Privacy Act: [EEOC-4]...

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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.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 

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