Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 30143 

(c) Administrative Disclosures. If the 

Department determines that disclosure 

of certain records to an adjudicative 

body before which the Department is 

authorized to appear, an individual or 

entity designated by the Department or 

otherwise empowered to resolve or 

mediate disputes is relevant and 

necessary to the administrative 

litigation, the Department may disclose 

those records as a routine use to the 

adjudicative body, individual, or entity. 

(d) Parties, counsels, representatives 

and witnesses. If the Department 

determines that disclosure of certain 

records to a party, counsel, 

representative or witness in an 

administrative proceeding is relevant 

and necessary to the litigation, the 

Department may disclose records as a 

routine use to the party, counsel, 

representative or witness. 

DISCLOSURE TO CONSUMER REPORTING 

AGENCIES: 

Not applicable to this system of 

records. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND 

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

The records are maintained in hard 

copy filed in standard file cabinets. 

RETRIEVABILITY: 

Records are indexed alphabetically by 

grant title. 

SAFEGUARDS: 

Records are kept in the responsible 

grant notification team member’s office. 

All physical access to the Department’s 

site, and the sites of Department 

contractors where this system of records 

is maintained, is controlled and 

monitored by security personnel who 

check each individual entering the 

building for his or her employee or 

visitor badge. 

The computer system employed by 

the Department offers a high degree of 

resistance to tampering and 

circumvention. This security system 

limits data access to Department and 

contract staff on a ‘‘need-to-know’’ 

basis, and controls individual users’ 

ability to access and alter records within 

the system. All users of this system of 

records are given a unique user ID with 

personal identifiers. All interactions by 

individual users with the system are 

recorded. 

RETENTION AND DISPOSAL: 

Records are maintained for two years. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director, Congressional Outreach, 

Office of Legislation and Congressional 

Affairs, U.S. Department of Education, 

400 Maryland Avenue, SW., Room 

7E301, Washington, DC 20202. 

NOTIFICATION PROCEDURE: 

If you wish to determine whether a 

record exists regarding you in this 

system of records, provide the system 

manager at the above address with the 

name of the Member of Congress who 

corresponded with the Department, the 

name of the referenced constituent, the 

grant title, and the date of the 

correspondence. Your request must 

meet the requirements of the regulations 

at 34 CFR 5b.5, including proof of 

identification. 

RECORD ACCESS PROCEDURES: 

Same as the Notification Procedure. 

CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of 

a record pertaining to you, contact the 

system manager at the address noted 

above, and reasonably identify the 

record and specify the information to be 

contested. Your request must meet the 

requirements of the regulations at 34 

CFR 5b.7. 

RECORD SOURCE CATEGORIES: 

The information in this system is 

provided by the correspondent and by 

the agency that prepares the final 

response. 

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None. 

18–08–01 

SYSTEM NAME: 

Case Information System. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Office for Civil Rights, U.S. 

Department of Education, Mary E. 

Switzer Building, 330 C Street, SW., 

Room 5074, Washington, DC 20202. See 

the Appendix at the end of this system 

notice for additional system locations. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

This system contains records on 

individuals or groups of individuals 

who have made civil rights complaints 

to the Office for Civil Rights (OCR). 

CATEGORIES OF RECORDS COVERED BY THE 

SYSTEM: 

This system lists the names of cases, 

characteristics of individual civil rights 

complaints, and critical events in the 

OCR’s processing of civil rights 

complaints. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title VI of the Civil Rights Act of 

1964, 42 U.S.C. 2000d, et seq.; Title IX 

of the Education Amendments of 1972, 

20 U.S.C. 1681, et seq.; sec. 504 of the 

Rehabilitation Act of 1973, 29 U.S.C. 

794, et seq.; Age Discrimination Act of 

1975, 42 U.S.C. 6101, et seq.; and Title 

II of the Americans With Disabilities 

Act, 42 U.S.C. 12131, et seq. 

PURPOSE(S): 

The Office for Civil Rights uses this 

system for the following purposes: 

(1) To report the status of individual 

complaints to OCR managers and staff 

for tracking the progress of individual 

cases and provide information used to 

prepare summaries of case processing 

activities; and 

(2) To report to Congress, other 

agencies, or to the public to explain or 

document the work it has accomplished. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSE OF SUCH USES: 

The Department of Education 

(Department) may disclose information 

contained in a record in this system of 

records under the routine uses listed in 

this system of records without the 

consent of the individual if the 

disclosure is compatible with the 

purposes for which the record was 

collected. These disclosures may be 

made on a case-by-case basis or, if the 

Department has complied with the 

computer matching requirements of the 

Act, under a computer matching 

agreement. 

(1) Disclosure to Congress, Other 

Agencies, or the Public. The Department 

may disclose summary information 

derived from this system of records to 

Congress, other agencies, and the public 

to describe the kinds of work OCR has 

done, or to document the work it has 

accomplished. 

(2) Disclosure to Recipients of Federal 

Financial Assistance, Witnesses, or 

Consultants. The Department may 

disclose information from this system of 

records to recipients of federal financial 

assistance, witnesses, or consultants 

when it determines that such release 

would assist OCR in resolving a civil 

rights complaint or in obtaining 

additional information or expert advice 

relevant to the investigation. 

(3) Disclosure for Use by Other Law 

Enforcement Agencies. The Department 

may disclose information to any 

Federal, State, local, or foreign agency 

or other public authority responsible for 

enforcing, investigating, or prosecuting 

violations of administrative, civil, or 

criminal law or regulation of 

information that is relevant to any 
30144 Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 

enforcement, regulatory, investigative, 

or prosecutive responsibility within the 

receiving entity’s jurisdiction. 

(4) Enforcement Disclosure. In the 

event that information in this system of 

records indicates, either on its face or in 

connection with other information, a 

violation or potential violation of any 

applicable statute, regulation, or order 

of a competent authority, the 

Department may disclose the relevant 

records to the appropriate agency, 

whether foreign, Federal, State, Tribal, 

or local, charged with the responsibility 

of investigating or prosecuting that 

violation or charged with enforcing or 

implementing the statute, executive 

order, rule, regulation, or order issued 

pursuant thereto. 

(5) Litigation and Alternative Dispute 

Resolution (ADR) Disclosures. 

(a) Introduction. In the event that one 

of the parties listed below is involved in 

litigation or ADR, or has an interest in 

litigation or ADR, the Department may 

disclose certain records to the parties 

described in paragraphs (b), (c), and (d) 

of this routine use under the conditions 

specified in those paragraphs: 

(i) The Department of Education, or 

any component of the Department; or 

(ii) Any Department employee in his 

or her official capacity; or 

(iii) Any Department employee in his 

or her individual capacity if the 

Department of Justice (DOJ) has agreed 

to provide or arrange for representation 

for the employee; 

(iv) Any Department employee in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

(v) The United States where the 

Department determines that the 

litigation is likely to affect the 

Department or any of its components. 

(b) Disclosure to the DOJ. If the 

Department determines that disclosure 

of certain records to the DOJ is relevant 

and necessary to litigation or ADR, the 

Department may disclose those records 

as a routine use to the DOJ. 

(c) Administrative Disclosures. If the 

Department or one of its components 

determines that disclosure of certain 

records to an adjudicative body before 

which the Department or one of its 

components is authorized to appear, an 

individual or entity designated by the 

Department or otherwise empowered to 

resolve or mediate disputes is relevant 

and necessary to the administrative 

litigation, the Department may disclose 

those records as a routine use to the 

adjudicative body individual, or entity. 

(d) Parties, Counsels, Representatives, 

and Witnesses. If the Department or one 

of its components determines that 

disclosure of certain records to a party, 

counsel, representative or witness in an 

administrative proceeding is relevant 

and necessary to the litigation, the 

Department or its component may 

disclose those records as a routine use 

to the party, counsel, representative or 

witness. 

(6) Freedom of Information Act 

Advice Disclosure. The Department may 

disclose records to the Department of 

Justice if the Department determines 

that disclosure is desirable or necessary 

in determining whether particular 

records are required to be disclosed 

under the FOIA. 

(7) Research Disclosure. The 

Department may disclose records to a 

researcher if an appropriate official of 

the Department determines that the 

individual or organization to which the 

disclosure would be made is qualified to 

carry out specific research related to 

functions or purposes of this system of 

records. The official may disclose 

records from this system of records to 

that researcher solely for the purpose of 

carrying out that research related to the 

functions or purposes of this system of 

records. The researcher shall be 

required to maintain Privacy Act 

safeguards with respect to the disclosed 

records. 

(8) Congressional Member Disclosure. 

The Department may disclose 

individual records to a member of 

Congress from the record of an 

individual in response to an inquiry 

from the member made the written 

request of that individual. The 

member’s right to the information is no 

greater than the right of the individual 

who requested it. 

DISCLOSURE TO CONSUMER REPORTING 

AGENCIES: 

Not applicable. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND 

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

The records in this system are kept in 

magnetic media. 

RETRIEVABILITY: 

Records are indexed by case or 

complaint number, by the name or 

address of a complainant, the name of 

the entity against which the complaint 

was made, its subject matter, or by the 

stage to which investigation or other 

case processing has proceeded. 

SAFEGUARDS: 

The system is maintained on personal 

computers located in OCR offices. 

Information in the system is transmitted 

between its offices on OCR’s internal 

communication network. Access to OCR 

offices is controlled, and available only 

to OCR staff and authorized visitors. 

OCR staff authorized to access the 

system receive individual user 

identification and passwords. The 

system additionally limits data access 

by type of user and limits users’ ability 

to alter records within the system. 

Similar records made before 

December, 1993 were entered in a 

different format, no longer in use. These 

historic records are stored on magnetic 

tape. A single employee assigned to 

OCR headquarters can access them. 

RETENTION AND DISPOSAL: 

Records are retained indefinitely. 

Disposal is by electronic erasure when 

no longer needed for Department use. 

SYSTEM MANAGER(S) AND ADDRESS: 

Deputy Assistant Secretary for Policy, 

Office for Civil Rights, U.S. Department 

of Education, 400 Maryland Avenue 

SW., Room , Switzer Building, 

Washington, DC 20202. 

NOTIFICATION PROCEDURE: 

If you wish to determine whether a 

record exists regarding you in this 

system of records, contact the system 

manager at the address indicated above. 

You must provide the name of the 

institution and complainant to which 

the case pertains and the case number, 

if known. Requests must meet the 

requirements of the regulations at 34 

CFR 5b.5, including proof of identity. 

RECORD ACCESS PROCEDURES: 

If you wish to gain access to records 

pertaining to you, follow the 

notification procedure described above. 

You must also reasonably specify the 

record contents sought. 

Request must meet the requirements 

of the regulations at 34 CFR 5b.5, 

including proof of identity. 

CONTESTING RECORD PROCEDURES: 

If you wish to contest any records 

regarding you, contact the official at the 

address specified under notification 

procedures, reasonably identify the 

record and specify the information to be 

contested. Requests to amend a record 

must meet the requirements of the 

regulations at 34 CFR 5b.7. 

RECORD SOURCE CATEGORIES: 

Records are derived from information 

in complaint investigation files. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None. 
Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 30145 

Appendix to 18–08–01 

Additional System Locations 

OCR, Boston Office, J.W. McCormack Post 

Office and Court House Building, Room 

222, Boston, MA 02109–4557. 

OCR, New York Office, 75 Park Place, 14th 

Floor, New York, NY 10007. 

OCR, Philadelphia Office, 100 Penn Square 

East, Suite 515, Philadelphia, PA 19107. 

OCR, Chicago Office, 111 North Canal Street, 

Room 1053, Chicago, IL 60606–7204. 

OCR, Cleveland Office, Bank One Center, 600 

Superior Avenue, East, Suite 750, 

Cleveland, OH 44114–2611. 

OCR, Atlanta Office, Sam Nunn Federal 

Office Building, 61 Forsyth Street SW, 

Suite 19T70, Atlanta, GA 30303. 

OCR, Dallas Office, 1999 Bryan Street, Suite 

2600, Dallas, TX 75201. 

OCR, Kansas City Office, 10220 N. Executive 

Hills Boulevard, Kansas City, MO 

64153–1367. 

OCR, Denver Office, Colonnade Building, 

1244 Speer Boulevard, Suite 300, 

Denver, CO 80204–3582. 

OCR, San Francisco Office, Old Federal 

Building, 50 United Nations Plaza, Room 

239, San Francisco, CA 94102. 

OCR, Seattle Office, Henry M. Jackson 

Federal Building, 915 Second Avenue, 

Room 3310, Seattle, WA 98174–1099. 

OCR, District of Columbia Office, PO Box 

14620, Washington, DC 20004–4620. 

18–08–02 

SYSTEM NAME: 

Complaint Files and Log. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Office for Civil Rights, U.S. 

Department of Education, Mary E. 

Switzer Building, 330 C Street, SW., 

Room 5074, Washington, DC 20202. See 

the Appendix at the end of this system 

notice for additional system locations. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

This system contains information on 

individuals or groups of individuals 

who have made civil rights complaints 

to the Office for Civil Rights (OCR). 

CATEGORIES OF RECORDS COVERED BY THE 

SYSTEM: 

This system consists of records 

relating to complaints to the Office for 

Civil Rights including: 

(1) Names, addresses, and telephone 

numbers of complainants, complaint 

allegations, results of investigations; 

(2) Correspondence related to the 

complaint. The material may include 

copies of correspondence sent by OCR 

to others, correspondence received by 

OCR, records of telephone 

conversations, copies of e-mail or other 

written communications; 

(3) Investigator and attorney 

memoranda; 

(4) Interview notes or transcriptions, 

and witness statements; 

(5) Documents gathered during an 

investigation, including photographs of 

persons or things, portions of a recipient 

institution’s records, and a 

complainant’s or other individuals’ 

scholastic, medical, or employment 

records; and 

(6) Charts, prepared exhibits, or other 

analytical materials prepared by OCR 

staff or by consultants retained by OCR. 

AUTHORITY FOR MAINTENACE OF THE SYSTEM: 

Title VI of the Civil Rights Act of 

1964, 42 U.S.C. 2000d, et seq.; Title IX 

of the Education Amendments of 1972, 

20 U.S.C. 1681, et seq.; sec. 504 of the 

Rehabilitation Act of 1973, 29 U.S.C. 

794, et seq.; Age Discrimination Act of 

1975, 42 U.S.C. 6101, et seq.; and Title 

II of the Americans With Disabilities 

Act, 42 U.S.C. 12131, et seq. 

PURPOSE(S): 

The Office for Civil Rights uses this 

system for the following purposes: 

(1) To determine and to document 

whether there was discrimination 

against the complainant or others; 

(2) To record the steps taken to 

resolve a case; 

(3) To store materials gathered, 

developed, or received during the 

processing of a case; and 

(4) To document the steps taken to 

resolve a case. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSE OF SUCH USES: 

The Department of Education 

(Department) may disclose information 

contained in a record in this system of 

records under the routine uses listed in 

this system of records without the 

consent of the individual if the 

disclosure is compatible with the 

purposes for which the record was 

collected. These disclosures may be 

made on a case-by-case basis or, if the 

Department has complied with the 

computer matching requirements of the 

Act, under a computer matching 

agreement. 

(1) Disclosure to Congress, other 

Agencies, or the Public. The Department 

may disclose summary information 

derived from this system of records to 

Congress, other agencies, and the public 

to describe the kinds of work OCR has 

done, or to document the work it has 

accomplished. 

(2) Disclosure to Recipients of Federal 

Financial Assistance, Witnesses, or 

Consultants. The Department will 

release information contained in this 

system of records to recipients of federal 

financial assistance, witnesses, or 

consultants when it determines that 

such release would assist OCR in 

resolving a civil rights complaint or in 

obtaining additional information or 

expert advice relevant to the 

investigation. 

(3) Disclosure for Use by Other Law 

Enforcement Agencies. The Department 

may disclose information to any 

Federal, State, local, or foreign agency 

or other public authority responsible for 

enforcing, investigating, or prosecuting 

violations of administrative, civil, or 

criminal law or regulation of 

information that is relevant to any 

enforcement, regulatory, investigative, 

or prosecutive responsibility within the 

receiving entity’s jurisdiction. 

(4) Enforcement Disclosure. In the 

event that information in this system of 

records indicates, either on its face or in 

connection with other information, a 

violation or potential violation of any 

applicable statute, regulation, or order 

of a competent authority, the 

Department may disclose the relevant 

records to the appropriate agency, 

whether foreign, Federal, State, Tribal, 

or local, charged with the responsibility 

of investigating or prosecuting that 

violation or charged with enforcing or 

implementing the statute, executive 

order, rule, regulation, or order issued 

pursuant thereto. 

(5) Litigation and Alternative Dispute 

Resolution (ADR) Disclosures. 

(a) Introduction. In the event that one 

of the parties listed below is involved in 

litigation or ADR, or has an interest in 

litigation or ADR, the Department may 

disclose certain records to the parties 

described in paragraphs (b), (c), and (d) 

of this routine use under the conditions 

specified in those paragraphs: 

(i) The Department of Education, or 

any component of the Department; or 

(ii) Any Department employee in his 

or her official capacity; or 

(iii) Any Department employee in his 

or her individual capacity if the 

Department of Justice (DOJ) has agreed 

to provide or arrange for representation 

for the employee; 

(iv) Any Department employee in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

(v) The United States where the 

Department determines that the 

litigation is likely to affect the 

Department or any of its components. 

(b) Disclosure to the DOJ. If the 

Department determines that disclosure 

of certain records to the DOJ is relevant 

and necessary to litigation or ADR, the 

Department may disclose those records 

as a routine use to the DOJ.