[Federal Register Volume 63, Number 102 (Thursday, May 28, 1998)]
[Notices]
[Pages 29188-29190]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-14009]
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DEPARTMENT OF DEFENSE
Office of the Secretary
Privacy Act of 1974; System of Records
AGENCY: Office of the Secretary, DoD.
ACTION: Notice to alter a system of records.
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SUMMARY: The Office of the Secretary proposes to alter a system of
records notice in its existing inventory of record systems subject to
the Privacy Act of 1974, (5 U.S.C. 552a), as amended. The alteration
consists of adding three routine uses to DGC 18, entitled `DoD Roster
of Mediators' to enable the release of information outside of the
Department of Defense.
DATES: This proposed action will be effective without further notice on
June 23, 1998, unless comments are received which result in a contrary
determination.
ADDRESSES: Send comments to OSD Privacy Act Coordinator, Records
Section, Directives and Records Division, Washington Headquarter
Services, Correspondence and Directives, 1155 Defense Pentagon,
Washington, DC 20301-1155.
FOR FURTHER INFORMATION CONTACT: Mr. David Bosworth at (703) 695-0970
or DSN 225-0970.
SUPPLEMENTARY INFORMATION: The Office of the Secretary systems of
records notices subject to the Privacy Act of 1974, (5 U.S.C. 552a), as
amended, have been published in the Federal Register and are available
from the address above.
The proposed system report, as required by 5 U.S.C. 552a(r) of the
Privacy Act of 1974, as amended, was submitted on May 14, 1998, to the
House Committee on Government Reform and Oversight, the Senate
Committee on Governmental Affairs, and the Office of Management and
Budget (OMB) pursuant to paragraph 4c of Appendix I to OMB Circular No.
A-130, `Federal Agency Responsibilities for Maintaining Records About
Individuals,' dated February 8, 1996 (February 20, 1996, 61 FR 6427).
Dated: May 21, 1998.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
DGC 18
System name:
DoD Roster of Mediators (August 25, 1995, 60 FR 44324).
Changes
* * * * *
System name:
Delete entry and replace with 'DoD Roster of Neutrals.'
Categories of individuals covered by the system:
Delete entry and replace with `DoD employees who have agreed to
serve as neutrals as described in 5 U.S.C. 573. These individuals are
trained and experienced in Alternative Dispute Resolution (ADR) and may
serve as a conciliator, facilitator, mediator, or in other neutral
roles in the dispute resolution process.'
Categories of records in the system:
Delete entry and replace with `Background information including
experiences and training of persons who wish to be and/or are
registered in the DoD Roster of Neutrals. Information includes
Alternate Dispute Resolution education or certification status and
notes or any other information pertaining to a neutral, including
recertification, removal, and investigatory or disciplinary actions
taken against an individual. The investigator's files that may be used
to determine those actions are not contained in this system of records.
Files of neutrals assigned to Alternate Dispute Resolution
proceedings generally contain evaluations contributed by the parties to
the dispute commenting on the effectiveness of the neutral.
Other records consist of ADR case files, which include requests
for, and agreements to engage in, an ADR proceeding, settlement
agreements and other correspondence relating to a case; case file logs;
and case file databases.'
* * * * *
Purpose(s):
Delete entry and replace with `The primary purpose of the system is
to maintain the Roster of Neutrals for use by parties in dispute to
review training, experience and other qualifications information about
neutrals. Secondary purposes are to manage application, investigative,
certification,
[[Page 29189]]
decertification, recertification, and disciplinary information about
neutrals and apply this to their status on The Roster; and to manage
ADR case files and supporting ADR administrative logs and databases.'
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Delete the second paragraph and add three new paragraphs `To
parties to a dispute and/or their personal representatives when these
individuals are not affiliated with the Department of Defense for
review of training, experience and other qualification information
contained in the DoD Roster of Neutrals in connection with the
appointment of a specific neutral.
To administrative personnel who are not affiliated with the
Department of Defense who use information in the system to arrange or
manage ADR proceedings.
To non-DoD persons who use information in the system in connection
with investigations or disciplinary actions concerning a neutral,
including, but not limited to, violations of ethical standards of
conduct and/or breaches of state, Federal or local laws or
regulations.'
* * * * *
Retention and disposal:
Delete entry and replace with `Files of active neutrals: Retain
until neutral separates from Roster. Cutoff file on separation and
destroy 1 year later.
Rejected neutral applications, correspondence, biographical data
including education, training and experience. Cutoff file and destroy 2
years later.
Files of active neutrals who are decertified or removed: Cutoff
from active file upon notification of decertification or removal.
Destroy 3 years later.
Files of active neutrals who become unavailable due to retirement
or death: Cutoff from active file upon notification of retirement or
death. Destroy 1 year later.
Alternative Dispute Resolution Case files: Destroy when 10 years
old.
Logs and databases tracking ADR cases: Destroy when no longer
needed.'
* * * * *
Record source categories:
Delete entry and replace with `Neutral qualification and experience
information; information provided for certification purposes;
evaluations by parties to a dispute of the effectiveness of relevant
ADR efforts; ADR case files; and logs and databases of ADR
proceedings.'
* * * * *
DGC 18
System name:
DoD Roster of Neutrals.
System location:
Office of Alternative Dispute Resolution, Defense Legal Services
Agency, Defense Office of Hearings and Appeals, 4015 Wilson Boulevard,
Suite 300, Ballston Tower III, Arlington, VA 22203-1995.
Categories of individuals covered by the system:
DoD employees who have agreed to serve as neutrals as described in
5 U.S.C. 573. These individuals are trained and experienced in
Alternative Dispute Resolution (ADR) and may serve as a conciliator,
facilitator, mediator, or in other neutral roles in the dispute
resolution process.
Categories of records in the system:
Background information including experiences and training of
persons who wish to be and/or are registered in the DoD Roster of
Neutrals. Information includes Alternative Dispute Resolution education
or certification status and notes or any other information pertaining
to a neutral, including recertification, removal, and investigatory or
disciplinary actions taken against an individual. The investigator's
files that may be used to determine those actions are not contained in
this system of records.
Files of neutrals assigned to Alternative Dispute Resolution
proceedings generally contain evaluations contributed by the parties to
the dispute commenting on the effectiveness of the neutral.
Other records consist of Alternative Dispute Resolution case files,
which include requests for and agreements to engage in an ADR
proceeding, settlement agreements and other correspondence relating to
a case; case file logs; and case file databases.'
Authority for maintenance of the system:
5 U.S.C. 573, Neutrals; 10 U.S.C. 140, General Counsel of the
Department of Defense; and DoD Directive 5145, Alternative Dispute
Resolution (ADR).
Purpose(s):
The primary purpose of the system is to maintain the Roster of
Neutrals for use by parties in dispute to review training, experience
and other qualifications information about neutrals. Secondary purposes
are to manage application, investigative, certification,
decertification, recertification, and disciplinary information about
neutrals and apply this to their status on The Roster; and to manage
ADR case files and supporting ADR administrative logs and databases.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, these records or information contained
therein may specifically be disclosed outside the DoD as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
To parties to a dispute and/or their personal representatives when
these individuals are not affiliated with the Department of Defense for
review of training, experience and other qualification information
contained in the DoD Roster of Neutrals in connection with the
appointment of a specific neutral.
To administrative personnel who are not affiliated with the
Department of Defense who use information in the system to arrange or
manage ADR proceedings.
To non-DoD persons who use information in the system in connection
with investigations or disciplinary actions concerning a neutral,
including, but not limited to, violations of ethical standards of
conduct and/or breaches of state, Federal or local laws or regulations.
The `Blanket Routine Uses' set forth at the beginning of OSD's
compilation of systems of records notices apply to this system.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Hard copy files are maintained in file cabinets and computer files
on magnetic or optical media. All are stored in a secure area.
Retrievability:
Files are retrieved by the last name of the neutral, by geographic
availability of a neutral, and by experience and type of subject matter
expertise of a neutral. Case files for Alternative Dispute Resolution
proceedings are retrieved by case file number and not by any personal
identifier.
Safeguards:
Files are maintained in a secure area under the direct control of
Office of Alternative Dispute Resolution
[[Page 29190]]
personnel during duty hours. Office is locked and building employs
Security guards during non-duty hours. Access is restricted to those
personnel maintaining the files and to potential users of the
information. Access to the electronic portion of the system is
controlled by user passwords that are periodically changed.
Retention and disposal:
Delete entry and replace with `Files of active neutrals are
retained until neutral separates from Roster: Cutoff file on separation
and destroy 1 year later.
Rejected neutral applications, correspondence, biographical data
including education, training and experience: Cutoff file and destroy 2
years later.
Files of active neutrals who are decertified or removed: Cutoff
from active file upon notification of decertification or removal.
Destroy 3 years later.
Files of active neutrals who become unavailable due to retirement
or death: Cutoff from active file upon notification of retirement or
death. Destroy 1 year later.
Alternative Dispute Resolution Case files: Destroy when 10 years
old.
Logs and databases tracking ADR cases: Destroy when no longer
needed.
System manager(s) and address:
Chief, Office of Alternative Dispute Resolution, Defense Legal
Services Agency, Defense Office of Hearings and Appeals, Post Office
Box 3656, Arlington, VA 22203-1995.
Notification procedures:
Individuals seeking to determine whether information about
themselves as neutrals is contained in this system should address
written inquiries to Office of Alternative Dispute Resolution, Defense
Legal Services Agency, Defense Office of Hearings and Appeals, Post
Office Box 3656, Arlington, VA 22203-1995.
Record access procedures:
Individuals seeking access to information about themselves as
neutrals in this system should address written inquiries to: Office of
Alternative Dispute Resolution, Defense Legal Services Agency, Defense
Office of Hearings and Appeals, Post Office Box 3656, Arlington, VA
22203-1995.
Contesting records and procedures:
The OSD rules for accessing records, for contesting contents and
appealing initial agency determinations are published in OSD
Administrative Instruction 81; 32 CFR part 311; or may be obtained from
the system manager.
Record source categories:
Neutral qualification and experience information; information
provided for certification purposes; evaluations by parties to a
dispute of the effectiveness of relevant ADR efforts; ADR case files;
and logs and databases of ADR proceedings.
Exemptions claimed for the system:
None.
[FR Doc. 98-14009 Filed 5-27-98; 8:45 am]
BILLING CODE 5000-04-F
