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Office of the Solicitor

Privacy Act Systems - DOL/SOL-13

SYSTEM NAME:

    Employee Conduct Investigations

SECURITY CLASSIFICATION:

    None.

SYSTEM LOCATION:

    Offices in the Office of the Solicitor at the National Office and in each of the Regional and Associate Regional Offices of the Solicitor.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Employee(s) against whom any allegations of misconduct have been made or violations of law.

CATEGORIES OF RECORDS IN THE SYSTEM:

    Investigative report(s), sworn affidavits, written statements, time and attendance records, earnings and leave statements, applications for leave, notifications of personnel actions, travel vouchers, 171's, certificates of eligible, performance appraisals, interviews and other data gathered from involved parties and organizations which are associated with the case.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301.

PURPOSES(S):

    To investigate allegations of misconduct or violations of law.

ROUTINE USE OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USERS:

    None, except for those universal routine uses listed in the General Prefatory Statement to this document.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING IN THE SYSTEM:

STORAGE:

    Records are stored in file folders in metal cabinets.

RETRIEVABILITY:

    By name or case file number.

SAFEGUARDS:

    Files are maintained in locked file cabinets with access only to those with a need to know the information to perform their duties.

RETENTION AND DISPOSAL:

    Records are retained for four years following the date either: a) they are referred to the OIG; b) they are transferred to OPM/GOVT-3 Records of Adverse Actions and Actions Based on Unacceptable Performance; or 3) it is determined that the allegation was without sufficient merit to warrant further action, after which they are destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

    Office of Management, Office of the Solicitor, 200 Constitution Avenue, NW, Washington, DC 20210, and appropriate Regional Offices.

NOTIFICATION PROCEDURE:

    Inquiries should be sent to the system manager noted at the address listed above.

RECORDS ACCESS PROCEDURES:

    A request for access shall be addressed to the system manager at the address listed above.

CONTESTING RECORD PROCEDURES:

    A petition for amendment shall be addressed to the System Manager and must meet the requirements of 29 CFR 71.9.

RECORD SOURCE CATEGORIES:

    Hotline complaints through the Office of the Inspector General's hotline or through the General Accounting Office; incident reports submitted by employees or members of the general public; statements by subject and fellow employees; and other investigative reports.

SYSTEM 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.