEM NAME:

MSPA Public Central Registry
Records File.

RETRIEVABILITY:

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

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see the Appendix for
addresses. This system is also available
online at http://www.dol.gov/whd/regs/
statutes/FLCList.htm.

SAFEGUARDS:

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

Holders of Farm Labor Contractor and
Farm Labor Contractor Employee
Certificates of Registration.

Records are retained for five years
from the date of the last certificate
action (approval, denial, or revocation)
in accordance with Records Schedule
N1–155–11–003, Item 2a.

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

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.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

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.

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Jkt 238001

NOTIFICATION PROCEDURES:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

labor contractor employee applications
and required documentation, certificates
of registration, and determination
letters.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/WHD–4
SYSTEM NAME:

Wage and Hour Clearance List—
MSPA Registration.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

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

Farm labor contractors and farm labor
contractor employees who may not
currently meet eligibility requirements,
as stated in the Migrant and Seasonal
Agricultural Worker Protection Act
(MSPA) for issuance of a certificate of
registration.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

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

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

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

RECORD SOURCE CATEGORIES:

Records contained in this system
include farm labor contractor and farm

PO 00000

Frm 00116

Fmt 4701

Sfmt 4703

DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.

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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:

STORAGE:

Files are stored electronically and/or
on paper.

CATEGORIES OF RECORDS IN THE SYSTEM:

Names, addresses, Social Security
numbers, fingerprints, FBI records,
insurance records, court and police
records.

RETRIEVABILITY:

Records are retrieved by name or
Social Security number (or Employer
Identification Number).

AUTHORITY FOR MAINTENANCE OF 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:

Records are retained for five years
from the date of the last certificate
action (approval, denial, or revocation)
in accordance with Records Schedule
N1–155–11–003, Item 2.
SYSTEM MANAGER(S) AND ADDRESS:

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

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

To maintain a record of persons
whose applications for or previously
issued Farm Labor Contractor/Farm
Labor Contractor Employee Certificates
of Registration have been denied or
revoked and all subsequent actions
connected therewith.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

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

NOTIFICATION PROCEDURES:

Inquiries should be mailed to the
System Manager.

None.

RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Records contained in this system
include 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.

SYSTEM NAME:

MSPA Certificate Action Record Files.

STORAGE:

Files are stored electronically and/or
on paper.
Records are retrieved by the name of
the applicant/holder.
SAFEGUARDS:

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

Records are retained for five years
from the date of the last certificate
action (approval, denial, or revocation)
in accordance with Records Schedule
N1–155–11–003, Item 2.
Administrator, Wage and Hour
Division, 200 Constitution Avenue NW.,
Washington, DC 20210.
Inquiries should be mailed to the
System Manager.

None.
SYSTEM LOCATION:

RECORD ACCESS PROCEDURES:

Wage and Hour National Office and
Regional Offices.

A request for access should be mailed
to the System Manager.

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PO 00000

Frm 00117

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Records contained in this system
include 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.

Fmt 4701

SYSTEM NAME:

Case Registration/Investigator
Assignment Form in the Wage and Hour
Investigative Support and Reporting
Database (WHISARD).
SECURITY CLASSIFICATION:

RETRIEVABILITY:

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:

CONTESTING RECORD PROCEDURES:

DOL/WHD–6

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

SYSTEM MANAGER(S) AND ADDRESS:

DOL/WHD–5
asabaliauskas on DSK3SPTVN1PROD with NOTICES

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

25881

Sfmt 4703

None.
SYSTEM LOCATION:

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

Wage and Hour Investigators.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing name and address,
case investigation number, investigation
program, investigating office, prior
history of investigations, and
investigating officer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

To provide Wage and Hour DOs with
a record of employers currently
undergoing investigation by Wage and
Hour within the jurisdiction of that
particular DO. Used to record the initial

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scheduling of an investigation,
assignment to an Investigator and
subsequent actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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

(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/WHD–7

STORAGE:

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

Records are retrieved by name of
employer, by North American Industrial
Code (NAIC) and/or Employer
Identification Number (EIN).

SYSTEM NAME:

Migrant and Seasonal Agricultural
Worker Protection Act (MSPA)
Ineligible Farm Labor Contractors.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

SAFEGUARDS:

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

This list is available online to the
public at http://www.dol.gov/whd/regs/
statutes/mspa_debar.htm. It is also
available at the Wage and Hour National
Office.

RETENTION AND DISPOSAL:

Printed forms generated by the
WHISARD system will be retained by
Wage and Hour in accordance with
records disposal schedule N1–155–11–
0003, Item 3. Database information will
be deleted 12 years after final action.
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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.

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
application for a certificate of
registration have been denied in which
the complete administrative process has
become final.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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

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RECORD SOURCE CATEGORIES:
PURPOSE:

Records in this system are obtained
from complainants, employers, and
Wage and Hour personnel.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),

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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:

Information contained in this system
is available to the public on the DOL.

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DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

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

Records are retrieved by name.
SAFEGUARDS:

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

Records are retained for five years
from the date of the last certificate
action (approval, denial, or revocation)
in accordance with Records Schedule
N1–155–11–003, Item 2a.
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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

Records in the system include
information furnished by the applicant.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/WHD–8
SYSTEM NAME:

Customer Service Component of the
Wage Hour Investigative Support and
Reporting Database (WHISARD).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see The Appendix of this
document for addresses.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE:

Individuals who contact the Wage and
Hour Division for technical assistance or
to file a complaint.

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

CATEGORIES OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURES:

‘‘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, email address and
certain information about the
individual’s complaint.
‘‘Employee Work Information’’
records containing certain employment
and payroll information about the
individual’s complaint.

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).

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.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 29 U.S.C. 201 et seq.
PURPOSE(S):

To provide Wage and Hour NO, ROS
and DOs with an index of individuals
who contact the Wage and Hour
Division. This information may be used
to provide assistance or facilitate the
processing of a complaint.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to the routine uses listed
in the General Prefatory Statement to
this document, relevant information
may be provided to other government
agencies for law enforcement purposes.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.

RECORD ACCESS PROCEDURES:

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

Individuals wishing to contest or
amend any records should direct their
request to the appropriate system
manager. In addition, the request should
state clearly and concisely what
information is being contested, the
reason for contesting it, and the
proposed amendment sought for the
information.

RETRIEVABILITY:

None.
DOL/WHD–9

Farm Labor Contractor Registration
File.

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

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

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

PO 00000

Frm 00119

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Printed forms generated by the
WHISARD system will be retained by
Wage and Hour in accordance with
records disposal schedule N1–155–11–
0003, Item 3. Database information will
be deleted 12 years after final action.

Files are retrieved by the name of the
applicant/holder.
SAFEGUARDS:

SYSTEM NAME:

Records are retrieved by the name of
the individual.

RETENTION AND DISPOSAL:

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

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETRIEVABILITY:

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

None.

Files are stored electronically and/or
on paper.

All Wage and Hour Regional Offices
and the Florida Department of Labor
andand Employment Security,
Agricultural Programs Section located
in Tallahassee, Florida.

SAFEGUARDS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

STORAGE:

SYSTEM LOCATION:

Files are stored electronically and/or
on paper.

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 Wage and Hour
National Office, Regional Offices, and
District Offices for determining
compliance with MSPA, and to the
system manager of DOL/WHD–3, MSPA
Public Central Register Records File, for
the purpose of preparing its list.

Complainants, employers, and Wage
and Hour personnel.

None.

STORAGE:

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

RECORD SOURCE CATEGORIES:

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

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Records are retained for five years,
and then disposed of in accordance with
Records Schedule N1–155–11–003, Item
2a.
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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices

RECORD SOURCE CATEGORIES:

PURPOSE:

RETENTION AND DISPOSAL:

Information contained in this system
is obtained from the applicant,
insurance companies, FBI, court and
police records, and from investigations
conducted by DOL.

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.

Records are retained for five years,
and then disposed of in accordance with
Records Schedule N1–155–11–003, Item
2a.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

None.
DOL/WHD–10
SYSTEM NAME:

Farm Labor Contractor Employee
Registration File.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

All Wage and Hour Regional Offices
and the Florida Department of Labor
and 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:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

STORAGE:

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

DOL/BLS–6 .....................................
DOL/BLS–7 .....................................
DOL/BLS–12 ...................................
DOL/ESA–32 ...................................
DOL/ESA–39 ...................................
DOL/ESA–40 ...................................
DOL/ESA–43 ...................................
DOL/ESA–47 ...................................
DOL/ESA–52 ...................................
DOL/ETA–15 ...................................
DOL/ETA–22 ...................................
DOL/ETA–25 ...................................
DOL/ETA–26 ...................................
DOL/ETA–27 ...................................
DOL/ETA–28 ...................................
DOL/MSHA–3 .................................
DOL/MSHA–10 ...............................
DOL/MSHA–13 ...............................
DOL/MSHA–15 ...............................
DOL/MSHA–18 ...............................
DOL/MSHA–19 ...............................
DOL/MSHA–20 ...............................
DOL/MSHA–21 ...............................
DOL/MSHA–24 ...............................
DOL/OALJ–3 ...................................
DOL/OALJ–4 ...................................
DOL/OASAM–23 .............................

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19:00 Apr 28, 2016

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:

Inquiries should be mailed to the
System Manager.
RECORD ACCESS PROCEDURES:

A request for access should be mailed
to the System Manager.
CONTESTING RECORD PROCEDURES:

A petition for amendment should be
mailed to the System Manager.
RECORD SOURCE CATEGORIES:

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

Records which contain personal
identification, fingerprints, FBI records,
insurance records, court and police
records.
5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

asabaliauskas on DSK3SPTVN1PROD with NOTICES

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 Wage and Hour
National Office, Regional Offices, and
District Offices for determining
compliance with MSPA, and to the
system manager of DOL/WHD–3, MSPA
Public Central Register Records File, for
the purpose of preparing its list.

SYSTEM MANAGER(S) AND ADDRESS:

Files are retrieved by the name of the
applicant/holder.
SAFEGUARDS:

Information contained in this system
is obtained from the applicant,
insurance companies, FBI, court and
police records, and from investigations
conducted by DOL.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
E. The Department of Labor’s
Decommissioned System of Records
The systems of records listed in the
chart below are obsolete and, thus are
being decommissioned.

Applicant Race and National Origin (ARNO) System, Form E 618.
BLS Employee Conduct Investigation.
Employee Acknowledgement Letter Control System.
Employee Conduct Investigation.
State Employment Service Clearance List—MSPA Registration.
MSPA Tracer List.
Office of Workers’ Compensation Programs, Federal Employees Compensation Act and Longshore and
Harbor Workers’ Compensation Act Rehabilitation Files.
Youth Peddler Bulletin Board.
Wage-Hour Financial Accounting System (WFAS).
DOL/ETA Evaluation, Research Pilot or Demonstration Contractors’ Project Files.
ETA Employee Conduct Investigations.
DOL/ETA Evaluation, Research Project of the Unemployment Compensation System.
Standardized Program Information Report (SPIR).
Youth Opportunity Grant Program Information Files.
Senior Community Service Employment Program Information Files.
Metal and Nonmetal Mine Safety and Health Management Information System.
Discrimination Investigations.
Coal Mine Respirable Dust Program.
Health and Safety Training and Examination Records.
Coal Mine Safety and Health Management Information System.
Employee Conduct Investigations.
Civil/Criminal Investigations.
Assessment and Civil Penalty Debt Collection Activity and Reporting System.
Radon Daughter Exposure.
Contract List.
Notification List.
Travel Management Center.

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Federal Register / Vol. 81, No. 83 / Friday, April 29, 2016 / Notices
DOL/OASAM–24 .............................
DOL/OASAM–33 .............................
DOL/OASAM–36 .............................
DOL/OCFO–1 .................................
DOL/OIG–1 .....................................
DOL/OIG–2 .....................................
DOL/OIG–3 .....................................
DOL/OSBP–1 ..................................
DOL/OSBP–2 ..................................
DOL/OSHA–12 ................................
DOL/OSHA–13 ................................
DOL/PWBA–2 .................................
DOL/PWBA–7 .................................
DOL/PWBA–10 ...............................
DOL/PWBA–11 ...............................
DOL/PWBA–12 ...............................
DOL/PWBA–14 ...............................
DOL/PWBA–15 ...............................
DOL/SOL–7 .....................................
DOL/SOL–13 ...................................
DOL/SOL–17 ...................................
DOL/VETS–4 ..................................
DOL/VETS–3 ..................................

Privacy Act/Freedom of Information Act Requests File System.
Entity Database.
People Power.
Attendance, Leave, and Payroll File.
Investigative Files, Case Tracking System, Analysis, Complaints and Evaluation Files, USDOL/OIG.
Investigative Case Files, Case Development and Intelligence Records.
Investigative Case Files, Case Development and Intelligence Records.
Office of Small Business Programs, Small Entity Inquiry and Complaint Tracking System.
Department of Labor Advisory Committee Members File.
OSHA Employee Conduct Investigations.
OSHA Office of Training and Education Automated Registration System.
PWBA Investigation Management Files.
Employee Conduct Investigations.
PWBA Civil Litigation Case Information System.
PWBA Criminal Case Information System.
Publication Hotline Requests.
Investment Advisor Registration Database.
PWBA Inventory Management Database.
Solicitor’s Legal Activity Recordkeeping System.
Employee Conduct Investigations.
Solicitor’s Office Equipment Files.
VETS Employee Conduct Investigations.
Transition Assistance Program.

Editorial Note: The Federal Register
received this notice on April 20, 2016.
[FR Doc. 2016–09510 Filed 4–28–16; 8:45 am]

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