A r c h i v e d  I n f o r m a t i o n

Discrimination Complaints Records System.

DEPARTMENT OF EDUCATION

18-05-04

System name:
Discrimination Complaints Records System.

Security classification:
None.

System location:

Categories of individuals covered by the system:
This system contains records on individuals--employees as well as applicants for employment--or groups of individuals who have filed Equal Employment Opportunity (EEO) complaints of discrimination on the basis of race, color, religion, sex (including sexual harassment or sexual orientation), national origin, age, disability, or reprisal for having engaged in a prior EEO activity.

Categories of records in the system:
This system of records consists of records concerning the Department's formal complaints of discrimination processes, including counselor' reports, the initial allegations and efforts at resolution, letters or notices to the individual or class agent, materials placed into the record to support or refute the decision or determination, statements to witnesses, investigative reports, instructions about action to be taken to comply with decisions, and related correspondence, opinions and recommendations.

Authority for maintenance of the system:
42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR part 1614.

Purpose(s):
The Equal Employment Opportunity Group uses the information contained in this system to adjudicate complaints or appeals, to provide a basis for a corrective action related to the discrimination situation and as a data source for management information for production of descriptive statistics and analytical studies.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
The Department (Department) may disclose information contained in a record in this system of records under the routine uses listed in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. These disclosures may be made on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Act, under a computer matching agreement.

1. Disclosure to OMB, MSPB and EEOC. The Department may disclose records to the Office of Personnel Management, Merit Systems Protection Board (including its Office of the Special Counsel), or the Equal Employment Opportunity Commission for the purpose of carrying out their functions.
2. Congressional Member Disclosure. The Department may disclose records to a member of Congress from the record of an individual in response to an inquiry from the member made at the written request of that individual. The member's right to the information is no greater than the right of the individual who requested it.
3. Litigation and Alternative Dispute Resolution (ADR) Disclosures.
   1. Introduction. In the event of litigation where one of the parties listed below is involved in litigation or ADR, or has an interest in litigation ADR, the Department may disclose certain records to the parties described in paragraphs (b), (c) and (d) of this routine use under the conditions specified in those paragraphs:
      1. The Department, or any component of the Department; or
      2. Any Department employee in his or her official capacity; or
      3. Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has agreed to provide or arrange for representation for the employee; or
      4. Any Department employee in his or her individual capacity where the agency has agreed to represent the employee; or
      5. The United States where the Department determines that the litigation is likely to directly affect the Department or any of its components.
   2. Disclosure to the DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the DOJ.
   3. Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the administrative litigation, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.
   4. Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness in an administrative proceeding is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

Disclosure to consumer reporting agencies:
Not applicable to this system of records.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:
The records are maintained in file folders and binders inside a file room centrally situated within the EEOG office.

Retrievability:
The records are indexed by formal complaint case numbers, and cross-referenced by a separate log identifying the names of the individuals or class agents on whom they are maintained.

Safeguards:
Access to and use of these records are limited to those persons whose official duties require access. Physical security of the file room and entire office area involves lockable entry doors with off-the-master keys.

Retention and disposal:
The complaint cases of discrimination may be retired to the Federal Records Center three years after their final disposition through the administrative (and judicial, as applicable) processes.

System manager(s) and address:

Notification procedure:
If you wish to determine if a record exists regarding you in this system of records, contact the system manager at the address listed above. You should include your name, date of birth, Departmental principal office in which the situation arose, the approximate date, and the type of action taken. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

Record access procedures:
If you wish to gain access to records regarding you in this system of records, follow the procedures described above under Notification Procedure. You should also reasonably specify the record contents being sought. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

Contesting record procedures:
If you wish to contest information contained in this system of records, you should contact the system manager at the address listed above. You should reasonably identify the record and specify the information to be contested. Your request should satisfy the requirements of the regulations at 34 CFR 5b.7.

Record source categories:
Information in this system is obtained from individuals to whom the record pertains, Department officials or other officials, statements from employees or other witnesses, official documents pertinent to the complaint and correspondence from specific organizations or persons.

System exempted from certain provisions of the act:
None.