SYSTEM OF RECORDS NOTICES (SORNs)
DoD COMPONENT NOTICES
Office of the Secretary, DoD/Joint Staff
DoD Roster of Neutrals (May 28, 1998, 63 FR 29188).
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:
Records consist of background data regarding the experience and training of persons who are or wish to be mediators. For individuals who are used as mediators, the files contain evaluations submitted by the parties to the dispute commenting upon the effectiveness of the mediator and or the mediation process.
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).
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 PURPOSES 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:
Hard copy files are maintained in file cabinets and computer files on magnetic or optical media. All are stored in a secure area.
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.
Files are maintained in a secure area under the direct control of Office of Alternative Dispute Resolution 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:
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.
Individuals seeking to determine whether information about themselves as nuetrals 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 nuetrals 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.
Contesting Record 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: