[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] ----------------------------------------------------------------------- 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. ----------------------------------------------------------------------- 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