[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
EEOC Systems of Records
EEOC-1 Age and Equal Pay Act Discrimination Case Files.
EEOC-2 Attorney Referral List.
EEOC-3 Title VII and Americans with Disabilities Act
Discrimination Case Files.
EEOC-4 Biographical Files.
EEOC-5 Correspondence and Congressional Inquiries.
EEOC-6 Employee Assistance Program Records.
EEOC-7 Employee Pay and Leave Records.
EEOC-8 Employee Travel and Reimbursement Records.
EEOC-9 Claims Collection Records.
EEOC-10 Grievance Records.
EEOC-11 Records of Adverse Actions Against Nonpreference
Eligibles in the Excepted Service.
EEOC-12 Telephone Call Detail Records.
EEOC-13 Employee Identification Cards.
EEOC-14 Employee Parking Records.
EEOC/GOVT-1 Equal Employment Opportunity in the Federal
Government Complaint and Appeal Records.
EEOC-1
System name:
Age and Equal Pay Act Discrimination Case Files.
System location:
Field Office where the charge or complaint of discrimination was
filed (see appendix A).
Categories of individuals covered by the system:
Persons other than federal employees and applicants who file
charges or complaints with EEOC alleging that an employer, employment
agency or labor organization has violated the Age Discrimination in
Employment Act of 1967 or the Equal Pay Act of 1963.
Categories of records in the system:
This system contains the records compiled during the
investigation of age and equal pay discrimination cases. These
records include:
a. Documents submitted by charging party or complainant such as
charge of discrimination, personal interview statement, and
correspondence.
b. Documents submitted by employer such as statement of position,
correspondence, statements of witnesses, documentary evidence such as
personnel files, records of earnings, employee benefit plans,
seniority list, job titles and descriptions, applicant data,
organizational charts, collective bargaining agreements, petition to
revoke or modify subpoena.
c. Records gathered and generated by EEOC in the course of its
investigation such as letters of referral to state fair employment
practices agencies, correspondence with state fair employment
practices agencies, witness statements, investigator's notes,
investigative plan, report of initial and exit interview,
investigator's analyses of evidence and charge, subpoenas, decisions
and letters of determination, conciliation agreements, correspondence
and any additional evidence gathered during the course of the
investigation.
Authority for maintenance of the system:
5 U.S.C. 301; 29 U.S.C. 209, 211, 216, 217, 635; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to a federal, state, or
local agency or third party as may be appropriate or necessary to
perform the Commission's functions under the Age Discrimination in
Employment Act or Equal Pay Act.
b. To disclose information contained in these records to state
and local agencies administering state or local fair employment
practices laws.
c. To disclose non-confidential and non-privileged information
from closed ADEA/EPA case files (a file is closed when the Commission
has terminated its investigation and has decided not to sue) to the
employer where a lawsuit has been filed against the employer
involving that information, to other employees of the same employer
who have been notified by the Commission of their right under 29
U.S.C. 216 to file a lawsuit on their own behalf, and their
representatives.
d. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of a party to the charge.
e. To disclose pertinent information to the appropriate federal,
state or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation or order, where
the EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
f. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and in computer
processable storage media.
Retrievability:
These records are cross-indexed by charging party name, employer
name and charge number. The records may be retrieved by any of the
above three indexes.
Safeguards:
Paper records are maintained in a secured area to which only
authorized personnel have access. Access to and use of these records
is limited to those persons whose official duties require such
access. The premises are locked when authorized personnel are not on
duty. Access to computerized records is limited, through use of
access codes and entry logs, to those whose official duties require
access.
Retention and disposal:
Cases that are dismissed or closed for other than no cause are
destroyed six months following the date of dismissal or closure. No
cause files that are of value in the development of future class
action or pattern and practice cases are retired to the Federal
Records Center one year after the date of the last action and
destroyed after three additional years. All other no cause files are
destroyed one year after the date of the last action. Negotiated
settlement files are destroyed one year after the calendar year in
which the settlement agreement is signed or after all obligations
under the agreement are satisfied, whichever occurs later. Where
monetary benefits are realized in concurrent Age, Equal Pay, and
Title VII cases, the file is destroyed three years after the date of
the last action. Other files are retired to the Federal Records
Center one year after the date of the last action, including action
in the federal courts or the last compliance review (the final report
submitted by the respondent after conciliation to indicate
compliance) and destroyed after three additional years, except
landmark cases. Landmark cases are transferred to the nearest Federal
Records Center two years after final court action and offered to the
National Archives ten years after final court action.
System manager(s) and address:
Director of the field office where the charge was filed (see
appendix A).
System exempted from certain provisions of the act:
This system is exempt under 5 U.S.C. 552a(k)(2) from subsections
(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of the
Act.
EEOC-2
System name:
Attorney Referral List.
System location:
All District Offices (see appendix A).
Categories of individuals covered by the system:
Attorneys who represent plaintiffs in employment discrimination
litigation.
Categories of records in the system:
This system contains attorneys' names, business addresses and
telephone numbers, the nature and amount of civil rights litigation
experience, state and federal bar admission, whether the attorneys
have the capacity and desire to handle class actions; whether the
attorneys charge consultation fees (and how much); whether the
attorneys will waive the consultation fee; the types of fee
arrangements the attorneys will accept, and whether the attorneys
speak a foreign language fluently.
Authroity for maintenance of the system:
42 U.S.C. 2000e-4(g); 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To refer charging parties to attorneys who handle litigation
of employment discrimination lawsuits.
b. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored on prepared forms and index cards.
Retrievability:
Indexed alphabetically by names of the attorneys.
Safeguards:
Access to this system of records is restricted to EEOC personnel
who have a legitimate use for the information. This system is stored
in filing cabinets.
Retention and disposal:
Files are reviewed and updated annually.
System manager(s) and address:
Regional Attorney at each District Office (see appendix A).
Notification procedure:
Inquiries concerning this system of records should be addressed
to the appropriate system manager. It is necessary to furnish the
following information: (1) Full name of the individual whose records
are requested; (2) mailing address to which reply should be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
The individual on whom the record is maintained.
EEOC-3
System name:
Title VII and Americans With Disabilities Act Discrimination Case
Files.
System location:
Field Office where the charge of discrimination was filed (see
appendix A).
Categories of individuals covered by the system:
Persons, other than federal employees and applicants, who file
charges alleging that an employer, employment agency, labor
organization or joint labor-management apprenticeship committee has
violated Title VII of the Civil Rights Act of 1964 or the Americans
With Disabilities Act of 1990, or both.
Categories of records in the system:
This system contains records compiled during the investigation of
race, color, religion, sex, and national origin discrimination cases
and cases of discrimination against individuals with disabilities.
These records include:
a. Documents submitted by charging party, such as charge of
discrimination, personal interview statement, medical records and
correspondence.
b. Documents submitted by employer such as statement of position,
correspondence, statements of witnesses, documentary evidence such as
personnel files, records of earnings, EEO data, employee benefit
plans, seniority list, job titles and descriptions, applicant data,
organizational charges, collective bargaining agreements, petition to
revoke or modify subpoena.
c. Records gathered and generated by EEOC in the course of its
investigation such as letters to state or local fair employment
practice agencies, correspondence with state fair employment practice
agencies, witness statements, investigator's notes, investigative
plan, investigator's analyses of the evidence and charge, report of
initial and exit interviews, copy of deferral to state, subpoenas,
decisions and letters of determination, analysis of deferral agency
action, conciliation agreements, correspondence and any additional
evidence gathered during the course of the investigation.
Authority for maintenance of the system:
5 U.S.C. 301; 42 U.S.C. 2000e-5, -8 and -9; 42 U.S.C. 12117; 44
U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to a federal, state, or
local agency or third party as may be appropriate or necessary to
perform the Commission's functions under Title VII of the Civil
Rights Act of 1964 and the Americans With Disabilities Act of 1990.
b. To disclose information contained in these records to state
and local agencies administering state or local fair employment
practices laws.
c. To disclose non-confidential or non-privileged information
contained in these records to the following persons after a notice of
right to sue has been issued:
1. Aggrieved persons and their attorneys in case files involving
Commissioner Charges provided that such persons have been notified of
their status as aggrieved persons;
2. Persons or organizations filing on behalf of an aggrieved
person provided that the aggrieved person has given written
authorization to the person who filed on his or her behalf to act as
the aggrieved person's agent for this purpose, and their attorneys;
3. Employers and their attorneys, provided that the charging
party or aggrieved person has filed suit under Title VII or the
Americans With Disabilities Act, or both.
d. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
e. To disclose pertinent information to the appropriate federal,
state or local agencies responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation or order, where
EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
f. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and in computer
processable storage media.
Retrievability:
These records are cross-indexed by charging party name, employer
name and charge number. The records may be retrieved by any of the
above three indexes.
Safeguards:
Paper records are maintained in a secured area to which only
authorized personnel have access. Access to and use of these records
is limited to those persons whose official duties require such
access. The premises are locked when authorized personnel are not on
duty. Access to computerized records is limited, through use of
access codes and entry logs, to those whose official duties require
access.
Retention and disposal:
Cases that are dismissed or closed for other than no cause are
destroyed six months following the date of dismissal or closure. No
cause files that are of value in the development of future class
action or pattern and practice cases are retired to the Federal
Records Center one year after the date of the last action and
destroyed after three additional years. All other no cause files are
destroyed one year after the date of the last action. Negotiated
settlement files are destroyed one year after the calendar year in
which the settlement agreement is signed or after all obligations
under the agreement are satisfied, whichever occurs later. Where
monetary benefits are realized in concurrent Age, Equal Pay, Title
VII and Americans With Disabilities Act cases, the file is destroyed
three years after the date of the last action. Other files are
retired to the Federal Records Center one year after the date of the
last action, including action in the federal courts or the last
compliance review (the final report submitted by the respondent after
conciliation to indicate compliance) and destroyed after three
additional years, except landmark cases. Landmark cases are
transferred to the nearest Federal Records Center two years after
final court action and offered to the National Archives ten years
after final court action.
System manager(s) and address:
Director of the field office where the charge was filed.
Systems exempted from certain provisions of the act:
This system is exempt under 5 U.S.C. 552a(k)(2) from subsection
(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the
Act.
EEOC-4
System name:
Biographical Files.
System location:
Office of Communications and Legislative Affairs, Equal
Employment Opportunity Commission, 1801 L Street, NW., Washington, DC
20507.
Categories of individuals covered by the system:
Current and former Commissioners, General Counsels and Commission
officials.
Categories of records in the system:
Includes for each the name, date and place of birth, education,
employment history, and other biographical information.
Authority for maintenance of the system:
44 U.S.C. 3101, 42 U.S.C. 2000e-4.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used.
a. To answer public and congressional inquiries regarding EEOC
Commissioners, General Counsels and Commission officials.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Stored in locking metal file cabinets available to office
employees.
Retrievability:
Indexed by last name of the Commissioner, General Counsel or
Commission official.
Safeguards:
Files are kept in the Office of Communications and Legislative
Affairs, which is locked evenings, weekends and holidays.
Retention and disposal:
Maintained permanently.
System manager(s) and address:
Director, Office of Communications and Legislative Affairs, Equal
Employment Opportunity Commission, 1801 L Street, NW., Washington, DC
20507.
Notification procedures:
Inquiries concerning this system of records should be addressed
to the system manager. All inquiries should furnish the full name of
the individual and the mailing address to which the reply should be
mailed.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
The individual to whom the record pertains.
EEOC-5
System name:
Correspondence and Congressional Inquiries.
System location:
Office of Communications and Legislative Affairs, Equal
Employment Opportunity Commission, 1801 L Street, NW., Washington, DC
20507.
Categories of individuals covered by the system:
Charging parties, members of the general public, members of
Congress and current and former EEOC employees who write letters to
EEOC seeking information or assistance whose inquiries are referred
to the Office of Communications and Legislative Affairs for response.
Categories of records in the system:
a. Inquiries from Members of Congress, the White House and
members of the general public, including current and former EEOC
employees.
b. EEOC responses to the above inquiries.
c. Computer tracking system indicating the dates inquiries are
received, to whom and when they are assigned for response and the
dates they are answered.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 2000e-4.
Routine uses of records maintained in the system including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office at the request of the individual.
b. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
The records are maintained in file cabinets and on computer tape.
Retrievability:
Correspondence from members of Congress is indexed alphabetically
by the last name of the member. General correspondence are indexed
alphabetically by the last name of the individual making the inquiry
or on whose behalf the inquiry is made. Computer entries are
retrievable by name of author of a letter, by name of person or
office referring letter to the Office of Communications and
Legislative Affairs, by subject, by key word, by reference number, by
name of person to whom assigned, and by dates assigned, due and
answered.
Safeguards:
Files are kept in locking metal cabinets in the Office of
Communications and Legislative Affairs, which is locked evenings,
weekends and holidays. Computer information is coded with access
limited to employees of the Office of Communications and Legislative
Affairs and the Office of Information Systems Services.
Retention and disposal:
Correspondence is maintained for three years from the date of the
last correspondence and then destroyed. Correspondence control
information is maintained in the computer for four years.
System manager(s) and address:
Director, Office of Communications and Legislative Affairs, Equal
Employment Opportunity Commission, 1801 L Street, NW., Washington, DC
20507.
Notification procedure:
Inquiries concerning this system of records should be addressed
to the system manager. All inquiries should furnish the full name of
the individual and the mailing address to which the reply should be
mailed.
Record access procedures:
Same as above.
Contesting records procedures:
Same as above.
Record source categories:
Members of Congress, their staffs, the White House, charging
parties, members of the general public, current and former EEOC
employees.
EEOC-6
System name:
Employee Assistance Program Records.
System location:
Employee Assistance Program contractor.
Categories of individuals covered by the system:
Current EEOC employees who have been referred to or contacted the
Employee Assistance Program because of personal problems, emotional
problems, or alcohol or drug abuse.
Categories of records in the system:
May contain information relating to individuals counseled by the
Employee Assistance Program including supervisor's referral (if the
employee was referred by the supervisor), documentation of visits to
employee counselors (federal, state, local government, or private),
and notes or records made by the counselor of discussions held with
the employee or with the physician, therapist or health care
professional of the employee. In addition, records in this system may
include documentation of treatment by a therapist at a federal,
state, local government, or private institution, summary information
produced at case closure, and other documents deemed pertinent to the
provision of program services to the employee.
Authority for maintenance of the system:
42 U.S.C. 290dd-1 and -3; 290ee-1 and -3; 5 U.S.C. 7901; 44
U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to authorized personnel of the
contractor that administers the EEOC Employee Assistance Program.
b. To disclose information to medical personnel to meet a bona
fide medical emergency.
c. To disclose information to qualified personnel for the purpose
of conducting scientific research, management audits, financial
audits, or program evaluation, but such personnel may not identify,
directly or indirectly, any individual patient in any report or
otherwise disclose patient identities in any manner (when such
records are provided to qualified researchers employed by the
Commission, all patient identifying information shall be removed).
Note: Disclosure of these records beyond officials of the
Commission having a bona fide need for them or to the person to whom
they pertain is rarely made because disclosures of information
pertaining to an individual with a history of alcohol or drug abuse
must be limited to comply with the restrictions of the regulations
regarding the Confidentiality of Alcohol and Drug Abuse Patient
Records, 42 CFR part 2, as authorized by 42 U.S.C. 290dd-3 and 290ee-
3. Records pertaining to the physical and mental fitness of employees
are, as a matter of Commission policy, afforded the same degree of
confidentiality and are generally not disclosed.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
Indexed by name of employee.
Safeguards:
Files are maintained in locked cabinets accessible only to
Employee Assistance Program personnel.
Retention and disposal:
Records are retained until three years after the employee has
ceased contact with the counselor or until the employee's separation
or transfer, whichever comes first.
System manager(s) and address:
Administrator, Employee Assistance Program, Office of Management,
Equal Employment Opportunity Commission, 1801 L Street NW.,
Washington, DC 20507; Field Office Directors (see appendix A).
Notification procedures:
Any person wanting to know whether this system of records
contains information about him or her should contact the appropriate
system manager. Such person should provide his or her full name, date
of birth, and social security number.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
The sources of these records are:
a. The employee or members of the employee's family;
b. Persons to whom the employee has been referred for assistance;
c. Commission officers and employees;
d. Program counselors.
EEOC-7
System name:
Employee Pay and Leave Records.
System location:
All locations listed in appendix A.
Categories of individuals covered by the system:
Current and former employees of EEOC.
Categories of records in the system:
Time and attendance cards and forms; leave records (includes
employee name, branch or office, pay period ending, leave and
overtime used during the pay period); requests for leave (earned or
advanced) or leave of absence; requests for an authorization of
overtime; annual attendance record (indicates name, social security
number, service computation date, hours and dates worked and taken as
leave, pay plan, salary and occupation code, grade, leave earned and
used); thrift savings plan participation, deductions for medicare,
FICA, taxes, life and health insurance, union contributions,
charitable contributions, savings allotments and bond issuance and
bond balance.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
b. To provide a copy of an employee's Department of the Treasury
Form W-2, Wage and Tax Statement, to the state, city or other local
jurisdiction which is authorized to tax the employee's compensation.
The record will be provided in accordance with a withholding
agreement between the state, city or other jurisdiction and the
Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, or 5520,
or in response to a written request from an appropriate official of
the taxing jurisdiction. The request must include a copy of the
applicable statute or ordinance authorizing the taxation of
compensation and should indicate whether the authority of the
jurisdiction to tax their employee is based on place of residence,
place of employment, or both.
c. To disclose copies of executed city tax withholding
certificates to a city pursuant to a withholding agreement between
the city and the Department of the Treasury (5 U.S.C. 5520) in
response to a written request from an appropriate city official.
d. To disclose the social security number only, in the absence of
a withholding agreement, to a taxing jurisdiction that has furnished
this agency with evidence of its independent authority to compel
disclosure of the social security number, in accordance with section
7 of the Privacy Act, 5 U.S.C. 552a note.
e. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
f. To disclose to an agency in the executive, legislative or
judicial branch or the District of Columbia's Government information
in connection with the hiring of an employee, the issuance of a
security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract, the issuance of a license, grant, or other benefits by
the requesting agency, or the lawful statutory, administrative, or
investigative purpose of the agency to the extent that the
information is relevant and necessary to the requesting agency's
decision.
g. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee.
h. To disclose to the Office of Personnel Management in
accordance with the agency's responsibility for evaluation and
oversight of Federal personnel management.
i. To disclose officers and employees of the General Services
Administration in connection with administrative services provided to
this agency under agreement with GSA.
j. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
k. To disclose information to the Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services Federal Parent Locator System (FPLS) and
Federal Tax Offset System for use in locating individuals and
identifying their income sources to establish paternity, establish
and modify orders of support and for enforcement action.
l. To disclose information to the Office of Child Support
Enforcement for release to the Social Security Administration for
verifying social security numbers in connection with the operation of
the FPLS by the Office of Child Support Enforcement.
m. To disclose information to the Office of Child Support
Enforcement for release to the Department of Treasury for purposes of
administering the Earned Income Tax Credit Program (Section 32,
Internal Revenue Code of 1986) and verifying a claim with respect to
employment in a tax return.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to consumer reporting
agencies as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored on magnetic tape and in file folders.
Retrievability:
Indexed by an assigned employee code.
Safeguards:
Access to these records is limited to employees whose official
duties require such access.
Retention and disposal:
The records are destroyed after three years.
System manager(s) and address:
Director of each Commission Office (See Appendix A).
Notification procedure:
Inquiries concerning this system of records should be addressed
to the system manager. It is necessary to furnish the following
information: (1) Name; (2) social security number; (3) mailing
address to which the response is to be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Official personnel folder, data submitted by employees and data
submitted by the offices where the individuals are or were employed.
EEOC-8
System name:
Employee Travel and Reimbursement Records.
System location:
All locations listed in appendix A.
Categories of individuals covered by the system:
Current and former employees.
Categories of records in the system:
Includes travel orders, travel vouchers, records of travel
advances, amounts owed the agency by employees for travel and other
purposes, amounts payable to the employee for travel and other
purposes, payments made to the employees for travel and other
reimbursable transactions and a record of the difference between the
cost of official travel as estimated in the travel order and the
amount actually expended by the employee.
Authority for maintenance of the system:
31 U.S.C. 3512, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
b. To disclose to an agency in the executive, legislative or
judicial branch or the District of Columbia's Government, information
in connection with the hiring of an employee, the issuance of a
security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract, the issuance of a license, grant, or other benefits by
the requesting agency, or the lawful statutory, administrative, or
investigative purpose of the agency to the extent that the
information is relevant and necessary to the requesting agency's
decision.
c. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee.
d. To disclose to the Office of Personnel Management in
accordance with the agency's responsibility for evaluation and
oversight of Federal personnel management.
e. To disclose to officers and employees of the General Services
Administration in connection with administrative services provided to
this agency under agreement with GSA.
f. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
g. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to consumer reporting
agencies as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored on prepared forms.
Retrievability:
Indexed alphabetically by name, social security number, and/or
chronologically by event and name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure. Files are stored in
standard cabinets, safes and secured rooms.
Retention and disposal:
These records are destroyed in accordance with GSA General
Records Schedule 2.
System manager(s) and address:
Director, Financial Management Division, Financial and Resource
Management Services, EEOC, 1801 L Street, NW., Washington, DC 20507.
Notification procedure:
Employees of the Commission wishing to know whether information
about them is maintained in this system of records should address
inquiries to the Director of the Office where employed (see appendix
A). The individual should provide his or her full name, date of
birth, social security number and mailing address.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Bills, receipts and claims presented by employees and original
data generated by the Commission.
EEOC-9
System name:
Claims Collection Records.
System location:
These records are located in the Finance Management Division,
Financial and Resource Management Services, Office of Management,
Equal Employment Opportunity Commission, 1801 L Street NW.,
Washington, DC 20507.
Categories of individuals covered by the system:
Any individual who is indebted to the United States as a result
of his or her interaction or financial activities with the Commission
or another federal agency including, but not limited to, any current
or former Commission employee.
Categories of records in the system:
This system contains:
a. Case Files. These files contain information and evidence on
the identity and location of the individual who is subject to a
claim, the origin and amount of the indebtedness, decisions and
determinations regarding a claim, actions taken to collect a claim,
and the results of those actions. Depending on the status of a claim,
a case file may include such records as documents evidencing
indebtedness, written demands for payment, required notices,
financial statements, medical disability statements, agency
investigative reports, credit reports, written agreements for
payment, intra-agency and inter-agency memoranda of consultation and
opinion on the collection action, documentation resulting from a
hearing, requests for waiver, requests for reconsideration, written
determinations and decisions, certifications of indebtedness by this
or another agency, counterclaims, judgments and documents evidencing
payment or compromise of the debt.
b. Internal Revenue Service (IRS) Mailing Address Index. Consists
of cards containing the name or other identifying information on the
individual for whom mailing address information has been requested
and received from the IRS, the date on which this information was
received from the IRS, and the purpose to which the information has
been put.
c. Index on Disclosures to Consumer Reporting Agencies. Records
containing the name and other identifying information on the
individual whose delinquent debt has been reported to consumer
reporting agencies, i.e., credit bureaus, and the kind and type of
information reported.
Authority for maintenance of the system:
5 U.S.C. 301, 5514, 5522, 5584, 5705, 5724(f); 15 U.S.C. 1692; 26
U.S.C. 6331; 31 U.S.C. 3701, 3702, 3711, 3716, 3717, 3718, 3719; 44
U.S.C. 3101; 4 CFR parts 91-93, 101-105.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to appropriate officials and employees
of the Department of Justice for the purposes of litigation and
forced collection on administratively uncollected debts.
b. To disclose information to appropriate officials of the
Department of the Treasury and the Office of Management and Budget to
provide reports on debt collection activities.
c. To disclose information to another federal agency for the
purpose of collecting a debt owed to the Commission by an individual
through salary offset or administrative offset undertaken by the
other agency upon proper certification or evidence of the debt owed
from the Commission.
d. To disclose information to another federal agency for the
purpose of collecting a debt owed to that agency by an individual
through salary offset or administrative offset undertaken by the
Commission upon proper certification or evidence of the debt owed
from the other agency.
e. To disclose a debtor's name and social security number to the
Secretary of the Treasury or his or her designee for the purpose of
obtaining the debtor's mailing address from the IRS.
f. To disclose mailing addresses obtained from the IRS to
consumer reporting agencies only for the limited purpose of obtaining
a commercial credit report on the particular taxpayer.
g. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
h. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
i. To disclose to an agency in the executive, legislative or
judicial branch or the District of Columbia's government in response
to its request, or at the initiation of the agency maintaining the
records, information in connection with the hiring of an employee,
the issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, the issuance of a license, grant, or other
benefits by the requesting agency, or the lawful statutory,
administrative, or investigative purpose of the agency to the extent
that the information is relevant and necessary to the requesting
agency's decision.
j. To disclose to officers and employees of the General Services
Administration in connection with administrative services provided to
this agency under agreement with GSA.
k. To disclose information to the Defense Manpower Data Center,
Department of Defense, to secure computer matching services for the
purpose of identifying and locating individuals who are receiving
federal salaries or benefit payments and are delinquent in their
repayment of debts owed to the U.S. government under programs
administered by the Equal Employment Opportunity Commission in order
to collect the debts under the provisions of the Debt Collection Act
of 1982 (Pub. L. 97-365) by voluntary repayment, or administrative or
salary offset procedures.
l. To disclose information to the U.S. Postal Service to secure
computer matching services for the purpose of identifying and
locating individuals who are receiving federal salaries or benefit
payments and are delinquent in their repayment of debts owed to the
U.S. government under programs administered by the Equal Employment
Opportunity Commission in order to collect the debts under the
voluntary provisions of the Debt Collection Act of 1982 (Pub. L. No.
97-365) by voluntary repayment, or by administrative or salary offset
procedures.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to consumer reporting
agencies as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and on microfiche
and index cards.
Retrievability:
These records are indexed by the name of the individual and
social security number. The records may be retrieved by either of
these indexes.
Safeguards:
Records are maintained and stored in file cabinets in a secured
area to which only authorized personnel have access. Access to and
use of these records is limited to those persons whose official
duties require such assess and to those persons indicated in the
listing of routine uses above.
Retention and disposal:
Individual case files are usually retained for two years after
the claim is collected. Case records on individuals whose delinquent
debts are reported to consumer reporting agencies are retained
indefinitely. Other case files may be maintained for a period up to
ten years. IRS Mailing Address Index on any individual is not
maintained beyond six years.
System manager(s) and address:
Director, Financial Management and Resource Services, Equal
Employment Opportunity Commission, 1801 L Street, NW., Washington, DC
20507.
Notification procedures:
Under the Debt Collection Act, individuals are notified if claims
collection records are maintained on them in accordance with
statutory procedures for salary offset, administrative offset, and
disclosing information to a consumer reporting agency. Individuals
may also contact the System Manager in order to obtain notification
of claims collection records on themselves.
Individuals must provide their full names under which records may
be maintained, their social security number, and a mailing address to
which a reply should be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system of records is provided by or from:
a. The individual on whom the record is maintained;
b. Other Federal agencies;
c. Personnel, payroll, travel records, contract records or other
records;
d. Administrative hearings;
e. Court records;
f. Consumer reporting agencies.
EEOC-10
System name:
Grievance Records.
System location:
These records are located in Human Resources Management Services,
Office of Management, Equal Employment Opportunity Commission, 1801 L
Street, NW., Washington, DC 20507 and in other headquarter offices
and field offices where the grievances were filed (see appendix A).
Categories of individuals covered by the system:
Current or former EEOC employees who have submitted grievances to
the EEOC in accordance with part 771 of the regulations of the Office
of Personnel Management (OPM) (5 CFR part 771) and EEOC Order No.
570.003, or a negotiated procedure.
Categories of records in the system:
The system contains all documents related to the grievance,
including statements of witnesses, reports of interviews and
hearings, examiners' findings and recommendations, a copy of the
original and final decision, and related correspondence and exhibits.
This system includes files and records of internal grievance and
arbitration systems that EEOC has or may establish through
negotiations with recognized labor organizations.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; 5 U.S.C. 7121.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request and identify the type of information
requested.
b. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where EEOC becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
c. To disclose to an agency in the executive, legislative or
judicial branch or the District of Columbia's government, information
in connection with the hiring of an employee, the issuance of a
security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract, the issuance of a license, grant, or other benefits by
the requesting agency, or the lawful statutory, administrative, or
investigative purpose of the agency to the extent that the
information is relevant and necessary to the requesting agency's
decision.
d. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
e. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
f. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee.
g. To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
h. To provide information to officials of labor organizations
recognized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices and matters effecting work conditions.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are shredded or burned 3 years after closing the
case.
System manager(s) and address:
If the grievance is pending at or was never raised beyond the
office level, the system manager is the head of the office. (See
appendix A.) In all other situations, the system manager is the
Director, Employee and Labor Management Relations Division, Office of
Management, EEOC, 1801 L Street, NW., Washington, DC 20507.
Notification procedures:
It is required that individuals submitting grievances be provided
a copy of the record under the grievance process. They may, however,
contact the agency personnel or designated office where the action
was processed regarding the existence of such records on them. They
must furnish the following information for their records to be
located and identified: (a) Name; (b) approximate date of closing of
the case and kind of action taken; (c) organizational component
involved.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system of records is provided:
a. By the individual on whom the record is maintained;
b. By testimony of witnesses;
c. By agency officials;
d. From related correspondence from organizations or persons.
EEOC-11
System name:
Records of Adverse Actions Against Nonpreference Eligibles in the
Excepted Service.
System location:
These records are located in Human Resources Management Services,
Equal Employment Opportunity Commission, 1801 L Street, NW.,
Washington, DC 20507 or in the headquarters and field offices in
which the actions have been taken.
Categories of individuals covered by the system:
Current or former nonpreference eligible, excepted service Equal
Employment Opportunity Commission (EEOC) employees against whom an
adverse action has been proposed or taken and who have not completed
two years of current and continuous service in the same or similar
positions, (This system covers only those adverse action files not
covered by OPM/GOVT-3.)
Categories of records in the system:
This system contains records and documents on the processing of
adverse actions for employees who are nonpreference eligibles in the
excepted service and who do not have two years of continuous service
in their positions. The records include copies of the notice of
proposed action, materials relied on by the agency to support the
reasons in the notice, replies by the employee, statements of
witnesses, reports, and agency decisions.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in records may be used:
a. To provide information to officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
b. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the EEOC becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
c. To disclose information to any source from which additional
information is requested for processing any of the covered actions or
in regard to any appeal or administrative review procedure, to the
extent necessary to identify the individual, inform the source of the
purpose(s) of the request, and identify the type of information
requested.
d. To disclose information to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the conducting of a
security or suitability investigation of an individual, or the
classifying of jobs, to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter.
e. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
f. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
g. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
h. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee.
Policies and practices for storing, retrieving, safeguarding, and
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names or social security
number of the individuals on whom they are maintained.
Safeguards:
These records are maintained in locked metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
Records documenting an adverse action are disposed of 4 years
after the closing of the case.
System manager(s) and address:
Director, Employee and Labor Relations Division, Office of
Management, and Directors of Field Offices (see appendix A).
Notification procedure:
Individuals receiving notice of a proposed action are provided
access to all documents supporting the notice. They may also contact
the personnel office where the action was proposed regarding the
existence of such records on them. They must furnish the following
information for their records to be located and identified:
a. Name
b. Approximate date of closing of case and kind of action taken
c. Organizational component involved.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system of records is provided:
a. By the individual on whom the record is maintained;
b. By witnesses;
c. By agency officials.
EEOC-12
System name:
Telephone Call Detail Records.
System location:
Resource Management Division of Financial and Resource Management
Services, Office of Management, EEOC, 1801 L Street, NW., Washington,
DC 20507, and each field office listed in appendix A.
Categories of individuals covered by the system:
Individuals (generally EEOC employees) who make long distance
telephone calls from EEOC telephones and individuals who received
telephone calls placed from or charged to EEOC telephones.
Categories of records in the system:
Records relating to the use of EEOC telephones to place long
distance calls; records indicating the assignment of telephone
numbers to employees; records relating to the location of telephones.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information from these records may be used:
a. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
b. To disclose to representatives of the General Services
Administration or the National Archives and Records Administration
who are conducting records management inspections under the authority
of 44 U.S.C. 2904 and 2906.
c. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
d. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation or order, where
the disclosing agency becomes aware of an indication of a violation
or potential violation of civil or criminal law or regulation.
e. To disclose to an agency in the executive, legislative or
judicial branch or the District of Columbia's government in response
to its request, or at the initiation of the EEOC, information in
connection with the hiring of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation
of an individual, the classifying of jobs, the letting of a contract,
the issuance of a license, grant or other benefits by the requesting
agency, or the lawful statutory, administrative, or investigative
purpose of the agency to the extent that the information is relevant
and necessary to the requesting agency's decision.
f. To disclose to a telecommunications company providing
telecommunications support to permit servicing the account.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and on computer tape
and printouts.
Retrievability:
Records are retrieved by employee name or identification number,
by name of recipient of telephone call, by telephone number.
Safeguards:
Records are maintained and stored in file cabinets in a secured
area to which only authorized personnel have access. Access to and
use of the records are limited to those persons whose official duties
require such access.
Retention and disposal:
Records are disposed of as provided in the National Archives and
Records Administration's General Records Schedule 12.
System manager(s) and address:
Director, Resource Management Division, Financial and Resource
Management Services, EEOC, 1801 L Street, NW., Washington, DC 20507
and the Directors of the field offices listed in appendix A.
Notification procedure:
Inquiries concerning this system of records should be addressed
to the system manager. It is necessary to provide the following
information: (1) Name; (2) social security number; (3) telephone
number (office number if Commission employee); (4) mailing address to
which response is to be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibilities
for placement of specific long distance calls.
EEOC-13
System name:
Employee Identification Cards.
System location:
Resource Management Division, Financial and Resource Management
Services, Office of Management, EEOC, 1801 L Street, NW., Washington,
DC 20507 and each of the field offices in appendix A.
Categories of individuals covered by the system:
Current EEOC employees.
Categories of records in the system:
Identification cards that include name, signature, social
security number, date of issue and photograph, and list of all
persons who possess current identification cards. In addition, for
Headquarters staff, numbered proximity cards and list of all persons
with their assigned proximity card numbers, all doors controlled by
the proximity cards and all persons permitted access to each door.
Authority for maintenance of system:
44 U.S.C. 3101; 41 CFR 101-20.3.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information from these records may be used:
a. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
b. To disclose to other government agencies and to the public
whether an individual is a current employee of the EEOC.
c. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
d. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation or order, where
the disclosing agency becomes aware of an indication of a violation
or potential violation of civil or criminal law or regulation.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and on computer tape
and printouts at EEOC headquarters and on the premises of the
contractor responsible for monitoring the system.
Retrievability:
Records are retrieved by employee name, by identification number,
and , for Headquarters staff, by proximity card number.
Safeguards:
Records are maintained and stored in file cabinets in a secured
area to which only authorized personnel have access. Access to and
use of the records are limited to those persons whose official duties
require such access.
Retention and disposal:
Records are destroyed upon termination of employment
relationship.
System manager(s) and address:
Director, Resource Management Division, Financial and Resource
Management Services, EEOC, 1801 L Street, NW., Washington, DC 20507
and the Directors of the field offices listed in appendix A.
Notification procedures:
Inquiries concerning this system of records should be addressed
to the system manager. It is necessary to provide the following
information: (1) Name; (2) social security number; (3) mailing
address to which response is to be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information contained in this system is obtained from the
employee and, for Headquarters staff, from his or her use of the
assigned proximity card.
EEOC-14
System name:
Employee Parking Records.
System location:
Resource Management Division, Financial and Resource Management
Services, Office of Management, EEOC, 1801 L Street, NW., Washington
DC 20507.
Categories of individuals covered by the system:
EEOC employees who apply for or have been assigned parking spaces
in the Headquarters building and members of their car pools.
Categories of records in the system:
Application for parking space form and addendum form for members
of car pools containing employee name, office, home address and
telephone number, office, home address and telephone number, office
telephone number, description of vehicle, signature and date, and
list of employees with their assigned spaces.
Authority for maintenance of system:
5 U.S.C. 301; 44 U.S.C. 3101; 41 C.F.R. 101-20.1.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information from these records may be used:
a. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
b. To disclose information in response to a request for discovery
or for the appearance of a witness, to the extent that the
information disclosed is relevant to the subject matter involved in
the pending judicial or administrative proceeding.
c. To disclose information in a proceeding before a court or
adjudicative body to the extent the information is relevant and
necessary to the proceeding.
d. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation or order, where
the disclosing agency becomes aware of an indication of a violation
or potential violation of civil or criminal law or regulation.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and on computer tape
and printouts.
Retrievability:
Records are retrieved by employee name.
Safeguards:
Records are maintained and stored in file cabinets in a secured
area to which only authorized personnel have access. Access to and
use of the records are limited to those persons whose official duties
require such access.
Retention and disposal:
Records are disposed of upon termination of employment
relationship or earlier release of assigned parking space.
System manager(s) and address:
Director, Resource Management Division, Financial and Resource
Management Services, EEOC, 1801 L Street, NW., Washington, DC 20507.
Notification procedures:
Inquiries concerning this system of records should be addressed
to the system manager. It is necessary to provide the following
information: (1) Name; (2) assigned parking space number or
approximate data of application; (3) mailing address to which
response is to be sent.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information contained in this system is obtained from the
employee.
Systems exempted from certain provisions of the act:
None.
EEOC/GOVT-1
System name:
Equal Employment Opportunity in the Federal Government Complaint
and Appeal Records.
System location:
Equal employment opportunity complaint files are maintained in an
Office of Equal Employment Opportunity or other designated office of
the agency or department where the complaint was filed. EEO Appeal
files (including appeals from final negotiated grievance decisions
involving allegations of discrimination) and petitions for review of
decisions of the Merit Systems Protection Board are maintained in the
Office of Federal Operations, Equal Employment Opportunity
Commission, Washington, DC 20507 and in EEOC field offices (see
appendix A).
Categories of individuals covered by the system:
Applicants for federal employment and current and former federal
employees who contact an EEO counselor or who file complaints of
discrimination or reprisal with their agency, or who file appeals on
EEO complaints, petitions for review of decisions of the Merit
Systems Protection Board, or appeals of final decisions in negotiated
grievance actions involving allegations of discrimination.
Categories of records in the system:
This system of records contains information or documents compiled
during the pre-complaint counseling and the investigation of
complaints filed under section 717 of Title VII, section 15 of the
Age Discrimination in Employment Act, section 501 of the
Rehabilitation Act, and the Equal Pay Act and all appeals.
Authority for maintenance of system:
42 U.S.C. 2000e-16 (b) and (c); 29 U.S.C. 204(f) and 206(d); 29
U.S.C. 633(a); 29 U.S.C. 791; Reorg. Plan No. 1 of 1978, 43 FR 19607
(May 9, 1978); Exec. Order No. 12106, 44 FR 1053 (Jan. 3, 1979).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
b. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
c. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
d. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee.
e. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and in computer
processable storage media.
Retrievability:
These records are indexed by the names of the individuals on whom
they are maintained.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access.
Retention and disposal:
These records are maintained for one year after resolution of the
case and then transferred to the Federal Records Center where they
are destroyed after three years.
System manager(s) and address:
Within the agency or department where the complaint of
discrimination or reprisal was filed, the system manager is the
Director of the Office of Equal Employment Opportunity or other
official designated as responsible for the administration and
enforcement of equal employment opportunity laws and regulations
within the agency or department.
Where an individual has appealed an EEO complaint or final
negotiated grievance decision to the EEOC or petitioned the EEOC to
review a decision of the Merit Systems Protection Board, the system
manager of the appeal or petition file is the Director, Office of
Federal Operations, Equal Employment Opportunity Commission,
Washington, DC 20507.
System exempted from certain provisions of the act:
Pursuant to subsection (k)(2) of the Privacy Act, 5 U.S.C.
552a(k)(2), this system of records is exempt from subsections (c)(3),
(d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of the Act.
Appendix A
Albuquerque Area Office (Phoenix District), 505
Marquette, NW., Suite 900, Albuquerque, New Mexico
87102-2189.
Atlanta District Office, Citizens Trust Bank Building,
Suite 1100, 75 Piedmont Avenue, NE., Atlanta, Georgia
30335.
Baltimore District Office, City Cresent Building, 10 S.
Howard St., 3rd Fl., Baltimore, Maryland 21201.
Birmingham District Office, 1900 3rd Avenue, North,
Suite 101, Birmingham, Alabama 35203-2397.
Boston Area Office (New York District), 1 Congress
Street, 10th Floor, Boston, Massachusetts 02114.
Buffalo Local Office (New York District), 6 Fountain
Plaza, Suite 350, Buffalo, New York 14203.
Charlotte District Office, 5500 Central Avenue,
Charlotte, North Carolina 28212-2708.
Chicago District Office, 500 West Madison Street, Suite
2800, Chicago, Illinois 60661.
Cincinnati Area Office (Cleveland District), 525 Vine
Street, Suite 810, Cincinnati, Ohio 45202-3122.
Cleveland District Office, 1660 West Second Street,
Suite 850, Cleveland, Ohio 44113-1454.
Dallas District Office, 207 S. Houston St., 3rd Fl.,
Dallas, Texas 75202-4726.
Denver District Office, 1845 Sherman Street, 2nd Floor,
Denver, Colorado 80203.
Detroit District Office, 477 Michigan Avenue, Room
1540, Detroit, Michigan 48226-9704.
El Paso Area Office (San Antonio District), The
Commons, Building C, Suite 100, 4171 North Mesa Street,
El Paso, Texas 79902.
Fresno Local Office (San Francisco District), 1265 West
Shaw Ave., Suite 103, Fresno, California 93711.
Greensboro Local Office (Charlotte District), 801
Summit Avenue, Greensboro, North Carolina 27405-7813.
Greenville Local Office (Charlotte District), SCN
Building, Suite 530, 15 South Main Street, Greenville,
South Carolina 29601.
Honolulu Local Office (San Francisco District), 677 Ala
Moana Boulevard, Suite 404, PO Box 50082, Honolulu,
Hawaii 96813.
Houston District Office, 1919 Smith Street, 7th Floor,
Houston, Texas 77002.
Indianapolis District Office, 101 W. Ohio St., Suite
1900, Indianapolis, Indiana 46204-4203.
Jackson Area Office (Birmingham District), 207 West
Amite Street, Jackson, Mississippi 39201.
Kansas City Area Office (St. Louis District), 911
Walnut Street, 10th Floor, Kansas City, Missouri 64106.
Little Rock Area Office (Memphis District), 425 W.
Capitol Ave., 6th Fl., Little Rock, Arkansas 72201.
Los Angeles District Office, 255 E. Temple, 4th Fl.,
Los Angeles, California 90012.
Louisville Area Office (Indianapolis District), 600
Martin Luther King Jr. Place, Suite 268, Louisville,
Kentucky 40202.
Memphis District Office, 1407 Union Avenue, Suite 621,
Memphis, Tennessee 38104.
Miami District Office, 1 Northeast First Street, 6th
Floor, Miami, Florida 33132-2491.
Milwaukee District Office, 310 West Wisconsin Avenue,
Suite 800, Milwaukee, Wisconsin 53203-2292.
Minneapolis Local Office (Milwaukee District), 330 S.
Second Ave., Suite 430, Minneapolis, Minnesota 55401-
2224.
Nashville Area Office (Memphis District), 50 Vantage
Way, Suite 202, Nashville, Tennessee 37228.
Newark Area Office (Philadelphia District), 1 Newark
Center, 21st Fl., Newark, New Jersey 07102-5233.
New Orleans District Office, 701 Loyola Avenue, Suite
600, New Orleans, Louisiana 70113-9936.
New York District Office, 7 World Trade Center, 18th
Fl., New York, New York 10048-0948.
Norfolk Area Office (Baltimore District), Systems
Management of America (SMA) Building, 252 Monticello
Avenue, 1st Floor, Norfolk, Virginia 23510.
Oakland Local Office (San Francisco District), 1301
Clay Street, Suite 1170-N, Oakland, California 94612-
5217.
Oklahoma Area Office (Dallas District), 531 Couch
Drive, Oklahoma City, Oklahoma 73102.
Philadelphia District Office, 1421 Cherry Street, 10th
Floor, Philadelphia, Pennsylvania 19102.
Phoenix District Office, 4520 North Central Avenue,
Suite 300, Phoenix, Arizona 85012-1848.
Pittsburgh Area Office (Philadelphia District), 1000
Liberty Avenue, Room 2038-A, Pittsburgh, Pennsylvania
15222.
Raleigh Area Office (Charlotte District), 1309
Annapolis Drive, Raleigh, North Carolina 27608-2129.
Richmond Area Office (Baltimore District), 3600 West
Broad Street, Rm. 229, Richmond, Virginia 23230.
San Antonio District Office, 5410 Fredericksburg Road,
Suite 200, San Antonio, Texas 78229-3555.
San Diego Area Office (Los Angeles District), 401 B
Street, Suite 1550, San Diego, California 92101.
San Francisco District Office, 901 Market Street, Suite
500, San Francisco, California 94103.
San Jose Local Office (San Francisco District), 96
North 3rd St., Suite 200, San Jose, California 95112.
Savannah Local Office, 410 Mall Blvd., Suite G,
Savannah, Georgia 31406.
Seattle District Office, Federal Office Building, 909
First Ave., Suite 400, Seattle, Washington 98104-1061.
St. Louis District Office, 625 North Euclid Street, 5th
Floor, St. Louis, Missouri 63108.
Tampa Area Office (Miami District), 501 East Polk
Street, 10th Floor, Tampa, Florida 33602.
Washington Field Office, 1400 L Street, NW., Suite 200,
Washington, DC 20005.
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
Title 29-Labor
Chapter XIV-Equal Employment Opportunity Commission
PART 1611--PRIVACY ACT REGULATIONS
Sec.
1611.1 Purpose and scope.
1611.2 Definitions.
1611.3 Procedures for requests pertaining to individual records in a
record system.
1611.4 Times, places, and requirements for identification of
individuals making requests.
1611.5 Disclosure of requested information to individuals.
1611.6 Special procedures; Medical records.
1611.7 Request for correction or amendment to record.
1611.8 Agency review of request for correction or amendment to record.
1611.9 Appeal of initial adverse agency determination on correction or
amendment.
1611.10 Disclosure of record to person other than the individual to
whom it pertains.
1611.11 Fees.
1611.12 Penalties.
1611.13 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 42 FR 7949, Feb. 8, 1977, unless otherwise noted.
Sec. 1611.1 Purpose and scope.
This part contains the regulations of the Equal Employment Opportunity
Commission (the Commission) implementing the Privacy Act of 1974, 5
U.S.C. 552a. It sets forth the basic responsibilities of the Commission
under the Privacy Act (the Act) and offers guidance to members of the
public who wish to exercise any of the rights established by the Act
with regard to records maintained by the Commission. All records
contained in system EEOC/GOVT-1, including those maintained by other
agencies, are subject to the Commission's Privacy Act regulations.
Requests for access to, an accounting of disclosures for, or amendment
of records in EEOC/GOVT-1 must be processed by agency personnel in
accordance with this part. Commission records that are contained in a
government-wide system of records established by the U.S. Office of
Personnel Management (OPM), the General Services Administration (GSA),
the Merit Systems Protection Board (MSPB), the Office of Government
Ethics (OGE) or the Department of Labor (DOL) for which those agencies
have published systems notices are subject to the publishing agency's
Privacy Act regulations. Where the government-wide systems notices
permit access to these records through the employing agency, an
individual should submit requests for access to, for amendment of or for
an accounting of disclosures to the Commission offices as indicated in
Sec. 1611.3(b).
[56 FR 29580, Jun. 28, 1991]
Sec. 1611.2 Definitions.
For purposes of this part, the terms ``individual,'' ``maintain,''
``record,'' and ``system of records'' shall have the meanings set forth
in 5 U.S.C. 552a.
Sec. 1611.3 Procedures for requests pertaining to individual records
in a record system.
(a) Any person who wishes to be notified if a system of records
maintained by the Commission contains any record pertaining to him or
her, or to request access to such record or to request an accounting of
disclosures made of such record, shall submit a written request, either
in person or by mail, in accordance with the instructions set forth in
the system notice published in the Federal Register. The request shall
include:
(1) The name of the individual making the request;
(2) The name of the system of records (as set forth in the system
notice to which the request relates);
(3) Any other information specified in the system notice; and
(4) When the request is for access to records, a statement indicating
whether the requester desires to make a personal inspection of the
records or be supplied with copies by mail.
(b) Requests pertaining to records contained in a system of records
established by the Commission and for which the Commission has published
a system notice should be submitted to the person or office indicated in
the system notice. Requests pertaining to Commission records contained
in the government-wide systems of records listed below should be
submitted as follows:
(1) For systems OPM/GOVT-1 (General Personnel Records), OPM/GOVT-2
(Employee Performance File System Records), OPM/GOVT-3 (Records of
Adverse Actions and Actions Based on Unacceptable Performance), OPM/
GOVT-5 (Recruiting, Examining and Placement Records), OPM/GOVT-6
(Personnel Research and Test Validation Records), OPM/GOVT-9 (Files on
Position Classification Appeals, Job Grading Appeals and Retained Grade
or Pay Appeals), OPM/GOVT-10 (Employee Medical File System Records) and
DOL/ESA-13 (Office of Workers' Compensation Programs, Federal Employees'
Compensation File), to the Director of Personnel Management Services,
EEOC, 1801 L Street, NW, Washington, DC 20507;
(2) For systems OGE/GOVT-1 (Executive Branch Public Financial
Disclosure Reports and Other Ethics Program Records), OGE/GOVT-2
(Confidential Statements of Employment and Financial Interests) and
MSPB/GOVT-1 (Appeal and Case Records), to the Legal Counsel, EEOC, 1801
L Street, NW, Washington, DC 20507;
(3) For system OPM/GOVT-7 (Applicant Race, Sex, National Origin, and
Disability Status Records), to the Director of the Office of Equal
Employment Opportunity, EEOC, 1801 L Street, NW, Washington, DC 20507;
(4) For systems GSA/GOVT-3 (Travel Charge Card Program) and GSA/GOVT-4
(Contracted Travel Services Program) to the Director of Financial and
Resource Management Services, EEOC, 1801 L Street, NW, Washington, DC
20507.
(c) Any person whose request for access under paragraph (a) of this
section is denied, may appeal that denial in accordance with
Sec. 1611.5(c).
[42 FR 7949, Feb. 8, 1977, as amended at 47 FR 46275, Oct. 18, 1982; 49
FR 13025, Apr. 2, 1984; 54 FR 32062, Aug. 4, 1989; 56 FR 29581, Jun. 28,
1991]
Sec. 1611.4 Times, places, and requirements for identification of
individuals making requests.
(a) If a person submitting a request for access under Sec. 1611.3 has
asked that the Commission authorize a personal inspection of records
pertaining to that person, and the appropriate Commission official has
granted that request the requester shall present himself or herself at
the time and place specified in the Commission's response or arrange
another, mutually convenient time with the appropriate Commission
official.
(b) Prior to inspection of the records, the requester shall present
sufficient personal identification (e.g., driver's license, employee
identification card, social security card, credit cards). If the
requester is unable to provide such identification, the requester shall
complete and sign in the presence of a Commission official a signed
statement asserting his or her identity and stipulating that he or she
understands that knowingly or willfully seeking or obtaining access to
records about another individual under false pretenses is a misdemeanor
punishable by fine up to $5,000.
(c) Any person who has requested access under Sec. 1611.3 to records
through personal inspection, and who wishes to be accompanied by another
person or persons during this inspection, shall submit a written
statement authorizing disclosure of the record in such person's or
person's presence.
(d) If an individual submitting a request by mail under Sec. 1611.3
wishes to have copies furnished by mail, he or she must include with the
request a signed and notarized statement asserting his or her identity
and stipulating that he or she understands that knowlingly or willfully
seeking or obtaining access to records about another individual under
false pretenses is a misdemeanor punishable by fine up to $5,000.
(e) A request filed by the parent of any minor or the legal guardian
of any incompetent person shall: State the relationship of the requester
to the individual to whom the record pertains; present sufficient
identification; and, if not evident from information already available
to the Commission, present appropriate proof of the relationship or
guardianship.
(f) A person making a request pursuant to a power of attorney must
possess a specific power of attorney to make that request.
(g) No verification of identity will be required where the records
sought are publicly available under the Freedom of Information Act.
Sec. 1611.5 Disclosure of requested information to individuals.
(a) Upon receipt of request for notification as to whether the
Commission maintains a record about an individual and/or request for
access to such record:
(1) The appropriate Commission official shall acknowledge such request
in writing within 10 working days of receipt of the request. Wherever
practicable, the acknowledgement should contain the notification and/or
determination required in paragraph (a) (2) of this section.
(2) The appropriate Commission official shall provide, within 30
working days of receipt of the request, written notification to the
requester as to the existence of the records and/or a determination as
to whether or not access will be granted. In some cases, such as where
records have to be recalled from the Federal Records Center,
notification and/or a determination of access may be delayed. In the
event of such a delay, the Commission official shall inform the
requester of this fact, the reasons for the delay, and an estimate of
the date on which notification and/or a determination will be
forthcoming.
(3) If access to a record is granted, the determination shall indicate
when and where the record will be available for personal inspection. If
a copy of the record has been requested, the Commission official shall
mail that copy or retain it at the Commission to present to the
individual, upon receipt of a check or money order in an amount computed
pursuant to Sec. 1611.11.
(4) When access to a record is to be granted, the appropriate
Commission official will normally provide access within 30 working days
of receipt of the request unless, for good cause shown, he or she is
unable to do so, in which case the requester shall be informed within 30
working days of receipt of the request as to those reasons and when it
is anticipated that access will be granted.
(5) The Commission shall not deny any request under Sec. 1611.3
concerning the existence of records about the requester in any system of
records it maintains, or any request for access to such records, unless
that system is exempted from the requirements of 5 U.S.C. 552a in
Sec. 1611.13.
(6) If the Commission receives a request pursuant to Sec. 1611.3 for
access to records in a system of records it maintains which is so
exempt, the appropriate Commission official shall deny the request.
(b) Upon request, the appropriate Commission official shall make
available an accounting of disclosures pursuant to 5 U.S.C. 552a(c)(3).
(c) If a request for access to records is denied pursuant to paragraph
(a) or (b) of this section, the determination shall specify the reasons
for the denial and advise the individual how to appeal the denial. If
the request pertains to a system of records for which the Commission has
published a system notice, any appeal must be submitted in writing to
the Legal Counsel, EEOC, 1801 L Street, NW, Washington, DC 20507. If the
request pertains to a government-wide system of records any appeal
should be in writing, identified as a Privacy Act appeal and submitted
as follows:
(1) For systems established by OPM and for which OPM has published a
system notice, to the Assistant Director for Workforce Information,
Personnel Systems and Oversight Group, OPM, 1900 E Street, NW,
Washington, DC 20415. The OPM Privacy Act regulations, 5 CFR 297.207,
shall govern such appeals.
(2) For systems established by OGE and for which OGE has published a
system notice, to the Privacy Act Officer, Office of Government Ethics,
1201 New York Avenue, NW, Suite 500, Washington, DC 20005-3917. The OGE
Privacy Act regulations, 5 CFR part 2606, shall govern such appeals.
(3) For the system established by MSPB and for which MSPB has
published a system notice, to the Deputy Executive Director for
Management, U.S. Merit Systems Protection Board, 1120 Vermont Avenue,
NW, Washington, DC 20419. The MSPB Privacy Act regulations, 5 CFR part
1205, shall govern such appeals.
(4) For systems established by GSA and for which GSA has published a
system notice, to GSA Privacy Act Officer, General Services
Administration (ATRAI), Washington, DC 20405. The GSA Privacy Act
regulations, 41 CFR 105-64.301-5, shall govern such appeals.
(5) For the system established by DOL and for which DOL has published
a system notice, to the Solicitor of Labor, Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210. The DOL Privacy Act
regulations, 29 CFR 70a.9, shall govern such appeals.
(d) In the event that access to a record is denied on appeal by the
Legal Counsel or the Legal Counsel's designee, the requestor shall be
advised of his or her right to bring a civil action in federal district
court for review of the denial in accordance with 5 U.S.C. 552a(g).
(e) Nothing in 5 U.S.C. 552a or this part allows an individual access
to any information compiled in reasonable anticipation of a civil action
or proceeding.
[42 FR 7948, Feb. 8, 1977, as amended at 54 FR 32063, Aug. 4, 1989; 56
FR 29581, Jun. 28, 1991]
Sec. 1611.6 Special procedures: Medical records.
In the event the Commission receives a request pursuant to Sec. 1611.3
for access to medical records (including psychological records) whose
disclosure of which the appropriate Commission official determines could
be harmful to the individual to whom they relate, he or she may refuse
to disclose the records directly to the requester but shall transmit
them to a physician designated by that individual.
Sec. 1611.7 Request for correction or amendment to record.
(a) Any person who wishes to request correction or amendment of any
record pertaining to him or her which is contained in a system of
records maintained by the Commission, shall submit that request in
writing in accordance with the instructions set forth in the system
notice for that system of records. If the request is submitted by mail,
the envelope should be clearly labeled ``Personal Information
Amendment.'' The request shall include:
(1) The name of the individual making the request;
(2) The name of the system of records as set forth in the system
notice to which the request relates;
(3) A description of the nature (e.g., modification, addition or
deletion) and substance of the correction or amendment requested; and
(4) Any other information specified in the system notice.
(b) Any person submitting a request pursuant to paragraph (a) of this
section shall include sufficient information in support of that request
to allow the Commission to apply the standards set forth in 5 U.S.C.
552a(e).
(c) All requests to amend pertaining to personnel records described in
Sec. 1611.3(b) shall conform to the requirements of paragraphs (a) and
(b) of this section and may be directed to the appropriate officials as
indicated in Sec. 1611.3(b). Such requests may also be directed to the
system manager specified in the OPM's systems notices.
(d) Any person whose request under paragraph (a) of this section is
denied may appeal that denial in accordance with Sec. 1611.9(a).
[42 FR 7949, Feb. 8, 1977; as amended at 56 FR 29581, Jun. 28, 1991]
Sec. 1611.8 Agency review of request for correction or amendment to
record.
(a) When the Commission receives a request for amendment or correction
under Sec. 1611.7(a), the appropriate Commission official shall
acknowledge that request in writing within 10 working days of receipt.
He or she shall promptly either:
(1) Determine to grant all or any portion of a request for correction
or amendment; and:
(i) Advise the individual of that determination;
(ii) Make the requested correction or amendment; and
(iii) Inform any person or agency outside the Commission to whom the
record has been disclosed, and where an accounting of that disclosure is
maintained in accordance with 5 U.S.C. 552a(c), of the occurrence and
substance of the correction or amendments, or;
(2) Inform the requester of the refusal to amend the record in
accordance with the request; the reason for the refusal; and the
procedures whereby the requester can appeal the refusal to the Legal
Counsel of the Commission.
(b) If the Commission official informs the requester of the
determination within the 10-day deadline, a separate acknowledgement is
not required.
(c) In conducting the review of a request for correction or amendment,
the Commission official shall be guided by the requirements of 5 U.S.C.
552a(e).
(d) In the event that the Commission receives a notice of correction
or amendment from another agency that pertains to records maintained by
the Commission, the Commission shall make the appropriate correction or
amendment to its records and comply with paragraph (a)(l)(iii) of this
section.
(e) Requests for amendment or correction of records maintained in the
government-wide systems of records listed in Sec. 1611.5(c) shall be
governed by the appropriate agency's regulations cited in that
paragraph. Requests for amendment or correction of records maintained by
other agencies in system EEOC/GOVT-1 shall be governed by the
Commission's regulations in this part.
[42 FR 7949, Feb. 8, 1977; as amended at 56 FR 29581, Jun. 28, 1991]
Sec. 1611.9 Appeal of initial adverse agency determination on
correction or amendment.
(a) If a request for correction or amendment of a record in a system
of records established by EEOC is denied, the requester may appeal the
determination in writing to the Legal Counsel, EEOC, 1801 L Street, NW,
Washington, DC 20507. If the request pertains to a record that is
contained in the government-wide systems of records listed in
Sec. 1611.5(c), an appeal must be made in accordance with the
appropriate agency's regulations cited in that paragraph.
(b) The Legal Counsel or the Legal Counsel's designee shall make a
final determination with regard to an appeal submitted under paragraph
(a) of this section not later than 30 working days from the date on
which the individual requests a review, unless for good cause shown,
this 30-day period is extended and the requester is notified of the
reasons for the extension and of the estimated date on which a final
determination will be made. Such extensions will be used only in
exceptional circumstances and will not normally exceed 30 working days.
(c) In conducting the review of an appeal submitted under paragraph
(a) of this section, the Legal Counsel or the Legal Counsel's designee
shall be guided by the requirements of 5 U.S.C. 552a(e).
(d) If the Legal Counsel or the Legal Counsel's designee determines to
grant all or any portion of a request on an appeal submitted under
paragraph (a) of this section, he or she shall so inform the requester,
and the appropriate Commission official shall comply with the procedures
set forth in Sec. 1611.8(a)(1)(ii) and (iii).
(e) If the Legal Counsel or the Legal Counsel's designee determines in
accordance with paragraphs (b) and (c) of this section not to grant all
or any portion of a request on an appeal submitted under paragraph (a)
of this section, he or she shall inform the requester:
(1) Of this determination and the reasons for it;
(2) Of the requester's right to file a concise statement of reasons
for disagreement with the determination of the Legal Counsel or the
Legal Counsel's designee;
(3) That such statements of disagreement will be made available to
anyone to whom the record is subsequently disclosed, together with (if
the Legal Counsel or Legal Counsel's designee deems it appropriate) a
brief statement summarizing the Legal Counsel or Legal Counsel's
designee's reasons for refusing to amend the record;
(4) That prior recipients of the disputed record will be provided with
a copy of the statement of disagreement together with (if the Legal
Counsel or Legal Counsel's designee deems it appropriate) a brief
statement of the Legal Counsel or Legal Counsel's designee's reasons for
refusing to amend the record, to the extent that an accounting of
disclosure is maintained under 5 U.S.C. 552a(c); and
(5) Of the requester's right to file a civil action in federal
district court to seek a review of the determination of the Legal
Counsel or the Legal Counsel's designee in accordance with 5 U.S.C.
552a(g).
(f) The Legal Counsel or the Legal Counsel's designee shall ensure
that any statements of disagreement submitted by a requestor are made
available or distributed in accordance with paragraphs (e)(3) and (4) of
this section.
[56 FR 29582, Jun. 28, 1991]
Sec. 1611.10 Disclosure of record to person other than the
individual to whom it pertains.
The Commission shall not disclose any record which is contained in a
system of records it maintains, by any means of communication to any
person or to another agency, except pursuant to a written request by, or
with the prior written consent of the individual to whom the record
pertains, unless the disclosure is authorized by one or more provisions
of 5 U.S.C. 552a(b).
Sec. 1611.11 Fees.
(a) No fee shall be charged for searches necessary to locate records.
No charge shall be made if the total fees authorized are less than
$1.00. Fees shall be charged for services rendered under this part as
follows:
(1)Photocopies (per page), $.15.
(2) Attestation of each record as a true copy, $.75.
(3) Certification of each record as a true copy under the seal of the
Commission, $1.00.
(b) All required fees shall be paid in full prior to issuance of
requested copies of records. Fees are payable to ``Treasurer of the
United States.''
[42 FR 7949, Feb. 8, 1977; as amended at 56 FR 29582, Jun. 28, 1991]
Sec. 1611.12 Penalties.
The criminal penalties which have been established for violations of
the Privacy Act of 1974 are set forth in 5 U.S.C. 552a(i). Penalties are
applicable to any officer or employee of the Commission; to contractors
and employees of such contractors who enter into contracts with the
Commission on or after September 27, 1975, and who are considered to be
employees of the Commission within the meaning of 5 U.S.C. 552a(m); and
to any person who knowingly and willfully requests or obtains any record
concerning an individual from the Commission under false pretenses.
Sec. 1611.13 Specific exemptions.
Pursuant to subsection (k)(2) of the Act, 5 U.S.C. 552a(k)(2), systems
EEOC-1 (Age and Equal Pay Act Discrimination Case Files), EEOC-3 (Title
VII and Americans With Disabilities Act Discrimination Case Files) and
EEOC/GOVT-1 (Equal Employment Opportunity Complaint Records and Appeal
Records) are exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I) and (f) of the Act. The Commission has determined
to exempt these systems from the above named provisions of the Privacy
Act for the following reasons:
(a) The files in these systems contain information obtained by the
Commission and other federal agencies in the course of investigations of
charges and complaints that violations of Title VII of the Civil Rights
Act, the Age Discrimination in Employment Act, the Equal Pay Act, the
Americans With Disabilities Act and the Rehabilitation Act have
occurred. In some instances, agencies obtain information regarding
unlawful employment practices other than those complained of by the
individual who is the subject of the file. It would impede the law
enforcement activities of the Commission and other agencies for these
provisions of the Act to apply to such records.
(b) The subject individuals of the files in these systems know that
the Commission or their employing agencies are maintaining a file on
their charge or complaint, and the general nature of the information
contained in it.
(c) Subject individuals of the files in each of these systems have
been provided a means of access to their records by the Freedom of
Information Act. Subject individuals of the charge files in system EEOC-
3 have also been provided a means of access to their records by section
83 of the Commission's Compliance Manual. Subject individuals of the
case files in system EEOC/GOVT-1 have also been provided a means of
access to their records by the Commission's Equal Employment Opportunity
in the Federal Government regulation, 29 CFR 1613.220.
(d) Many of the records contained in system EEOC/GOVT-1 are obtained
from other systems of records. If such records are incorrect, it would
be more appropriate for an individual to seek to amend or correct those
records in their primary filing location so that notice of the
correction can be given to all recipients of that information.
(e) Subject individuals of the files in each of these systems have
access to relevant information provided by the allegedly discriminating
employer as part of the investigatory process and are given the
opportunity to explain or contradict such information and to submit any
responsive evidence of their own. To allow such individuals the
additional right to amend or correct the records submitted by the
allegedly discriminating employer would undermine the investigatory
process and destroy the integrity of the administrative record.
(f) The Commission has determined that the exemption of these three
systems from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H),
(e)(4)(I), and (f) of the Privacy Act is necessary for the agency's law
enforcement efforts.
[56 FR 29582, Jun. 28, 1991]