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SORN 09-90-0009

System name: Discrimination Complaints Records, HHS/OS/ASPER .

Security classification:  None.

System location:   Office of the Deputy Assistant Secretary for EEO, 200 Independence Avenue, SW, Washington, DC 20201.  Offices of designated EEO Officers.  See Appendix 1 for exact locations.

Categories of individuals covered by the system:  Individuals, classes of individuals or organizations which have consulted an EEO Counselor regarding discrimination on the basis of race, color, religion, sex, national origin, physical disability or age because of a determination or decision made by a Department official or which have filed a formal allegation of discrimination.

Categories of records in the system:  This system of records contains information or documents concerning pre-complaint processing and formal allegations of discrimination. The records consist of counselors' reports, the initial allegations, letters or notices to the individual or organization, materials placed into the record to support or refute the decision or determination, statements of witnesses, investigative reports, instructions about action to be taken to comply with decisions, and related correspondence, opinions, recommendations, and final administrative actions.

Authority for maintenance of the system:  Executive Order 11478, 42 USC 2000e and 29 USC 633a.

Purpose(s):  These records are used to initiate, investigate, and resolve discrimination complaints within the Department. They are maintained in each component of the Department. See also “Retrievability'' below.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

These records and information in the records may be used:

(1) To respond to a request from a Member of Congress regarding the status of an appeal, complaint or grievance;

(2) To refer to Office of Personnel Management, Merit Systems Protection Board (including its Office of the Special Counsel), Equal Employment Opportunity Commission, the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Service Impasses Panel) the Federal Mediation and Conciliation Service, and to an arbitrator, in carrying out their functions;

(3) In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or

particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule regulation or order issued pursuant thereto.

(4) In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice.

(5) A record from this system of records may be disclosed as a “routine use'' to a federal, state or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract or the issuance of a license, grant or other benefit.

A record from this system of records may be disclosed 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 reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter.

(6) In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or

particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether state or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

(7) Where federal agencies having the power to subpoena other federal agencies' records, such as the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for records in this system of records, the Department will make such records available.

(8) Where a contract between a component of the Department and a labor organization recognized under E.O. 11491 or 5 U.S.C. Chapter 71 provides that the agency will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed to such organization.

(9) The Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating or otherwise refining records in this system. Relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act safeguards with respect to such records.

(10) Disclosure may be made 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.

(11) In the event of litigation where the defendant is (a) the Department, any component of the Department, or any employee of the Department in his or her official capacity; (b) the United States where the Department determines that the claim, if successful, is likely to directly affect the operations of the Department or any of its components; or (c) any Department employee in his or her individual capacity where the Justice Department has agreed to represent such employee, the Department may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to present an effective defense, provided such disclosure is compatible with the purpose for which the records were collected.

(12) Records may be disclosed to student volunteers, individuals working under a personal services contract, and other individuals performing functions for the Department but technically not having the status of agency employees, if they need access to the records in order to perform their assigned agency functions.

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

Storage:  These records are maintained in file folders, binders, and index cards.

Retrievability:  These records are indexed by the names of the individuals or organizations on whom they are maintained. They may be used as a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies; and to locate specific individuals for personnel research or other personnel management functions.

Safeguards:  Access to and use of these records are limited to those persons whose official duties require such access.

Retention and disposal:  The records are retained for four years after final disposition, and are then destroyed. (See HHS Personnel Instruction 293-1, Exhibit X293-1-1, item 26a(1).)

System manager(s) and address:  See Appendix 1.

Notification procedure:  Individuals and organizations which consulted an EEO counselor or filed a formal allegation of discrimination are aware of that fact.  They may write the appropriate system manager indicated below or the general coordinator if the immediate system manager is unknown, regarding the existence of such records pertaining to them. The inquirers, as appropriate, should provide their name, date of birth, agency in which employed or agency in which the situation arose if different from employing agency, the approximate date, and the kind of action taken, when making inquiries about records.

Record access procedures:  Same as notification procedures. Requesters should also reasonably specify the record contents being sought. (These access procedures are in accordance with Department Regulations (45 CFR 5b.5(a)(2)), Federal Register, October 8, 1975, page 47410.)

Contesting record procedures:  Contact the official at the address specified under notification procedures above, and reasonably identify the record and specify the information to be contested, and state the corrective action sought and the reason for the correction. (These procedures are in accordance with Department Regulations (45 CFR 5b.7), Federal Register, October 8, 1975, page 47411.)

Record source categories:  

            a. Individual to whom the record pertains.

            b. Department or other officials.

            c. Statements from employees or other witnesses.

            d. Official documents relating to the counseling or formal allegation.

            e. Correspondence from specific organizations or persons.

Appendix 1

List of Locations and System Managers for EEO Matters General Coordinator:

Deputy Assistant Secretary for EEO, Room 509F, 200 Independence Avenue, SW, Washington, DC 20201

System Managers:

Office of the Secretary, EEO Officer, Room 541F, Humphrey Building, 200 Independence Ave., SW, Washington, DC 20201

Regional Offices:

Region I - EEO Officer, Room 2411, JFK Federal Building, Boston, Massachusetts 02203

Region II - EEO Officer, Room 3838-D, 26 Federal Plaza, New York, New York 10278

Region III - EEO Officer, Room 9200, 11460 Market Street, Philadelphia, Pennsylvania 19101

Region IV - EEO Officer, 19th Floor, 101 Marietta Tower, Atlanta, Georgia 30323

Region V - EEO Officer, 35th Floor, 300 S. Wacker Drive, Chicago, Illinois 60606

Region VI - EEO Officer, Room 904, 1114 Commerce Street, Dallas, Texas 75202

Region VII - EEO Officer, Room 616D, 601 East 12th Street, Kansas City, Missouri 64106

Region VIII - EEO Officer, Room 1089, Federal Office Building, 1961 Stout Street, Denver, Colorado 80294

Region IX - EEO Officer, Room 413, 50 United Nations Plaza, San Francisco, California 94102

Region X - EEO Officer, Room 6132, Arcade Plaza Building, 1321 Second Avenue, Mail Stop 629, Seattle, Washington 98101

Operating Divisions and Agencies:

Social Security Administration, EEO Officer, Room 739, Administration Building, 6401 Security Boulevard, Baltimore, Maryland 21235

Health Care Financing Administration, EEO Officer, Room 793, East High Rise Building, 6401 Security Blvd., Baltimore, Maryland 21235

Assistant Secretary for Health, EEO Officer, Room 9-A-54, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

Health Resources and Services Administration, EEO Officer, Room 14A-31, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

Food and Drug Administration, EEO Officer, Room 12-B-03, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

Alcohol, Drug Abuse and Mental Health Administration, EEO Officer, Room 17-C-20, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

National Institutes of Health, EEO Officer, Room 2-B-40, Building 31, National Institutes of Health, Bethesda, Maryland 20205

Centers for Disease Control EEO Officer, Room 2405, Building 1, 1600 Clifton Road, NE., Atlanta, Georgia 30333

Office of Human Development Services, EEO Officer, Room 336E, Humphrey Building, 200 Independence Ave., SW., Washington, DC 20201