SYSTEM NAME:
Retaliation Complaint File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
At offices of the Occupational Safety and Health Administration (OSHA) including National, regional, and area offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have filed complaints alleging retaliation against them by their employers, or by others, for engaging in activities protected under the various statutes set forth below, popularly referenced as whistleblower protection statutes. Complainants may file such claims with OSHA pursuant to 22 statutes: the Occupational Safety and Health Act (29 U.S.C. 660(c)); the Surface Transportation Assistance Act (49 U.S.C. 31105); the Asbestos Hazard Emergency Response Act (15 U.S.C. 2651); the International Safe Container Act (46 U.S.C. 80507); the Safe Drinking Water Act (42 U.S.C. 300j-9(i)); the Federal 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 (49 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); the Energy Reorganization Act of 1978 (42 U.S.C. 5851); the Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129); the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A); the Federal Railroad Safety Act (49 U.S.C. § 20109); the National Transit Systems Security Act (6 U.S.C. §1142); the Consumer Product Safety Improvement Act (15 U.S.C. §2087); the Affordable Care Act (29 U.S.C. 218C) the Consumer Financial Protection Act of 2010 (12 U.S.C §5567); the Seaman's Protection Act (46 U.S.C. 2114); the FDA Food Safety Modernization Act (21 U.S.C. 399d); and the Moving Ahead for Progress in the 21st Century Act (49 U.S.C. 30171).
CATEGORIES OF RECORDS IN THE SYSTEM:
Complainant's name, address, telephone numbers, occupation, place of employment, and other identifying data along with the allegation, OSHA forms, and evidence offered in the allegation's proof. Respondent's name, address, telephone numbers, response to notification of the complaint, statements, and any other evidence or background material submitted as evidence. This material includes records of interviews and other data gathered by the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
a. The Occupational Safety and Health Act (29 U.S.C. 660(c));
b. The Surface Transportation Assistance Act (49 U.S.C. 31105);
c. The Asbestos Hazard Emergency Response Act (15 U.S.C. 2651);
d. The International Safe Container Act (46 U.S.C. 1506);
e. The Safe Drinking Water Act (42 U.S.C. 300j-9(i));
f. The Federal Water Pollution Control Act (33 U.S.C. 1367);
g. The Toxic Substances Control Act (15 U.S.C. 2622);
h. The Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (49 U.S.C. 42121);
i. The Solid Waste Disposal Act (42 U.S.C. 6971);
j. The Clean Air Act (42 U.S.C. 7622);
k. The Comprehensive Environmental Response, Compensation and Liability Act of 1980 (42 U.S.C. 9610);
l. The Energy Reorganization Act of 1978 (42 U.S.C. 5851);
m. The Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129);
n. The Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A);
o. The Federal Rail Safety Act (49 U.S.C. § 20109);
p. The National Transit Security Systems Act (6 U.S.C. §1142);
q. The Consumer Product Safety Improvement Act (15 U.S.C. §2087);
r. The Affordable Care Act (29 U.S.C. 218C));
s. The Consumer Financial Protection Act of 2010 (12 U.S.C. §5567);
t. The Seaman's Protection Act (46 U.S.C. 2114);
u. The FDA Food Safety Modernization Act (21 U.S.C. 399); and
v. The Moving Ahead for Progress in the 21st Century Act (49 U.S.C. 30171).
PURPOSE(S):
The records are used to support a determination by OSHA on the merits of a complaint alleging violation of the employee protection provisions of one or more of the statutes listed under "Authority." The records also are used as the basis of statistical reports on such activity by the system manager, national office administrators, regional administrators, investigators, and their supervisors in OSHA, which reports may be released to the public.
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, a record from this system of records may be disclosed as follows:
a. With respect to the statutes listed under the "Authority" category, disclosure of the complaint, as well as the identity of the complainant, and any interviews, statements, or other information provided by the complainant, or information about the complainant given to OSHA, may be made to the respondent, so that the complaint can proceed to a resolution.
Note: Personal information about other employees that is contained in the complainant's file, such as statements taken by OSHA or information for use as comparative data, such as wages, bonuses, the substance of promotion recommendations, supervisory assessments of professional conduct and ability, or disciplinary actions, generally may be withheld from the respondent when it could violate those persons' privacy rights, cause intimidation or harassment to those persons, or impair future investigations by making it more difficult to collect similar information from others.
b. With respect to the statutes listed under the "Authority" category, disclosure of the respondent's responses to the complaint and any other evidence it submits may be shared with the complainant so that the complaint can proceed to a resolution.
c. With respect to the statutes listed under the "Authority" category, disclosure of appropriate, relevant, necessary, and compatible investigative records may be made to other Federal agencies responsible for investigating, prosecuting, enforcing, or implementing the underlying provisions of those statutes where OSHA deems such disclosure is compatible with the purpose for which the records were collected.
d. With respect to the statutes listed under the "Authority" category, disclosure of appropriate, relevant, necessary, and compatible investigative records may be made to another agency or instrumentality of any governmental jurisdiction within or under the control of the United States, for a civil or criminal law enforcement activity, if the activity is authorized by law, and if that agency or instrumentality has made a written request to OSHA, specifying the particular portion desired and the law enforcement activity for which the record is sought.
e. With respect to the statutes listed under the "Authority" category, disclosure may be made to the media, researchers, or other interested parties of statistical reports containing aggregated results of program activities and outcomes. Disclosure may be in response to requests made by telephone, e-mail, fax, or letter, by a mutually convenient method. Statistical data may also be posted by the system manager on the OSHA webpage.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Files are stored electronically and/or on paper.
RETRIEVABILITY:
Files are retrieved by complainant's name, respondent's name, case identification number, or other identifying information.
SAFEGUARDS:
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
RETENTION AND DISPOSAL:
Records are destroyed five years after case is closed, in accordance with Records Schedule NC 174-76-1.
SYSTEM MANAGER(S) AND ADDRESS:
Director of the Directorate of Whistleblower Protection Programs in the National Office, OSHA. 200 Constitution Avenue, NW, Room N-4618, Washington D.C. 20210.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records contains information about them should contact the System Manager.
RECORD ACCESS PROCEDURE:
Inquiries should be mailed to the System Manager.
CONTESTING RECORD PROCEDURE:
A petition for amendment should be mailed to the System Manager.
RECORD SOURCE CATEGORIES:
Information contained in this system is obtained from individual complainants who filed allegation(s) of retaliation by employer(s) against employee(s) or persons who have engaged in protected activities, 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.