Privacy Act of 1974; Publication in Full of All Notices of Systems
of Records Including Several New Systems; Publication of Proposed Routine Uses
[Notices] [04/08/2002]
OSEC Federal Register Notice
Privacy Act of 1974; Publication in Full of All Notices of Systems of
Records Including Several New Systems; Publication of Proposed Routine Uses
[04/08/2002]
Due to the large file size, this document has been
divided into three parts:
[[Page 16915]]
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Part II
Department of Labor
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Office of the Secretary
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Privacy Act of 1974; Publication in Full of All Notices of Systems of
Records Including Several New Systems; Publication of Proposed Routine
Uses; Notice
[[Continued from page 16914]]
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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; Publication of
Proposed Routine Uses
AGENCY: Office of the Secretary, Labor.
ACTION: Notice; publication in full of all notices of systems of
records, including several new systems; publication of a new universal
routine use for all systems of records; publication of several proposed
system-specific routine uses, as well as substantive amendments.
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SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/MSHA-13
SYSTEM NAME:
Coal Mine Respirable Dust Program.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Coal Mine Safety and Health, MSHA, U.S. Department of Labor, 4015
Wilson Blvd., Arlington, Virginia 22203, and substantially all Coal
Mine Safety and Health Offices listed in the Appendix.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individual coal miners for whom personal dust samples have been
submitted for analysis prior to 1981, miners with evidence of the
development of coal workers' pneumoconiosis (black lung disease) as
defined under 30 CFR part 90 after 1981.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain data such as the mine identification,
including mine name and company name, mine entity number (specific
location in the mine where samples were taken), occupation and social
security number of individual sampled (pre 1981 date) and of 30 CFR
part 90 miner (after 1980), date sampled, concentration of respirable
dust measured in the miner's work environment, tons of material
produced during sampling shift, and sampling time, and social security
number of the certified person taking the sample.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
30 U.S.C. 813(a), 842.
PURPOSE(S):
To maintain records to determine compliance with the mandatory
respirable coal mine dust standards.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of relevant records
may be made (1) to the U.S. Department of Health and Human Services in
accordance with provisions of Pub. L. 91-173 as amended by Pub. L. 95-
164; (2) to mine operators to furnish information relevant to the
respirable dust program as it applies to their operations as required
by the law; (3) to appropriate Federal, State, local or foreign agency
for research purposes, for enforcing or implementing a statute, rule,
regulation, order or license; (4) to labor, industry and academic
organizations to monitor dust concentration and compliance trends.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Historical data on magnetic tape and current data on computer disk.
RETRIEVABILITY:
Indexed by mine identification number, and social security number
for individual coal miners sampled prior to 1981 and for all 30 CFR
part 90 miners after 1980. This information is available on computer
printouts.
SAFEGUARDS:
Access limited to authorized personnel in regard to computerized
data. Sampling data and other manual records for part 90 miners are
stored in locked steel cabinets with access being granted only to duly
authorized personnel. Sample results for other than 30 CFR part 90
miners are kept in regular file cabinets. No other manual records are
identifiable.
RETENTION AND DISPOSAL:
Maintain magnetic tapes indefinitely. Transfer to FARC operator/
inspector dust data cards when 3 years old and destroy when 10 years
old.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Division of Health, Coal Mine Safety and Health, MSHA, 4015
Wilson Blvd., Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORDS ACCESS PROCEDURES:
To see your records, for samples collected prior to 1981 and for 30
CFR part 90 miners after 1980 write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
CONTESTING RECORD PROCEDURES:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
RECORD SOURCE CATEGORIES:
Mine operators.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/MSHA-15
SYSTEM NAME:
Health and Safety Training and Examination Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Qualification and Certification Unit, Educational Policy and
Development, Mine Safety and Health Administration, PO Box 25367 (DFC),
Denver, Colorado 80225.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Miners, mining industry personnel, State and Federal employees who
have taken MSHA approved training courses to attain skills to become
qualified and certified to complete mining tasks.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain mine ID number, training course codes,
instructor's name, date of training, name and social security number of
persons who have taken training and examinations to become qualified
and/or certified.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
30 U.S.C. 825, 877(i), 952.
[[Page 16916]]
PURPOSE(S):
The primary uses of the records are to (a) maintain records of
training and examination of individual miners, mining industry
personnel, and State and Federal employees who have taken MSHA approved
training courses; (b) issue qualification and/or certification cards to
individuals who become qualified or certified under the law, as
appropriate; (c) issue qualification cards to instructors authorized to
teach MSHA approved training courses; (d) provide information to
monitor and expand safety training programs; (e) verify that
individuals have completed required training; (f) report training data
in various formats for a variety of uses, particularly, reporting to
Congress, publication.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosures may be made (a) to mine operators requesting
information to verify training required by law; (b) to labor
organizations requesting information on training status of its members;
(c) to mine operators' associations which require training for policy
and programming utilization; (d) to appropriate Federal, State, tribal
governments, local or foreign agencies responsible for investigating or
prosecuting the violation of, or for enforcing or implementing, a
statute, rule, regulation, order or license.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Training documents are microfilmed; then, they are entered into
computer files.
RETRIEVABILITY:
Computerized records are indexed and accessed by mine
identification and individual social security numbers. Microfilm
records are retrieved on basis of cycle number, social security number,
mine identification numbers, date and course examination. (Note:
Records have the individual names but do not contain addresses. The
social security number is used by MSHA for retrievals because the file
contains many individuals with the same names, and there is no way to
know which records belong to which individual by using name only.)
SAFEGUARDS:
Computer safeguards and procedures developed by MSHA under GSA
Circular E-34. Reports are marked with the appropriate Privacy Act
warning. During working hours only authorized personnel have access to
files.
RETENTION AND DISPOSAL:
Training documents are destroyed when 3 years old. Microfilm is
destroyed when 50 years old.
Computer files are updated as changes occur and used to verify
information.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Qualification and Certification Unit, Educational Policy and
Development, PO Box 25367 (DFC), Denver, Colorado 80225.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Social Security number
c. Signature
d. Address
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Social Security number
c. Signature
d. Type of Record to be amended
e. Address
RECORD SOURCE CATEGORIES:
Training records are received from instructors, mining industry,
and MSHA training personnel.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/MSHA-18
SYSTEM NAME:
Coal Mine Safety and Health Management Information System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
(1) Office of the Administrator for Coal Mine Safety and Health,
U.S. Department of Labor, 4015 Wilson Boulevard, Arlington, Virginia
22203; (2) Coal Mine Safety and Health district and field offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Coal Mine Safety and Health enforcement personnel and key officials
at surface and underground installations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information on mine status and characteristics; key mine officials;
inspections; violations; sampling information; Coal Mine Safety and
Health enforcement personnel; and time utilization for Coal Mine Safety
and Health enforcement personnel.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 557a, 668; 30 U.S.C. 811, 813, 814.
PURPOSE(S):
To maintain information on (a) status of mining operations; (b)
identification of key mine officials; (c) inspections of mines; (d)
citations and orders issued for violation of the Mine Act and 30 CFR;
(e) information on samples taken by inspectors; and (f) time
utilization for Coal Mine Safety and Health enforcement personnel.
Disclosure outside the Department of Labor may be made to appropriate
Federal, State, local or foreign agencies responsible for investigating
or prosecuting the violation of, or for enforcing or implementing, a
statute, rule, regulation, order or license.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files: Magnetic tape and disk units.
RETENTION AND DISPOSAL:
Inspection reports and related documents are destroyed after 10
years. Other source documents are destroyed when no longer needed.
Active database is retained for 2 complete fiscal years; then moved to
the historical database or magnetic tape. Historical database and
magnetic tapes are retained indefinitely.
[[Page 16917]]
RETRIEVABILITY:
By mine identification number for key mine officials; by Authorized
Representative number, organization number, inspection event number,
and violation number for enforcement personnel.
SAFEGUARDS:
Access limited to authorized personnel in regard to computerized
data. Manual records on Coal Mine Safety and Health enforcement
personnel are kept in locked file cabinets. Manual records on mine
status and characteristics, key mine officials, inspections,
violations, and time utilization for Coal Mine Safety and Health
enforcement personnel are kept in regular file cabinets.
SYSTEM MANAGER(S) AND ADDRESS:
Administrator for Coal Mine Safety and Health, MSHA, Department of
Labor, 4015 Wilson Boulevard, Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
RECORDS SOURCE CATEGORIES:
Coal Mine Safety and Health personnel submit inspection, time
utilization, violation, sampling, and other enforcement information in
accordance with prescribed procedures.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/MSHA-19
SYSTEM NAME:
Employee Conduct Investigations.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Mine Safety and Health Administration, Administration and
Management, U.S. Department of Labor, 4015 Wilson Blvd., Arlington,
Virginia 22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any MSHA employee against whom any allegation of serious
misconduct, illegal acts, conflict of interest, etc. has been made.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, organization, allegation and other pertinent information
relating to the individual involved, as well as the investigative
report associated with the case, including interviews and other data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 7301, Executive Order 11222.
PURPOSE(S):
The primary use of the records is to determine facts and
circumstances relative to allegations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual records are maintained in manila folders which are stored in
locked file cabinets. Computer records are maintained in a password
controlled, computerized tracking system.
RETRIEVABILITY:
By name or by file number.
SAFEGUARDS:
Maintained in locked file cabinets and password controlled computer
system.
RETENTION AND DISPOSAL:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Administration and Management, MSHA, 4015 Wilson Blvd.
Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requestor seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see records, an individual must provide the request in writing
to the System Manager. It must be as specific as possible and the
following information must be furnished:
a. Full name.
b. Date of birth.
c. Signature.
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name.
b. Date of birth.
c. Signature.
RECORD SOURCE CATEGORIES:
Individual employees and officials of MSHA and any others alleging
misconduct.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(g), (h), and (i); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/MSHA-20
SYSTEM NAME:
Civil/Criminal Investigations.
[[Page 16918]]
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of the Administrator for Coal Mine Safety and Health and
Office of the Administrator for Metal and Nonmetal Mine Safety and
Health, Mine Safety and Health Administration, U.S. Department of
Labor, 4015 Wilson Boulevard, Arlington, Virginia 22203 and all Coal
and Metal and Nonmetal Mine Safety and Health district offices (see the
Appendix for addresses).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who allegedly, knowingly or willfully, committed
violations of the Federal Mine Safety and Health Act of 1977 (Mine Act)
and the Coal Mine Health and Safety Act of 1969 (Coal Act); individuals
who have been criminally prosecuted for such violations; and
individuals who have been civilly assessed a monetary penalty for
violations of the 1977 Mine Act or 1969 Coal Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, telephone number, social security number,
occupation, place of employment, and other identifying data along with
allegation information of miners, mine operators, and other
individuals. Interviews and other data gathered by the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
30 U.S.C. 820.
PURPOSE(S):
Records are maintained to determine validity and gravity of
allegations and the amount of civil penalty assessment or referral for
possible criminal prosecution.
ROUTINE USE OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement of this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, ACCESSING, RETAINING, AND DISPOSING
OF RECORDS IN THE SYSTEM:
STORAGE:
In manila file folders and computerized tracking system.
RETRIEVABILITY:
Records are filed by case number; agent's name; company name; mine
name, identification number (I.D.) or address.
SAFEGUARDS:
Maintained in locked file cabinets and secured computer system.
RETENTION AND DISPOSAL:
Retained for 3 years, then transferred to a Federal Records Center
where they are retained for 15 years, then destroyed except for cases
involving health issues. For those cases involving health issues retain
for 3 years, then transferred to a Federal Records Center where they
are retained for 27 years, then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Administrator for Coal Mine Safety Health, Ballston Towers No. 3,
4015 Wilson Boulevard, Arlington, Virginia 22203; Administrator for
Metal and Nonmetal Mine Safety and Health, same address as above.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORDS ACCESS PROCEDURES:
To see your records, write the System Manager and describe as
specifically as possible the records being sought and furnish the
following information:
a. Full name
b. Date of birth
c. Signature
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Date of birth
c. Signature
RECORD SOURCE CATEGORIES:
Miners and mine operators, MSHA investigators and other
individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
In accordance with 5 U.S.C. 552a(j)(2), investigatory material in
this system of records compiled for criminal law enforcement purposes
is exempt from subsections (c)(3), (c)(4), (d)(1), (d)(2), (d)(3),
(d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I),
(e)(5), (e)(8), (f), of 5 U.S.C. 552a.
DOL/MSHA-21
SYSTEM NAME:
Assessments and Civil Penalty Debt Collection Activity and
Reporting System
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Assessments, Civil Penalty Compliance Office, Mine Safety
and Health Administration (MSHA), U.S. Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who were cited for committing violations of the Federal
Mine Safety and Health Act of 1977 (Mine Act) and mandatory safety and
health standards which resulted in their indebtedness to the United
States in the form of a civil penalty.
CATEGORIES OF RECORDS IN THE SYSTEM:
Consumer credit reports, Case files, payment installment plans,
bankruptcy case files, Employee Identification Numbers file (EIN),
Treasury cross-servicing files, Treasury offset files, financial
adjustment files, Assessments Management Information System.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 3701, 3711-12, 3716-19, 3720A-E, 7701. (Debt Collection
Improvement Act of 1996); 30 U.S.C. 815 and 820.
PURPOSE(S):
The system provides information on individuals who are indebted to
the Department of Labor, Mine Safety and Health Administration, for the
purpose of assessing penalties, determining the collection of debts,
and taking appropriate actions to collect or otherwise resolve the
debts.
[[Page 16919]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files, computer files on Local Area Network (LAN) and PCS.
RETRIEVABILITY:
By mine identification number; Employee Identification Number,
Name, MSHA case number, or Social Security Number (SSN).
SAFEGUARDS:
Access to computerized data is limited to authorized personnel
through use of encrypted passwords. Manual records in Office of
Assessments are kept in locked file cabinets or restricted areas.
During working hours only authorized personnel have access to files.
RETENTION AND DISPOSAL:
Source documents are retained until case is closed and retired to
the appropriate Federal Records Center for 10 years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Assessment, Department of Labor, Mine Safety and Health
Administration, Office of Assessments, 4015 Wilson Boulevard,
Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see records, write the System Manager and describe specifically
as possible the records sought and furnish the following information:
a. Full name
b. Signature
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Signature
c. The specific problem
RECORD SOURCE CATEGORIES:
Information is obtained from Office of Assessments, Civil Penalty
Compliance Office, Credit Reporting Bureaus, Dun and Bradstreet
Reporting, Consumer credit reports, Case files, payment installment
plans, bankruptcy case files, Employee Identification Numbers file
(EIS), Treasury cross-servicing files, Treasury offset files, financial
adjustment files, and the Assessments Management Information System.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/MSHA-22
SYSTEM NAME:
Education Policy and Development; National Mine Health and Safety
Academy Permanent Record Card.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of the Superintendent, National Mine Health and Safety
Academy, Mine Safety and Health Administration, U.S. Department of
Labor, 1301 Airport Road, Beaver, West Virginia 25813.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Mine Safety and Health Administration personnel and other students
receiving training at the Mine Health and Safety Academy.
CATEGORIES OF RECORDS IN THE SYSTEM:
Student grade transcripts. (Records reflecting courses and grades
received)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 557(a), 30 U.S.C. 952.
PURPOSE(S):
To maintain records on Mine Safety and Health inspectors to assure
that proper training is received as required under the Federal mine
Safety and Health Act of 1977, Public Law 91-173, as amended by Public
Law 95-164, Sec. 502 c.(1) (2) (3). Records are used by students and
supervisors to track training and grades.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosures may be made to (1) appropriate Federal, State, local
agencies when students transfer from one agency to another; (2)
colleges that accept training received at the Academy for transferable
credit hours; (3) supervisors of students who request transcripts on
employees to assure that proper training has been received or
completed.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
By Social Security Number or name of the student.
SAFEGUARDS:
Manual records on Academy training personnel and students are kept
in locked file cabinets.
RETENTION AND DISPOSAL:
Instructor grade sheets are destroyed after 3 years. Academy
Permanent Records Cards (Transcripts) are retained for 50 years and
then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director for Educational Policy and Development, Mine Safety and
Health, Department of Labor, 4015 Wilson Boulevard, Arlington, Virginia
22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see records, write the System Manager and describe specifically
as possible the records sought and furnish the following information:
a. Full name
b. Address
c. Signature
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Address
c. Signature
d. The specific problem
RECORD SOURCE CATEGORIES:
Educational Policy and Development, National Mine Health and Safety
instructors and students.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[[Page 16920]]
DOL/MSHA-23
SYSTEM NAME:
Education Policy and Development; Education Field Services (EFS)
Activity Reporting System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
(1) Office of the Director for Educational Policy and Development,
Mine Safety and Health, U.S. Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203;
(2) Educational Field Services for Educational Policy and
Development, Mine Safety and Health, U.S. Department of Labor, Airport
Road, Beaver, West Virginia;
(3) Educational Field Services for Educational Policy and
Development, Mine Safety and Health, U.S. Department of Labor, P.O. Box
25367, Denver Federal Center, Denver, Colorado 80225.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Educational Policy and Development, Educational Field Services
training personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information on mine ID's visited; number of personnel contacted;
activities conducted; time spent on activities; name; AR/RE Authorized
Representative number (AR) or Right of entry number (RE) number;
organization code; and information on time utilization for Training
Specialists.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 557(a)
PURPOSE(S):
(1) To determine the workload and work scheduling; (2) To assist in
budgeting and staffing of education and training specialists; (3) To
assess training needs of MSHA personnel and industry personnel; and (4)
To assist management in the monitoring of training activities conducted
by EFS Training Specialists.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files, and computer files.
RETRIEVABILITY:
By mine identification number; Authorized Representative/Right of
Entry Representative number; organization code.
SAFEGUARDS:
Access limited to authorized personnel in regard to computerized
data. Manual records on Education Policy and Development training
personnel are kept in locked file cabinets.
Computer safeguards and procedures developed by contractors under
GSA Circular E-34. Reports are marked with a Privacy Act warning.
During working hours only authorized personnel have access to files.
RETENTION AND DISPOSAL:
Paper records are destroyed when 3 years old. Computer records are
maintained permanently for historical purposes.
SYSTEM MANAGER(S) AND ADDRESS:
Director for Educational Policy and Development, Mine Safety and
Health, Department of Labor, 4015 Wilson Boulevard, Arlington, Virginia
22203.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required.
RECORD ACCESS PROCEDURES:
To see records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. AR/RE number
c. Address
d. Signature
CONTESTING RECORD PROCEDURES:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. AR/RE number
c. Signature
d. The specific problem.
RECORD SOURCE CATEGORIES:
Educational Policy and Development, Educational Field Services
personnel.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/MSHA-24
SYSTEM NAME:
Radon Daughter Exposure.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Health, Office of the Administrator for Metal and
Nonmetal Mine Safety and Health, Mine Safety and Health Administration,
U.S. Department of Labor, 4015 Wilson Boulevard, Arlington, Virginia
22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All individuals for whom mine operators were required to calculate
and record radon daughter exposure in the previous calendar year.
CATEGORIES OF RECORDS IN THE SYSTEM:
Mine I.D. number, mine name, section, township, range, county, and
state of mine location, operator, and time period, individual's name,
social security number, current year's radon daughter exposure and
cumulative radon daughter exposure in working level months (WLM).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
30 U.S.C. 811, 961
PURPOSE(S):
To document exposure of miners to radon daughters, a form of
radiation which has been proven to cause cancer in humans and is well
known as a severe hazard for metal and nonmetal miners. The exposure
limit is an annual limit which requires careful documentation to ensure
that no miner is overexposed.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those routine uses listed in the General Prefatory
Statement of this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, ACCESSING, RETAINING, AND DISPOSING
OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
By year, mine name, mine operator, and individual name.
[[Page 16921]]
SAFEGUARDS:
Manual records are kept in locked file cabinets. During working
hours records are accessible only to authorized personnel.
RETENTION AND DISPOSAL:
Retained until individual would have turned 75 years old or until
10 years after known death of individual.
SYSTEM MANAGER(S) AND ADDRESS:
Chief of Health, Administrator for Metal and Nonmetal Mine Safety
and Health, same address as above.
NOTIFICATION PROCEDURE:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her is
required or a letter signed by the individual or his estate authorizing
the requester to obtain the information. (As per 30 CFR 57.5040 and
ANSI N13.8-1973 ``Radiation Protection in Uranium Mines.'')
RECORDS ACCESS PROCEDURES:
To see your records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Address
c. Signature
CONTESTING RECORD PROCEDURES:
To see your records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Address
c. Signature
RECORD SOURCE CATEGORIES:
Mine operators.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/OSHA-1
SYSTEM NAME:
Discrimination Complaint File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
National and Regional Offices of the Occupational Safety and Health
Administration; see the Appendix to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have filed complaints alleging discrimination
against them by their employers for exercising safety and health
rights. Complainants may file pursuant to section 11(c) of the
Occupational Safety and Health Act (29 U.S.C. 651-678), section 405 of
the Surface Transportation Assistance Act (49 U.S.C. 31105 et seq.),
section 211 of the Asbestos Hazard Emergency Response Act (15 U.S.C.
2601) or section of the International Safe Container Act (46 U.S.C.
1501 et seq.). Complaints are also filed pursuant to those additional
statutes listed below under the category entitled Authority for
Maintenance of the System. Employees who are covered by the statutes
listed below may file complaints alleging discrimination on the basis
of protected activity relating to environmental laws.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, telephone number, social security number,
occupation, place of employment, and other identifying data along with
the type of allegation. This material includes interviews and other
data gathered by the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 11(c) of the Occupational Safety and Health Act (29 U.S.C.
651-678); sec. 405 of the Surface Transportation Assistance Act (49
U.S.C. 31105); sec. 211 of the Asbestos Hazard Emergency Response Act
(15 U.S.C. 2601 et seq.); sec. 7 of the International Safe Container
Act (46 U.S.C. 1501 et seq.); the Safe Drinking Water Act (42 U.S.C.
300j-9(i)); the Water Pollution Control Act (33 U.S.C. 1367); the Toxic
Substances Control Act (15 U.S.C. 2622); the Wendell H. Ford Aviation
Investment and Reform Act for the 21st Century, 29 U.S.C. 42121; the
Solid Waste Disposal Act (42 U.S.C. 6971); the Clean Air Act (42 U.S.C.
7622); the Comprehensive Environmental Response, Compensation and
Liability Act of 1980 (42 U.S.C. 9610); and the Energy Reorganization
Act of 1974 (42 U.S.C. 5851).
PURPOSE(S):
The records are used to support investigative materials discovered
or created during investigation of violations of the health and safety
statutes and the environmental statutes listed in the category in this
notice for Authority. The records also are used as the basis of
statistical reports on such activity by regional administrators,
investigators, and their supervisors in the Occupational Safety and
Health Administration.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
A. With respect to the first four statutes listed under the
Authority category, disclosure of the gravamen of a complaint, as well
as the name of the complainant, may be made to the employer, so that
the complaint can proceed to a resolution.
B. With respect to the eight remaining statutes listed under the
Authority category, disclosure of a copy of the actual written
complaint by the complainant, may be made to the employer so that the
complaint can proceed to a resolution.
C. With respect to complaints under the Energy Reorganization Act
(ERA), disclosure of a copy of the actual written complaint by the
complainant, may be made to the United States Nuclear Regulatory
Agency, as mandated by the ERA.
D. With respect to complaints under the environmental statutes,
disclosure of a copy of the actual written complaint by the
complainant, may be made to the United States Environmental Protection
Agency (EPA), as mandated by this Department's regulation, 29 CFR Part
24.
E. With respect to complaints under the Wendell H. Ford Aviation
Investment and Reform Act for the 21st Century, disclosure of a copy of
the actual written complaint by the complainant, may be made to the
Federal Aviation Administration, as is mandated by the Act.
F. All of the above five disclosures are in addition to those
universal routine uses listed in the General Prefatory Statement to
this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
By complainant's name or case identification number.
SAFEGUARDS:
Locked storage equipment and personnel screening.
RETENTION AND DISPOSAL:
Destroy five years after case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Office of 11(c) Programs in the National Office and
Regional Administrators at addresses in the Appendix.
[[Page 16922]]
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the appropriate system location.
RECORD ACCESS PROCEDURE:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the appropriate system location.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Individual complainants who filed allegation(s) of discrimination
by employer(s) against employee(s) who have exercised job safety and
health responsibilities; information compiled in connection with
investigations. Also employers, employees and witnesses.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/OSHA-6
SYSTEM NAME:
Program Activity File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Management Data Systems, Occupational Safety and Health
Administration, Room N-3661, U.S. Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Compliance Safety and Health Officers of the Occupational Safety
and Health Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:
Time sheets/logs documenting compliance safety and health officers'
activities covering inspections, monitoring and other compliance-
related data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
PURPOSE(S):
These records are maintained to document the amount of time spent
by OSHA compliance safety and health officers on their various
compliance-related activities. The data compiled from the time sheets
are used to analyze program activity by producing such activity
measures as time spent on each of various types of compliance-related
activities; the data are used by key agency officials to assist in
measuring the effectiveness of OSHA's enforcement activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
By compliance safety and health officer identifying number or by
inspection/investigation number.
SAFEGUARDS:
Computer file accessible only through password system available
only to authorized personnel.
RETENTION AND DISPOSAL:
Data files maintained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Management Data Systems, Occupational Safety
and Health Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the system location listed above.
RECORD ACCESS PROCEDURE:
Individuals wishing to gain access to records should contact the
system manager at the system location listed above.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any record should
contact the system manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Compliance safety and health officers'/investigators' time logs.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Not applicable.
DOL/OSHA-9
SYSTEM NAME:
OSHA Compliance Safety and Health Officer Training Record.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Regional offices of the Occupational Safety and Health
Administration; see the Appendix for addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Compliance Safety and Health Officers of the Occupational Safety
and Health Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records reflecting training courses and programs completed by
Compliance Safety and Health Officers of the Occupational Safety and
Health Administration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
PURPOSE(S):
These records are used to determine which Compliance Safety and
Health Officers have completed required training and which need added
training. They are used to analyze individual training needs and to
assess overall needs for training in upcoming periods; used by Regional
Administrators for planning and budgetary purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
[[Page 16923]]
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
By name of individual Compliance Safety and Health Officer.
SAFEGUARDS:
Locked file cabinets.
RETENTION AND DISPOSAL:
Upon termination of employment of a Compliance Safety and Health
Officer, or upon transfer to another job.
SYSTEM MANAGER(S) AND ADDRESS:
Regional Administrator at address in the Appendix where system is
located.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the appropriate system location listed above.
RECORD ACCESS PROCEDURE:
Individuals wishing to gain access to records should contact the
system manager at the system location listed above.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any records should
contact the system manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Official personnel folders; certificates of training; individuals
concerned.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Not applicable.
DOL/OSHA-10
SYSTEM NAME:
OSHA Outreach Training Program.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Authorized OSHA Outreach Training Program trainers.
CATEGORIES OF RECORDS IN THE SYSTEM:
Each trainer's file contains the following information: Trainer's
name, title, ID number, company name, address, telephone number, fax
number, and the most recent date the individual completed an OSHA
construction and/or general industry Outreach course. Files also
contain the end date of outreach classes taught by the trainer, the
type of training conducted, and the date that OSHA student course
completion cards were sent to the trainer by OSHA. Manual files contain
documentation submitted by the trainer which includes topics covered,
students taught, and a copy of the letter sent to the trainer for that
class.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678); 5
U.S.C. 501.
PURPOSE(S):
To maintain, efficiently and accurately, information on OSHA
authorized outreach trainers.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual and Automated Data Processing (ADP) Files.
RETRIEVABILITY:
Records in the manual system of records are retrieved by the date
that the training class was held and by the name of the authorized OSHA
outreach trainer.
Records in the ADP system are retrieved by the name of the OSHA
authorized outreach trainer or by the trainer's system assigned I.D.
number.
SAFEGUARDS:
Locked file cabinets for manual files; computer file accessible
through password system available only to authorized OSHA personnel.
RETENTION AND DISPOSAL:
Manual system--retained 5 years, then destroyed; ADP system--
retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Division of Training and Educational Programs, Occupational
Safety and Health Administration, U.S. Department of Labor, 1555 Times
Drive, Des Plaines, Illinois 60018.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the system location listed above. Name, address, and date authorized as
trainer should be provided.
RECORD ACCESS PROCEDURES:
Individuals wishing to gain access should contact the system
manager at the system location listed above.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment must contact the system
manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Trainers and any individuals attending any of the OSHA outreach
trainer courses (500, 501, 502, 503).
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/OSHA-12
SYSTEM NAME:
OSHA Employee Conduct Investigations.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Directorate heads, separate office heads, Regional Administrators,
Director Cincinnati Laboratory, Director Salt Lake City Laboratory, of
the Occupational Safety and Health Administration (OSHA).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees who are the subject of an investigation or a conduct
inquiry.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, organization, and other information relating to the
individual involved. The record also contains investigative report(s)
associated with the case, including interviews and other information
gathered.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
These records are maintained to ensure that all appropriate records
of problems, misconduct, illegal acts, conflicts of interest, etc., are
retained.
[[Page 16924]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are stored in file folders in metal file cabinets.
RETRIEVABILITY:
By name or case file number.
SAFEGUARDS:
The files are maintained in locked file cabinets with access
available only to those with a need to know the information to perform
their officially assigned duties.
RETENTION AND DISPOSAL:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:
Directorate heads, separate Office heads, Regional Administrators,
Director Cincinnati Laboratory, Director Salt Lake City Laboratory, of
the Occupational Safety and Health Administration at addresses listed
in the Appendix.
NOTIFICATION PROCEDURE:
Inquiries should be mailed to system managers listed above at
addresses listed in the Appendix.
RECORD ACCESS PROCEDURES:
Individuals wishing to gain access to records should contact the
appropriate system manager at the system locations listed in the
Appendix.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the location listed in the
Appendix.
RECORD SOURCE CATEGORIES:
Hotline complaints received through the Office of the Inspector
General, or through the General Accounting Office; complaints or
incident reports submitted by other employees or members of the public;
and other investigative reports.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/OSHA-13
SYSTEM NAME:
OSHA Office of Training and Education Automated Registration
System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Students from the U.S. Department of Labor, state governments,
other Federal agencies and from the private sector. These students are
primarily compliance safety and health officers, safety specialists,
safety engineers, safety officers, industrial hygienists, instructors,
loss control specialists, and others in occupations related to
occupational safety and health.
CATEGORIES OF RECORDS IN THE SYSTEM:
Each student's file contains the following information: Student's
name, office name, office address, office telephone number, course
enrollment history, tuition status, student employment origin,
cumulative record of student's continuing educational units (CEU's),
and certification maintenance points (CMP's) issued by this office from
fiscal year 1989 to the present. Reports are prepared from these
records that identify by individual or group of individuals, the
students first and last name, office name, and status of class(es)
enrollment (i.e., enrolled, waiting, canceled, or completed). This
information is reported by region, state, area office, or course.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
PURPOSE(S):
To maintain needed enrollment information for proper management of
course schedules, curricula and determining individual training needs.
Records are used by managers and Office of Training Education staff to
develop class rosters, student enrollment history, course/class
enrollment changes on a weekly basis, training verification,
cancellation notices, confirmation letters and certificates of
completion for individual students. Reports are used by Office of
Training and Education staff, and OSHA National Office and Regional
office staff for managing the registration of students in courses.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement of this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Magnetic media and manual files.
RETRIEVABILITY:
The operators who operate the system can access information by
student's name or by course number. The system administrator can access
by student's name, course number, date of enrollment, employment
origin, company name, address and phone number.
SAFEGUARDS:
Manual files are stored in locked file cabinets. The hard disk in
the computer is secured by the use of a system lock to which only
authorized staff have access. Backup floppy disks are stored in locked
file cabinets. Access to all manual and ADP files is restricted to
authorized personnel only.
[[Page 16925]]
RETENTION AND DISPOSAL:
Data for the current year and two preceding years will be retained
on the computer hard disk. Data pre-dating this time will be backed up
on floppy disks and stored in a locked cabinet. In no case will data
predate fiscal year 1989. Files will be destroyed when no longer of any
administrative use.
SYSTEM MANAGER(S) AND ADDRESS:
Administrative officer, Office of Training and Education, at the
system location in Des Plaines, Illinois.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the system location listed above.
RECORD ACCESS PROCEDURES:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Students.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Not applicable.
DOL/OSHA-14
SYSTEM NAME:
Office of Training and Education Computer-based Acquisition/
Financial Records System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Staff of the Office of Training and Education, including the
Training Institute. Individuals doing business with the Office of
Training and Education that involve the payment or receipt of funds.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include necessary data to prepare a procurement requisition
including: The requisition number; the name of the bureau making the
procurement request; the specific page number of the requisition; the
date of the requisition; the accounting code; the delivery requirement
address; the official's name, title, and phone number for information
concerning the procurement; an identification if the procurement is for
instructional services, or for other supplies/services, if for
instructional services--the course number and location of the course; a
specific ordering item number and/or stock number; a narrative
description of the item or service; the quantity requested; the unit
price; the unit issue; the total dollar amount; the narrative
justification for making the request; the name, address, and phone
number of the suggested vendor; the Office division making the request;
and the initials of the staff person(s) making the request. This system
of records also contains the necessary data for maintaining a general
ledger of accounts. Information will be taken from obligating
documents. Records also include necessary data to track the receipt of
all receivables.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
PURPOSE(S):
To provide an acquisition and financial management system which
will improve the acquisition process; and provide an efficient means
for the accurate recording, tracking, reporting, and control of Office
funds and receivables.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
ADP files.
RETRIEVABILITY:
By name of vendor, by name of staff person making a procurement
request, by individual travel authorization number, by individual last
name, and by any of the data elements identified in the Categories of
Records in the System category.
SAFEGUARDS:
Computer disks locked in file cabinets; password system for
authorized persons only.
RETENTION AND DISPOSAL:
Dispose of when no longer needed for administrative purposes.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Division of Administration and Training Information,
Occupational Safety and Health Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines, Illinois 60018.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the system location listed above.
RECORD ACCESS PROCEDURES:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
CONTESTING RECORD PROCEDURE:
Individuals wishing to request amendment of any records should
contact the system manager at the system location listed above.
RECORD SOURCE CATEGORIES:
Administrative files and procurement files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/OSHA-15
SYSTEM NAME:
Office of Training and Education Resource Center Loan Program.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
CATEGORIES OF INDIVIDUAL COVERED BY THE SYSTEM:
Individual borrowers who have become qualified to borrow from the
Resource Center Collection of occupational safety and health materials.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records contain borrower name, company name and address or home
address, company and home telephone numbers, fax number, application
form
[[Page 16926]]
number, application date, borrower category, audiovisual program title
and accession number, audiovisual copyright date, transaction
identification number, and transaction date.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678) and
5 U.S.C. 301.
PURPOSE(S):
These records are maintained to facilitate the performance of the
Resource Center Loan Program which loans occupational safety and health
materials to qualified borrowers, for verification of borrower status
and authorization to borrow, to track borrower requests for materials
through processing and disposition, to maintain material availability
and usage information, to track status and history of overdue
materials, to maintain records on lost and damaged materials.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files for signed borrower agreement forms, borrower request
forms, and program booking forms are maintained in file cabinets.
Automated Data Processing (ADP) files for all other records.
RETRIEVABILITY:
By name of borrower for signed borrower agreement forms (manual),
by any of the data elements in Categories of Records in the System
section (ADP).
SAFEGUARDS:
Manual files and computer disks are locked in file cabinets.
Password system access to authorized personnel for ADP files.
RETENTION AND DISPOSAL:
Dispose of when no longer needed for administrative purposes.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Division of Administration and Training Information,
Occupational Safety and Health Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines, Illinois 60018.
NOTIFICATION PROCEDURE:
Any individual who wishes to be notified if this system of records
contains a record pertaining to them may apply in writing to the system
manager at the above address.
RECORD ACCESS PROCEDURES:
Any individual wishing to gain access to any records pertaining to
them, may apply in writing to the system manager at the system address
listed above.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request modification or deletion to any
records pertaining to them, may apply in writing to the system manager
at the system address listed above.
RECORD SOURCE CATEGORIES:
Individuals and information pertaining to Resource Center materials
are taken from Resource Center files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-2
SYSTEM NAME:
PWBA Enforcement Management System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210, and all PWBA field offices
as listed in the Appendix A to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Plan administrators, trustees, and those individuals who provide
advice or services to employee benefit plans, and other individuals
(such as the named defendants) involved in investigations and
enforcement actions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information including plan name, plan administrator's name, service
provider's name, trustee's name, and names of other individuals (such
as the named defendants) involved in investigations and enforcement
actions.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1134-37.
PURPOSE(S):
This system of records is used to access information related to
case files involving investigations instituted by the Department of
Labor (DOL) under the Title I of the Employee Retirement Security Act
of 1974 (ERISA). The investigative files are used in the prosecution of
violations of law, whether civil or criminal in nature.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the Privacy
Act, to a department or agency of the United States, or to any person
actually affected by any matter which may be the subject of the
investigation; except that any information obtained by the Secretary of
Labor pursuant to section 6103 of Title 26 shall be made available only
in accordance with regulations prescribed by the Secretary of the
Treasury.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are maintained in an electronic database
and in paper case files.
RETRIEVABILITY:
Records are retrieved from the electronic database by the name of
the plan, service provider name, trustee name, or the name of another
individual (such as the named defendant) involved in the investigation
or enforcement action. Records are also retrieved by case number, the
plan's employer identification number (EIN) and plan number (if known),
or service provider or trustee EIN.
SAFEGUARDS:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement and PWBA field
offices. In the Office of Enforcement, manual files are maintained in
file cabinets with access limited to OE staff. In the field offices,
manual files are maintained in file cabinets with access limited to
appropriate PWBA staff. In all instances, the electronic database is
password protected and limited to use by authorized personnel.
RETENTION AND DISPOSAL:
Investigative case files are retained in the office for one year
after completion
[[Page 16927]]
by voluntary compliance or litigation, or related actions following
voluntary compliance or litigation. After one year, the case files are
transferred to the Federal Records Center for seven (7) years and then
destroyed. The electronic database files are retained permanently.
SYSTEM MANAGER(S) AND ADDRESS:
In the national office: Director of Enforcement, Pension and
Welfare Benefits Administration, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
In the Regional offices: the Regional Director (as listed in the
Appendix to this document).
In the District Offices: the District Supervisor (as listed in the
Appendix A to this document).
NOTIFICATION PROCEDURES:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate system
manager described above. Individuals should furnish their full name,
address, and employee benefit plan association and should identify the
employee benefit plan by name, address, and EIS (if known).
RECORD ACCESS PROCEDURES:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a(j)(2) and
(k)(2). To the extent that this system of records is not subject to
exemption, it is subject to access, contest of the content of the
record, and appeal of a denial to access. A determination as to
exemption shall be made at the time a request for access is received.
Access procedures are the same as the Notification procedures described
above. Individuals requesting access must also comply with Privacy Act
regulations on verification of identity and access to records (29 CFR
71.2).
CONTESTING RECORD PROCEDURES:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the appropriate System Manager
listed above, state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment to
the information sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individual complaints, witnesses, or interviews conducted during
investigations or plan participant or beneficiary information obtained
during investigations on cases opened in the Office of Enforcement or
in any of the PWBA field offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
a. Criminal Law Enforcement: In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information
maintained for criminal law enforcement purposes in PWBA's Office of
Enforcement or its field offices is exempt from subsections (c)(3) and
(4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and
(8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2)
of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for civil law enforcement purposes is exempt
from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G)
and (I), and (f) of 5 U.S.C. 552a.
DOL/PWBA-3
SYSTEM NAME:
PWBA Correspondence Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Participant Assistance and Communications
Office of Exemption Determinations
Office of Regulations and Interpretations
Office of Health Plan Standards and Compliance Assistance
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington,
DC 20210
Atlanta Regional Office, 61 Forsyth Street, Suite 7B54, Atlanta, GA
30303
Boston Regional Office, J.F.K. Building, Room 575, Boston, MA 02203
San Francisco Regional Office, 71 Stevenson Street, Suite 915, P.O.
Box 190250, San Francisco, CA 94119-250
Seattle District Office, 1111 Third Avenue, MIDCOM Tower, Suite
860, Seattle, WA 98101-3212.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Correspondents.
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters requesting information, advisory opinions, FOIA requests,
Privacy Act Requests, or submitting comments, the Department's replies
thereto, and related internal memoranda, including notes pertaining to
meetings and telephone calls.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1135.
PURPOSE(S):
These records are maintained to take action on or to respond to a
complaint, inquiry or comment concerning certain aspects of Title I of
ERISA or to respond to requests under FOIA or Privacy Act and to track
the progress of such correspondence through the office.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files and electronic tracking system.
RETRIEVABILITY:
Files are retrieved by an individual name or control number.
SAFEGUARDS:
Access to these records is limited to authorized PWBA staff.
Computer system is password protected and accessible only to personnel
creating the database.
RETENTION AND DISPOSAL:
The retention schedule for FOIA and Privacy Act request files
follows General Records Schedule 14 and are retained two years after
date of reply or six years after issuance of the appeal determination.
If there is litigation in the underlying matter, the file is retained
for three years after the litigation is completed. Requests for
advisory opinions and the replies thereto are retained indefinitely,
requests for information are destroyed one year after completion of
project. Electronic index is destroyed six years after date of last
entry.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Office of Participant Assistance and Communications
Director of the Office of Exemption Determinations
Director of the Office of Regulations and Interpretations
Director of the Office of Health Plan Standards and Compliance
Assistance
Pension and Welfare Benefits Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
[[Page 16928]]
Regional Directors in the following offices:
Atlanta Regional Office, 61 Forsyth Street, Suite 7B54, Atlanta, GA
30303
Boston Regional Office, J.F.K. Building, Room 575, Boston, MA 02203
San Francisco Regional Office, 71 Stevenson Street, Suite 915, PO
Box 190250, San Francisco, CA 94119-250
District Supervisor, Seattle District Office, 1111 Third Avenue,
MIDCOM Tower, Suite 860, Seattle, WA 98101-3212.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. All requests must be in writing and mailed or
presented in person during the Department's normal business hours.
RECORDS ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with U.S. Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Correspondence from individuals and responses thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-4
SYSTEM NAME:
Technical Assistance and Inquiries System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Division of Technical Assistance and Inquiries in the National
office, all regional and district offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Correspondents and callers requesting information and assistance.
CATEGORIES OF RECORDS IN THE SYSTEM:
General and congressional telephone inquiries and correspondence
regarding all aspects of pension and welfare benefit plans and records
which provide the status of individuals under these plans.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1135.
PURPOSE(S):
These records are used to take action on or respond to inquiries
from Members of Congress and private citizens.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, records in this system may be
disclosed to the relevant employee benefit plan administrator, third
party administrator, insurance carrier or other party as necessary to
facilitate a resolution to the circumstance presented by the individual
seeking assistance from the agency.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file cabinets and on computer system.
RETRIEVABILITY:
By name of individual.
SAFEGUARDS:
In the National office, manual files are maintained in file
cabinets with access limited to staff of the Division of Technical
Assistance and Inquiries. In the regional and district offices, manual
files are maintained in file cabinets with access limited to
appropriate PWBA staff. Computer system is password protected and
limited to use by authorized personnel.
RETENTION AND DISPOSAL:
Manual records are maintained for one year after closing the file,
then destroyed. Computer files are maintained for the same period as
the manual records or deleted when no longer needed which ever is
later.
SYSTEM MANAGER(S) AND ADDRESS:
In the national office: Director of the Office of Participant
Assistance and Communications, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
In the Regional offices: the Regional Director
In the District Offices: the District Supervisor.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact a system manager
indicated above. Individuals must furnish their full names for their
records to be located and identified.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with U. S. Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals seeking technical assistance or information.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-5
SYSTEM NAME:
Public Disclosure Request Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Labor, PWBA, Public Disclosure Room, U.S.
Department of Labor, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who request documents.
CATEGORIES OF RECORDS IN THE SYSTEM:
Data regarding the request for copies of plan filings made with the
Department of Labor or the Internal Revenue Service. Data includes
individual requester's name, street address, city, state, zip code, and
telephone number, the Employer Identification Number and Plan Number of
the plan for which information has been requested and the documents
requested.
[[Page 16929]]
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1021 et seq.
PURPOSE(S):
These records are used by authorized PWBA disclosure personnel to
process requests made to the Public Disclosure Room and by PWBA
managers to compile statistical reports regarding such requests for
management information purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files and computer storage.
RETRIEVABILITY:
By individual name, control number or EIN/PN of requested plan.
SAFEGUARDS:
Manual files are maintained in file cabinets with access limited to
authorized personnel. Computer system is password protected and
accessible only to personnel creating and maintaining the database.
RETENTION AND DISPOSAL:
Manual files are destroyed after three months, the electronic index
is deleted on the same schedule as the manual files or when no longer
needed whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, 200
Constitution Avenue, NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish their full names for their
records to be located and identified.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with U. S. Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals requesting documents from the Public Disclosure Room.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-6
SYSTEM NAME:
PWBA Debt Collection/Management System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Pension and Welfare Benefits Administration, Office of Program
Planning, Evaluation and Management, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been assessed fines or penalties under
provisions of ERISA sections 502(c)(2), 502(i) and 502(l).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records containing data regarding the assessment of fines/penalties
under provisions of ERISA sections 502(c)(2), 502(i) and 502(l). Data
includes individuals (or trade) name, street address, city, state, zip
code, telephone number, taxpayer identification number, and transaction
information (e.g., correspondence, debt status and payment records).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1132, 31 U.S.C. 3711(a) and 29 CFR Part 20.
PURPOSE(S):
Records are used for maintaining an ongoing Debt Collection/
Management Program requiring tracking and accounting for assessed
fines/penalties, determination of collection status and assignment of
delinquent debts to private collection agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Relevant records may be disclosed to private collection agencies in
order for them to collect debts subject to this program.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Records may be disclosed for delinquent accounts.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Manual files and computer storage.
RETRIEVABILITY:
Debt Collection/Management data is sorted numerically by assigned
case number. Records in this system are retrieved by computer and
manually using the PWBA-assigned case number and a cross-reference
debtor taxpayer identification number.
SAFEGUARDS:
Manual files are maintained in file cabinets with access limited to
authorized personnel. Computer system is accessible, through password,
only to personnel creating and maintaining the database.
RETENTION AND DISPOSAL:
Both, manual and automated records are maintained for two years
after the case is closed or until expiration of applicable statute of
limitations, whichever occurs first.
SYSTEM MANAGER(S) AND ADDRESS:
Administrative Officer, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish their full name and
additional personal identifiers for their records to be located and
identified.
RECORD ACCESS PROCEDURE:
See notification procedure above. Individuals requesting access
must also comply with Privacy Act regulations on verification of
identity and access to records. (29 CFR 71.2.).
CONTESTING RECORD PROCEDURE:
Same as notification procedure above, except individuals desiring
to contest or amend information maintained in the
[[Page 16930]]
system should direct their written request to the system manager listed
above, and state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment to
the information sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Investigators and auditors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-7
SYSTEM NAME:
PWBA Employee Conduct Investigations.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Labor, Pension and Welfare Benefits
Administration, Office of Program Planning, Evaluation and Management,
200 Constitution Avenue, NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
PWBA employee(s) against whom allegations of misconduct have been
made.
CATEGORIES OF RECORDS IN THE SYSTEM:
The file contains investigative report(s) compiled in the course of
employee misconduct investigations, including interviews and other
data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The records are compiled as an adjunct to investigating allegations
of employee misconduct, to make determinations on personnel actions and
to document agency action in most cases.
ROUTINE USE OF RECORDS MAINTAINED IN THE SYSTEMS, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are stored in file folders in metal cabinets.
RETRIEVABILITY:
Records are retrieved by name.
SAFEGUARDS:
The files are maintained in locked file cabinets with access only
to those with a need to know the information to perform their duties. A
charge out system is used to monitor and restrict the withdrawal of
records from this file.
RETENTION AND DISPOSAL:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Program Planning, Evaluation, and Management,
Pension and Welfare Benefits Administration, 200 Constitution Avenue
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:
Inquiries should be mailed or presented to the System Manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the System Manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of the investigation.
Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Complaints through the Office of the Inspector General's and the
General Accounting Office's hotline system; allegations and incident
reports submitted by employees; statements by the subject, fellow
employees or members of the public; and other investigative reports.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4) (G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/PWBA-8
SYSTEM NAME:
PWBA Consolidated Training Record.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Program Planning, Evaluation & Management, Pension and
Welfare Benefits Administration, 200 Constitution Avenue, NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of the Pension and Welfare Benefits Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records reflect educational attainment levels (to include areas of
study), professional certifications, date of accession to PWBA, in-
house (PWBA) technical training courses and Federal Law Enforcement
Training Center programs completed by employees of the Pension and
Welfare Benefits Administration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
These records are used to identify which employees have completed
certain of the courses, and the number of employees awaiting training.
This information, in the aggregate, helps project the number of courses
to schedule for succeeding years. The prior formal education
information is used to respond to Congressional and other inquiries
regarding the educational
[[Page 16931]]
attainment level of our workforce. Finally, a combination of the data
elements is used to identify employees with specific educational
backgrounds and current skill levels who may be considered as
Instructors for the several agency-sponsored courses.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES;
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic Files.
RETRIEVABILITY:
By name of the individual employee.
SAFEGUARDS:
System is password protected and limited to use by authorized
personnel in the Office of Program Planning, Evaluation and Management.
RETENTION AND DISPOSAL:
Destroyed when 5 years old or when no longer needed, whichever is
later.
SYSTEM MANAGER(S) AND ADDRESS:
PWBA Training Coordinator, Office of Program Planning, Evaluation
and Management, PWBA, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the system location listed above.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with U.S. Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individual employees, SF171s, or resume(s) submitted at time of
accession to PWBA and individual training course records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-9
SYSTEM NAME:
Office of Enforcement Correspondence Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW., Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Correspondents, such as employee benefit plan professionals, and
other individuals involved in investigations and enforcement actions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information including plan name, plan administrator's name, service
provider's name, trustee's name, and names of other individuals (such
as the named defendants) involved in investigations and enforcement
actions. Letters from the general public requesting information under
the Freedom of Information Act or relating to all aspects of pension
and welfare benefit plans covered by Title I of the Employee Retirement
Income Security Act of 1974 (ERISA), the status of individuals under
these plans, the Department's replies to the inquiries, and related
internal memoranda, including notes pertaining to meetings and
telephone calls.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1134-37.
PURPOSE(S):
This system of records is used to track the progress of
correspondence through the Office of Enforcement, including a record of
action taken on or response to an inquiry received from the general
public or others, and to access investigative information related to
field office correspondence regarding investigations instituted by the
Department of Labor (DOL) under the Title I of the Employee Retirement
Security Act of 1974 (ERISA). The investigative files are used in the
prosecution of violations of law, whether civil, criminal or regulatory
in nature.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the Privacy
Act, to a department or agency of the United States, or to any person
actually affected by any matter which may be the subject of the
investigation; except that any information obtained by the Secretary of
Labor pursuant to section 6103(g) of Title 26 shall be made available
only in accordance with regulations prescribed by the Secretary of the
Treasury.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are maintained in an electronic
database.
RETRIEVABILITY:
Records are retrieved from the electronic database by the name of
the plan, service provider name, trustee name, the name of another
individual (such as the named defendant) involved in the investigation
or enforcement action, or the name of the correspondent. Records are
also retrieved by case number, the plan's employer identification
number (EIN).
SAFEGUARDS:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement. General
correspondence are maintained in file cabinets with access limited to
OE staff. The electronic database is password protected and limited to
use by authorized personnel.
RETENTION AND DISPOSAL:
General correspondence files are destroyed after three years. The
electronic database files are deleted when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURES:
Individuals wishing to inquire whether this system of records
contains information about them should contact
[[Page 16932]]
the System Manager. Individuals should furnish their full name,
address, and employee benefit plan association and should identify the
employee benefit plan by name, address, and EIN (if known).
RECORD ACCESS PROCEDURES:
Request for access to records should follow the notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a (j)(2) and
(k)(2). To the extent that this system of records is not subject to
exemption, it is subject to access, contest of the content of the
record, and appeal of a denial to access. A determination as to
exemption shall be made at the time a request for access is received.
Access procedures are the same as the Notification procedures described
above. Individuals requesting access must also comply with Privacy Act
regulations regarding verification of identity and access to records
(29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the appropriate System Manager
listed above, state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment to
the information sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Correspondence from individuals, individual complaints, witnesses,
or interviews conducted during investigations or plan participant or
beneficiary information obtained during investigations on cases opened
in the Office of Enforcement or in any of the PWBA field offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
a. Criminal Law Enforcement: In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information
maintained for criminal law enforcement purposes in PWBA's Office of
Enforcement or its field offices is exempt from subsections (c)(3), and
(4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e) (5) and
(8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2)
of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for civil law enforcement purposes is exempt
from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G)
and (I), and (f) of 5 U.S.C. 552a.
DOL/PWBA-10
SYSTEM NAME:
PWBA Civil Litigation Case Information System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The named defendants in the civil actions, and the names of other
individuals involved in investigations and enforcement actions
resulting in civil litigation with PWBA.
CATEGORIES OF RECORDS IN THE SYSTEM:
Documents such as litigation memoranda, legal documents, press
releases, judgements, consent orders and other documents which relate
information about a case in civil litigation. Information includes plan
name, plan administrator's name, service provider's name, trustee's
name, the named defendants, and the names of other individuals involved
in investigations and enforcement actions resulting in civil litigation
with PWBA.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1134-37.
PURPOSE(S):
This system of records is used to access information related to
civil litigation case files involving investigations instituted by the
Department of Labor (DOL) under the Title I of the Employee Retirement
Security Act of 1974 (ERISA). The civil litigation case files are used
in the prosecution of violations of law.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the Privacy
Act, to a department or agency of the United States, or to any person
actually affected by any matter which may be the subject of the
investigation; except that any information obtained by the Secretary of
Labor pursuant to section 6103(g) of Title 26 shall be made available
only in accordance with regulations prescribed by the Secretary of the
Treasury.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are maintained in an electronic database
and in manual files.
RETRIEVABILITY:
Records are retrieved by the name of the plan, service provider
name, trustee name, and/or the named defendants in the investigation or
enforcement action.
SAFEGUARDS:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement (OE). The civil
litigation case files are maintained in file cabinets with access
limited to OE staff. The electronic database is password protected and
limited to use by authorized personnel.
RETENTION AND DISPOSAL:
Manual files are destroyed after three years, the electronic index
is deleted on the same schedule as the manual files or when no longer
needed whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURES:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager.
Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit plan
by name and address.
RECORD ACCESS PROCEDURES:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a. To the extent
that this system of records is not subject to exemption, it is subject
to access, contest of the content of the record, and appeal of a denial
to access. A determination as to exemption shall be made at the time a
request for access is received. Access procedures are the same as the
Notification procedures described above. Individuals
[[Page 16933]]
requesting access must also comply with Privacy Act regulations on
verification of identity and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the System Manager, state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Investigators, individual defendants, witnesses, and other
individuals who have relevant information.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with subsection 552a(k)(2) of the Privacy Act, 5
U.S.C. 552a(k)(2), investigatory material in this system of records
compiled for civil law enforcement purposes is exempt from subsections
(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G) and (I), and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege or benefit to which he would otherwise be entitled
by Federal law, or for which he would otherwise be eligible, as a
result of the maintenance of such material, such material shall be
provided to such individual, except to the extent that the disclosure
of such material would reveal the identity of a source who furnished
information to the Government under an express promise that the
identity of the source would be held in confidence, or prior to January
1, 1975, under an implied promise that the identity of the source would
be held in confidence. Accordingly the following systems of records are
exempt from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G),
(e)(4)(I) and (f) of 5 U.S.C. 552a.
DOL/PWBA-11
SYSTEM NAME:
PWBA Criminal Case Information System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Defendants in criminal actions involving private sector employee
benefit plans.
CATEGORIES OF RECORDS IN THE SYSTEM:
Court and other documents which transmit information about the
progress and/or disposition of criminal cases involving private sector
employee benefit plans and written summaries of same. Documents include
media articles, press releases, indictments, plea agreements,
judgements, appellate documents and documents bearing evidence of
restitution.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1134-37.
PURPOSE(S):
This system of records is used to access information related to
criminal actions involving investigations conducted by the Department
of Labor (DOL). The criminal information files are used in the
prosecution of violations of law.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the Privacy
Act, to a department or agency of the United States, or to any person
actually affected by any matter which may be the subject of the
investigation; except that any information obtained by the Secretary of
Labor pursuant to section 6103(g) of Title 26 shall be made available
only in accordance with regulations prescribed by the Secretary of the
Treasury.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are maintained in an electronic tracking
system and in manual files.
RETRIEVABILITY:
Manual files are retrieved by the name of the defendant. Records in
electronic index may be retrieved by court, defendant's name,
violation, type of plan, etc.
SAFEGUARDS:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement. The electronic
system is password protected and limited to use by authorized
personnel.
RETENTION AND DISPOSAL:
Manual files are destroyed after three years after case is closed,
the electronic index is deleted on the same schedule as the manual
files or when no longer needed whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURES:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager.
Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit plan
by name and address.
RECORD ACCESS PROCEDURES:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a(j)(2). To the
extent that this system of records is not subject to exemption, it is
subject to access, contest of the content of the record, and appeal of
a denial to access. A determination as to exemption shall be made at
the time a request for access is received. Access procedures are the
same as the Notification procedures described above. Individuals
requesting access must also comply with Privacy Act regulations on
verification of identity and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the System Manager, state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individual defendants, witnesses, and other individuals who have
relevant information.
[[Page 16934]]
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with subsection 552a(j)(2) of the Privacy Act, 5
U.S.C. 552a(j)(2), information maintained for criminal law enforcement
purposes in PWBA's Office of Enforcement or its field offices is exempt
from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G),
(H), and (I), (e) (5) and (8), (f), and (g) of 5 U.S.C. 552a.
DOL/PWBA-12
SYSTEM NAME:
Publication Hotline Requests
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
GMR, Inc. 7203 Gateway Court, Manassas, VA 20109.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals requesting PWBA publications via the toll free
telephone number.
CATEGORIES OF RECORDS IN THE SYSTEM:
Data regarding requests for copies of PWBA publications that are
received through the toll free publication request line. Data includes
individual requester's name, street address, city, state, zip code,
telephone number, the publication(s) ordered and the quantity, the date
the order was placed and the date it was filled.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1135.
PURPOSE(S):
These records are maintained to process requests made to the PWBA
Toll Free Publication Hotline for publications.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
None except those mentioned in the General Prefatory Statement to
this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Computer storage.
RETRIEVABILITY:
Records on this system are retrieved electronically by using the
name of requestor.
SAFEGUARDS:
Computer system is password protected and accessible only to
personnel creating and maintaining the database.
RETENTION AND DISPOSAL:
Destroyed when three months old or when no longer needed, whichever
is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish their full names for their
records to be located and identified.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals requesting publications.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-13
SYSTEM NAME:
Office of Exemption Determination ERISA Sec. 502(l) Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Exemption Determinations, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have petitioned the Secretary of Labor for relief
from the monetary penalties imposed under ERISA Sec. 502(l).
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters from individuals seeking relief from the 502(l) penalties,
attachments supporting their petitions for relief, the Department's
replies thereto, and related internal memoranda, including notes
pertaining to meetings and telephone calls.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1135.
PURPOSE(S):
These records are maintained to document the Department's response
to petitioners' requests for relief from the section 502(l) penalties.
Such penalties are imposed upon those who are found to have violated
the fiduciary and prohibited transaction provisions of Part 4 of Title
I of ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files and computerized index.
RETRIEVABILITY:
Files are retrieved by name of requester using a computerized
index.
SAFEGUARDS:
Access to these records is limited to authorized PWBA staff.
Computer system is password protected and accessible only to personnel
creating the database.
RETENTION AND DISPOSAL:
Manual records are maintained in the Office of Exemption
Determinations for up to two years after case closure, then transferred
to the Federal Records Center for retention for an additional 23 years.
Electronic records are destroyed on the same schedule as the manual
files or when no longer needed, whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Exemption Determinations, Pension and Welfare
[[Page 16935]]
Benefits Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. All requests must be in writing and mailed or
presented in person during the Department's normal business hours.
RECORDS ACCESS PROCEDURES:
Same as notification procedures. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals requesting a 502(l) exemption and the responses
thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-14
SYSTEM NAME:
Investment Advisor Registration Data Base.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Department of Labor, PWBA Public Disclosure Room, U.S. Department
of Labor, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Investment advisers who manage less than $25 million in assets and
wish to obtain investment advisor status under the Employee Retirement
Income Security Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Copies of state registration forms. Such forms vary from state to
state, but typically include name, SEC file number, Employer
Identification number, social security number, business address, etc.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1002(38).
PURPOSE(S):
To develop a listing of individuals who have status as an
investment advisors under ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The records must be publicly available in accordance with ERISA.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual records and electronic listing.
RETRIEVABILITY:
Records on this system are retrieved electronically by the name of
investment advisor. A list of the name, location, state of
registration, and date filed is available on the PWBA web-site.
SAFEGUARDS:
Computer system is password protected and accessible only to
personnel creating and maintaining the database. Manual files are
stored off site and are only available to authorized personnel.
RETENTION AND DISPOSAL:
Manual files are destroyed when six years old. Electronic version
is deleted on the same schedule as the manual files or when no longer
needed, whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution Avenue, NW., Washington, DC
20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish their full names for their
records to be located and identified.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Investment advisors who request investment advisor status under
ERISA.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-15
SYSTEM NAME:
PWBA Inventory Management Data Base.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Labor, Office of Information Management, Pension
and Welfare Benefits Administration, 200 Constitution Avenue, NW.,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals assigned custody of PWBA-owned ADP equipment.
CATEGORIES OF RECORDS IN THE SYSTEM:
Electronic records of PWBA-owned ADP hardware, its assigned
location, the individual assigned custody of equipment, acquisition/
disposal and warranty data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
To identify the makes and models of all PWBA owned ADP hardware,
the equipment's current location within the agency and the individual
to whom it is assigned.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic database.
RETRIEVABILITY:
Files are retrieved using individual's name.
[[Page 16936]]
SAFEGUARDS:
Access to these records is limited to authorized PWBA staff. The
computer system provides security with: (1) Mapping rights on the
network, (2) network user logon passwords, and (3) database passwords.
RETENTION AND DISPOSAL:
Records are destroyed when no longer needed for administrative,
legal, audit, or other operational purposes.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Information Management, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Ave., NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. All requests must be in writing and mailed or
presented in person during the Department's normal business hours.
RECORDS ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with US Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals assigned computer equipment and individuals assigning
the computer equipment.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/PWBA-16
SYSTEM NAME:
Form 5500EZ Filings.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Labor, Pension and Welfare Benefits
Administration, Attention: EFAST 3833 Greenway Drive, Lawrence, KS
66046-1290.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have filed a Form 5500EZ with the Department of
Labor for plan years beginning on or after January 1, 1999.
CATEGORIES OF RECORDS IN THE SYSTEM:
Forms 5500EZ filed with the Department of Labor for plan years
beginning on or after January 1, 1999.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 6058(a); 29 U.S.C. 1135, 1137, 1143.
PURPOSE(S):
These records satisfy the reporting and disclosure requirements
mandated by the Employee Retirement Income Security Act of 1974, as
amended, and the Internal Revenue Code.
Note: This system of records is maintained by the Department of
Labor for the benefit of the Internal Revenue Service (IRS).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Original paper filings, electronic image files of the filings, and
electronic data files extracted from the filing.
RETRIEVABILITY:
Retrieved using personal name, taxpayer identification number, or
Social Security number; plan number; and plan year.
Note: Only the IRS can retrieve this data.
SAFEGUARDS:
Accessible only to authorized personnel. Safeguards include both
electronic safeguards, including C2 compliant systems and password-
protected files, and physical safeguards, including a restricted-access
facility.
RETENTION AND DISPOSAL:
Paper filings are retained by the system manager for 6 months,
after which time they are retained off-site for a period of fifty
years. Electronic files are retained by the system manager for a period
of fifty years. At the end of their respective retention periods, the
paper and electronic files are destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Information Management, Pension and Welfare
Benefits Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish their full names for their
records to be located and identified.
RECORD ACCESS PROCEDURES:
Same as notification procedure. Individuals requesting access must
also comply with U.S. Department of Labor Privacy Act regulations on
verification of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Individuals filing Form 5500EZ filings.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/OSBP-1
SYSTEM NAME:
Office of Small Business Programs, Small Entity Inquiry and
Complaint Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Labor, Office of Small Business Programs,
Frances Perkins Building, 200 Constitution Ave., NW, Room C-2318,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who make oral or written complaints about, or requests
or inquiries concerning, enforcement activities under the Small
Business Regulatory Enforcement Fairness Act of 1996 (SBREFA) of the
U.S. Department of Labor (Department).
[[Page 16937]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include the name and address of the individuals making
complaints, requests, or inquiries concerning enforcement activities of
the Department of Labor, and any other information under SBREFA
necessary to respond to the complaint or request.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Subtitles A and B of the Small Business Regulatory Enforcement
Fairness Act of 1996 (SBREFA), Pub. L. 104-121, Title II, sec. 213, 110
Stat. 858-859; 5 U.S.C. Chapter 6.
PURPOSE(S):
Section 213 of Title II of Pub. L. 104-121 requires each agency to
establish a program for providing informal guidance to small entities
regulated by that agency. Section 213(c) requires the agency to report
to Congress on ``the scope of the agency's program, the number of small
entities using the program, and the achievements of the program to
assist small entity compliance with agency regulations.'' The records
in this system are maintained for the purpose of complying with the
above statutory requirements.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, relevant records may be disclosed
to the Small Business Administration (SBA) in response to a referral
from the SBA of a complaint filed against this Department by a small
entity.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained electronically.
RETRIEVABILITY:
Name or Control Number.
SAFEGUARDS:
Accessed by authorized personnel only. Passwords are used for the
data, which is electronically stored.
RETENTION AND DISPOSAL:
Five years after case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Small Business Programs, U.S. Department of
Labor, 200 Constitution Ave., NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:
Mail all inquiries or present in writing to System Manager at above
address.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of the complaint or incident.
CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the system manager.
RECORD SOURCE CATEGORIES:
From the concerned individuals and entities.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/OSBP-2
SYSTEM NAME:
Department of Labor Advisory Committees Members Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Offices in various components within the Department of Labor, and
also at the Office of Small Business Programs, U.S. Department of
Labor, Frances Perkins Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Present and former members of the advisory committees established
by the Department of Labor and candidates for a position on an advisory
committee.
CATEGORIES OF RECORDS IN THE SYSTEM:
Biographical information on individuals who are or have been
members or are being considered for membership on the committees. Also,
the biographical information on individuals who have been nominated for
membership on advisory committees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
To ensure that all appropriate personal records on advisory
committee members, and nominees, are retained and are available for
official use.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, information in these records may
be disclosed to the General Services Administration when necessary to
comply with the Federal Advisory Committee Act.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Storage methods vary between program components, but the data will
be stored either on magnetic media or in a manual file, both of which
are secured at all times.
RETRIEVABILITY:
Retrieved by member name, nominee name or committee name, and via
identification number if electronically maintained.
SAFEGUARDS:
Access is limited to authorized employees.
RETENTION AND DISPOSAL:
After a Committee terminates, its records are transferred to the
National Archives and Records Administration for permanent retention.
SYSTEM MANAGER(S) AND ADDRESS:
The system manager is the Director, Office of Small Business
Programs, U.S. Department of Labor, Frances Perkins Building, 200
Constitution Ave., NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:
Mail all inquiries or present in writing to the system manager.
RECORD ACCESS PROCEDURES:
A request for access should be addressed to the system manager. The
request should include the name of the Committee.
CONTESTING RECORD PROCEDURES:
Individuals wanting to contest or amend information maintained in
this system should direct their written request to the system manager.
RECORD SOURCE CATEGORIES:
Individual members of the committees and those persons making
nominations to the committee.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[[Page 16938]]
DOL/SOL-3
SYSTEM NAME:
Tort Claim Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of the Solicitor, Division of Employee Benefits, 200
Constitution Avenue, NW, Washington, DC 20210-0002; Offices of the
Regional Solicitors and Associate Regional Solicitors at various field
locations set forth in the Appendix.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing claims for damages under the Federal Tort Claims
Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Federal Tort Claim Act files, including claims forms and supporting
documents filed by claimants, agency records, administrative reports
and supporting documents prepared by the agency involved, internal
memoranda, legal pleadings, decisions, and other documents received in
connection with Federal Tort Claims Act administrative claims and
litigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
28 U.S.C. 2671 et seq.
PURPOSE(S):
To maintain records necessary for adjudication of claims and
defense of litigation filed under the Federal Tort Claims Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those universal routine uses contained in the
General Prefatory Statement to this document, where an administrative
claim or litigation under the Federal Tort Claims Act is filed with or
involves allegations concerning more than one federal agency, relevant
information in this system of records, including documents submitted in
support of the administrative claim, may be disclosed to the relevant
agency or agencies for their input and independent adjudication of the
claim.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
Name of claimant.
SAFEGUARDS:
Files are kept in office suites that are locked after working
hours.
RETENTION AND DISPOSAL:
These records are maintained as long as a case is open. Upon
conclusion of the matter, files are maintained for two years then
transferred to the Federal Records Center for two years and then
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Solicitor for Employee Benefits in Washington, DC, and
Regional Solicitors and Associate Regional Solicitors in various
locations in the field.
NOTIFICATION PROCEDURE:
See system managers and addresses.
RECORD ACCESS PROCEDURE:
To see your records, write to the office responsible for
adjudicating your claim and describe as specifically as possible the
records sought. The inquirer should furnish the following information:
a. Full name and address
b. Date and place of the incident or accident
c. Claim number assigned to claim (if known)
d. Signature
CONTESTING RECORD PROCEDURES:
See record access procedures.
RECORDS SOURCE CATEGORIES:
Claimants, current and former employers, witnesses, physicians and/
or medical providers, insurance companies attorneys, police, hospitals,
and other persons.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/SOL-5
SYSTEM NAME:
Workforce Investment Act Tort Claim Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Offices of the Regional Solicitors, U.S. Department of Labor.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Claimants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Tort claims, including negligence, medical, personnel and legal
reports, summaries, correspondence, and memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1501 et seq. and the Workforce Investment Act, 29 U.S.C.
2801 et seq.
PURPOSE(S):
To allow adjudication of claims filed under the Workforce
Investment Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses contained in the
General Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
Name of claimant.
SAFEGUARDS:
Files are kept in office suite that is locked after working hours.
RETENTION AND DISPOSAL:
Upon completion of a case, the files are maintained in the Office
of the Solicitor for two years, then retired to the appropriate Federal
Records Center for three years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESSES:
Regional Solicitors and Associate Regional Solicitors, U.S.
Department of Labor. See the Appendix of this document for the regional
addresses.
NOTIFICATION PROCEDURE:
See system manager(s) and addresses set forth in the Appendix to
this document.
RECORD ACCESS PROCEDURES:
Inquirer should provide his or her full name, plus date and place
of incident.
CONTESTING RECORD PROCEDURES:
See record access procedures.
RECORD SOURCE CATEGORIES:
Claimants, current and former employers, witnesses, physicians,
insurance companies, attorneys, police, hospitals, other individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/SOL-6
SYSTEM NAME:
Military Personnel and Civilian Employees' Claims.
[[Page 16939]]
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of the Solicitor, Division of Employee Benefits, 200
Constitution Avenue, NW, Washington, DC 20210-0002; Offices of the
Regional Solicitors and Associate Regional Solicitors at various
regional locations set forth in the Appendix to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current or former employees of the Department of Labor filing
claims under the Military Personnel and Civilian Employees' Claims Act
to recover for the loss of or damage to personal property incident to
their service.
CATEGORIES OF RECORDS IN THE SYSTEM:
Claim files, including claim forms, accident, investigative,
medical or personnel reports, witness statements, summaries,
correspondence and memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 240-243.
PURPOSE(S):
To maintain records necessary for adjudication of claims filed
under the Military Personnel and Civilian Employees' Claims Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
None, except for those universal routine uses contained in the
General Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual files.
RETRIEVABILITY:
Name of claimant.
SAFEGUARDS:
Files are kept in office suites that are locked after working
hours.
RETENTION AND DISPOSAL:
These records are maintained as long as the case is open in the
office handling the claim. Upon conclusion of the matter, files are
retained for two years and then transferred to the Federal Records
Center for three years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Solicitor for Employee Benefits in Washington, DC, and
Regional Solicitors and Associate Regional Solicitors at various
regional locations set forth in the Appendix to this document.
NOTIFICATION PROCEDURES:
Individuals, wishing to inquire whether this system of records
contains information about them, should contact the appropriate system
manager. Such person should provide his or her full name, date of
birth, and signature.
RECORD ACCESS PROCEDURES:
To see your records, write the office responsible for adjudicating
your claim and describe as specifically as possible the records sought.
The inquirer should furnish the following information:
a. Full name and address
b. Date and place of the loss
c. Claim number assigned to claim (if known)
d. Signature
CONTESTING RECORD PROCEDURE:
See Record Access Procedures.
RECORDS SOURCE CATEGORIES:
Claimants, current and former employers, witnesses, physicians and/
or medical providers, insurance companies, attorneys, police,
hospitals, and other persons.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/SOL-7
SYSTEM NAME:
Solicitor's Legal Activity Recordkeeping System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
The central database is maintained in the Office of the Solicitor
(SOL), Office of Administration, Management, and Litigation Support,
Washington, DC. Computer access terminals are located in SOL Divisional
Offices in Washington, DC, and in all SOL Regional and Associate
Regional Solicitors Offices. See the Appendix to this document for the
regional office addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Attorneys and paralegal specialists employed by SOL, judges
assigned to DOL cases, and individuals and/or parties involved in the
cases.
CATEGORIES OF RECORDS IN THE SYSTEM:
Individual attorney and paralegal specialist assignments, records
which identify pending cases and opinions requested, status of
assignments, cases and opinions, statutes enforced, client agencies
served, and time spent on assignments.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
To track the status of cases and other legal work, to manage
attorney and paralegal specialist assignments, to track the time spent
litigating cases and providing other legal services, to prepare budget
submissions and to assist in allocating resources among Divisional and
Regional Offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Selected data may be shared with the Office of Management and
Budget (OMB) and Congress as part of the budget submission process.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual and computer files.
RETRIEVABILITY:
By initials of the SOL attorney or paralegal specialist, name of
the judge, name or social security number of the individual involved,
and/or the name of the party involved in a case.
SAFEGUARDS:
Manual and computer files are accessible only by authorized
persons.
RETENTION AND DISPOSAL:
Records are retained for five years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Administration, Management and Litigation
Support/Office of the Solicitor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURES:
Inquiries should be mailed or presented to the system manager at
the address listed above.
RECORD ACCESS PROCEDURE:
A request for access shall be mailed or presented to the system
manager at the address listed above.
CONTESTING RECORD PROCEDURES:
A request for amendment should be addressed to the system manager
noted above and must meet the requirements of 29 CFR 71.9.
[[Page 16940]]
RECORD SOURCE CATEGORIES:
Covered individuals, case files, correspondence files, opinion
files and miscellaneous files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
DOL/SOL-9
SYSTEM NAME:
Freedom of Information Act and Privacy Act Appeal Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Solicitor, Division of Legislation and Legal Counsel,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system encompasses all individuals who submit administrative
appeals under the Freedom of Information and Privacy Acts.
CATEGORIES OF RECORDS IN THE SYSTEM:
Each file generally contains the appeal letter, the initial
request, the initial agency determination, and other records necessary
to make a determination on the appeal, including copies of unsanitized
records responsive to the request. When a determination is made on the
appeal, the determination letter is added to the file.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Freedom of Information Act (5 U.S.C. 552); the Privacy Act of
1974 (5 U.S.C. 552a); and 5 U.S.C. 301.
PURPOSE(S):
These records are maintained to process an individual's
administrative appeal made under the provisions of the Freedom of
Information and the Privacy Acts. The records are also used to prepare
the Department's annual reports to OMB and Congress required by the
Privacy and the Freedom of Information Acts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records, and information in these records, that is relevant
and necessary may be used:
a. To disclose information to Federal agencies (e.g., Department of
Justice) in order to obtain advice and recommendations concerning
matters on which the agency has specialized experience or competence,
for use by the Office of the Solicitor in making required appeal
determinations and related dispositions under the Freedom of
Information Act or the Privacy Act of 1974.
b. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the appeal, and to
identify the type of information involved in an appeal), where
necessary to obtain information relative to a decision concerning a
Freedom of Information or Privacy Act appeal.
c. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in manual form in file folders and are
stored using the name of the individual filing the appeal. Information
about the status of Freedom of Information and Privacy Act appeals is
also maintained on magnetic media for use in a micro-computer.
RETRIEVABILITY:
Manual and the electronic records are retrieved by the name of the
individual making the appeal. Electronic records are retrieved by the
name of the appellant, the appellant's law firm, the original
requester, the subject, the denying officer, the disposition date, and
the case number.
SAFEGUARDS:
These records, are located in metal filing cabinets in a lockable
room with access limited to personnel whose duties require access. The
electronic records are located in a computer data base.
RETENTION AND DISPOSAL:
These records are destroyed six years after final agency
determination or 3 years after final court adjudication, whichever is
later.
SYSTEM MANAGER(S) AND ADDRESS:
Solicitor of Labor, U.S. Department of Labor, Washington DC 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of the Freedom of Information or Privacy Act
Appeal and the approximate date of the determination by the Department
(if issued).
CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Information in this system of records comes from:
a. The individual who is the subject of the records.
b. Official personnel documents of the agency, including records
from any other agency system or records included in this notice.
c. Agency officials who responded initially to the Freedom of
Information and Privacy Act requests.
d. Other sources whom the agency believes have information
pertinent to an agency decision on a Freedom of Information or Privacy
Act appeal.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Department of Labor has claimed exemptions for several of its
other systems of records under 5 U.S.C. 552a(k)(1), (2), (3), (5), and
(6). During the course of processing a Freedom of Information or
Privacy Act appeal, exempt materials from those other systems may
become part of the case record in this system. To the extent that
copies of exempt records from those other systems are entered into
these Freedom of Information and Privacy Act appeals files, the
Department has claimed the same exemptions for the records as they have
in the original primary system or records of which they are a part.
DOL/SOL-13
SYSTEM NAME:
Employee Conduct Investigations.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Offices in the Office of the Solicitor at the National Office and
in each of the
[[Page 16941]]
Regional and Associate Regional Offices of the Solicitor.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employee(s) against whom any allegations of misconduct have been
made or violations of law.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigative report(s), sworn affidavits, written statements, time
and attendance records, earnings and leave statements, applications for
leave, notifications of personnel actions, travel vouchers, 171's,
certificates of eligible, performance appraisals, interviews and other
data gathered from involved parties and organizations which are
associated with the case.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
To investigate allegations of misconduct or violations of law.
ROUTINE USE OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USERS:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING IN THE SYSTEM:
STORAGE:
Records are stored in file folders in metal cabinets.
RETRIEVABILITY:
By name or case file number.
SAFEGUARDS:
Files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties.
RETENTION AND DISPOSAL:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Management, Office of the Solicitor, 200 Constitution
Avenue, NW, Washington, DC 20210, and appropriate Regional Offices.
NOTIFICATION PROCEDURE:
Inquiries should be sent to the system manager noted at the address
listed above.
RECORDS ACCESS PROCEDURES:
A request for access shall be addressed to the system manager at
the address listed above.
CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Hotline complaints through the Office of the Inspector General's
hotline or through the General Accounting Office; incident reports
submitted by employees or members of the general public; statements by
subject and fellow employees; and other investigative reports.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f)
of 5 U.S.C. 552a, provided however, that if any individual is denied
any right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior
to January 1, 1975, under an implied promise that the identity of the
source would be held in confidence.
DOL/SOL-15
SYSTEM NAME:
Solicitor's Office Litigation Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Offices of the Associate Solicitors, Office of the Solicitor,
Washington, DC; Offices of the Regional Solicitor and Associate
Regional Solicitors at various locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Plaintiffs, defendants, respondents, witnesses and other
individuals who may have provided information relating to, or who may
have been involved in matters that are part of Labor Department
litigation, where the Department is either the plaintiff or the
defendant.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains records gathered by the various Offices of the
Associate Solicitors, Regional Solicitors and Associate Regional
Solicitors. The records may be derived from materials filed with the
Department of Labor, court records, pleadings, statements of witnesses,
information received from federal, state, local and foreign regulatory
organizations and from other sources. The system also contains records
that incorporate the work product of the various offices and other
privileged documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
These records are maintained for the purpose of prosecuting
violations of labor laws, as well as for defending law suits and claims
brought against the Department of Labor.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USE:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Litigation files are maintained in manual files.
RETRIEVABILITY:
By name.
SAFEGUARDS:
Files are kept in office suites which are locked after working
hours.
RETENTION AND DISPOSAL:
Litigation files are maintained for two (2) years after final court
determination, then transferred to the FRC where they are kept for an
additional three (3) years and then destroyed.
However:
Significant litigation files in the Civil Rights Division:
Cases which (1) resulted in a major legal precedent, or (2)
involved a complex and/or novel issue, or (3) involved intense public
interest or controversy that usually is reflected in a high degree of
media attention are retained permanently.
[[Page 16942]]
Litigation files involving OSHA:
OSHA litigation files are destroyed one year after all rights of
appeals have expired.
Matters in which the Department obtained an injunction are
maintained in SOL for two years after the matter is closed and then
transferred to the FRC for twenty (20) years and then destroyed. Briefs
and significant motions are retained in the office for twenty (20)
years and then destroyed.
Freedom of Information Act and Privacy Act litigation files:
Files are maintained for six years after final agency action or
three (3) years after final court determination, whichever is later.
Black Lung files:
Files for cases before the Administrative Law Judges are maintained
for one (1) year after the case is closed and then destroyed. Cases
adjudicated before the Benefit Review Board are maintained for two (2)
years after the final decision is issued and then destroyed. Court of
Appeal and Supreme Court cases are maintained for five years after the
final decision is issued and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
The appropriate Associate Solicitor or the Regional Solicitor or
Associate Regional Solicitor, Office of the Solicitor, U.S. Department
of Labor, Room S-2002, 200 Constitution Avenue, NW, Washington, DC
20210.
NOTIFICATION PROCEDURES:
Inquiries should be mailed or presented to the system manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date for the investigation.
CONTESTING RECORD PROCEDURES:
A petition for amendments shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Component agency investigative files; investigators; other law
enforcement personnel; attorneys; witnesses, informants; other
individuals; federal, states and local agencies; opinion files;
miscellaneous files.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
Under the specific exemption authority provided by 5 U.S.C.
552a(k)(2), this system is exempt from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and
(f) of the Act. Disclosure of information could enable the subject of
the record to take action to escape prosecution and could avail the
subject greater access to information than that already provided under
rules of discovery. In addition, disclosure of information might lead
to intimidation of witnesses, informants, or their families, and impair
future investigations by making it more difficult to collect similar
information.
DOL/SOL-17
SYSTEM NAME:
Solicitor's Office Equipment Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Solicitor, Office of Administration, Management &
Litigation Support (OAMLS), U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All employees from the Office of the Solicitor both those from the
National and the Regional Offices of the Solicitor.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains detailed records pertaining to the chairs,
desks, and other furniture, and equipment assigned to each employee
from the Office of the Solicitor, including National and Regional
Offices.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The information is used for statistical data and to prepare
purchase orders for furniture, equipment and accessories. The
information is also used to track items assigned to individuals within
the Solicitor's Office.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
USERS AND THE PURPOSE OF SUCH USES:
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in file folders and in computers.
RETRIEVABILITY:
Records are retrieved by the name of the employee.
SAFEGUARDS:
These records are kept in office suites which are locked after
working hours.
RETENTION AND DISPOSAL:
The system is updated annually and earlier records are destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Administration, Management & Litigation
Support, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURES:
Inquiries should be directed to the system manager noted at the
address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Individuals requesting access must also comply with the Privacy
Act regulations regarding verification of identity to records at 29 CFR
71.4.
CONTESTING RECORD PROCEDURES:
A petition for amendments shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Agency personnel files, information submitted by the employee, and
records from the Office of Administration, Management and Litigation
Support.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
DOL/VETS-1
SYSTEM NAME:
Uniformed Services Employment and Reemployment Rights Act (USERRA)
Complaint File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Veterans' Employment and Training Service (VETS') State Offices,
Regional Offices, and National Office.
[[Page 16943]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Complainants who are veterans, enlistees, examinees, reservists or
members of the National Guard of the U.S. Armed Forces on active or
reserve service or training duty, and other complainants.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system of records contains data related to civil investigations
which include: Initial investigative complaint form, background,
investigators' fact finding records, witness statements, supporting
documents provided by claimants and employers, other information
relevant to a determination of veterans reemployment rights.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
38 U.S.C. 4301 et seq.
PURPOSE(S):
Records are maintained for enforcement of federal laws pertaining
to rights of veterans, reservists and members of the National Guard
upon their return to pre-military civilian employment following periods
of active and inactive military duty and related to non-discrimination
based on such service or periods of duty.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement, relevant records and information may be disclosed
to the employer against whom a complaint has been made so that the
complaint can proceed to a resolution. Disclosure may also be made when
relevant and necessary to the Department of Veterans Affairs, to the
Department of Defense, to the Department of Justice, and to the Office
of Special Counsel when complaints have proceeded to an advanced stage.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic and manual records.
RETRIEVABILITY:
By name of complainant or name of employer.
SAFEGUARDS:
Locked room or locked cabinets, and passwords for electronic
system.
RETENTION AND DISPOSAL:
Cutoff and removal from active file in fiscal year when litigation
is completed, transfer to Federal Records Center five (5) years after
cutoff. Destroy when ten (10) years old.
SYSTEM MANAGER(S) AND ADDRESS:
Chief of Investigations and Compliance, United States Department of
Labor, Veterans' Employment and Training Service, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:
Inquiries should be directed to the system manager noted at the
address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the systems manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of separation.
CONTESTING RECORD PROCEDURES:
A petition for amendment should be addressed to the System Manager.
RECORD SOURCE CATEGORIES:
Veterans, Reserve and National Guard members, employees, employers,
former employees, Departments of Defense, Department of Veterans
Affairs, physicians, union officers and maybe the public.
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-2
SYSTEM NAME:
Veterans' Preference Complaint File under the Veterans Equal
Opportunities Act of 1998 (VEOA).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Veterans' Employment and Training Service (VETS') State Offices,
Regional Offices, and National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Veterans of the U.S. Armed Forces who believe that they have been
denied veterans preference or other special considerations provided by
law(s).
CATEGORIES OF RECORDS IN THE SYSTEM:
The system of records contains materials related to civil
investigations which include: Initial investigative complaint form,
background, investigators' fact finding records, witness statements,
supporting documents provided by claimants and employers, other
information relevant to a determination of veterans preference
consideration related to employment with Federal agencies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 3330a.
PURPOSE(S):
Records are maintained for investigation of possible violations of
federal laws pertaining to veterans' preference and other special
consideration related to employment with Federal agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic and manual records.
RETRIEVABILITY:
By name of complainant or name of Federal agency.
SAFEGUARDS:
Secured room, or locked cabinets, and passwords for electronic
system.
RETENTION AND DISPOSAL:
Cutoff and removed from active file in fiscal year when litigation
is completed. Transferred to Federal Records Center five (5) years
after cutoff. Destroy when ten (10) years old.
[[Page 16944]]
SYSTEM MANAGER(S) AND ADDRESS:
Chief of Investigations and Compliance, United States Department of
Labor, Veterans' Employment and Training Service, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:
Inquiries should be mailed or presented to the system manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the systems manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of separation.
CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Veterans, Federal employment applicants or employing Federal
agencies, former agency employees, Department of Defense, Department of
Veterans Affairs, Office of Personnel Management, union officers and
members of the public.
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-3
SYSTEM NAME:
Veterans' Transition Assistance Program (TAP) Registration System.
SECURITY CLASSIFICATION:
None
SYSTEM LOCATION:
Veterans' Employment and Training Service (VETS) State Directors'
Offices, Regional Offices, National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Service members, and their spouses, for 180 days after separation
of the servicemember from the U.S. Armed Forces.
CATEGORIES OF RECORDS IN THE SYSTEM:
Registration data on participants in the Transition Assistance
Program (TAP) orkshops including the name, address, social security
number, and duty station.
AUTHORITY FOR MAINTENANCE OF SYSTEM:
10 U.S.C. 1144.
PURPOSE(S):
Records are maintained to house achievement levels in TAP Program
workshops, develop demographic data, and research programs
effectiveness.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of records and
information may be made to the Department of Defense, Department of
Transportation, and to the Department of Veterans Affairs so that they
may they assist the TAP participant by sharing information.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic and manual records.
RETRIEVABILITY:
By name, state, military base, or VETS region.
SAFEGUARDS:
Locked room or locked cabinets, and passwords for electronic
system.
RETENTION AND DISPOSAL:
Records are transferred to the Federal Records Center three years
after the end of the fiscal year when they were created, and they are
destroyed ten years thereafter.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Operations and Programs, United States Department of
Labor, Veterans' Employment and Training Service, Room, 200
Constitution Avenue, NW, Washington, DC 20210, and Regional Offices.
NOTIFICATION PROCEDURES:
Inquiries should be mailed or presented to the appropriate system
manager listed above.
RECORD ACCESS PROCEDURES:
A request for access shall be addressed to the systems manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of separation.
CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
RECORD SOURCE CATEGORIES:
Participants in TAP workshops.
SYSTEMS EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix--Responsible Officials
National Office
The titles of the responsible officials of the various component
agencies in the Department of Labor are listed below. This list is
provided for information and to assist requesters in locating the
office most likely to have responsive records. The officials may be
changed by appropriate designation. Unless otherwise specified, the
mailing addresses of the officials shall be: U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Office of the Secretary
Secretary of Labor, ATTENTION: Assistant Secretary for
Administration and Management (OASAM)
Office of the Solicitor
Deputy Solicitor, Office of the Solicitor
Office of the Administrative Law Judges (OALJ)
Chief Administrative Law Judge, Office of Administrative Law Judges,
OALJ
Legal Counsel, OALJ
The mailing address for the Office of Administrative Law Judges
is: Chief, Office of Administrative Law Judges, 800 K Street, NW.,
Suite N-400, Washington, DC 20001-8002.
Office of the Assistant Secretary of Administration and Management
(OASAM)
Assistant Secretary for Administration and Management, OASAM
Deputy Assistant Secretary for Administration and Management, OASAM
Director, Business Operations Center, OASAM
Director, Procurement Service Center, OASAM
Director, Civil Rights Center, OASAM
Director, Human Resources Center, OASAM
Director, Information Technology Center, OASAM
[[Page 16945]]
Director, Worklife Center, OASAM
Director, Human Resource Services Center, OASAM
Director, Office of Budget, OASAM
Director, Conference and Services Center, OASAM
Director, Safety and Health Center, OASAM
Office of the Chief Financial Officer (OCFO)
Chief Financial Officer, OCFO
Office of Small Business Programs
Director, Office of Small Business Programs
Employees' Compensation Appeals Board (ECAB)
Chairperson, Employees' Compensation Appeals Board, ECAB
Associate Deputy Secretary for Adjudication
Executive Director, Office of Adjudicatory Services
Administrative Review Board (ARB)
Chairperson, Administrative Review Board, ARB
Benefits Review Board (BRB)
Chief Administrative Appeals Judge, Benefits Review Board, BRB
Director, Women's Bureau, Office of the Secretary
Office of Congressional and Intergovernmental Affairs (OCIA)
Assistant Secretary, Office of Congressional and Intergovernmental
Affairs, OCIA
Deputy Assistant Secretary, OCIA
Office of the Assistant Secretary for Policy (ASP)
Assistant Secretary for Policy, ASP
Deputy Assistant Secretary, ASP
Office of the Assistant Secretary for Public Affairs (OPA)
Assistant Secretary, Office of Public Affairs, OPA
Deputy Assistant Secretary, OPA
Administrative Review Board (ARB)
Director, Office of Administrative Review Board, ARB
Office of the Inspector General (OIG)
Disclosure Officer, OIG
Bureau of International Labor Affairs (ILAB)
Deputy Under Secretary, ILAB
Associate Deputy Under Secretary, ILAB
Secretary of the National Administrative Office, ILAB
Employment Standards Administration (ESA)
Assistant Secretary for Employment Standards, ESA
Director, Equal Employment Opportunity Unit, ESA
Director, Office of Management, Administration and Planning (OMAP),
ESA
Director, Division of Human Resources Management, OMAP, ESA
Director, Division of Legislative and Regulatory Analysis, OMAP, ESA
Director, Office of Workers' Compensation Programs (OWCP), ESA
Special Assistant to the Director, OWCP, ESA
Director, Division of Planning, Policy and Standards, OWCP, ESA
Director for Federal Employees' Compensation, OWCP, ESA
Director for Longshore and Harbor Workers' Compensation, OWCP, ESA
Director for Coal Mine Workers' Compensation, OWCP, ESA
Administrator, Wage and Hour Division, ESA
Deputy Administrator, Wage and Hour Division, ESA
National Office Program Administrator, Wage and Hour Division, ESA
Deputy National Office Program Administrator, Wage and Hour
Division, ESA
Director, Office of Enforcement Policy, Wage and Hour Division, ESA
Deputy Director, Office of Enforcement Policy, Wage and Hour
Division, ESA
Director, Office of Planning and Analysis, Wage and Hour Division,
ESA
Director, Office of Wage Determinations, Wage and Hour Division, ESA
Director, Office of External Affairs, Wage and Hour Division, ESA
Director, Office of Quality and Human Resources, Wage and Hour
Division, ESA
Deputy Assistant Secretary for Federal Contract Compliance Programs
(OFCCP), ESA
Deputy Director, Office of Federal Contract Compliance Programs,
OFCCP, ESA
Director, Division of Policy, Planning and Program Development,
OFCCP, ESA
Deputy Director, Division of Policy, Planning and Program
Development, OFCCP, ESA
Director, Division of Program Operations, OFCCP, ESA
Deputy Director, Division of Program Operations, OFCCP, ESA
Director, Division of Management and Administrative Programs, OFCCP,
ESA
Deputy Assistant Secretary for Labor-Management Programs, (OLMS),
ESA
Employment and Training Administration (ETA)
Assistant Secretary of Labor, ETA
Deputy Assistant Secretary of Labor, ETA
Administrator, Office of Financial and Administrative Management,
ETA
Director, Office of Financial and Administrative Services, ETA
Director, Office of Human Resources, ETA
Director, Divisions of Federal Assistance and Contract Services, ETA
Administrator, Office of Policy and Research, ETA
Director, Office of Grants and Contracts Management, ETA
Administrator, Office of Technology and Information Services, ETA
Administrator, Office of Workforce Security, ETA
Director, Office of Income Support, ETA
Director, Office of Career Transition Assistance, ETA
Director, Division of U.S. Employment Service and Americans Labor
Information Market System (ALMIS)
Chief, Division of Foreign Labor Certifications, ETA
Administrator, Office of Adult Services, ETA
Director Office of National Programs, ETA
Director, Division of Systems Support, ETA
Director, Office of Adults, Dislocated Workers and Trade Adjustment
Assistance, ETA
Director, Division of Trade Adjustment Assistance, ETA
Administrator, Office of Youth Services, ETA
Director, Office of Youth Opportunities, ETA
Director, Office of School to Work, ETA
Director, Office of Job Corps, ETA
Director, Office of Apprenticeship Training, Employer and Labor
Services, ETA
Director, Office of Equal Employment Opportunity, ETA
Occupational Safety and Health Administration (OSHA)
Assistant Secretary, OSHA
Director, Office of Public Affairs, OSHA
Director, Directorate of Construction, OSHA
Director, Directorate of Federal-State Operations, OSHA
Director, Directorate of Policy, OSHA
Director, Directorate of Administrative Programs, OSHA
Director, Personnel Programs, OSHA
Director, Office of Administrative Services, OSHA
Director, Office of Management Data Systems, OSHA
Director, Office of Management Systems and Organization, OSHA
Director, Office of Program Budgeting, Planning and Financial
Management, OSHA
Director, Directorate of Compliance Programs, OSHA
Director, Directorate of Technical Support, OSHA
Director, Directorate of Safety Standards Programs, OSHA
Director, Directorate of Health Standards Programs, OSHA
Director, Office of Statistics, OSHA
Pension and Welfare Benefits Administration (PWBA)
Director, Office of Participant Assistance and Communications, PWBA
Office of the Assistant Secretary for Veterans' Employment and
Training (VETS)
Assistant Secretary, VETS
Deputy Assistant Secretary, VETS
Director, Office of Operations and Programs, VETS
Director, Office of Agency Management and Budget, VETS
Disclosure Officer, VETS
Bureau of Labor Statistics (BLS)
Commissioner, BLS
Associate Commissioner, Office of Administration, BLS
The mailing address for responsible officials in the Bureau of
Labor Statistics is: Rm. 4040--Postal Square Bldg., 2 Massachusetts
Ave., NE, Washington, DC 20212-0001.
Mine Safety and Health Administration (MSHA)
Assistant Secretary, MSHA
Deputy Assistant Secretary, MSHA
Chief, Office of Congressional and Legislative Affairs, MSHA
Chief, Office of Information and Public Affairs, MSHA
[[Page 16946]]
Director of Administration and Management, MSHA
Administrator, Coal Mine Safety and Health (CMS&H), MSHA
Chief, Technical Compliance & Investigation Division, CMS&H, MSHA
Chief, Health Division, CMS&H, MSHA
Chief, Safety Division, CMS&H, MSHA
Accident Investigation Program Manager, CMS&H, MSHA
Administrator, Metal and Nonmetal Mine Safety and Health (M/NM),
MSHA
Chief, Technical Compliance & Investigation Division, M/NM, MSHA
Chief, Health Division, M/NM, MSHA
Chief, Safety Division, M/NM, MSHA
Accident Investigation Program Manager, M/NM, MSHA
Director of Assessments, MSHA
Director of Technical Support, MSHA
Director of Educational Policy and Development, MSHA
Director of Standards, Regulations, and Variances, MSHA
Director of Program Evaluation and Information Resources, MSHA
The mailing address for the responsible officials in the Mine
Safety and Health Administration (MSHA) is: 4015 Wilson Boulevard,
Arlington, Virginia 22203.
Regional Offices
The titles of the responsible officials in the regional offices
of the various component agencies are listed below: Unless otherwise
specified, the mailing address for these officials by region, shall
be:
Region I
U.S. Department of Labor, John F. Kennedy Federal Building, Boston,
Massachusetts 02203 (For Wage and Hour only: Contact Region III)
Region II
201 Varick Street, New York, New York 10014 (For Wage and Hour only:
Contact Region III)
Region III
The Curtis Center, 170 South Independence Mall West, Suite 825 East,
Philadelphia, Pennsylvania 19106-3315
Region IV
U.S. Department of Labor, Atlanta Federal Center, 61 Forsyth Street,
SW, Atlanta, Georgia 30303
(OWCP Only) 214 N. Hogan Street, Suite 1006, Jacksonville, Florida
32202
Region V
Kluczynski Federal Building, 230 South Dearborn Street, Chicago,
Illinois 60604
(FEC only) 1240 East Ninth Street, Room 851, Cleveland, Ohio 44199
Region VI
525 Griffin Square Building, Griffin & Young Streets, Dallas, Texas
75202
Region VII
City Center Square Building, 1100 Main Street, Kansas City, Missouri
64105-2112 (For Wage and Hour only: Contact Region V)
(OFCCP only) 801 Walnut Street, Room 200, Kansas City, Missouri
64106
Region VIII
1999 Broadway Street, Denver, Colorado 80202, (For Wage and Hour and
OFCCP: Contact Region VI)
(OWCP only) 1801 California Street, Suite 915, Denver, Colorado
80202
The mailing address for the Regional Director, Bureau of
Apprenticeship and Training in Region VIII is: U.S. Custom House,
721--19th Street, Room 465, Denver, CO. 80202.
Region IX
71 Stevenson Street, San Francisco, California 94105
Region X
1111 Third Avenue, Seattle, Washington 98101-3212 (For Wage and Hour
only: Contact Region IX)
Regional Administrator for Administration and Management (OASAM)
Regional Personnel Officer, OASAM
Regional Director for Information and Public Affairs, OASAM
Regional Administrator for Occupational Safety and Health and Safety
(OSHA)
Regional Commissioner, Bureau of Labor Statistics (BLS)
Regional Administrator for Employment and Training Administration
(ETA) (For the following regions: Boston, New York, Philadelphia,
Atlanta, Dallas, Chicago and San Francisco)
Associate Regional Administrator for ETA (For the following regions:
Denver, Kansas City and Seattle)
Regional Director, Job Corps, ETA
Director, Regional Office of Apprenticeship and Training, Employer
and Labor Services, ETA
Regional Administrator for Wage and Hour, ESA
Regional Director for Federal Contract Compliance Programs, ESA
Regional Director for the Office of Workers' Compensation Programs,
ESA
District Director, Office of Workers' Compensation Programs, ESA
Office of Federal Contract Compliance Programs ESA, Responsible
Offices, Regional Offices
JFK Federal Building, Room E-235, Boston, Massachusetts 02203
201 Varick Street, Room 750, New York, New York 10014
The Curtis Center, 170 South Independence Mall West, Philadelphia,
Pennsylvania 19106-3315
61 Forsyth Street, S.W., Suite 7B75, Atlanta, Georgia 30303
Klucynski Federal Building, 230 South Dearborn Street, Room 570,
Chicago, Illinois 60604
Federal Building, 525 South Griffin Street, Room 840 Dallas, Texas
75202
71 Stevenson Street, Suite 1700, San Francisco, California 94105-
2614
1111 Third Avenue, Suite 610, Seattle, Washington 98101-3212
Office of Workers' Compensation Programs ESA: Responsible Officials,
District Directors
John F. Kennedy Federal Building, Room E-260, Boston, Massachusetts
02203 (FECA and LHWCA Only)
201 Varick Street, Seventh Floor, Room 750, New York, New York 10014
(FECA and LHWCA only)
The Curtis Center, 170 South Independence Mall West, Suite 790 West,
Philadelphia, Pennsylvania 19106-3313 (FECA and LHWCA only)
Penn Traffic Building, 319 Washington Street, Johnstown,
Pennsylvania 15901 (BLBA only)
105 North Main Street, Suite 100, Wilkes-Barre, Pennsylvania 18701
(BLBA Only)
Wellington Square, 1225 South Main Street, Suite 405, Greensburg,
Pennsylvania 15601 (BLBA only)
300 West Pratt Street, Suite 240, Baltimore, Maryland 21201 (LHWCA
Only)
Federal Building, 200 Granby Mall, Room #212, Norfolk, Virginia
23510 (LHWCA only)
500 Quarrier Street, Suite 110, Charleston, West Virginia 25301
(BLBA Only)
425 Juliana Street, Suite 3116, Parkersburg, West Virginia 26101
(BLBA Only)
800 North Capitol Street, NW., Washington, DC 20211 (FECA Only)
77 P Street, NE., 2nd Floor, Washington, DC 20002 (LHWCA Only)
1200 Upshur Street, NW., Washington, DC 20210 (DC Claims Only)
164 Main Street, Suite 508, Pikeville Kentucky 41501 (BLBA only)
500 Springdale Plaza, Spring Street, Mt. Sterling, Kentucky 40353
(BLBA Only)
214 N. Hogan Street, 10th Floor, Room 1006, Jacksonville, Florida
32201 (FECA and LHWCA only)
230 South Dearborn Street, Room 578, Chicago, Illinois 60604 (FECA
and LHWCA)
1240 East 9th Street, Room 851, Cleveland, Ohio 44199 (FECA Only)
1160 Dublin Road, Suite 300, Columbus, Ohio 43214 (BLBA Only)
525 Griffin Street, Federal Building Dallas, Texas 75202 (FECA Only)
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113 (LHWCA
Only)
8866 Gulf Freeway, Suite 140, Houston, Texas 77017 (LHWCA Only)
City Center Square, Suite 750, 1100 Main Street, Kansas City,
Missouri 64105 (FECA Only)
1801 California Street, Suite 915, Denver, Colorado 80202 (FECA and
BLBA Only)
71 Stevenson Street, 2nd Floor, P.O. Box 193770, San Francisco,
California 94105 (LHWCA and FECA Only)
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802
(LHWCA Only)
300 Ala Moana Boulevard, Room 5119, Honolulu, Hawaii 96850 (LHWCA
Only)
1111 3rd Avenue, Suite 615, Seattle, Washington 98101-3212 (LHWCA
and FECA only)
Mine Safety & Health Administration Field Offices And Responsible
Officials
Coordinator, Small Mines/Mine Emergency Unit
[[Page 16947]]
Superintendent, National Mine Health and Safety Academy, 1301
Airport Road, Beaver, WV 25813-9426
Chief, Safety and Health Technology Center, P.O. Box 18233,
Pittsburgh, PA 15236
Chief, Approval and Certification Center, R.R. 1, Box 251,
Industrial Park Road, Triadelphia, WV 26059
Chief, Information Resource Center
Chief, Office of Injury and Employment Information, P.O. Box 25367,
Denver, CO 80225-0367
District Manager, Coal Mine Safety and Health
The Stegmaier Bldg., Suite 034, 7 N. Wilkes-Barre Blvd., Wilkes-
Barre, PA 18702
R.R. 1, Box 736, Hunker, PA 15639
5012 Mountaineer Mall, Morgantown, WV 26505
100 Bluestone Road, Mt. Hope, WV 25880
P.O. Box 560, Norton, VA 24273
4159 North Mayo Trail, Pikeville, KY 41501
HC 66, Box 1699, Barbourville, KY 40906
Suite 200, 2300 Old Decker Road, Vincennes, IN 47591
P.O. Box 25367, Denver, CO 80225-0367
100 YMCA Drive, Madisonville, KY 42431-9019
Suite 213, 135 Gemini Circle Birmingham, AL 35209
District Manager, Metal and Nonmetal Mine Safety and Health
Assistant District Manager, Metal and Nonmetal Mine Safety and
Health:
Thornhill Industrial Park, 547 Keystone Drive, Suite 4, Warrendale,
PA 15086-7573
Suite 212, 135 Gemini Circle, Birmingham, AL 35209
Suite 333, 515 W. First Street, Duluth, MN 55802-1302
Rm. 4C50, 1100 Commerce Street, Dallas, TX 75242-0499
P.O. Box 25367, Denver, CO 80225-0367
2060 Peabody Road, Suite 610, Vacaville, CA 95687-6696
Regional Administrator, Occupational Safety and Health Administration
(OSHA)
Area Director, OSHA:
Valley Office Park, 13 Branch Street, Methuen, MA 01844
639 Granite Street, 4th Floor, Braintree, MA 02184
1441 Main Street, Room 550, Springfield, MA 01103-1493
One Lafayette Square, Suite 202, Bridgeport, CT 06604
Federal Building, 450 Main Street, Room 613, Hartford, CT 06103
40 Western Avenue, Room 608, Augusta, ME 04330
202 Harlow Street, Room 211, Bangor, ME 04401
279 Pleasant Street, Suite 201, Concord, NH 03301
Federal Office Building, 380 Westminster Mall, Room 243, Providence,
RI 02903
401 New Karner Road, Suite 300, Albany, NY 12205-3809
42-40 Bell Boulevard, Bayside, NY 11361
5360 Genesee Street, Bowmansville, NY 14026
1400 Old Country Road, Suite 208, Westbury, NY 11590
201 Varick Street, Room 670, New York, NY 10048
3300 Vickery Road, North Syracuse, NY 13212
660 White Plains Road, 4th Floor, Tarrytown, NY 10591-5107
1030 St. Georges Avenue, Plaza 35, Suite 205, Avenel, NJ 07001
500 Route 17 South, 2nd Floor, Hasbrouck Heights, NJ 07604
299 Cherry Hill Road, Suite 304, Parsippany, NJ 07054
Marlton Executive Park, Building 2, 701 Route 73 South, Suite 120,
Marlton, NJ 08053
BBV Plaza Building, 1510 F.D. Roosevelt Avenue, Guaynabo, PR 00968
850 North 5th Street, Allentown, PA 18102
3939 West Ridge Road, Suite B12, Erie, PA 16506-1857
Progress Plaza, 49 North Progress Avenue, Harrisburg, PA 17109-3596
U.S. Custom House, Room 242, Second & Chestnut Street, Philadelphia,
PA 19106
Federal Office Building, 1000 Liberty Avenue, Room 1428, Pittsburgh,
PA 15222-4101
The Stegmaier Building, Suite 410, 7 North Wilkes-Barre Boulevard,
Wilkes-Barre, PA 18702-5241
844 North King Street--Room 2209, Wilmington, DE 19801
1099 Winterson Road, Suite 140, Linthicum, MD 21090
Federal Office Building, 200 Granby Street, Room 835, Norfolk, VA
23510-1811
405 Capitol Street, Suite 407, Charleston, WV 25301-1727
LaVista Perimeter Office Park, 2183 N. Lake Parkway, Building 7,
Suite 110, Tucker, GA 30084-4154
2400 Herodian Way, Suite 250, Smyrna, GA 30080-2968
450 Mall Boulevard, Suite J, Savannah, GA 31406
2047 Canyon Road--Todd Mall, Birmingham, AL 35216-1981
3737 Government Boulevard, Suite 100, Mobile, AL 36693-4309
8040 Peters Road, Building H-100, Fort Lauderdale, FL 33324
Ribault Building, Suite 227, 1851 Executive Center Drive,
Jacksonville, FL 32207
5807 Breckenridge Parkway, Suite A, Tampa, FL 33610-4249
John C. Watts Federal Office Building, 330 West Broadway, Room 108,
Frankfort, KY 40601-1922
3780 I-55 North, Suite 210, Jackson, MS 39211-6323
Century Station Federal Office Building, 300 Fayetteville Street
Mall, Room 438, Raleigh, NC 27601-9998
1835 Assembly Street, Room 1468, Columbia, SC 29201-2453
2002 Richard Jones Road, Suite C-205, Nashville, TN 37215-2809
1600 167th Street, Suite 12, Calumet City, IL 60409
O'Hara Lake Plaza, 2360 East Devon Avenue, Suite 1010, Des Plaines,
IL 60018
11 Executive Drive, Suite 11, Fairview Heights, IL 62208
344 Smoke Tree Business Park, North Aurora, IL 60542
2918 W. Willow Knolls Road, Peoria, IL 61614
46 East Ohio Street, Room 423, Indianapolis, IN 46204
Lansing Area Director, 801 South Waverly Road, Suite 306, Lansing,
MI 48917-4200
300 South 4th Street, Room 1205, Minneapolis, MN 55415
36 Triangle Park Drive, Cincinnati, OH 45246
Federal Office Building, 1240 East 9th Street, Room 899, Cleveland,
OH 44199
Federal Office Building, 200 North High Street, Room 620, Columbus,
OH 43215
Ohio Building, 420 Madison Avenue, Suite 600, Toledo, OH 43604
Federal Building, U.S. Courthouse 500, Barstow Street, Room B-9, Eau
Claire, WI 54701
1648 Tri Park Way, Appleton, WI 54914
4802 E. Broadway, Madison, WI 53716
Henry S. Reuss Building, 310 W. Wisconsin Ave, Suite 1180,
Milwaukee, WI 53202
903 San Jacinto Boulevard, Suite 319, Austin, TX 78701
Wilson Plaza, 606 N. Carancahua, Suite 700, Corpus Christi, TX 78476
834 East R.L. Thornton Freeway, Suite 420, Dallas, TX 75228
700 East San Antonio Street, Room C408, El Paso, TX 79901
North Starr II, Suite 430, 8713 Airport Freeway, Fort Worth, TX
76180-7604
350 N. Sam Houston Parkway, Suite 120, Houston, TX 77060
17625 El Camino Real, Suite 400, Houston, TX 77058
Federal Office Building, 1205 Texas Avenue, Room 804, Lubbock, TX
79401
TCBY Building, Suite 450, 425 West Capitol Avenue, Little Rock, AR
72201
9100 Bluebonnet Centre Boulevard, Suite 201, Baton Rouge, LA 70809
Western Bank Building, Suite 820, 505 Marquette, NW., Albuquerque,
NM 87102
420 West Main, Suite 300, Oklahoma City, OK 73102
6200 Connecticut Avenue, Suite 100, Kansas City, MO 64120
911 Washington Avenue, Room 420, St. Louis, MO 63101
210 Walnut Street, Room 815, Des Moines, IA 50309
8600 Farley--Suite 105, Overland Park, KS 66212
300 Epic Center, 301 North Main, Wichita, KS 67202
Overland--Wolf Building, 6910 Pacific Street, Room 100, Omaha, NE
68106
1391 Speer Boulevard, Suite 210, Denver, CO 80204-2552
7935 East Prentice Avenue, Suite 209, Englewood, CO 80111-2714
2900 4th Avenue North, Suite 303, Billings, MT 59101
3rd & Rosser, Room 348, P.O. Box 2439, Bismark, ND 58502
1781 South 300 West, Salt Lake City, UT 84115-1802
101 El Camino Plaza, Suite 105, Sacramento, CA 95815
5675 Ruffin Road, Suite 330, San Diego, CA 92123
3221 North 16th Street, Suite 100, Phoenix, AZ 85016
300 Ala Moana Boulevard, Suite 5-146, Honolulu, HI 96850
705 North Plaza, Room 204, Carson City, NV 89701
[[Page16948]]
505 106th Avenue, NE., Suite 302, Bellevue, WA 98004
301 W. Northern Lights Boulevard, Suite 407, Anchorage, AK 99503-
7571
1150 North Curtis Road, Suite 201, Boise, ID 83706
Federal Office Building, 1220 Southwest 3rd Avenue, Room 640,
Portland, OR 97204
Pension and Welfare Benefits Administration Regional Director or
District Supervisor
Regional Director, J.F.K. Federal Bldg., Room 575, Boston,
Massachusetts 02203
Regional Director, 201 Varick Street, New York, NY 10014
Regional Director, The Curtis Center, 170 South Independence Mall
West, Philadelphia, Pennsylvania 19106-3315
District Supervisor, Silver Spring Metro Center, Building One,
Second Floor, 1335 East-West Highway, Silver Spring, MD 20901
Regional Director, 61 Forsyth Street, S.W., Room 7B54, Atlanta,
Georgia 30303
District Supervisor, 8040 Peters Road, Building H, Suite 104,
Plantation, Florida 33324
Regional Director, 1885 Dixie Highway, Suite 210, Ft. Wright,
Kentucky 41011
District Supervisor, 211 West Fort Street, Suite 1310, Detroit,
Michigan 48226-3211
Regional Director, 200 West Adams Street, Suite 1600, Chicago,
Illinois 60606
Regional Director, City Center Square, 1100 Main Street, Suite 1200,
Kansas City, Missouri 64105
District Supervisor, 815 Olive Street, Room 338, St. Louis, Missouri
63101
Regional Director, 525 Griffin Street, Room 707, Dallas, Texas 75202
Regional Director, 71 Stevenson Street, Suite 915, PO Box 190250,
San Francisco, California 94119-0250
District Director, 1111 Third Avenue, Room 860, Seattle, Washington
98101-3212
Regional Director, 790 E. Colorado Blvd., Suite 514, Pasadena, CA
91101
Regional Administrators, Veterans' Employment and Training Service
(VETS)
Region I
J.F. Kennedy Federal Building, Government Center, Room E-315,
Boston, Massachusetts 02203
Region II
201 Varick Street, Room 766, New York, New York 10014
Region III
The Curtis Center, 170 S. Independence Mall West, Suite 770 West,
Philadelphia, Pennsylvania 19106
Region IV
Sam Nunn Atlanta Federal Center, 61 Forsyth Street, SW., Room 6T85,
Atlanta, Georgia 30303
Region V
230 South Dearborn, Room 1064, Chicago, Illinois 60604
Region VI
525 Griffin Street, Room 858, Dallas, Texas 75202
Region VII
City Center Square Building, 1100 Main Street, Suite 850, Kansas
City, Missouri 64105-2112
Region VIII
1999 Broadway, Suite 1730, Denver, Colorado 80202-5716
Region IX
71 Stevenson Street, Suite 705, San Francisco, California 94105
Region X
1111 Third Avenue, Suite 900, Seattle, Washington 98101-3212
[FR Doc. 02-7376 Filed 4-5-02; 8:45 am]
BILLING CODES 4510-20-P; 4510-21-P; 4510-23-P; 4510-24-P; 4510-26-P;
4510-27-P; 4510-28-P; 4510-29-P; 4510-30-P; 4510-43-P; 4510-79-P; 4510-
CF-P; 4510-CH-P; 4510-CK-P; 4510-CN-P; 4510-CP-P
