Privacy Act of 1974; System of Records, 65135-65138 [2018-27475]

Agencies

• DEPARTMENT OF AGRICULTURE

[Federal Register Volume 83, Number 243 (Wednesday, December 19, 2018)]
[Notices]
[Pages 65135-65138]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-27475]


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Notices
                                                Federal Register
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This section of the FEDERAL REGISTER contains documents other than rules 
or proposed rules that are applicable to the public. Notices of hearings 
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Federal Register / Vol. 83, No. 243 / Wednesday, December 19, 2018 / 
Notices

[[Page 65135]]



 DEPARTMENT OF AGRICULTURE


Privacy Act of 1974; System of Records

AGENCY: Office of the Assistant Secretary for Civil Rights (OASCR).

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
U.S. Department of Agriculture (USDA) proposes to modify a system of 
records, USDA/OCRE-1, which will be renamed USDA/OASCR-1, Civil Rights 
Enterprise System (CRES). The Office of the Assistant Secretary for 
Civil Rights (OASCR) maintains CRES, which contains program 
discrimination complaints, alleging unlawful discrimination arising 
within programs or activities conducted or assisted by USDA. Records 
relating to Equal Employment Opportunity (EEO) complaints alleging 
unlawful discrimination against USDA employees or applications for 
employment are maintained in CRES also; however, those records are 
covered by EEOC/GOVT-1, EEO in the Federal Government Complaint and 
Appeal Records. The revised notice also conveys updates to the system 
location, categories of records, routine uses (one of which permits 
records to be provided to the National Archives and Records 
Administration), storage, safeguards, retention and disposal, system 
manager and address, notification procedures, records access, and 
contesting procedures.

DATES: This system of records will be effective without further notice 
on thirty (30) days after publication in the Federal Register, unless 
modified by a subsequent notice to incorporate comments received from 
the public. To ensure consideration, the contact person listed below 
must receive written or electronic comments on or before thirty (30) 
days after publication in the Federal Register.

ADDRESSES: The public may submit any comments to: Kenneth J. Baisden, 
Director, Data and Records Management Division, OASCR, USDA, 1400 
Independence Avenue SW, Washington, DC 20250, Mail Stop 0115 or at 
kenneth.baisden@ascr.usda.gov.

FOR FURTHER INFORMATION CONTACT: Kenneth J. Baisden, Director, Data and 
Records Management Division, OASCR, USDA, 
kenneth.baisden@ascr.usda.gov, 202-260-1897.

SUPPLEMENTARY INFORMATION: The Privacy Act of 1974, as amended (Privacy 
Act) (5 U.S.C. 552a), requires the Department to publish in the Federal 
Register this notice of a modified system of records maintained by the 
Department. The Department's regulations implementing the Privacy Act 
are contained in the Code of Federal Regulations in 7 CFR 1, Subpart G. 
The Department proposes to amend the existing system of records, USDA/
OCRE-1 Program Discrimination Complaints, which was last published in 
the Federal Register in 60 FR 5618 (January 30, 1995). The proposed 
amendments to USDA/OCRE-1 pertain to program discrimination complaints 
contained in CRES. Equal employment complaint records in CRES remain 
covered by the system of records EEOC/GOVT-1, Equal Employment 
Opportunity (EEO) in the Federal Government Complaint and Appeal 
Records (last published 81 FR 81116, Nov. 17, 2016).
    The CRES provides core support for the mission of Civil Rights (CR) 
offices, both at the department and sub-agency levels. The CRES serves 
management needs of agency heads who are, by law, charged with the 
responsibility for agency compliance with civil rights laws and 
regulations. CRES is a Web-based enterprise-wide complaint tracking 
system, consisting of a suite of applications supporting USDA and all 
Department agencies by tracking complaints. Additionally, CRES adheres 
to the regulatory reporting requirements and provides data for Civil 
Rights Reporting. The program discrimination complaints process 
supports enforcement of Title VI of the Civil Rights Act of 1964, the 
Rehabilitation Act, the implementing regulations at 7 CFR part 15, and 
any other applicable anti-discrimination statutes, rules, and 
regulations.
    The proposed revisions to the system incorporate MicroPact as the 
commercial vendor for the system and the location of the CRES servers. 
MicroPact focuses on engineering Web-based commercial off-the-shelf 
solutions for the Federal Government. CRES facilitates improved 
management of discrimination complaints using separate modules: Program 
Complaints Management System (PCMS) and Entellitrak (an Alternative 
Dispute Resolution System).
    The proposed revisions to the notice convey updates to the system 
location, categories of records, storage, safeguards, retention and 
disposal, system manager and address, notification procedures, records 
access, and contesting procedures. In addition, the Department proposes 
the following changes to the routine uses:
     The Department proposes to revise former Routine Use 1 and 
redesignate it as new Routine Uses A and H. Routine Use A permits 
disclosures to the U.S. Department of Justice (DOJ) for litigation 
purposes, and Routine Use H permits disclosures to a court or 
adjudicative body in a proceeding;
     The Department proposes to revise former Routine Use 2 and 
redesignate it as new Routine Use G for disclosure to Federal, State, 
local, foreign, Tribal, or other agencies to enforce, implement, 
investigate, or prosecute a violation of law;
     The Department proposes to revise former Routine Use 3 and 
redesignate it as new Routine Use B for disclosure to congressional 
offices at the written request of the constituent;
     The Department proposes to revise former Routine Use 4 and 
redesignate it as new Routine Use C for disclosure to the United States 
Civil Rights Commission;
     The Department proposes a new Routine Use D for disclosure 
for records management purposes;
     The Department proposes a new Routine Use E for disclosure 
to appropriate agencies, entities, and persons of information necessary 
to respond to a suspected or confirmed breach of the system of records 
in accordance with Office of Management and Budget (OMB) Memorandum M-
17-12, Preparing for and Responding to a Breach of Personally 
Identifiable Information (Jan. 3, 2017);

[[Page 65136]]

     The Department proposes a new Routine Use F for disclosure 
to another Federal agency or entity of information reasonably necessary 
to assist in responding to a suspected or confirmed breach or to 
prevent, minimize, or remedy harm, in accordance with OMB Memorandum M-
17-12; and
     The Department proposes a new Routine Use I for disclosure 
to contractors, grantees, experts, consultants, or others when 
necessary to accomplish an agency function.
    In accordance with the Privacy Act, 5 U.S.C. 552a(r), the 
Department has provided a report to OMB and Congress on this revised 
system of records.

Stephen L. Censky,
Deputy Secretary.
SYSTEM NAME AND NUMBER
    USDA/OASCR-1, Civil Rights Enterprise System, (CRES).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    OASCR maintains the records in this system and stores a hard copy 
at the National Archives and Records Administration. The electronic 
record systems are maintained on servers physically located at the 
MicroPact Data Center, 12901 Worldgate Drive, Suite 800, Herndon, 
Virginia. In the future, USDA may transfer records within this system 
to a USDA-authorized cloud service provider, in which case records 
would reside at another location within the Continental United States. 
Additionally, USDA employees may maintain hard or electronic copies at 
USDA offices.

SYSTEM MANAGER(S):
    Shawn McGruder, Director, Office of Adjudication, OASCR, USDA,1400 
Independence Avenue SW, Washington, DC 20250, 
shawn.mcgruder@ascr.usda.gov; 202-720-5212.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301, 42 U.S.C. 2000d, et seq., 42 U.S.C. 3608(d); 42 
U.S.C. 12101, et seq.; 20 U.S.C. 1681, et seq.; 29 U.S.C. 794; 15 
U.S.C. 1691, et seq; and 7 U.S.C. 2011, et seq.

PURPOSE(S) OF THE SYSTEM:
    This system is maintained for the purpose of effectively 
documenting and processing program discrimination complaints arising 
within USDA.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system contains records about individuals who have filed 
complaints of program discrimination by USDA, and the Department and 
sub-agencies generally access the records by that individual's name or 
an identifier unique to that individual's complaint. In addition, the 
system may capture information about individuals referenced or 
identified in records created or compiled as part of the process of 
documenting and processing program discrimination complaints. 
Individuals who may have information in the system include contractors, 
complainants, witnesses, investigators, third parties, Administrative 
Judges, legal representatives, applicants for employment who have filed 
informal or formal complaints alleging discrimination, customers, 
members of the public who have filed a complaint, and others who have 
participated or otherwise been involved in proceedings relating to a 
program discrimination complaint.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system consists of records created or compiled as part of the 
process of documenting and processing program discrimination 
complaints. Such records include the following: Records created or 
compiled in response to complainants' statements of alleged 
discrimination; respondents' statements; witnesses' statements; names 
and addresses of complainants and respondents; personal, employment, or 
program participation information; medical records; conciliation and 
settlement agreements; related correspondence; initial and final 
determinations; and any other records related to the intake, 
investigation, or adjudication of discrimination complaints.

RECORD SOURCE CATEGORIES:
    Information in this system of records is obtained from the covered 
individuals, members of the public, USDA employees, contractors, USDA 
applicants, and other individuals or entities participating in program 
complaint matters, or is taken from other program discrimination 
complaints.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    Under the routine uses listed, USDA may disclose, without the 
consent of the individual, information contained in a record in this 
system, provided the disclosure is compatible with a purpose for which 
the record was collected.
    A. To the DOJ when: (a) USDA or any component thereof; or (b) any 
employee of USDA in his or her official capacity; or (c) any employee 
or former employee of USDA in his/her individual capacity when the DOJ 
has agreed to represent the employee; or (d) the United States is a 
party to litigation or has an interest in such litigation, and by 
careful review, USDA determines that the records are both relevant and 
necessary to the litigation and the use of such records by the DOJ is 
therefore deemed by USDA to be for a purpose that is compatible with 
the purpose for which USDA collected the records.
    B. To a congressional office from the record of an individual in 
response to a written inquiry from the congressional office made at the 
request of that individual.
    C. To the United States Civil Rights Commission in response to its 
request for information, per 42 U.S.C. 1975a.
    D. To the National Archives and Records Administration (NARA) or 
General Services Administration, pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    E. To appropriate agencies, entities, and persons when (1) USDA 
suspects or has confirmed that there has been a breach of the system of 
records; (2) USDA has determined that, as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals, USDA 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure to 
such agencies, entities, and persons is reasonably necessary to assist 
with USDA's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    F. To another Federal agency or Federal entity, when USDA 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach; or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    G. To the appropriate Federal, State, local, foreign, Tribal, or 
other agency responsible for enforcing, implementing, investigating, or 
prosecuting a civil or criminal violation of law, or rule or order 
issued pursuant thereto, when a record on its face, or in conjunction 
with other records, indicates a violation or potential violation of 
law, regulation, rule, or order, and when the information

[[Page 65137]]

disclosed is relevant to any enforcement, implementation, regulatory, 
investigative, or prosecutorial responsibility of the receiving entity.
    H. To a court or adjudicative body in a proceeding when: (a) USDA 
or any component thereof; or (b) any employee of USDA in his or her 
official capacity; or (c) any employee of USDA in his or her individual 
capacity where DOJ has agreed to represent the employee; or (d) the 
United States is a party to litigation or has an interest in such 
litigation, and by careful review, USDA determines the records are both 
relevant and necessary to the litigation and the use of such records 
is, therefore, deemed by USDA to be for a purpose compatible with the 
purpose for which USDA collected the records.
    I. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for OASCR, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to USDA officers and employees.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    OASCR, Records Management Services (RMS) is responsible for 
maintaining its program complaint records. These records are 
electronically stored in CRES and are under the custodial care of 
OASCR.
    Records maintained by OASCR are accessioned to NARA, as permanent 
records, at the appropriate time. Electronic records are stored at the 
MicroPact Data Center. USDA employees also may maintain paper or 
electronic copies at USDA offices.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Electronic and paper records are indexed by name of complainant, 
agency, and address. Paper records are retrieved from NARA. Electronic 
records are retrieved from MicroPact Data Center. Electronic and/or 
paper records are retrieved from USDA employees at USDA offices.
    To retrieve an individual record, an employee (with approval) would 
access CRES for an individual complaint file and enter the 
complainant's last and first name or the case number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained and disposed of in accordance with NARA's 
General Records Schedule 16 and USDA's General Records Schedule 2.3, 
but may be retained for a longer period as required by litigation, 
investigation, and/or audit. Electronic and/or paper records are 
retained with USDA employees at USDA offices.
    USDA's General Records Schedule covers records-documenting 
activities related to managing relationships among the agency, its 
employees, and its unions and bargaining units.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records are stored securely at the National Archives and Records 
Administration. This office is always locked when unoccupied. Access to 
and use of these records is limited to those persons whose official 
duties require such access. Electronic records are also stored at 
MicroPact or with the vendor who manages the system. All users are 
given security awareness training that covers procedures for handling 
sensitive information, including personally identifiable information 
(PII). Annual refresher training is mandatory. All USDA employees and 
contractors with authorized access have undergone a thorough background 
security investigation.

RECORD ACCESS PROCEDURES:
    Per the Privacy Act of 1974, individuals who have cause to believe 
that OASCR might have records pertaining to them may submit a written 
request to the System Manager, Director, Office of Adjudication, 1400 
Independence Avenue SW, Washington, DC 20250. The individual must 
specify that he/she wishes the records maintained by OASCR to be 
checked and put in an envelope marked ``Privacy Act Request.''

CONTESTING RECORD PROCEDURES:
    An individual desiring to contest or amend information maintained 
in the system should submit a written request to the System Manager. 
The written request should include, as appropriate, the reason for 
contesting it, and the proposed amendment to the information sought. 
The regulations governing the contesting of contents of records and 
appealing initial determinations of such requests are set forth at 7 
CFR 1.110-1.123.

NOTIFICATION PROCEDURES:
    Same as record access procedures.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    60 FR 5618, Vol. 60, No. 19, (January 30, 1995).

United States Department of Agriculture (USDA) Narrative Statement on a 
Modified System of Record Under the Privacy Act of 1974: USDA/OCRE-1

    The U.S. Department of Agriculture's (USDA) Office of the Assistant 
Secretary of Civil Rights (OASCR) is modifying the system of records 
for OCRE-1. The system will be renamed USDA/OASCR-1, Civil Rights 
Enterprise System (CRES). The proposed amendments to USDA/OCRE-1 
pertain to program discrimination complaints contained in CRES. Equal 
employment complaint records in CRES remain covered by the system of 
records EEOC/GOVT-1, Equal Employment Opportunity (EEO) in the Federal 
Government Complaint and Appeal Records (last published 81 FR 8116, Nov 
17, 2016.)
    The authorities for maintaining this system are 5 U.S.C. 301, 42 
U.S.C. 2000d, et seq., 42 U.S.C. 3608(d); 42 U.S.C. 12101, et seq.; 20 
U.S.C. 1681, et seq.; 29 U.S.C. 794; 15 U.S.C. 1691, et seq; and 7 
U.S.C. 2011, et seq.
    CRES provides core support for the mission of Civil Rights (CR) 
offices both at the department and sub-agency levels. In this function, 
the system serves the needs of agency heads who by law are responsible 
for agency compliance with EEO and CR laws. CRES is implemented as a 
Web-based enterprise-wide complaint tracking system, consisting of a 
suite of applications supporting USDA and all Department agencies by 
tracking, processing, and managing employment and program complaints, 
as well as meeting regulatory reporting requirements. Currently, CRES 
facilitates improved management of discrimination complaints using 
separate modules. These modules also provide data used for various 
government and Federal Civil Rights reporting.
    In the past, the system's servers were maintained in house, by 
USDA. However, due to the enormous volume, complexity, and most 
importantly, the sensitivity (personally identification information) of 
the data, it was determined that there was a need for an enterprise-
wide solution for CRES. MicroPact was selected as the vendor-hosted 
company to manage the program and EEO data as well as maintain the 
servers for CRES. MicroPact Engineering provides system, network, 
development,

[[Page 65138]]

and administrative security. Further, MicroPact is Federally 
accredited, and is a FedRAMP Compliant Cloud Service Provider, 
engineering Web-based focused company that provides commercial off-the-
shelf solutions, and delivers domain expertise within the area of EEO.
    USDA may disclose information contained in a record in this system 
of records under the routine uses listed, without the consent of the 
individual if the disclosure is compatible with a purpose for which the 
record was collected, as follows:
     To the U.S. Department of Justice (DOJ), a court or other 
tribunal, or another party before such tribunal, when USDA, any 
component thereof, or any employee in his or her individual capacity 
where DOJ (or USDA where it is authorized to do so) has agreed to 
represent the employee, or the United States where USDA determines that 
the litigation is likely to affect directly the operations of USDA or 
any of its components, is a party to the litigation or has an interest 
in such litigation, and USDA determines that the use of such records by 
DOJ, the court, or other tribunal, or the other party before such 
tribunal is relevant and necessary to the litigation; provided, 
however, that in each case, USDA determines that such disclosure is 
compatible with the purpose for which the records were collected. In 
the event that materials in this system indicate a violation of law, 
whether civil or criminal or regulatory in nature, and whether arising 
by general statute, or by regulation, rule, or order issued pursuant 
thereto, the relevant records may be disclosed to the appropriate 
agency, whether Federal, State, local, or foreign, charged with the 
responsibility of investigation or prosecuting such violation or 
charged with enforcing or implementing the statute, rule, regulation, 
or order issued pursuant thereto.
     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. Disclosure may be made to the U.S. Civil 
Rights Commission in response to its request for information.
     To appropriate agencies, entities, and persons when (1) 
USDA suspects or has confirmed that there has been a breach of the 
system of records; (2) USDA has determined that as a result of the 
suspected or confirmed breach there is a risk of harm to individuals, 
USDA (including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with USDA's efforts to respond to the suspected or 
confirmed breach or to prevent, minimize, or remedy such harm.
     To another Federal agency or Federal entity, when USDA 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
     To contractors and their agents, grantees, experts, 
consultants, and others performing or working on a contract, service, 
grant, cooperative agreement, or other assignment for OASCR, when 
necessary to accomplish an agency function related to this system of 
records; provided however that these individuals are subject to the 
same Privacy Act requirements and limitations on disclosure as are 
applicable to USDA officers and employees.
     To the National Archives and Records Administration (NARA) 
or General Services Administration (GSA), pursuant to records 
management inspections being conducted under the authority of 44 U.S.C. 
2904 and 2906.
    Probable or potential effects on the privacy of individuals: 
Although there is some risk to the privacy of individuals, that risk is 
outweighed by the benefit of a vendor-managed system. In addition, the 
safeguards in place by MicroPact protect against unauthorized 
disclosure. Records are accessible only to individuals who are 
authorized. Logical, physical, and electronic safeguards are employed 
to ensure security. CRES has successfully attained ``the authority to 
operate,'' the security assessment, and authorization process, as well 
as successfully attained risk assessments, to include security scanning 
and patching.
    OMB Control Number of Collection Request. OMB Control Number: 0508-
0002, title: USDA Program Discrimination Complaint Form, expires: 
February 28, 2021.

[FR Doc. 2018-27475 Filed 12-18-18; 8:45 am]
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