83 FR 12571 - Privacy Act of 1974; System of Records

DEPARTMENT OF EDUCATION

Federal Register Volume 83, Issue 56 (March 22, 2018)

In accordance with the Privacy Act of 1974, as amended (Privacy Act), the Department of Education (Department) publishes this notice of a modified system of records entitled ``Complaint Files and Log'' (18-08-01). The system contains information on individuals or groups of individuals who have made civil rights complaints to the Office for Civil Rights (OCR). The information maintained in the system will consist of one or more of the following: Names, addresses, and telephone numbers of complainants, complaint allegations, and results of investigations; correspondence related to the complaint; investigator and attorney memoranda; interview notes or transcriptions and witness statements; documents gathered during an investigation and charts, prepared exhibits, or other analytical materials prepared by OCR staff or by consultants retained by OCR. The information that will form the modified system of records will be collected through complaint investigation files. The information will be used to fulfill the requirement outlined in Federal law.

[Federal Register Volume 83, Number 56 (Thursday, March 22, 2018)]
[Notices]
[Pages 12571-12575]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-05886]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF EDUCATION

[Docket ID ED-2017-OCR-0094]


Privacy Act of 1974; System of Records

AGENCY: Office for Civil Rights, Department of Education.

ACTION: Notice of a modified system of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, as amended 
(Privacy Act), the Department of Education (Department) publishes this 
notice of a modified system of records entitled ``Complaint Files and 
Log'' (18-08-01). The system contains information on individuals or 
groups of individuals who have made civil rights complaints to the 
Office for Civil Rights (OCR). The information maintained in the system 
will consist of one or more of the following: Names, addresses, and 
telephone numbers of complainants, complaint allegations, and results 
of investigations; correspondence related to the complaint; 
investigator and

[[Page 12572]]

attorney memoranda; interview notes or transcriptions and witness 
statements; documents gathered during an investigation and charts, 
prepared exhibits, or other analytical materials prepared by OCR staff 
or by consultants retained by OCR. The information that will form the 
modified system of records will be collected through complaint 
investigation files. The information will be used to fulfill the 
requirement outlined in Federal law.

DATES: Submit your comments on this modified system of records notice 
on or before April 23, 2018.
    This modified system of records will become applicable upon 
publication in the Federal Register on March 22, 2018, unless the 
modified system of records notice needs to be changed as a result of 
public comment. Significantly modified routine use (8) and newly 
proposed routine uses (9) and (10) in the paragraph entitled ``ROUTINE 
USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS 
AND PURPOSES OF SUCH USES'' will become applicable on April 23, 2018, 
unless the modified system of records notice needs to be changed as a 
result of public comment. The Department will publish any significant 
changes resulting from public comment.

ADDRESSES: Submit your comments through the Federal eRulemaking Portal 
or via postal mail, commercial delivery, or hand delivery. We will not 
accept comments submitted by fax or by email or those submitted after 
the comment period. To ensure that we do not receive duplicate copies, 
please submit your comments only once. In addition, please include the 
Docket ID at the top of your comments.
     Federal eRulemaking Portal: Go to www.regulations.gov to 
submit your comments electronically. Information on using 
Regulations.gov, including instructions for accessing agency documents, 
submitting comments, and viewing the docket, is available on the site 
under the ``Help'' tab.
     Postal Mail, Commercial Delivery, or Hand Delivery: If you 
mail or deliver your comments about this modified system of records, 
address them to: Ms. Sandra Battle, Deputy Assistant Secretary for 
Enforcement, Office for Civil Rights, U.S. Department of Education, 400 
Maryland Ave. SW, Washington, DC 20202.
    Privacy Note: The Department's policy is to make all comments 
received from members of the public available for public viewing in 
their entirety on the Federal eRulemaking Portal at 
www.regulations.gov. Therefore, commenters should be careful to include 
in their comments only information that they wish to make publicly 
available.
    Assistance to Individuals with Disabilities in Reviewing the 
Rulemaking Record: On request, we will supply an appropriate 
accommodation or auxiliary aid, such as a reader or print magnifier, to 
an individual with a disability who needs assistance to review the 
comments or other documents in the public rulemaking record for this 
notice. If you want to schedule an appointment for this type of aid, 
please contact the person listed under FOR FURTHER INFORMATION CONTACT.

FOR FURTHER INFORMATION CONTACT: Ms. Sandra Battle, Deputy Assistant 
Secretary for Enforcement, Office for Civil Rights, U.S. Department of 
Education, 400 Maryland Ave. SW, Washington, DC 20202. Telephone: (202) 
453-5900.
    If you use a telecommunications device for the deaf (TDD) or a text 
telephone (TTY), you may call the Federal Relay Service (FRS) at 1-800-
877-8339.

SUPPLEMENTARY INFORMATION:
    Introduction:
    The Department last published the Complaint Files and Log (18-08-
01) system of records in the Federal Register on March 15, 2004 (69 FR 
12248). The system of records notice is being modified to update the 
current system locations both in Washington DC and satellite offices. 
This system of records notice is also being modified to reflect the 
current categories of sources of the records and the retrievability of 
the records by any data element. The system of records notice is also 
being modified to include updated information on the record retention 
and disposal policies for the records contained in this system.
    The Department proposes to update, but not to significantly change, 
routine uses (4) ``Litigation and Alternative Dispute Resolution (ADR) 
Disclosures,'' (5) ``Freedom of Information Act (FOIA) or Privacy Act 
Advice Disclosure,'' and (6) ``Research Disclosure.'' The Department 
proposes to significantly modify routine use (8) ``Contract 
Disclosure.'' The Department also proposes to add to this system of 
records notice new routine uses (9) entitled ``Disclosure in the Course 
of Responding to a Breach of Data'' and (10) entitled ``Disclosure in 
Assisting another Agency in Responding to a Breach of Data.'' These 
will allow the Department to disclose records in this system in order 
to assist the Office for Civil Rights, the Department, or another 
Federal agency or entity in responding to a suspected or confirmed 
breach of data.
    The Department also proposes to update the section entitled 
``Policies and Practices for Retention and Disposal of Records'' to 
reflect the current Department records schedule, approved by the 
National Archives and Records Administration (NARA), which governs the 
retention and disposition of the records.
    Accessible Format: Individuals with disabilities can obtain this 
document in an accessible format (e.g., braille, large print, 
audiotape, or compact disc) on request to the person listed under FOR 
FURTHER INFORMATION CONTACT.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. Free 
internet access to the official edition of the Federal Register and the 
Code of Federal Regulations is available via the Federal Digital System 
at: www.thefederalregister.org/fdsys. At this site you can view this document, as well 
as all other documents of the Department published in the Federal 
Register, in text or Portable Document Format (PDF). To use PDF you 
must have Adobe Acrobat Reader, which is available free at the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

    Dated: March 19, 2018.
Candice Jackson,
Acting Assistant Secretary for the Office for Civil Rights.

    For the reasons discussed in the preamble, the Acting Assistant 
Secretary for the Office for Civil Rights, U.S. Department of Education 
(Department), publishes a notice of a modified system of records to 
read as follows:
System Name and Number
    Complaint Files and Log (18-08-01).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office for Civil Rights, U.S. Department of Education, 400 Maryland 
Ave. SW, Washington, DC 20202-1100.
    See the Appendix at the end of this system notice for additional 
system locations.

SYSTEM MANAGER(S):
    Deputy Assistant Secretary for Enforcement, Office for Civil 
Rights,

[[Page 12573]]

U.S. Department of Education, 400 Maryland Ave. SW, Washington, DC 
20202-1100.

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.; 
Section 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.; Title II of 
the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.; and the 
Boy Scouts of America Equal Access Act, 20 U.S.C. 7905.

PURPOSE(S) OF THE SYSTEM:
    The Office for Civil Rights (OCR) 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, which may include 
investigation and monitoring;
    (3) To store materials gathered, developed, or received during the 
processing, investigation, and monitoring of a case;
    (4) To document the steps taken to resolve a case;
    (5) To report the status of individual complaints to OCR managers 
and staff for tracking the progress of individual cases and to provide 
information used to prepare summaries of case processing activities; 
and
    (6) To report to Congress, other agencies, and the public to 
explain or document the work that has been accomplished.

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.

CATEGORIES OF RECORDS IN 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, and results of investigations;
    (2) Correspondence related to the complaint, which may include 
copies of correspondence sent by OCR to others, correspondence received 
by OCR, records of telephone conversations, copies of email, 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 complainants' or other individuals' educational, medical, 
or employment records; and
    (6) Charts, prepared exhibits, or other analytical materials 
prepared by OCR staff or by consultants retained by OCR.

RECORD SOURCE CATEGORIES:
    Information in this system of records is obtained from individuals, 
K-12 schools, postsecondary institutions, and other entities as 
applicable. The information is collected from the stated sources via 
oral interviews, paper forms, web pages, and electronic files. 
Information may also be obtained from other individuals or entities 
from which data is obtained under routine uses set forth below.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The 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 Privacy Act 
of 1974, as amended (Privacy 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 that OCR has done or to document the work that OCR 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 if it determines that the release 
would assist OCR in resolving a civil rights complaint or in obtaining 
additional information or expert advice relevant to the investigation.
    (3) 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, regulations, 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, regulations, or order issued pursuant thereto.
    (4) Litigation and Alternative Dispute Resolution (ADR) 
Disclosures.
    (a) Introduction. In the event that one of the parties listed in 
sub-paragraphs (i) through (v) is involved in judicial or 
administrative litigation or ADR, or has an interest in judicial or 
administrative 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 been requested to provide or 
arrange for representation for the employee;
    (iv) Any Department employee in his or her individual capacity if 
the agency has agreed to represent the employee; or
    (v) The United States if 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) Adjudicative 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 or to a person or entity designated by the 
Department or otherwise empowered to resolve or mediate disputes is 
relevant and necessary to the litigation or ADR, the Department may 
disclose those records as a routine use to the adjudicative body, 
person, 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 is 
relevant and necessary to the litigation or ADR, the Department or its 
component may disclose those records as a routine use to the party, 
counsel, representative, or witness.
    (5) Freedom of Information Act (FOIA) or Privacy Act Advice 
Disclosure. The Department may disclose records to the DOJ or the 
Office of Management and Budget if the Department determines that 
disclosure is desirable or necessary in determining whether particular 
records are required

[[Page 12574]]

to be disclosed under the FOIA or the Privacy Act.
    (6) 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 must agree to maintain 
safeguards to protect the security and confidentiality with respect to 
the disclosed records.
    (7) Congressional Member Disclosure. The Department may disclose 
information to a Member of Congress from the record of an individual in 
response to an inquiry from the Member made at 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.
    (8) Contract Disclosure. If the Department contracts with an entity 
for the purposes of performing any function that requires disclosure of 
records in this system to employees of the contractor, the Department 
may disclose the records to those employees. As part of such a 
contract, the Department shall require the contractor to agree to 
maintain safeguards to protect the security and confidentiality of the 
records in the system.
    (9) Disclosure in the Course of Responding to a Breach of Data. The 
Department may disclose records from this system to appropriate 
agencies, entities, and persons when (1) the Department suspects or has 
confirmed that there has been a breach of the system of records; (2) 
the Department has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, the Department 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with the Department's efforts to respond to the 
suspected or confirmed beach or to prevent, minimize, or remedy such 
harm.
    (10) Disclosure in Assisting Another Agency in Responding to a 
Breach of Data. The Department may disclose records from this system to 
another Federal agency or Federal entity, when the Department 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity (1) responding to a 
suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    The records in this system are contained in digital storage media 
and in file folders.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The records in this system are indexed by and retrievable by any 
data element in any populated data field, including the name of the 
complainant, the complaint number, the name of the entity against which 
the complaint was filed, the basis for the alleged discrimination, and 
the stage of case processing.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained and disposed of in accordance with Department 
Records Schedule 026: Education Discrimination Case Files (N1-441-08-
6).
    Administratively closed education discrimination case files shall 
be destroyed/deleted 6 years after cutoff. Cut off for these files 
occurs at the end of the fiscal year in which the case is closed or, if 
a Request for Reconsideration (RFR) is received, when the review of the 
RFR is completed.
    All other education discrimination case files shall be destroyed/
deleted 20 years after cutoff. Cut off for these files occurs at the 
end of the fiscal year in which the case is closed and monitoring is 
complete or, if a RFR is received, when the review of the RFR is 
completed.
    Education discrimination appeals case files shall be destroyed/
deleted 20 years after cutoff. Cut off for these files occurs at the 
end of the fiscal year in which the appeal is closed.
    Case Management System (CMS) Master Data Files are destroyed/
deleted 20 years after cutoff. Cut off for these files occurs at the 
end of the fiscal year in which the case is closed and monitoring is 
complete or, if a RFR is received, when the review of the RFR is 
completed.
    Significant education discrimination case files shall not be 
destroyed/deleted by the Department. With respect to these files, the 
Department shall transfer non-electronic records to the National 
Archives and Records Administration (NARA) 10 years after cutoff and 
electronic records to NARA every 5 years, with any related 
documentation and external finding aids, as specified in 36 CFR 1228.70 
or standards applicable at the time. Cut off for these files occurs at 
the end of the fiscal year in which the case is closed and monitoring 
is complete.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    The system is maintained on secure computer servers located in one 
or more secure Department of Education network server facilities. OCR 
staff access information in the system through use of personal 
computers located in OCR offices. Data are transmitted among offices on 
secure servers through the Department of Education's Secure Wide Area 
Network. The Department of Education maintains the servers on which the 
records are stored in secure locations with controlled access. Access 
to OCR offices is controlled and available only to OCR staff and 
authorized visitors. Authorized OCR staff access the information system 
using individual user identifiers and passwords. The system also limits 
data access by type of user and controls users' ability to alter 
records within the system. File folders containing non-digital 
information in the system are kept in locked storage rooms. Access to 
offices in which storage rooms are located is restricted to OCR staff 
and authorized visitors.

RECORD ACCESS PROCEDURES:
    This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 
CFR 5b.11(c)(2)(iii).

CONTESTING RECORD PROCEDURES:
    This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 
CFR 5b.11(c)(2)(iii).

NOTIFICATION PROCEDURES:
    This system is exempted from 5 U.S.C. 552a(e)(4)(G) pursuant to 34 
CFR 5b.11(c)(2)(iii).

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Education has exempted by regulations the 
Complaint Files and Log record system, which is also exempt from the 
following provisions of the Privacy Act pursuant to 5 U.S.C. 552(k)(2) 
(civil enforcement):
    (1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of 
disclosures of records.
    (2) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification 
of and access to records and correction or amendment of records.

[[Page 12575]]

    (3) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of 
information in the system notice about procedures for notification, 
access, and correction of records.
    These exemptions are stated in 34 CFR 5b.11. As indicated in 34 CFR 
5b.11, individuals will be provided with information from a record in 
this system if any individual is denied any right, privilege, or 
benefit that he or she would otherwise be entitled to by Federal law, 
or for which he or she would otherwise be eligible, as a result of the 
maintenance of that material, except when in accordance with the 
following provisions of 5 U.S.C. 552a(k)(2):
    (1) Disclosure of the information would reveal the identity of a 
source who furnished information to the Government under an express 
promise that the identity of the source would be held in confidence.
    (2) If information was obtained prior to September 28, 1975, 
disclosure of the information would reveal the identity of the source 
under an implied promise that the identity of the source would be held 
in confidence.

HISTORY:
    The Complaint Files and Log (18-08-02) system of records notice was 
published in the Federal Register on June 4, 1999 (64 FR 30106, 30145-
30146). This system of records was merged and consolidated with the 
system of records entitled ``Case Information System'' (18-08-01) (64 
FR 30106, 30143-30145) on March 15, 2004 (69 FR 12248-12251), and the 
system was renamed ``Complaint Files and Log (18-08-01).''
Appendix to 18-08-01

ADDITIONAL SYSTEM LOCATIONS:
    OCR, Boston Office, 5 Post Office Square, Boston, MA 02109.
    OCR, New York Office, 32 Old Slip, New York, NY 10005.
    OCR, Philadelphia Office, The Wanamaker Building, 100 Penn Square 
East, Philadelphia, PA 19107.
    OCR, Chicago Office, Citigroup Center, 500 W Madison Street, 
Chicago, IL 60661.
    OCR, Cleveland Office, 1350 Euclid Avenue, Cleveland, OH 44115.
    OCR, Atlanta Office, 61 Forsyth St. SW, Atlanta, GA 30303.
    OCR, Dallas Office, 1999 Bryan Street, Dallas, TX 75201.
    OCR, Kansas City Office, 1010 Walnut Street, Kansas City, MO 64106.
    OCR, Denver Office, Cesar E. Chavez Memorial Building, 1244 Speer 
Boulevard, Denver, CO 80204.
    OCR, San Francisco Office, 50 Beale Street, San Francisco, CA 
94105.
    OCR, Seattle Office, 915 Second Avenue, Seattle, WA 98174.

[FR Doc. 2018-05886 Filed 3-21-18; 8:45 am]
BILLING CODE 4000-01-M