General exemptions under Privacy Act

These are the Department of Labor systems maintained by components whose principal function is criminal law enforcement and that contain investigatory material compiled for criminal law enforcement purposes: DOL/ESA-45, DOL/OIG-1, DOL/OIG-2, DOL/OIG-3, DOL/OIG-5, DOL/MSHA-20, and DOL/PWBA-2.

• The exemption list is set out under 71.50(a).

These systems qualify for exemption under 5 U.S.C. 552a(j)(2) because they are investigative law-enforcement records maintained by components that principally enforce criminal laws.

The exemption applies only to the extent the information in those systems is subject to exemption under 5 U.S.C. 552a(j)(2).

• See the limitation expressed in 71.50(b), which makes clear that only investigatory material compiled for criminal law enforcement purposes is exempted.

Releasing a disclosure accounting could tip off a subject that they are under investigation, reveal the nature of the investigation, or identify witnesses and informants, which would seriously impede law enforcement.

• The reasoning is explained in 71.50(c)(1).

Allowing such disclosures could enable subjects to avoid detection, intimidate or influence witnesses, destroy evidence, or otherwise frustrate investigations.

Subsection (c)(4) is inapplicable to the extent the systems are exempted from the access provisions of subsection (d); if access is exempted, the rules tagging (c)(4) do not apply.

• See 71.50(c)(2) for the statement of inapplicability.

Access is exempted because allowing subjects to see investigatory records would reveal the existence, scope, evidence, and identities associated with criminal investigations and would enable avoidance, evidence destruction, witness tampering, or other obstruction.

• The basis for this exemption is stated in 71.50(c)(3).

Exempting access protects the effectiveness of ongoing and potential criminal law enforcement activities.

An agency may retain information not strictly within its authority or not immediately relevant because such information can later help establish crime patterns or provide leads for other law enforcement agencies.

• This retention rationale is explained in 71.50(c)(4).

Investigations evolve, and items that seem irrelevant early on may prove important as new facts emerge.

Collecting information directly from the subject would alert them to the investigation and could allow them to avoid detection, influence witnesses, destroy evidence, or fabricate testimony, which would seriously impede law enforcement.

• See the explanation in 71.50(c)(5).

Providing the form required by subsection (e)(3) to informants or the providers of information could reveal a confidential investigation or identify witnesses and informants, compromising their safety and the investigation.

• This concern is described in 71.50(c)(6).

Subsections (e)(4)(G) and (H) are inapplicable to the extent the systems are exempt from the access provisions of subsection (d) and the agency rules provisions of subsection (f), so those particular e(4) requirements do not apply.

• See 71.50(c)(7) for this linkage of inapplicability.

The rule states that categories of sources have been published in broad generic terms in the Federal Register because that suffices under subsection (e)(4)(I), but it also notes that if more detailed identification were required, exemption is needed to protect source confidentiality and safety.

• This point is made in 71.50(c)(8).

It is difficult because investigative information changes as cases develop: items that seem irrelevant may later gain importance, and accuracy often can only be finally established in court.

• The limitation is explained in 71.50(c)(9).

Individual notice could interfere with law enforcement by revealing investigative techniques, evidence, or timing—potentially hindering the issuance of warrants or subpoenas and jeopardizing investigations.

• The concern is summarized in 71.50(c)(10).

Notice procedures must be exempted because telling an individual about records relating to an ongoing or potential criminal investigation would be detrimental: it could let subjects avoid detection, influence witnesses, destroy evidence, or fabricate testimony.

• The rationale is provided in 71.50(c)(11).

Subsection (g) is exempted because exemptions have already been claimed for subsections (d) (access) and (f) (agency rules), making (g) inapplicable to the extent those exemptions apply.

• See 71.50(c)(12).

Not to the extent the records are exempted: access and amendment rights are limited because the systems are exempt under the Privacy Act provisions referenced in 71.50(c)(3) and related paragraphs.

• 71.50(a) explains these are investigatory law-enforcement records, and 71.50(b) limits the exemption to information subject to 5 U.S.C. 552a(j)(2).

DOL/MSHA-20 is the Mine Safety and Health Administration's Civil/Criminal Investigations system and it is listed because it contains investigatory material compiled for criminal law enforcement and is therefore eligible for exemption.

• The listing appears in 71.50(a)(6).

DOL/ESA-45 covers the Investigative Files of the Office of Labor-Management Standards, and it is exempted because it is a system of investigative records maintained by an enforcement component and fits the exemption criteria.

• See 71.50(a)(1).

The listed OIG systems are DOL/OIG-1 (General Investigative Files and Subject Title Index), DOL/OIG-2 (Freedom of Information/Privacy Acts Records), DOL/OIG-3 (Case Development Records), and DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information Reporting Systems). They serve to collect and manage investigatory information for law enforcement and oversight, making them eligible for the exemptions described.

• See 71.50(a)(2), 71.50(a)(3), 71.50(a)(4), and 71.50(a)(5).

DOL/PWBA-2 is the Pension and Welfare Benefits Administration's Office of Enforcement Index Cards and Investigation Files, and it is listed because it contains investigatory material compiled for criminal law enforcement purposes and thus is eligible for the exemption.

• See 71.50(a)(7).