(a) The following systems of records are eligible for exemption
under 5 U.S.C. 552a(j)(2) because they are maintained by a component of
the agency or subcomponent which performs as its principal function the
enforcement of criminal laws, and they contain investigatory material
compiled for criminal law enforcement purposes. Accordingly, these
systems of records are exempt from the following subsections of 552a of
title 5 U.S. Code: (c)(3) and (4), (d), (e)(1), (2), and (3),
(e)(4)(G), (H), and (I), (e)(5) and (8), (f) and (g).
(1) DOL/ESA-45 ( Investigative Files of the Office of Labor-
Management Standards), a system of records maintained by the Office of
Labor-Management Standards.
(2) DOL/OIG-1 (General Investigative Files, and Subject Title
Index, USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(3) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a
system of records maintained by the OIG.
(4) DOL/OIG-3 (Case Development Records), a system of records
maintained by the OIG.
(5) DOL/OIG-5 (Investigative Case Tracking Systems/Audit
Information Reporting Systems, USDOL/OIG), a system of records
maintained by the OIG.
(6) DOL/MSHA-20 (Civil/Criminal Investigations), a system of
records maintained by the Mine Safety and Health Administration.
(7) DOL/PWBA-2 (Office of Enforcement Index Cards and Investigation
Files), a system of records maintained by the Pension and Welfare
Benefits Administration.
(b) This exemption applies to the extent that information in these
systems of records is subject to exemption pursuant to 5 U.S.C.
552a(j)(2).
(c) These systems are exempted for the reasons set forth in
paragraphs (c)(1) through (12) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting
would present a serious impediment to law enforcement by permitting the
subject of an investigation of an actual or potential criminal
violation to determine whether he is the subject of investigation, or
to obtain valuable information concerning the nature of that
investigation and the information obtained, or to identify witnesses
and informants.
(2) Subsection (c)(4). Since an exemption is being claimed for
subsection (d) of the Act (Access to Records), this subsection is
inapplicable to the extent that these systems of records are exempted
from subsection (d).
(3) Subsection (d). Access to records contained in these systems
would inform the subject of an actual or potential criminal
investigation of the existence of that investigation, of the nature and
scope of the investigation, of the information and evidence obtained as
to his or her activities, and of the identity of witnesses or
informants. Such access would, accordingly, provide information that
could enable the subject to avoid detection, apprehension, and
prosecution. This result, therefore, would constitute a serious
impediment to effective law enforcement not only because it would
prevent the successful completion of the investigation but also because
it could endanger the physical safety of witnesses or informants, lead
to the improper influencing of witnesses, the destruction of evidence,
or the fabrication of testimony. Amendment of the records would
interfere with ongoing criminal law enforcement proceedings and imposes
an impossible administrative burden by requiring criminal
investigations to be continuously reinvestigated.
(4) Subsection (e)(1). In the course of criminal and related law
enforcement investigations, cases, and matters, the agency will
occasionally obtain information concerning actual or potential
violations of law that may not be technically within its statutory or
other authority, or it may compile information in the course of an
investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
some or all of such information since it can aid in establishing
patterns of criminal activity and can provide valuable leads for
Federal and other law enforcement agencies. Moreover, it is difficult
to know during the course of an investigation what is relevant and
necessary. In this connection, facts or evidence may not seem relevant
at first, but later in the investigation, their relevance is borne out.
(5) Subsection (e)(2). To collect information to the greatest
extent practicable from the subject individual of a criminal
investigation or prosecution would present a serious impediment to law
enforcement because the subject of the investigation or prosecution
would be placed on notice as to the existence of the investigation and
would therefore be able to avoid detection or apprehension, improperly
influence witnesses, destroy evidence, or fabricate testimony.
(6) Subsection (e)(3). To provide individuals supplying information
with a form which includes the information required by subsection
(e)(3) would constitute a serious impediment to law enforcement, i.e.,
it could compromise the existence of a confidential investigation or
reveal the identity of witnesses or confidential informants.
(7) Subsections (e)(4)(G) and (H). These subsections are
inapplicable to the extent that these systems are exempt from the
access provisions of subsection (d) and the rules provisions of
subsection (f).
(8) Subsection (e)(4)(I). The categories of sources of the records
in these systems have been published in the
Federal Register in broad generic terms in the belief that this is all
that subsection (e)(4)(I) of the Act requires. In the event, however,
that this subsection should be interpreted to require more detail as to
the identity of sources of the records in this system, exemption from
this provision is necessary to protect the confidentiality of the
sources of criminal and related law enforcement information. Such
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(9) Subsection (e)(5). In the collection of information for
criminal enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. Furthermore, the accuracy of such information can often only be
determined in a court of law. The restrictions of subsection (e)(5)
would inhibit the ability of government attorneys in exercising their
judgment in reporting on information and investigations and impede the
development of criminal information and related data necessary for
effective law enforcement.
(10) Subsection (e)(8). The individual notice requirements of
subsection (e)(8) could present a serious impediment to law enforcement
as this could interfere with the ability to issue warrants or subpoenas
and could reveal investigative techniques, procedures, or evidence.
(11) Subsection (f). Procedures for notice to an individual
pursuant to subsection (f)(1) as to existence of records pertaining to
the individual dealing with an actual or potential criminal, civil, or
regulatory investigation or prosecution must be exempted because such
notice to an individual would be detrimental to the successful conduct
and/or completion of an investigation or case, pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under investigation or may
become the subject of an investigation and could enable the subjects to
avoid detection, to influence witnesses improperly, to destroy
evidence, or to fabricate testimony. Since an exemption is being
claimed for subsection (d) of the Act (Access to Records) the rules
required pursuant to subsections (f)(2) through (5) are inapplicable to
these systems of records to the extent that these systems of records
are exempted from subsection (d).
(12) Subsection (g). Since an exemption is being claimed for
subsections (d) (Access to Records) and (f) (Agency Rules) this section
is inapplicable, and is exempted for the reasons set forth for those
subsections, to the extent that these systems of records are exempted
from subsections (d) and (f).
