Daily Rules, Proposed Rules, and Notices of the Federal Government
The Department has filed a report describing the altered system of records covered by this notice with the Chair of the Senate Committee on Homeland Security and Governmental Affairs, the Chair of the House Committee on Oversight and Government Reform, and the Administrator of the Office of Information and Regulatory Affairs, Office of Management and Budget (OMB) on November 6, 2012. This altered system of records will become effective on the later date of: (1) The expiration of the 40-day period for OMB review on December 17, 2012, unless OMB waives 10 days of the 40-day review period for compelling reasons shown by the Department; or (2) December 10, 2012, unless the systems of records needs to be changed as a result of public comment or OMB review.
On request we will provide an appropriate accommodation or auxiliary aid 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 accommodation or auxiliary aid, please contact the person listed under
The ADR Center Case Tracking System is a web-based J2EE application that is platform independent and captures all information relating to Alternative Dispute Resolution case processing. It tracks, manages, and reports on all data, events, and procedures related to pre-grievances (administrative and negotiated), pre-Equal Employment Opportunity (EEO) complaints, formal EEO complaints, and other workplace issues. The ADR Center Case Tracking System provides a reporting module that collects data for tracking, managing, and reporting purposes, including, but not limited to, management reports, statistical analysis, and case status reports.
The ADR Center Case Tracking System will be a standalone system of records that will no longer be located in the OM, Office of Hearings and Appeals, but instead will be located in the OM, Alternative Dispute Resolution Center. These records will be maintained, not only in paper files in filing cabinets, but will now also be maintained electronically on a computerized tracking system, as well as in an email system. They will now be maintained electronically to improve efficiency and functionality, particularly with regard to tracking. The ADR Center Case Tracking System will collect the same data as previously collected on current and former non-bargaining unit employees of the Department and applicants.
The Department published the original system of records on June 4, 1999, in the
In addition, the Department proposes to revise the routine uses. We propose
The Department proposes to also revise routine use (6) “Labor Organization Disclosure” to permit the Department to disclose records from this system to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. In addition, the Department also proposes to revise routine use (7) “Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure” to permit the Department to disclose records from this system to the Department of Justice and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.
Finally, the Department proposes to add a new, routine use (13) “Disclosure in the Course of Responding to a Breach of Data” to permit the Department to disclose records from this system to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result for the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) 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 compromise and prevent, minimize, or remedy such harm.
The notice also revises the policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system (particularly the retention and disposal of records in the system), the safeguards that protect the records in the system, and updates the system manager and address. The retention and disposal policy has been updated to comply with the General Records Schedule approved by the National Archives and Records Administration. The description of safeguards has been updated to include additional security measures that have been put in place, including monitoring by security personnel and the testing of the system's security posture.
The Privacy Act requires the Department to publish in the
The Privacy Act applies to any record about an individual containing individually identifying information that is retrieved from a system of records by a unique identifier associated with each individual, such as a name or social security number. The information about each individual is called a “record,” and the system, whether manual or computer-based, is called a “system of records.”
The Privacy Act requires each agency to publish notices of systems of records in the
Each agency is also required to send copies of the report to the Chair of the Senate Committee on Homeland Security and Governmental Affairs and the Chair of the House Committee on Oversight and Government Reform. These reports are included to permit an evaluation of the probable effect of the proposal on the privacy rights of individuals.
You may also access documents of the Department published in the
For the reasons discussed in the introduction, the Principal Deputy Assistant Secretary for Management, U.S. Department of Education (Department) publishes a notice of altered system of records to read as follows:
Alternative Dispute Resolution (ADR) Center Case Tracking System
Alternative Dispute Resolution Center, Office of Management, U.S. Department of Education, Capitol Place Building, 80 F Street, NW., Room 408C/Mail Stop 4000, Washington, DC 20001-1528.
This system contains records about current and former Department employees or applicants who have contacted the ADR Center within 45 calendar days of becoming aware of an incident or work-related dispute needing resolution. A work-related dispute can include a pre-grievance (administrative or negotiated), pre-Equal Employment Opportunity (EEO) complaint, or formal EEO complaint that involves various labor and employment laws and regulations pertaining to informal workplace dispute resolution.
This system of records produces an Alternative Dispute Resolution Center case file that contains personally identifying information that is pertinent to the particular claim (e.g., non-selection, disciplinary action, performance problem) being asserted, including, but not limited to, documents that contain the employee's name, sex, date of birth, home address, and
The system is authorized under the Administrative Dispute Resolution Act of 1996 (ADRA), 5 U.S.C. 571 et seq.; Age Discrimination in Employment Act of 1967, as amended (ADEA), 29 U.S.C. 621 et seq.; EEOC regulations, 29 CFR part 1614; Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e et seq.; Sections 501 and 505 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791 et seq.; the Equal Pay Act, 29 U.S.C. 206(d); the Genetic Information Nondiscrimination Act, 42 U.S.C. 2000ff et seq.; Department of Education, Personnel Management Instruction 771-1-Employee Grievances; and, the Department of Education's Collective Bargaining Agreement, Article 42-Grievance Procedure.
The information in this system is used: (1) To track, manage, and report on all data, events, and procedures related to pre-grievances (administrative or negotiated); (2) to track, manage, and report on all data, events, and procedures related to pre-EEO complaints referred to the ADR Center for alternative dispute resolution; (3) to track, manage, and report on all data, events, and procedures related to formal EEO complaints referred to the ADR Center for alternative dispute resolution; (4) to track, manage, and report on all other data, events, and procedures related to any workplace issue; (5) to collect, analyze, and report data pertinent to the particular claim being asserted to include some Personally Identifiable Information (PII) for periodic reports and analysis; (6) to maintain a record of the data provided by employees requesting assistance; (7) to act as a source for information necessary to fulfill Equal Employment Opportunity Services' alternative dispute resolution reporting requirements; and (8) to enable complaint resolution partners to review and analyze the data of their formal grievance/complaint population.
The Department may disclose information contained in a record in this system of records under the routine uses listed in the 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.
(i) The Department, or any of its components; 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 agreed to or has been requested to provide or arrange for representation of the employee;
(iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; or
(v) The United States where the Department determines that the litigation is likely to affect the Department or any of its components.
Not applicable to this notice.
Records are maintained in paper files in filing cabinets and electronically on a computerized tracking system, and in an email system.
Records are indexed by case tracking number and can be retrieved by the name of the non-Government party, whether applicant or employee.
Access to and use of the hard-copy records and the electronic system is limited to those persons with a “need-to-know” and whose official duties require such access. Hard-copy records are stored in file cabinets in an office location that is kept locked after the close of the business day. Personnel screening is employed to prevent unauthorized disclosure. Computers are password protected. The system is designed with security measures to control an individual user's ability to access and alter records.
The records in this system are maintained in accordance with the General Records Schedule 1, item 27 Alternative Dispute Resolution (ADR) Files. The General Files, such as, general correspondence and copies of statutes, regulations, meeting minutes, reports, statistical tabulations, evaluations of the ADR program, and other records relating to the Department's overall ADR program will be destroyed when 3 years old. A longer retention is authorized if records are needed for agency business. (N1-GRS-03-2 item a).
The Case Files cover records documenting ADR proceedings and may include an agreement to use ADR, documentation of the settlement or discontinuance of the ADR case, parties' written evaluations of the process and/or the neutral third party mediator, and related correspondence. The Case Files will be destroyed 3 years after settlement is implemented or the case is discontinued. (N1-GRS-03-2 item b).
Director, Alternative Dispute Resolution Center, Office of Management, U.S. Department of Education, Capitol Place Building, 80 F. Street, NW., Room 408C/Mail Stop 4000, Washington, DC 20001-1528.
If you wish to determine whether a record exists regarding you in this system of records, contact the system manager. Requests must meet the requirements in the regulations at 34 CFR 5b.5, including proof of identity.
If you wish to gain access to a record in this system, contact the system manager. Requests by an individual for access to a record must meet the requirements the regulations at 34 CFR 5b.5, including proof of identity.
If you wish to contest the content of a record regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Act regulations at 34 CFR 5b.7, including proof of identity.
Information in this system of records is supplied from the following sources: Directly by the individual filing a request for resolution of an EEO pre-complaint, EEO formal complaint or pre-grievance, from information supplied by the individual, or by testimony of witnesses, employee