[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