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Audit Information, Tracking and Reporting System US DOL/OIG.
Not applicable.
Office of Inspector General, U.S. Department of Labor, Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210 and the OIG
regional and field offices.
Auditors, certain administrative support staff, and contractors of the
Office of Inspector General.
Records or information contained in the system may include: (1)
employee or OIG contractor; (2) social security number; (3) grade/step; (4)
training; (5) audit and investigative case tracking data (e.g.
audit/project/report number, program, findings, results, etc.); (6) other
statistical information.
Public Law 95-452, 5 U.S.C. App. 3, Inspector General Act of 1978.
Secretary's Order 2-90 dated January 31, 1990 establishing the Office of
Inspector General at the Department of Labor.
This system is maintained in order to act as a management information
system for OIG audit projects and personnel and to assist in the accurate and
timely maintenance of information.
A. Referral to federal, state, local and foreign investigative and/or
prosecutive authorities. A record from a system of records, which indicates
either by itself or in combination with other information within the agency's
possession a violation or potential violation of law, whether civil, criminal
or regulatory and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, may be
disclosed as a routine use, to the appropriate federal, foreign, state or local
agency or professional organization charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing or investigating or prosecuting such violation or charged with
enforcing or implementing the statute or rule, regulation or order issued
pursuant thereto.
B. Introduction to a grand jury. A record from a system of records may
be disclosed, as a routine use, to a grand jury agent pursuant either to a
federal or state grand jury subpoena or to a prosecution request that such
record be released for the purpose of its introduction to a grand jury.
C. Referral to federal, state, local or professional licensing boards.
A record from a system of records may be disclosed, as a routine use, to any
governmental, professional or licensing authority when such record reflects on
qualifications, either moral, educational or vocational, of an individual
seeking to be licensed or to maintain a license.
D. Disclosure to contractor, grantee or other direct recipient of
federal funds to allow such entity to effect corrective action in the agency's
best interest. A record from a system of records may be disclosed, as a routine
use, to any direct or indirect recipient of federal funds where such record
reflects inadequacies with a recipient's personnel, and disclosure of the
record is made to permit a recipient to take corrective action beneficial to
the Government.
E. Disclosure to any source, either private or governmental, to the
extent necessary to solicit information relevant to any investigation, audit or
evaluation. A record from a system of records may be disclosed, as a routine
use, to any source, either private or governmental, to the extent necessary to
secure from such source information relevant to and sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or foreign governmental agencies for
personnel or other action. A record from a system of records may be disclosed,
as a routine use, to a federal, state, local, foreign or international agency,
for their use in connection with such entity's assignment, hiring or retention
of an individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of a license,
grant or other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
G. Disclosure to a board of contract appeals, GAO or any other entity
hearing a contractor protest or dispute. A record from a system of records may
be disclosed, as a routine use, to the United States General Accounting Office,
to a board of contract appeals, or to the claims court in bid protest cases or
contract dispute cases involving procurement.
H. Disclosure to domestic or foreign governmental law enforcement
agency in order to obtain information relevant to an OIG or DOL decision. A
record from a system of records may be disclosed, as a routine use, to a
domestic or foreign governmental agency maintaining civil, criminal or other
relevant information, in order to obtain information relevant to a OIG or DOL
decision concerning the assignment, hiring, or retention of an individual, the
issuance of a security clearance, the letting of a contract, or the issuance of
a license, grant, or other benefit, or which may be relevant to an OIG or DOL
investigation, audit, or evaluation.
I. Disclosure to OMB or DOJ regarding Freedom of Information Act and
Privacy Act advice. Information from a system of records may be disclosed, as a
routine use, to the Office of Management and Budget or the Department of
Justice in order to obtain advice regarding statutory and other requirements
under the Freedom of Information Act or Privacy Act.
J. Disclosure pursuant to the receipt of a valid subpoena. A record
from a system of records may be disclosed, as a routine use, in response to a
facially valid subpoena for the record. Disclosure may also be made when a
subpoena or order is signed by a judge from a court of competent
jurisdiction.
K. Disclosure to Treasury and DOJ in pursuance of an ex
parte court order to obtain taxpayer information from the IRS. A record
from a system of records may be disclosed, as a routine use, to the Department
of Treasury and the Department of Justice when the OIG seeks an ex
parte court order to obtain taxpayer information from the Internal
Revenue Service.
L. Disclosure to a consumer reporting agency in order to obtain
relevant investigatory information. A record from a system of records may be
disclosed, as a routine use, to a "consumer reporting agency" as that term is
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) and the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of
obtaining information in the course of an investigation, audit, or
evaluation.
M. Disclosure in accordance with computer matching laws, regulations
and/or guidelines. A record may be disclosed to a federal, state, or local
agency for use in computer matching programs to prevent and detect fraud and
abuse in benefit programs administered by those agencies, to support civil and
criminal law enforcement activities of those agencies and their components, and
to collect debts and overpayments owed to the agencies and their components.
This routine use does not provide unrestricted access to records for such law
enforcement and related anti-fraud activities; each request for disclosure will
be considered in light the applicable legal and administrative requirements for
the performance of a computer matching program or procedure.
None.
The records are stored on a variety of mediums including paper,
magnetic tapes or discs, and optical digital data discs.
Records are retrieved by computer using individual name(s) or
project/case name.
Direct access is restricted to authorized staff members and contractors
of the OIG. Automated records can be accessed only through use of confidential
procedures and passwords by authorized personnel in both OIG Headquarters and
regional and field offices.
Closed files are destroyed after three years.
Assistant Inspector General for Audit, 200 Constitution Avenue, NW,
Washington, DC 20210.
Inquiries concerning this system can be directed to:
Disclosure Officer, Office of Inspector General, 200 constitution
Avenue, NW, Washington, DC 20210. Inquiries must comply with the requirements
in 29 CFR Part 71.
Official personnel folders; other personnel documents, activity
supervisors, audit/investigation report standard forms.
The Secretary of Labor has promulgated regulations which exempt
information contained in this system of records from various provisions of the
Privacy Act depending upon the purpose for which the information was gathered
and for which it will be used.
The various law enforcement purposes and the reasons for the exemptions
are as follow:
(a) Criminal Law Enforcement: Information compiled for this
purpose is exempt from all of the provisions of the Act except the following
sections: (b), (c)(1) and (2), (e) (4)(A) through (F), (e)(6), (7), (9), (10),
and (11), and (i). This material is exempt because the disclosure and other
requirements of the Act would substantially compromise the efficacy and
integrity of OIG operations in a number of ways. Indeed, disclosure of even the
existence of these files would be problematic. Disclosure could enable suspects
to take action to prevent detection of criminal activities, conceal evidence,
or escape prosecution.
Required disclosure of information contained in this system could lead
to the intimidation of, or harm to, informants, witnesses and their respective
families or OIG personnel and their families.
Disclosure could invade the privacy of individuals other than subjects
and disclose their identity when confidentiality was promised to them.
Disclosures from these files could interfere with the integrity of other
information which would otherwise be privileged, see, e.g., 5
U.S.C. 552(b)(5), and which could interfere with other important law
enforcement concerns, see, e.g., 5 U.S.C. 552(b)(7).
The requirement that only relevant and necessary information be
included in a criminal investigative file is contrary to good investigative
practices which require a full and complete inquiry and exhaustion of all
potential sources of information. 5 U.S.C. 552a(e)(1). Similarly, maintaining
only those records which are accurate, relevant, timely and complete and which
assure fairness in a determination is contrary to established investigative
techniques.
5 U.S.C. 552a(e)(5). Requiring investigators to obtain
information to the greatest extent practicable directly from the subject
individual would be counterproductive to performance of a clandestine criminal
investigation. 5 U.S.C. 552a(e)(2). Finally providing notice to an individual
interviewed of: the authority of the interviewer, the purpose to which the
information provided may be used, the routine uses of that information and the
effect upon the individual should he choose not to provide the information
sought could discourage the free flow of information in a criminal law
enforcement inquiry. 5 U.S.C. 552a(e)(3).
(b) Other Law Enforcement: In accordance with 5 U.S.C.
552a(k)(2), investigatory material compiled for law enforcement purposes (to
the extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted from
the following provisions of the ACT: (c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f). This material is exempt because the disclosure and other
requirements of the Act could substantially compromise the efficacy and
integrity of OIG operations. Disclosure could invade the privacy of other
individuals and disclose their identity when they were expressly promised
confidentiality. Disclosure could interfere with the integrity of information
which would otherwise be subject to privileges, see, e.g., 5
U.S.C. 552(b)(5), and which could interfere with other important law
enforcement concerns. See, e.g., 5 U.S.C. 552(b)(7).
(c) Protective Services: In accordance with 5 U.S.C. 552a(k)(3)
investigatory material maintained in connection with assisting the U.S. Secret
Service to provide protective services to the President of the United States or
other individuals pursuant to 18 U.S.C. 3056 is exempt from the following
section of the ACT: (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). This
material is exempt in order to enable the OIG to continue its support of the
Secret Service without compromising the effectiveness of either agency's
activities.
(d) Contract Investigations: In accordance with 5 U.S.C.
552a(k)(5), investigatory material compiled solely for the purpose of
determining integrity, suitability, eligibility, or qualifications for a DOL
contract is exempt from the following sections of the ACT: (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I) and (f). This exemption was obtained in order to
protect from disclosure the identity of a confidential source when an express
promise of confidentiality has been given in order to obtain information from
sources who would otherwise be unwilling to provide necessary information.
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