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Investigative Files, Case Tracking System, Analysis, Complaints,
Inspections, and Evaluation Files, USDOL/OIG.
Not applicable.
Office of Inspector General, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210 and in the OIG regional and field offices.
DOL employees, applicants, contractors, subcontractors, grantees,
subgrantees, claimants, complainants, individuals threatening DOL employees or
the Secretary of Labor, alleged violators of Labor laws and regulations, union
officers, trustees, employers, individuals investigated and interviewed, and
individuals filing claims for entitlement or benefits under laws administered
by the Department of Labor, individuals providing medical and other services to
OWCP, employees of insurance companies and of medical and other services
provided to OWCP, and other persons suspected of violations of law and related
administrative, civil and criminal provisions.
The system contains records related to administrative, civil and
criminal investigations, complaints, inspections, and evaluations which
include: statements and other information from subjects, targets, witnesses and
complainants; material from governmental investigatory or law enforcement
organizations (federal, state, local or international) and intelligence
information; information of criminal, civil or administrative referrals and/or
results of investigations; investigative notes and investigative reports;
summary information for indexing and cross referencing; reports and associated
materials filed with DOL or other government agencies from, for example,
medical providers, grantees, contractors, employers or insurance companies;
other evidence and background material existing in any form (i.e. audio or
video tape, photographs, computer tapes, disks or compact disks).
5 U.S.C. App. 3 (IG Act); 5 U.S.C. 8101 et seq. (FECA); Health
Insurance Portability and Accountability Act, P.L.104-191; 5 U.S.C. 8401 et
seq. (FERSA); 8 U.S.C. 1101 et seq. (IRCA); 18 U.S.C. 874 (Anti
Kickback Act); 29 U.S.C. 49 et seq. (Wagner-Peyser Act); 29 U.S.C. 101
et seq. (LMRA); 29 U.S.C. 201 et seq. (FLSA); 29 U.S.C. 401 et
seq. (LMRDA); 29 U.S.C. 651 et seq. (OSHA); 29 U.S.C. 793 et
seq. (Rehabilitation Act); 29 U.S.C. 1001 et seq. (ERISA); 29 U.S.C.
1501 et seq. (JTPA); 29 U.S.C. 2801 et seq. (Workforce Investment
Act of 1998); 30 U.S.C. 801 et seq. (MSHA); 30 U.S.C. 901 et seq.
Black Lung); 31 U.S.C. 3701 et seq. (False Claims Act); 31 U.S.C. 3801
et seq. (Program Fraud Civil Remedies Act); 33 U.S.C. 901 et seq.
(Longshore Compensation Act and extension); 40 U.S.C. 276a5 (Davis Bacon); 40
U.S.C. 276c (Copeland Act); 41 U.S.C. 35 et seq. (Walsh-Healey); 41
U.S.C. 351 et seq. (Service Contract Act); Title 18, United States Code
(Criminal Code); and Secretary's Order 2-90, dated January 31, 1990 concerning
the authorization and organization of the Office of Inspector General in the
Department of Labor.
This system is established and maintained to fulfill the purposes of
the Inspector General Act of 1978 and to fulfill the responsibilities assigned
by that Act concerning investigative activities and the complaints and other
information from which investigations, inspections, and evaluations develop.
The OIG initiates investigations and evaluations of individuals, inspections
and evaluations of entities and programs, maintains information received and
developed in this system during the time the investigation, inspection or
evaluation is performed, and after each investigation, inspection or evaluation
is completed. This system is the repository of all information developed during
the course of investigations, inspections, and evaluations. OIG also receives
many complaints via its Hotline and other sources. These complaints are
reviewed for investigative merit and can be referred for a full investigation,
for program agency action, or no action.
A. Referral to federal, state, local and foreign investigative and/or
prosecutive authorities. A record from a system of records, which indicates
either by itself or in combination with other information within the agency's
possession, a violation or potential violation of law, whether civil, criminal
or administrative and whether arising 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 or indirect
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 Court of Federal Claims 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 an 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
evaluations.
M. Disclosure in accordance with computer matching guidelines. A record
may be disclosed to a federal, state, or local agency for use in computer
matching programs to prevent and detect fraud and abuse in benefit programs
administered by those agencies, to support civil and criminal law enforcement
activities of those agencies and their components, and to collect debts and
overpayments owed to the agencies and their components. This routine use does
not provide unrestricted access to records for such law enforcement and related
anti-fraud activities; each request for disclosure will be considered in light
of the applicable legal and administrative requirements for the performance of
a computer matching program or procedure.
None
The information is maintained in a variety of mediums including paper,
magnetic tapes or discs, and optical digital data discs. The records are
maintained in limited access areas during duty hours and in locked offices at
all other times.
The written case records are indexed by case number. Automated records
are retrieved by case number, case name, subject, cross referenced item or,
batch retrieval applications.
Direct access is restricted to authorized staff members of the OIG,
their attorneys, or contractor employees on a need-to-know basis. Automated
records can be accessed only through use of confidential procedures and
passwords.
Closed files relating to a specific investigation are destroyed after
ten years. Closed files containing information of an investigative nature but
not relating to a specific investigation are destroyed after five years. Closed
inspection and evaluation case files are destroyed after five years.
Assistant Inspector General for Investigations and the Assistant
Inspector General for Communications, Inspections, and Evaluations, Office of
Inspector General, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Inquiries concerning this system of records can be directed to:
Disclosure Officer, Office of Inspector General, U.S. Department of Labor, Room
S1303, 200 Constitution Avenue, NW, Washington, DC 20210. Inquiries must comply
with the requirements in 29 CFR 71.
Individuals can request access to any record pertaining to him/her by
mailing a request to the Disclosure Officer listed above and in accordance with
29 CFR 71.
Individuals desiring to contest or amend information maintained in the
system should direct their request to the Disclosure Officer listed in
"Notification Procedure," above.
In addition, the request should state clearly and concisely what
information is being contested, the reasons for contesting it, and the proposed
amendment to the information sought. See 29 CFR 71.
The information contained in this system is received from individual
complaints, witnesses, interviews conducted during investigations, Federal,
state and local government records, individual or company records, claim and
payment files, employer medical records, insurance records, court records,
articles from publications, published financial data, corporate information,
bank information, telephone data, insurers, service providers, other law
enforcement organizations, grantees, subgrantees, contractors and
subcontractors.
The Secretary of Labor has promulgated regulations which exempt
information contained in this system of records from various provisions of the
Privacy Act depending upon the purpose for which the information was gathered
and for which it will be used. The various law enforcement purposes and the
reasons for the exemptions are as follows:
(a) Criminal Law Enforcement: In accordance with 5 U.S.C.
552a(j)(2) information compiled for this purpose is exempt from all of the
provisions of the 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 or impliedly promised to them. Disclosure could
interfere with the integrity of information which would otherwise be
privileged, (see, e.g., 5 U.S.C. 552(b)(5)), and which could
interfere with other important law enforcement concerns: ( see,
e.g., 5 U.S.C. 552 (b)(7)).
The requirement that only relevant and necessary information be
included in a criminal investigative file is contrary to investigative practice
which requires a full and complete inquiry and exhaustion of all potential
sources of information. See, 5 U.S.C. 552a(e)(1).
Similarly, maintaining only those records which are accurate, relevant,
timely and complete and which assure fairness in a determination is contrary to
established investigative techniques. See, 5 U.S.C. 552a(e)(5). Requiring
investigators to obtain information to the greatest extent practicable directly
from the subject individual would be counterproductive to performance of
clandestine criminal investigation. See, 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/she choose not to
provide the information sought could discourage the free flow of information in
a criminal law enforcement inquiry. 5 U.S.C. 552a(e)(3).
(b) Other Law Enforcement: In accordance with 5 U.S.C.
552a(k)(2), investigatory material compiled for law enforcement purposes (to
the extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted from
the following provisions of the 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. 552(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
sections 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, qualifications, or employment
for a DOL contract is exempt from the following sections of the ACT: (c)(3),
(d), (e)(1), (e)(4)(G), (H), (I) and (f). This exemption was obtained in order
to protect from disclosure the identity of 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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