Privacy Act of 1974; System of Records
| Published date | 09 April 2024 |
| Record Number | 2024-07324 |
| Citation | 89 FR 24869 |
| Court | National Labor Relations Board |
| Section | Notices |
Federal Register, Volume 89 Issue 69 (Tuesday, April 9, 2024)
[Federal Register Volume 89, Number 69 (Tuesday, April 9, 2024)]
[Notices]
[Pages 24869-24873]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-07324]
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NATIONAL LABOR RELATIONS BOARD
Privacy Act of 1974; System of Records
AGENCY: National Labor Relations Board (NLRB).
ACTION: Notice of a modified system of records and rescindment of
systems of records notices.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, the
National Labor Relations Board (``NLRB'' or ``Agency'') publishes this
notice of a modified system of records entitled Next Generation Case
Management System (NxGen) (NLRB-33), which includes records from twelve
systems of records that are no longer being maintained, and so those
twelve systems of records notices are being rescinded. NxGen, an
electronic case tracking system, permits the accurate and timely
collection, retrieval, and retention of information maintained by
offices of the Agency regarding those offices' handling of matters
before them, including unfair labor practice and representation cases.
This notice also includes the rescindment of two other systems of
records that the Agency has stopped maintaining: Investigative Services
Case Files (NLRB-16, Federal Register, May 16, 1988), and Telephone
Call Detail Records (NLRB-19, Federal Register, August 17, 1994). All
persons are advised that, in the absence of submitted comments
considered by the Agency as warranting modification of the notice as
proposed, it is the intention of the Agency that the notice shall be
effective upon expiration of the comment period without further action.
DATES: Written comments on the system's routine uses must be submitted
on or before May 9, 2024. The routine uses in this action will become
effective on May 9, 2024 unless written comments are received that
require a contrary determination.
ADDRESSES: All persons who desire to submit written comments for
consideration by the Agency in connection with the proposed notice of
system of records notice shall file them with the Senior Agency
Official for Privacy (SAOP), National Labor Relations Board, 1015 Half
Street SE, Washington, DC 20570. Comments on this notice may also be
submitted electronically to [email protected] or through http://www.regulations.gov, which contains a copy of this proposed notice and
any submitted comments.
FOR FURTHER INFORMATION CONTACT: Ibrahim M. Ibrahim, Privacy and
Information Security Specialist, Office of the Chief Information
Officer, National Labor Relations Board, 1015 Half Street SE, Third
Floor, Washington, DC 20570-0001, (202) 273-3733, or at
[email protected].
SUPPLEMENTARY INFORMATION: NxGen contains information from the twelve
legacy systems, listed below, which are now consolidated into NxGen.
The system of records notices for these twelve legacy systems are being
rescinded.
The Agency previously published a Federal Register notice that it
was consolidating six of its legacy electronic case tracking systems
into a new electronic system, NxGen. 77 FR 5062 (Feb. 1, 2012). The
system of records notices for those six systems had been published at
71 FR 74,941 (Dec. 13, 2006). Those six systems were:
1. Judicial Case Management System--Pending Case List (JCMS-PCL)
and Associated Headquarters Files (NLRB-21);
2. Judicial Case Management System-eRoom (JCMS-eRoom) (NLRB-22);
3. Solicitors System (SOL) and Associated Headquarters Files (NLRB-
23);
4. Case Activity Tracking System (CATS) and Associated Regional
Office Files (NLRB-25);
5. Regional Advice and Injunction Litigation System (RAILS) and
Associated Headquarters Files (NLRB-28); and
6. Appeals Case Tracking System (ACTS) and Associated Headquarters
Files (NLRB-30).
In addition to the six legacy systems cited in the 2012 notice,
NxGen now includes records from the following five additional legacy
systems, whose system of records notices were also published at 71 FR
74,941 (Dec. 13, 2006):
7. Trial Information Gathered on Electronic Record (TIGER) and
Associated Agency Files (NLRB-24);
8. Litigation Information on the Network (LION) (NLRB-26);
9. Special Litigation Branch Case Tracking System (SPLIT) and
Associated Headquarters Files (NLRB-27);
10. Work in Progress (WIP) and Associated Headquarters Files (NLRB-
29); and
11. Office of Appeals Extension of Time System (NLRB-31).
NxGen also contains records from a legacy system called:
12. Agency Disciplinary Case Files (Nonemployees) (NLRB-20), whose
system of records notices were published at 58 FR 57633 (Oct. 26, 1993)
and 61 FR 13884 (March 28, 1996), concerning disciplinary proceedings
of non-Board attorneys pursuant to 29 CFR 102.177 (``102.177 cases'').
In addition to rescinding the twelve legacy systems listed above,
the Agency is also rescinding two other systems of records that the
Agency has stopped maintaining:
Investigative Services Case Files (NLRB-16), 53 FR 17262
(May 16,
[[Page 24870]]
1988), concerning Agency investigations related to unfair labor
practice cases (including compliance processing, as explained below)
where, for charges that appear meritorious, there is concern about
whether the correct party has been alleged or whether the charged
party's financial condition raises questions about its ability to
remedy unfair labor practices. For those records formerly contained in
NLRB-16 that are not contained in NxGen, the Agency has treated those
records pursuant the NLRB's Comprehensive Records Schedule (with
National Archives and Records Administration (NARA) filename NC1-025-
81-01) for ``transitory files'' (Standard Number 101-04), with a
disposition of destruction after 90 days; and
Telephone Call Detail Records (NLRB-19), 59 FR 42315
(August 17, 1994), concerning records relating to use of Agency
telephones to place long-distance calls. The Agency has treated records
from NLRB-19 pursuant to the disposition instructions in NARA General
Records Schedule 5.6 for ``Records of credit card abuse and postal
irregularities'' (Item 050).
NxGen contains case information regarding matters before the Board
(including matters before the Office of the Solicitor, the Office of
Representation Appeals, and the Office of the Executive Secretary), the
Division of Judges, the Division of Operations-Management, Regional
Offices, the Appellate and Supreme Court Litigation Branch, the
Division of Advice's Regional Advice and Injunction Litigation
Branches, the Office of Appeals, and the Contempt, Compliance, and
Special Litigation Branch.
Records in NxGen include administrative unfair labor practice and
representation proceeding documents, litigation files, transcripts,
exhibits, briefs, motions, Board decisions, court opinions and orders
made in the adjudication of cases, 102.177 case records,
correspondence, legal research memoranda, and other related documents.
Pursuant to 5 U.S.C. 552a(k)(2), the Agency has exempted portions
of NxGen from the following provisions of the Privacy Act: 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f). See
29 CFR. 102.119, published at 82 FR 11754, Feb. 24, 2017, as amended at
84 FR 70425, Dec. 23, 2020, and 85 FR 75855, Nov. 27, 2020. Pursuant
this Notice of a modified system of records and rescindment of system
of records notices, the Agency, in a Direct Final Rule that appears
elsewhere in this issue of the Federal Register, is setting forth
consolidated exemptions for the NxGen system to make technical changes
that would eliminate references to the legacy systems listed above. A
report of the proposal to significantly revise this system of records
has been filed pursuant to 5 U.S.C. 552a(r) with Congress and the
Office of Management and Budget.
References to the Agency's ``unfair labor practice cases'' in this
notice include the portion of such cases known as ``compliance,''
during which the Agency seeks effectuation of remedial provisions of a
settlement agreement, Board order, or court judgment enforcing a Board
order. See NLRB Casehandling Manual, Part 3, Compliance Proceedings
(October 2020).
SYSTEM NAME AND NUMBER:
Next Generation Case Management System (NxGen) (NLRB-33).
SECURITY CLASSIFICATION:
Controlled Unclassified Information.
SYSTEM LOCATION:
Records are maintained at the National Labor Relations Board
Headquarters in Washington, DC and in NLRB field locations, which are
available on the NLRB's website (https://www.nlrb.gov), and in
electronic databases.
SYSTEM MANAGER:
Chief Information Officer, National Labor Relations Board.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 153(d), 159, 160, 161; 44 U.S.C. 3101; the Government
Performance and Results Act of 1993, Public Law 103-62, 107 Stat. 285
(codified in sections of Titles 5, 31, and 39 of the U.S. Code); the
Government Performance and Results Modernization Act of 2010, Public
Law 111-352 (codified as amended in scattered sections of 5 U.S.C. and
31 U.S.C.); 29 CFR 102.177; and E.O. 9397 (8 FR 16094, Nov. 30, 1943),
as amended by E.O. 13478 (73 FR 70239, Nov. 20, 2008), relating to
federal use of Social Security numbers.
PURPOSE(S) OF THE SYSTEM:
NxGen is an electronic case management system used by offices of
the Agency to facilitate the accurate and timely collection, retrieval,
and retention of information regarding the processing of unfair labor
practice and representation cases, as well as other matters. The
following offices of the Agency use NxGen for the purposes described:
the Offices of the Board (Members and their staffs, the
Office of Representation Appeals, the Office of the Solicitor, and the
Office of the Executive Secretary) to facilitate collaborative drafting
of decisions and disposition of cases and other matters before the
Board;
the Division of Judges for managing cases before the
Division;
the Division of Operations-Management and the Regional
Offices for the processing of unfair labor practice charges,
representation petitions, and matters arising under 29 CFR 102.177;
the Appellate and Supreme Court Litigation Branch for
cases referred to the Branch for enforcement or review in the federal
courts of appeals, pursuant to Section 10(e) and (f) of the National
Labor Relations Act (NLRA), 29 U.S.C. 160(e) and (f), as well as for
consideration of Supreme Court matters in consultation with the United
States Solicitor General's office;
the Division of Advice, for cases referred by the Regions
to that Division;
the Contempt, Compliance, and Special Litigation Branch
(CCSLB) to facilitate case handling by the Branch; and
the Office of Appeals for reviewing appeals of decisions
by Regional Directors to dismiss or defer unfair labor practice charges
and requests for extensions of time to file appeals.
The information and activities tracked by the system may be
generated by parties' filings of briefs, motions, and other documents,
or by deliberative, analytical processes undertaken by Agency employees
assigned to cases. This system stores current and historical
information and is used to: facilitate and document casehandling;
generate data for managing the Agency's case processing and resources;
create the Agency's budget; prepare monthly and annual reports of
casehandling activities; provide responses to requests pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. 552; and provide
information to the public, Congress, and other governmental entities.
The information in this system may be used to assist in evaluating
performance of Agency employees.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individual charged parties and individual charging parties in
unfair labor practice cases; individual petitioners and individual
employers in representation cases; individual representatives and named
contacts of parties in unfair labor practice and representation cases,
as well as related judicial or administrative proceedings; individual
discriminatees in unfair
[[Page 24871]]
labor practice cases filed with the Agency; individuals who have filed
petitions for rulemaking with the Board; non-Agency attorneys who are
the subjects of disciplinary proceedings under Section 102.177 of the
Board's Rules and Regulations; current Agency employees assigned to
cases or other matters or judicial proceedings involving the Agency.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records contain such data elements as the names of parties,
case status, Agency personnel assignments, due dates, hearing dates,
court judgment dates, case-docketing information, parties' home
addresses and home telephone numbers, personal email addresses,
signatures, and health and/or medical information. For certain
discriminatees in unfair labor practice cases, the records may also
include the discriminatee's name, date of birth, date of death (if
applicable), Social Security number, amounts of certain earnings, bank
account information (where the discriminatee elects to receive funds
through direct deposit), as well as the name, address, identification
number of discriminatee's employer.
RECORD SOURCE CATEGORIES:
Record source categories include parties, representatives,
witnesses, Agency employees, and the Social Security Administration in
the following types of matters: unfair labor practice and
representation cases; petitions for rulemaking; Section 102.177 cases;
and other matters handled by Agency offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b), all or a portion of the records or information contained in
this system may be disclosed outside the NLRB as a routine use pursuant
to 5 U.S.C. 552a(b)(3) as follows:
1. To a federal, state, or local agency (including a bar
association or other legal licensing authority), charged with the
responsibility for investigating, defending, or pursuing violations of
law or rule (civil, criminal, or regulatory in nature), in any case in
which there is an indication of a violation or potential violation of
law or rule;
2. In a federal, state, or local proceeding or hearing, which is
administrative, judicial, or regulatory, in accordance with the
procedures governing such disclosure and proceeding or hearing,
including, but not limited to, National Labor Relations Board Rule 29
CFR 102.118, and such records are determined by the Agency to be
arguably relevant to the litigation;
3. To the Agency's legal representative, including the Department
of Justice and other outside counsel, where the Agency is a party in
litigation or has an interest in litigation, including when any of the
following is a party to litigation or has an interest in such
litigation: (a) the Agency, or any office thereof; (b) any employee of
the Agency in his or her official capacity; (c) any employee of the
Agency in her or her individual capacity, where the Department of
Justice has agreed or is considering a request to represent the
employee; or (d) the United States, where the Agency determines that
litigation is likely to affect the Agency or any of its offices;
4. To a party or his or her representative in an Agency
administrative unfair labor practice or representation proceeding or
related judicial proceeding, for the purpose of: (a) negotiation or
discussion on matters in furtherance of resolving the proceeding; (b)
providing such persons with information concerning the progress or
results of the Agency administrative or judicial proceeding; or (c)
ensuring due process in the Agency's administrative proceedings by
disclosing copies of all documents referenced by the Agency's Case-
handling Manual, Part 1, Unfair Labor Practice Proceedings Section
11842, or releasing documents in accordance with the Board's Rules and
Regulations;
5. To any person who, during the course of an Agency administrative
unfair labor practice or representation proceeding or related judicial
proceeding, is a source for information or assists in such proceeding,
to the extent necessary to obtain relevant information or assistance or
for a reason compatible with the purpose for which the record was
collected;
6. To a federal, state, local, or foreign agency or agent, in order
to: (a) aid in the Agency's collection, administration, and
disbursement of remedial funds owed under the NLRA; or (b) assist in
collecting an overdue debt owed to the United States by an unfair labor
practice respondent;
7. To an arbitrator to resolve disputes under a negotiated Agency
grievance arbitration procedure;
8. To officials of labor organizations recognized under 5 U.S.C.
Chapter 71, when disclosure is not prohibited by law, and the data is
normally maintained by the Agency in the regular course of business and
is necessary for a full and proper discussion, understanding, and
negotiation of subjects within the scope of collective bargaining. The
foregoing shall have the identical meaning as 5 U.S.C. 7114(b)(4);
9. To a member of Congress or to a congressional staff member in
response to an inquiry of the congressional office made at the request
of the constituent about whom the records are maintained;
10. To the public, news media, and other individuals and
organizations, where such information would be required to be disclosed
if requested under the Freedom of Information Act (FOIA), 5 U.S.C. 522.
11. To FOIA requesters, when the Agency discloses requested
documents under the circumstances of the Agency's discretionary release
policy, set forth in the Agency's FOIA Manual;
12. To the news media and the public, with the approval of the
Senior Agency Official for Privacy in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the
information, when disclosure is necessary to preserve confidence in the
integrity of the NLRB, or when disclosure is necessary to demonstrate
the accountability of the Agency, except to the extent the Senior
Agency Official for Privacy determines that release of the specific
information in the context of a particular case would constitute a
clearly unwarranted invasion of personal privacy;
13. To the following Federal agencies: (a) the Office of Management
and Budget in order to obtain advice regarding the Agency's obligations
under the Privacy Act, or to assist with the Agency's budget requests;
(b) the Department of Justice in order to obtain advice regarding the
Agency's obligations under the Freedom of Information Act; or (c) the
National Archives and Records Administration, in records management
inspections conducted under the authority of 44 U.S.C. 2904, 2906;
14. To appropriate agencies, entities, and persons when (1) the
National Labor Relations Board suspects or has confirmed that there has
been a breach of the system of records; (2) the National Labor
Relations Board has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the National
Labor Relations Board (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 the National Labor Relations
Board's efforts to respond to the suspected or confirmed breach or to
[[Page 24872]]
prevent, minimize, or remedy such harm;
15. To another federal agency or federal entity, when the National
Labor Relations Board 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;
16. To contractors, for the purpose of reproducing or processing
any record within the system for use by the Agency;
17. To contractors and other federal agencies, for the purpose of
assisting the Agency in further development and continuing maintenance
of electronic case tracking systems; and
18. To NARA, pursuant to records management inspections being
conducted under the authority of 44 U.S.C. 2904 and 2906, as well as to
NARA's Office of Government Information Services (OGIS), to the extent
necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures and compliance with the
FOIA, and to facilitate OGIS's offering of mediation services to
resolve disputes between persons making FOIA requests and
administrative agencies.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Currently, the data is maintained as electronic records in NxGen.
Limited historical information is on electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Data may be retrieved by Agency employees through the application's
query search by case number, case type, dispute state, case status,
region, date filed, date created, issued date, document source,
document type, and NxGen action, as well as by using the iSearch
function, which is a free-form search of all text, including individual
names.
Visibility protocols are in place to ensure that General Counsel-
side employees and Board-side employees may only view their own side's
internal documents.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
NxGen records will be retained and disposed of in accordance with
the NLRB's Request for Records Disposition Authority, Records Schedule
Number DAA-0025-2017-0001, approved by NARA on April 9, 2018. Any
subsequent versions of the NxGen records schedule will be posted on
NARA's website (https://www.archives.gov).
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic system-based access controls are in place to prevent
data misuse. Access to electronic information is controlled by
administrators who determine users' authorized access based on each
user's office and position within the office.
Access criteria, procedures, controls, and responsibilities are
documented and consistent with the policies stated in applicable
guidance from the NLRB Office of the Chief Information Officer. All
network users are also warned at the time of each network login that
the system is for use by authorized users only and that unauthorized or
improper use is a violation of law.
RECORD ACCESS PROCEDURES:
For records not exempted under 5 U.S.C. 552a(k)(2), an individual
seeking to gain access to records in this system pertaining to such
individual should contact the System Manager in accordance with the
procedures set forth in 29 CFR 102.119(b) and (c). Specific materials
in this system have been exempted from Privacy Act provisions at 5
U.S.C. 552a(c)(3) and (d), regarding access to records. The section of
this notice titled ``Exemptions Promulgated for the System'' indicates
the kind of material exempted and the reasons for exempting them from
access.
An individual requesting access in person must provide identity
documents sufficient to satisfy the custodian of the records that the
requester is entitled to such access, such as a government-issued photo
ID. Individuals requesting access via mail must furnish, at minimum,
name, date of birth, and home address in order to establish identity.
Requesters should also reasonably specify the record contents being
sought.
CONTESTING RECORD PROCEDURES:
For records not exempted under 5 U.S.C. 552a(k)(2), an individual
may request amendment of a record in this system pertaining to such
individual by directing a request to the System Manager in accordance
with the procedures set forth in 29 CFR 102.119(d). Specific materials
in this system have been exempted from Privacy Act provisions at 5
U.S.C. 552a(d), regarding amendment of records. The section of this
notice titled ``Exemptions Promulgated for the System'' indicates the
kinds of material exempted and the reasons for exempting them from
amendment.
An individual seeking to contest records in person must provide
identity documents sufficient to satisfy the custodian of the records
that the requester is entitled to contest such records, such as a
government-issued photo ID. Individuals seeking to contest records via
mail must furnish, at minimum, name, date of birth, and home address in
order to establish identity. Requesters should also reasonably identify
the record, specify the information they are contesting, state the
corrective action sought and the reasons for the correction along with
supporting justification showing why the record is not accurate,
timely, relevant, or complete.
NOTIFICATION PROCEDURES:
An individual may inquire as to whether this system contains a
record pertaining to such individual by sending a request in writing,
signed, to the System Manager at the address above, in accordance with
the procedures set forth in 29 CFR 102.119(a).
An individual requesting notification of records in person must
provide identity documents sufficient to satisfy the custodian of the
records that the requester is entitled to such notification, such as a
government-issued photo ID. Individuals requesting notification via
mail must furnish, at minimum, name, date of birth, and home address in
order to establish identity.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), the Agency has exempted portions
of this system, including, with respect to General Counsel-side
information, investigatory records pertaining to unfair labor practice
and representation cases, and with respect to Board-side information,
investigatory records relating to requests to pursue proceedings under
Section 10(j) of the NLRA (29 U.S.C. 160(j)), requests to pursue
federal court contempt proceedings, and certain requests that the Board
initiate litigation or intervene in non-Agency litigation, from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and(f). This system may contain
the following types of information:
Investigatory material compiled for law enforcement purposes,
other than material within the scope of 5 U.S.C. 552a(j)(2):
[[Page 24873]]
Provided, however, that if any individual is denied any right,
privilege, or benefit to which he would otherwise be entitled by
Federal law, or for which he would otherwise be eligible, as a
result of the maintenance of such material, such material shall be
provided to such individual, except to the extent that the
disclosure of such material would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or,
prior to September 27, 1975, under an implied promise that the
identity of the source would be held in confidence.
See 29 CFR 102.119.
HISTORY:
53 FR 17262 (May 16, 1988); 58 FR 57633 (Oct. 26, 1993); 9 FR 42315
(Aug. 17, 1994); 61 FR 13884 (Mar. 28, 1996); 71 FR 74941 (Dec. 13,
2006); and 77 FR 5062 (Feb. 1, 2012).
Dated: April 2, 2024.
By direction of the Board.
Roxanne L. Rothschild,
Executive Secretary.
[FR Doc. 2024-07324 Filed 4-8-24; 8:45 am]
BILLING CODE 7545-01-P
