Skip to page content
Office of the Solicitor
Bookmark and Share

Privacy Act Systems - DOL/OASAM-17

SYSTEM NAME:

    Equal Employment Opportunity Complaint Files.

SECURITY CLASSIFICATION:

    None.

SYSTEM LOCATION:

    1. Civil Rights Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210;
    2. Office of the Solicitor, Washington, D.C.; and regional offices of the Solicitor;
    3. Agency Equal Employment Opportunity (EEO) Managers, Washington, D.C. and regional offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals, classes of individuals, or representatives designated to act on behalf of Department employees, former employees, or applicants for employment who have consulted with an Equal Employment Opportunity (EEO) counselor and/or who have filed a formal complaint alleging discrimination on the basis of race, color, religion, sex (including gender identity and pregnancy), national origin, disability, age, genetic information, sexual orientation, parental status and/or any basis covered by Executive Order 11478, because of a determination, decision, action, or non-action administered against them by a departmental official, as well as individuals alleging reprisal for having previously participated in EEO activity.

CATEGORIES OF RECORDS IN THE SYSTEM:

    Records include information and/or documents pertaining to pre-complaint processing, informal resolutions, formal complaints, and investigations of complaints. These records contain complainantsí names; addresses; job titles and descriptions, and dates of employment; agencies involved; counselorsí reports; initial and supplemental allegations; letters and notices to individuals and organizations involved in the processing of the complaint; materials placed into the record to support or refute the alleged decisions; determination or actions taken; statements of witnesses; related correspondence; investigative reports; instructions on actions to be taken in order to comply with the provisions of a decision; opinions; recommendations; settlement agreements; and proposed and final decisions.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Secretaryís Order 1-2004; Title VII of the Civil Rights Act of 1964, as amended; the Equal Pay Act; the Lilly Ledbetter Fair Pay Act of 2009; the Age Discrimination in Employment Act of 1967, as amended; the Rehabilitation Act of 1973, as amended; the Americans with Disabilities Act Amendments Act of 2008; the Genetic Information Nondiscrimination Act of 2008; the Civil Service Reform Act of 1978; the Civil Rights Act of 1991; the No FEAR Act; Executive Order 11478, as amended; Executive Order 11375, as amended; Executive Order 13163; Executive Order 13164; Executive Order 13145; 29 C.F.R. 1614; and the Equal Employment Opportunity Commissionís (EEOC) Management Directives 110 (Complaint Processing) and 715 (Effective Affirmative Programs).

PURPOSE(S):

    These records are used to process, investigate and resolve Equal Employment Opportunity complaints within the Department.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

    The records in the complaint file are classified into three categories: correspondence, investigative, and transcripts. In addition to the universal routine uses listed in the General Prefatory Statement to this document, records that are relevant and necessary may be disclosed as follows:

    1. To responding officials (ROs) or other witnesses consistent with the instructions in the Equal Employment Opportunity Commissionís (EEOCís) Complaint Processing Manual which provides that during the investigative process witnesses may be given access to information and documents in the correspondence files and the investigative file where the investigator determines that the disclosure of information or documents is necessary to obtain information from the witness. If the Department issues a final decision on the complaint rejecting the complainantís allegations, ROs or other witnesses may not have access to the complaint file. If the Department takes or proposes adverse action against an RO or other witness, only the records upon which the decision is based, without deletions, must be made available for his or her review.
    2. To Federal agencies with jurisdiction over a complaint, including the EEOC, the Office of Personnel Management, the Merit Systems Protection Board, the Office of Special Counsel, and the Federal Labor Relations Authority, for investigatory, conciliation or enforcement purposes.
    3. To a physician or medical official for the purpose of evaluating medical documents in complaints of discrimination on the basis of disability.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

    None.

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

STORAGE:

    Files are stored electronically and/or on paper.

RETRIEVABILITY:

    Paper files are indexed by complainantís name and by the office case number. Electronic files are retrieved by: office case number; complainantís name; fiscal year; current status of complaint; region code; issue code; basis code; agency code; class action; relief code; EOS identification; investigator identification.

SAFEGUARDS:

    Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.

RETENTION AND DISPOSAL:

    Records are destroyed 4 years after resolution of case. (N1 GRS 80 9 item 1)

SYSTEM MANAGER(S) AND ADDRESS:

    Director, Civil Rights Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210.

NOTIFICATION PROCEDURE:

    An individual wishing to inquire whether this system of records contains non-exempt information about him/her should contact the System Manager. Individuals must furnish in writing the following information for their records to be located and identified: as appropriate, their full name, the name of the employing agency and/or the agency in which the situation arose if different than the employing agency, approximate date of filing complaint, region of complaint, complaint case number, and the kind(s) of action(s) taken.

RECORD ACCESS PROCEDURES:

    Individuals wishing to request access to their records should contact the System Manager as indicated in the Notification Procedure section above.

CONTESTING RECORD PROCEDURES:

    A petition for amendment shall be addressed to the System Manager and must meet the requirements of Departmentís Privacy Act regulations at 29 CFR 71.1 and 71.9.

RECORD SOURCE CATEGORIES:

    An individual to whom the record pertains; official documents relating to the processing of a complaint, including the informal and formal allegations, and appeals of departmental decisions; and respondent agency officials, employees, and other witnesses.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

    Under the specific exemption provided by 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(l), (e)(4)(G), (H), and (I), and (f). Release of information from the complaint file to the complainant may be denied in anticipation of a civil action or proceeding, in instances where premature release of documents could hamper the decision-making process, where the release of personal information may result in an invasion of personal privacy, and where release of confidential statements could lead to intimidation or harassment of witnesses and impair future investigations by making it more difficult to collect similar information.