[Federal Register Volume 77, Number 22 (Thursday, February 2, 2012)]
[Notices]
[Pages 5313-5316]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-2266]


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

DEPARTMENT OF VETERANS AFFAIRS


Privacy Act of 1974; System of Records

AGENCY: Department of Veterans Affairs.

ACTION: Notice of Amendment of System of Records.

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

SUMMARY: The Privacy Act of 1974 (5 U.S.C. 552(e)(4)) requires that all 
agencies publish in the Federal Register a notice of the existence and 
character of their systems of records. Notice is hereby given that the 
Department of Veterans Affairs (VA) is amending the system of records 
entitled ``Alternative Dispute Resolution Tracking System-VA'' 
(116VA09). The Department is re-publishing the system of records notice 
in its entirety.

DATES: Comments on this amended system of records must be received no 
later than March 5, 2012. If no public comment is received, the amended 
system will become effective March 5, 2012.

ADDRESSES: Written comments may be submitted through http://www.Regulations.gov; by mail or hand

[[Page 5314]]

delivery to the Director, Office of Regulation Policy and Management 
(02REG), Department of Veterans Affairs, 810 Vermont Avenue NW., Room 
1068, Washington, DC 20420; or by fax to (202) 273-9026. Copies of 
comments received will be available for public inspection in the Office 
of Regulation Policy and Management, Room 1063B, between the hours of 8 
a.m. and 4:30 p.m., Monday through Friday (except holidays). Please 
call (202) 461-4938 for an appointment. In addition, during the comment 
period, comments may be viewed online through the Federal Docket 
Management System (FDMS).

FOR FURTHER INFORMATION CONTACT: Gregory A. Burke, Ombudsman, Office of 
Resolution Management (08), Department of Veterans Affairs, 810 Vermont 
Avenue NW., Washington, DC 20420, (202) 461-0225.

SUPPLEMENTARY INFORMATION: 
    The Department established the system of records entitled 
``Alternative Dispute Resolution Tracking System-VA'' (116VA09) in 67 
FR 49392-49395 (July 30, 2002). The system of records tracked 
alternative dispute resolution (ADR) activity within VA. VA placed the 
responsibility for managing the system of records upon the Dispute 
Resolution Specialist (DRS), then the Chairman of the Department's 
Board of Contract Appeals (09) (the Chairman). The ``09'' designation 
within ``116VA09'' reflected the designation of the Chairman (09) 
within the Department. The Administrative Dispute Resolution Act, as 
amended, requires the designation by each Federal agency of a senior 
official to serve as its DRS. Public Law 101-552, Sec. 3(b), 104 Stat. 
2737 (1990).
    On January 6, 2006, Congress enacted Public Law 109-163. Section 
847 of that Act terminated the VA Board of Contract Appeals on January 
6, 2007. Consequently, the position of Chairman of the VA Board of 
Contract Appeals also terminated on January 6, 2007.
    In anticipation of the termination of the VA Board of Contract 
Appeals, on July 14, 2006, the VA's Deputy Secretary approved the 
reassignment of the DRS function to the Assistant Secretary for Human 
Resources and Administration. Authority for Workplace ADR was further 
delegated to the Deputy Assistant Secretary for Resolution Management, 
also known as Deputy DRS for Workplace ADR (08). In that capacity, the 
Deputy DRS for Workplace ADR became responsible for the system of 
records entitled ``Alternative Dispute Resolution Tracking System-VA'' 
(116VA09), including management, notification, and record access 
procedures.
    The Department intends to modify the system of records entitled 
``Alternative Dispute Resolution Tracking System-VA'' (116VA09) to: (1) 
Rename and renumber the system of records as ``Historical Alternative 
Dispute Resolution Data-VA'' (116VA08); (2) designate the Deputy DRS 
Workplace ADR (08) as the system's manager and official responsible for 
maintaining the system of records; and (3) reflect that the Deputy DRS 
Workplace ADR (08) will manage the renamed ``Historical Alternative 
Dispute Resolution Data-VA'' (116VA08) system of records in lieu of the 
then DRS and Chairman of the VA Board of Contract Appeals (09).
    When adopted in 2002, the currently named ``Alternative Dispute 
Resolution Tracking System-VA'' (116VA09) was the sole method used to 
collect ADR data VA-wide. VA is establishing a new system of records 
titled the ``Alternative Dispute Resolution (ADR) Tracking System-
ADRTracker-VA'' for collection of ADR data. These two systems of 
records are separate and incompatible. Although the systems of records 
contain similar data elements, such data are collected and used for 
different purposes. VA now uses the ``Alternative Dispute Resolution 
Tracking System-VA'' (116VA09) for historical reference and reports.
    VA has determined to rename the ``Alternative Dispute Resolution 
(ADR) Tracking System-VA'' (116VA08), the earlier system of tracking 
ADR data, as the ``Historical Alternative Dispute Resolution Data-VA'' 
(116VA08) system of records to reflect its primarily historical use and 
to minimize confusion.
    VA is also proposing to amend two routine uses and establish two 
new routine use disclosures of information maintained in the 
``Historical Alternative Dispute Resolution Data-VA'' (116VA08) system 
of records, as renamed and renumbered:
    1. VA is amending use 2 to permit disclosure to the General 
Services Administration (GSA) in connection with records management 
inspections conducted under title 44, U.S.C.
    2. VA is amending routine use 5 to reflect the limitations of the 
names and home addresses of Veterans and their dependents contained in 
38 U.S.C. 5701(a), which provides that the agency may disclose this 
information only as permitted by that statute. VA may not promulgate a 
routine use authorizing disclosure of information that is barred by 
another confidentiality statute applicable to that information.
    3. VA is adding routine use 12 to the system of records to 
authorize the agency to disclose information to other Federal agencies 
when they need the information to prevent fraud or abuse of their 
programs by individuals.
    4. In December 2006, Congress enacted the Veterans Benefits, Health 
Care and Information Technology Act of 2006 (the Act), Public Law 109-
461, 120 Stat. 3403. Section 902(b) of the Act also added a new 
subchapter III, Information Security, to Chapter 57 of title 38, United 
States Code. Section 5724 requires VA to conduct an independent risk 
analysis (IRA) when VA has experienced a data breach involving the 
sensitive personal information of those individuals. The section also 
requires VA to provide credit protection services to those individuals 
if VA determines after the IRA that there is a reasonable risk for 
potential misuse of the individuals' sensitive personal information. In 
order to conduct the IRA and provide credit protection services, if 
appropriate, VA will have to disclose the sensitive personal 
information of these individuals to the entities performing the IRA and 
providing the credit protection services.
    Further, the Office of Management and Budget (OMB) also directed 
all Federal agencies in OMB Memorandum 07-16 to promulgate routine uses 
to be able to disclose Privacy Act-protected information where 
necessary to respond to data breaches. The OMB Memorandum is available 
at http://www.whitehouse.gov/omb/memoranda/fy2007/m07-16.pdf.
    VA is adding routine use 13 to the system of records to implement 
section 5724 of title 38 and to comply with the guidance issued by OMB.
    The Privacy Act permits VA to disclose information about 
individuals without their consent for a routine use when the 
information will be used for a purpose that is compatible with the 
purpose for which we collected the information. In all of the routine 
use disclosures described above, the recipient of the information will 
use the information in connection with a matter relating to one of VA's 
programs or will use the information to provide a benefit to VA, or 
disclosure is required to protect VA records, the subjects of those 
records, or the integrity of Federal programs. The notice of intent to 
publish and an advance copy of the system notice have been sent to the 
appropriate Congressional committees and to the Director of the Office 
of Management and Budget as required by 5 U.S.C. 552a(r) (Privacy Act) 
and guidelines issued by OMB (65 FR 77677), December 12, 2000.


[[Page 5315]]


    Approved: October 21, 2011.
John R. Gingrich,
Chief of Staff, Department of Veterans Affairs.
116VA08

SYSTEM NAME: ``Historical Alternative Dispute Resolution Data-VA''.
SYSTEM LOCATION:
    VA stores data from the System of Records at the Capital Region 
Data Center, 882 T J Jackson Drive, Falling Waters, WV 25419. The 
originals of related documents are maintained in the Office of the 
Assistant Secretary for Resolution Management, 810 Vermont Avenue NW., 
Washington, DC 20420, under lock and key.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The records contain information about VA employees and other 
individuals who have participated in a VA alternative dispute 
resolution program or dispute resolution.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records may contain information related to the name, grade, and 
step of the ADR requesters and respondents; the type of ADR requested, 
e.g., mediation or arbitration; the type of ADR used; the source of the 
individual(s) conducting the ADR, e.g., another Federal agency; the 
grades and steps of the individuals conducting the ADR process; 
administrative data on the particular ADR case, e.g., date requested; 
date concluded and total hours spent on the ADR; the nature of the 
dispute, e.g., discrimination or harassment; the stage in the dispute 
in which ADR is inserted; the jurisdictional forum in which the dispute 
was located when ADR was requested; any waiver of rights under 29 CFR 
part 1614; the terms of any settlement agreement, e.g., damages, 
attorneys fees, reassignment; and the satisfaction of the parties with 
the ADR process and the source of the neutral third party who conducted 
the procedure, e.g., the facility's program, a local shared neutral's 
program, the national program, or a private, non governmental program.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title 5, United States Code, sections 571-584; Federal Acquisition 
Regulation; Part 33, Protests, Disputes, and Appeals and/or VA 
Acquisition Regulation, Part 833, Protests, Disputes, and Appeals; and 
Title 29, Code of Federal Regulations, Part 1614.

PURPOSE(S):
    VA will use the information to track and monitor agency dispute 
resolution activities at the local level. VA also intends to analyze 
the data to evaluate ADR utilization VA-wide, identify agency ADR best 
practices, and determine whether certain forms of ADR may be more 
appropriate in various types of cases.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Disclosure may be made to a Congressional office from the record 
of an individual in response to an inquiry from the Congressional 
office made at the request of that individual.
    2. VA may disclose information from this system to the National 
Archives and Records Administration (NARA) and General Services 
Administration (GSA) in records management inspections conducted under 
the authority of title 44, U.S.C.
    3. Records from this system of records may be disclosed to the 
Department of Justice (DOJ) or in a proceeding before a court, 
adjudicative body, or other administrative body before which the agency 
is authorized to appear when: (1) The agency, or any component thereof; 
(2) any employee of the agency in his or her official capacity, where 
DOJ or the agency has agreed to represent the employee; or (3) the 
United States, when the agency determines that litigation is likely to 
affect the agency or any of its components; is a party to litigation, 
and has an interest in such litigation, and the use of such records by 
DOJ or the agency is deemed by the agency to be relevant and necessary 
to the litigation, provided, however, that the disclosure is compatible 
with the purpose for which the records were collected.
    4. Disclosure of relevant information may be made to individuals, 
organizations, private or public agencies, or other entities with whom 
VA has a contract or agreement or where there is a subcontract to 
perform such services as VA may deem practicable for the purposes of 
laws administered by VA, in order for the contractor or subcontractor 
to perform the services of the contract or agreement.
    5. VA may disclose on its own initiative any information in this 
system, except the names and home addresses of Veterans and their 
dependents, that is relevant to a suspected or reasonably imminent 
violation of law, whether civil, criminal, or regulatory in nature and 
whether arising by general or program statute or by regulation, rule, 
or order issued pursuant thereto, to a Federal, State, local, tribal, 
or foreign agency charged with the responsibility of investigating or 
prosecuting such violation, or charged with enforcing or implementing 
the statute, regulation, rule, or order. VA may also disclose on its 
own initiative the names and home addresses of Veterans and their 
dependents to a Federal agency charged with the responsibility of 
investigating or prosecuting civil, criminal, or regulatory violations 
of law, or charged with enforcing or implementing the statute, 
regulation, or order issued pursuant thereto.
    6. Disclosure may be made to an appeal, grievance, hearing, or 
complaints examiner; an equal employment opportunity investigator, 
arbitrator, or mediator; and an exclusive representative or other 
person authorized to investigate or settle a grievance, complaint, or 
appeal filed by an individual who is the subject of the record.
    7. Disclosure may be made to the Office of Personnel Management 
(OPM), the Office of Management and Budget (OMB), and the Government 
Accountability Office (GAO) in order for them to perform their 
responsibilities for evaluating Federal programs.
    8. Information may be disclosed to officials of labor organizations 
recognized under 5 U.S.C. chapter 71, when relevant and necessary to 
their duties of exclusive representation concerning personnel policies, 
practices, and matters affecting working conditions.
    9. Information may be disclosed to officials of the Merit Systems 
Protection Board or the Office of the Special Counsel when requested in 
connection with appeals, special studies of the civil service and other 
merit systems, review of rules and regulations, investigation of 
alleged or possible prohibited personnel practices, and such other 
functions, promulgated in 5 U.S.C. 1205 and 1206, or as may be 
authorized by law.
    10. Information may be disclosed to the Equal Employment 
Opportunity Commission when requested in connection with investigations 
of alleged or possible discriminatory practices, examination of Federal 
affirmative employment programs, or for other functions of the 
Commission as authorized by law.
    11. Information may be disclosed to the Federal Labor Relations 
Authority (including its General Counsel) when appropriate jurisdiction 
has been established and the information has been requested in 
connection with the investigation and resolution of allegations of 
unfair labor practices or in connection with the resolution of 
exceptions to arbitration awards when a question of material fact is 
raised; and

[[Page 5316]]

to the Federal Service Impasses Panel in matters they are considering.
    12. VA may, on its own initiative, disclose information to other 
Federal agencies to assist them in preventing and detecting possible 
fraud or abuse by individuals in their operations or programs.
    13. VA may, on its own initiative, disclose any information or 
records to appropriate agencies, entities, or persons when (1) VA 
suspects or has confirmed that the integrity or confidentiality of 
information in the system of records has been compromised; (2) the 
Department has determined that as a result of the suspected or 
confirmed compromise, there is a risk of embarrassment or harm to the 
reputations of the record subjects, harm to economic or property 
interests, identity theft or fraud, or harm to the security, 
confidentiality, or integrity of this system or other systems or 
programs (whether maintained by the Department or another agency or 
entity) that rely upon the potentially compromised information; and (3) 
the disclosure is to agencies, entities, or persons whom VA determines 
are reasonably necessary to assist or carry out the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm. This routine use permits 
disclosures by the Department to respond to a suspected or confirmed 
data breach, including the conduct of any risk analysis or provision of 
credit protect services as provided in 38 U.S.C. 5724 as the terms are 
defined in 38 U.S.C. 5727.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained on the VA's Office of Resolution Management 
Web Server System in the Citizens Disaster Response Center (CDRC) in 
Falling Waters, West Virginia.

RETRIEVABILITY:
    Records are retrieved by employee name, VA ADR case number, VA EEO 
case number, or VA facility number of the parties who participate in 
the VA ADR process.

SAFEGUARDS:
    Access to and use of these records is limited to those persons 
whose official duties require such access. Access to the VA Historical 
Alternative Dispute Resolution Data system of records is controlled by 
using an individually unique user identification code. Physical access 
to the facility where the ``VA Historical Alternative Dispute 
Resolution Data'' is maintained and controlled at all hours by the 
Federal Protective Service, VA, or other security personnel and 
security access control devices. Public use files prepared for purposes 
of research and analysis are purged of personal identifiers.

RETENTION AND DISPOSAL:
    Records are maintained during the employee participant's for a 
period of 20 calendar years and subsequently disposed of in accordance 
with records disposition authority processes established by the 
Archivist of the United States.

SYSTEM MANAGER(S) AND ADDRESS:
    Official responsible for policies and procedures: Deputy Assistant 
Secretary for Resolution Management, also known as the Deputy Dispute 
Resolution Specialist for Workplace ADR (08), Department of Veterans 
Affairs, 810 Vermont Avenue NW., Washington, DC 20420.

NOTIFICATION PROCEDURE:
    Individuals who wish to determine whether this system of records 
contains information about them should address written inquiries to 
Deputy Dispute Resolution Specialist for Workplace ADR (08), Department 
of Veterans Affairs, 810 Vermont Avenue NW., Washington, DC 20420. 
Inquiries should include: (1) The individual's name and address; (2) VA 
ADR or EEO case number, if known; and VA facility or facility number 
where the individual was employed or applied for employment.

RECORD ACCESS PROCEDURE:
    Individuals seeking information regarding access to and contesting 
of records in this system may write the Deputy Dispute Resolution 
Specialist for Workplace ADR (08), Department of Veterans Affairs, 810 
Vermont Avenue NW., Washington, DC 20420.

CONTESTING RECORD PROCEDURES:
    (See Record Access Procedures above.)

RECORD SOURCE CATEGORIES:
    Information in this system of records is provided by employees who 
serve as local ADR program coordinators who obtain information from the 
ADR program participants.

[FR Doc. 2012-2266 Filed 2-1-12; 8:45 am]
BILLING CODE 8320-01-P