(a) The following systems of records are eligible for exemption
under 5 U.S.C. 552a(k)(2) because they contain investigatory material
compiled for law enforcement purposes other than material within the
scope of subsection (j)(2) 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.
(1) DOL/GOVT-1 (Office of Workers' Compensation Programs, Federal
Employees' Compensation Act File), a system of records maintained by
the Employment Standards Administration (ESA).
(2) DOL/OASAM-17 (Equal Employment Opportunity Complaint Files), a
system of records maintained by the Office of the Assistant Secretary
for Administration and Management (OASAM).
(3) DOL/OASAM-19 (Negotiated Grievance Procedure and Unfair Labor
Practice Files), a system of records maintained by OASAM.
(4) DOL/OASAM-20 (Personnel Investigation Records), a system of
records maintained by OASAM.
(5) DOL/OASAM-22 (Directorate of Civil Rights Discrimination
Complaint Case Files), a system of records maintained by OASAM.
(6) DOL/OASAM-29 (OASAM Employee Administrative Investigation
File), a system of records maintained by OASAM.
(7) DOL/BLS-7 (BLS Employee Conduct Investigation), a system of
records maintained by the Bureau of Labor Statistics (BLS).
(8) DOL/ESA-2 (Office of Federal Contract Compliance Programs,
Complaint Files), a system of records maintained by ESA.
(9) DOL/ESA-25 (Office of Federal Contract Compliance Programs,
Management Information Systems (OFCCP/MIS), a system of records
maintained by ESA.
(10) DOL/ESA-26 (Office of Workers' Compensation Programs,
Longshore and Harbor Workers' Compensation Act Investigation Files), a
system of records maintained by ESA.
(11) DOL/ESA-27 (Office of Workers' Compensation Programs,
Longshore Act Claimant Representatives), a system of records maintained
by ESA.
(12) DOL/ESA-28 (Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded under the Longshore Act),
a system of records maintained by ESA.
(13) DOL/ESA-29 (Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded under the Federal
Employees' Compensation Act), a system of records maintained by ESA.
(14) DOL/ESA-32 (ESA, Complaint and Employee Conduct
Investigations), a system of records maintained by ESA.
(15) DOL/ESA-36 (ESA, Wage and Hour Division, MSPA/FLCRA Civil
Money Penalty Record Files), a system of records maintained by ESA.
(16) DOL/ESA-40 (ESA, Wage and Hour Division, MSPA/FLCRA Tracer
List), a system of records maintained by ESA.
(17) DOL/ESA-41 (ESA, Wage and Hour Division, MSPA/FLCRA
Certificate Action Record Files), a system of records maintained by
ESA.
(18) DOL/ESA-45 (Investigative Files of the Office of Labor-
Management Standards), a system maintained by the Office of Labor-
Management Standards.
(19) DOL/ETA-16 (Employment and Training Administration
Investigatory File), a system of records maintained by the Employment
and Training Administration (ETA).
(20) DOL/ETA-22 (ETA Employee Conduct Investigations), a system of
records maintained by ETA.
(21) 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).
(22) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a
system of records maintained by the OIG.
(23) DOL/OIG-3 (Case Development Records), a system of records
maintained by OIG.
(24) DOL/OIG-5 (Investigative Case Tracking Systems/Audit
Information Reporting Systems, USDOL/OIG), a system of records
maintained by OIG.
(25) DOL/MSHA-10 (Discrimination Investigations), a system of
records maintained by the Mine Safety and Health Administration (MSHA).
(26) DOL/MSHA-19 (Employee Conduct Investigations), a system of
records maintained by MSHA.
(27) DOL/MSHA-20 (Civil/Criminal Investigations), a system of
records maintained by MSHA.
(28) DOL/OSHA-1 (Discrimination Complaint File), a system of
records maintained by the Occupational Safety and Health Administration
(OSHA).
(29) DOL/OSHA-12 (Employee Conduct Investigations), a system of
records maintained by OSHA.
(30) DOL/PWBA-2 (Office of Enforcement Index Cards and
Investigation Files), a system of records maintained by the Pension and
Welfare Benefits Administration (PWBA).
(31) DOL/PWBA-7 (PWBA Employee Conduct Investigations), a system of
records maintained by PWBA.
(32) DOL/SOL-8 (Special Litigation Files), a system of records
maintained by the Office of the Solicitor (SOL).
(33) DOL/SOL-9 (Freedom of Information Act and Privacy Act Appeals
Files), a system of records maintained by SOL.
(34) DOL/SOL-11 (Division of Civil Rights Defensive Litigation
Files), a system of records maintained by SOL.
(35) DOL/SOL-12 (Third-party Recovery Files), a system of records
maintained by SOL.
(36) DOL/SOL-13 (SOL Employee Conduct Investigations), a system of
records maintained by SOL.
(37) DOL/SOL-15 (Solicitor's Office Litigation Files), a system of
records maintained by SOL.
(38) DOL/VETS-1 (Veterans' Reemployment Complaint File--VETS-1), a
system of records maintained by the Veterans' Employment and Training
Service (VETS).
(39) DOL/VETS-2 (Veterans' Preference Complaint File), a system of
records maintained by VETS.
(b) This exemption applies to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(c) The systems of records listed under paragraphs (a)(1) through
(a)(39) of this section are exempted for the reasons set forth in
paragraphs (c) (1) through (6) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting,
for disclosures made pursuant to subsection (b) of the Act, including
those permitted under the routine uses published for these systems of
records, would enable the subject of an investigation of an actual or
potential civil case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to law
enforcement. In addition, disclosure of the accounting would constitute
notice to the individual of the existence of a record even though such
notice requirement under subsection (f)(1) is specifically exempted for
this system of records.
(2) Subsections (d)(1), (d)(2), (d)(3), and (d)(4). Access to the
records contained in these systems would inform the subject of an
actual or potential civil investigation of the existence of that
investigation, of the nature and scope 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. 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.
(3) Subsection (e)(1). The notices for these systems of records
published in the Federal Register set forth the basic statutory or
related authority for maintenance of these systems. However, in the
course of civil and related law enforcement investigations, cases and
matters, the agency will occasionally obtain information concerning
actual or potential violations of law that are not strictly or
technically within its statutory or other authority or may compile
information in the course of an investigation which may not be relevant
to a specific case. In the interests of effective law enforcement, it
is necessary to retain some or all of such information in this system
of records since it can aid in establishing patterns of compliance 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.
(4) Subsections (e)(4) (G) and (H). Since an exemption is being
claimed for subsections (f) (Agency Rules) and (d) (Access to Records)
of the Act, these subsections are inapplicable to the extent that these
systems of records are exempted from subsections (f) and (d).
(5) 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
in order to protect the confidentiality of the sources of civil law
enforcement information. Such exemption is further necessary to protect
the privacy and physical safety of witnesses and informants.
(6) 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 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).
