[Federal Register Volume 60, Number 57 (Friday, March 24, 1995)]
[Notices]
[Pages 15538-15542]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-7224]



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DEPARTMENT OF DEFENSE
Office of the Secretary of Defense


Privacy Act of 1974; Addition and Alteration of Systems of 
Records

AGENCY: Department of Defense.

ACTION: Notice of an addition and alteration of systems of records.

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SUMMARY: The Department of Defense is adding one system of records 
notice and altering another in its inventory of Privacy Act systems of 
records notices subject to the Privacy Act of 1974 (5 U.S.C. 552a), as 
amended.

DATES: These actions will be effective April 24, 1995, unless comments 
are received that would result in a contrary determination.

ADDRESSES: Send comments to the OSD Privacy Act Officer, Washington 
Headquarters Services, Correspondence and Directives Division, Records 
Management Division, 1155 Defense Pentagon, Room 5C315, Washington, DC 
20301-1155.

FOR FURTHER INFORMATION CONTACT: Mr. Dan Cragg at (703) 695-0970.

SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense 
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 new and alteration system reports, as required by 5 
U.S.C. 552a(r) of the Privacy Act of 1974, as amended, were submitted 
on March 13, 1995, to the Committee on Government Operations of the 
House of Representatives, the Committee on Governmental Affairs of the 
Senate, 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 July 
25, 1994 (59 FR 37906, July 25, 1994).

    Dated: March 17, 1995.


Patricia L. Toppings,
Alternate OSD Federal Register Liaison Officer, Department of Defense.

DGC 04
    Industrial Personnel Security Clearance Case Files (March 24, 1994, 
59 FR 13941).

* * * * *
    Delete entry and replace with `Personnel Security Clearance 
Adjudication Files.'
    Delete entry and replace with `Defense Office of Hearings and 
Appeals, Defense Legal Services Agency, Department of Defense, 4015 
Wilson Boulevard, Suite 300, Arlington, VA 22203-1995;
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, 6946 Van Nuys Boulevard, Suite 124, Van Nuys, CA 91405-3935; 
and
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, 3990 East Broad Street, Building 306, Columbus, OH 43216-5007.
    Decentralized inactive segments are held at the Washington National 
Records Center, and at the U.S. Army Investigative Records Depository, 
Fort Meade, MD 20755. Automated Joint Adjudicative Clearance System 
records are maintained on a system V5-02, Defense Central Index of 
Investigations, at Defense Investigative Service, Personnel 
Investigations Center, Baltimore, MD, with access by computer terminals 
at Defense Office of Hearings and Appeals (DOHA) locations.'
    Delete and replace entry with `Current and former Federal 
Government, contractor, state and local government employees and other 
persons whose security clearance or trustworthiness cases are referred 
to the Defense Office of Hearings and Appeals.'
* * * * *
    Delete entry and replace with `10 U.S.C. 140; 31 U.S.C. 1535; 
Executive Orders 10865, as amended, 10450, as amended, 12829, and 
9397.' [[Page 15539]] 
    Delete entry and replace with `These records are collected and 
maintained to determine whether the granting or retention of a security 
clearance to or affirmative trustworthiness decision for an individual 
is clearly consistent with the national interest; to record 
adjudicative actions and determinations; to record processing steps 
taken and processing time; to prepare statistical listings and 
summaries; to document due process actions taken; to assist authorized 
DoD Consulting Psychiatrists to compile evaluations and reports; to 
respond to inquiries from within the executive and legislative branches 
when the inquiry is made at the request of the individual or for 
official purposes; to monitor and control adjudicative actions and 
processes.
    Automated case status system and card files are used to record 
statistics, provide location and status and internal identification of 
cases, to prepare listings and statistical reports and summaries, and 
to monitor work flow and actions.'
    Delete entry and replace with `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:
    Case files referred by Federal Emergency Management Agency (FEMA) 
for adjudication by DOHA are provided to FEMA when action is completed, 
along with recommended clearance decisions.
    The `Blanket Routine Uses' set forth at the beginning of OSD's 
compilation of systems of records notices apply to this system.'
* * * * *
    Delete entry and replace with `Completed case files are returned to 
non-DoD agencies and are subject to records retention schedules of the 
owning agency after completion of DOHA action. Copies of case summaries 
and recommended adjudication decisions and ancillary documents for all 
cases are retained for internal reference purposes by DOHA personnel. 
Industrial security and trustworthiness cases are retained at DOHA for 
two years after annual cut-offs, then are retired for twenty years at 
the Washington National Records Center and then destroyed.
    Inactive Department of Defense case files prior to 1982 are 
maintained at the U.S. Army Investigative Records Repository, Ft. 
Meade, MD 20755. Automated case tracking records and alphabetical card 
index files are retained as locator for active and inactive cases and 
for statistical purposes.'
* * * * *
DGC 04
    Personnel Security Clearance Adjudication Files.
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, Department of Defense, 4015 Wilson Boulevard, Suite 300, 
Arlington, VA 22203-1995;
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, 6946 Van Nuys Boulevard, Suite 124, Van Nuys, CA 91405-3935; 
and
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, 3990 East Broad Street, Building 306, Columbus, OH 43216-5007.
    Decentralized inactive segments are held at the Washington National 
Records Center, and at the U.S. Army Investigative Records Depository, 
Fort Meade, MD 20755. Automated Joint Adjudicative Clearance System 
records are maintained on a system V5-02, Defense Central Index of 
Investigations, at Defense Investigative Service, Personnel 
Investigations Center, Baltimore, MD, with access by computer terminals 
at Defense Office of Hearings and Appeals (DOHA) locations.
    Current and former Federal Government, contractor, state and local 
government employees and other persons whose security clearance or 
trustworthiness cases are referred to the Defense Office of Hearings 
and Appeals.
    System includes automated case status records for current cases and 
inactive cases, an alphabetical card index file for records of cases 
prior to 1984 used for recording actions taken and for identification 
and location of case files within the system, and individual case 
files.
    Case files include requests for investigation, clearance, and 
adjudication; general correspondence relating to cases; personnel 
security questionnaires; investigative reports prepared by various 
investigative agencies, which may include information obtained from 
interviews, court documents, law enforcement records, business records, 
and other sources; medical and psychiatric records and evaluations; 
adjudicator's case summaries; Defense Industrial Security Clearance 
Office (DISCO) referral recommendations; correspondence between or 
concerning applicants for clearance and DOHA elements, DISCO, medical 
facilities, DoD Psychiatric Consultants, investigative agencies, 
Military Departments, other DoD Components and Federal agencies, 
Personnel Security Specialists, Department Counsel, Administrative 
Judges, Appeal Board, and elements of the Office of the Secretary of 
Defense and Defense Investigative Service; written interrogatories and 
Statements of Reasons (SIR) to applicants, with replies, pleadings or 
correspondence filed and served on all parties, recommendations, 
summaries, and records of adjudicative actions; transcripts of 
hearings; exhibits admitted into evidence; decisions of Administrative 
Judges and Appeal Boards; and such other matter as may be included in 
the record.
    10 U.S.C. 140; 31 U.S.C. 1535; Executive Orders 10865, as amended, 
10450, as amended, 12829, and 9397.
    These records are collected and maintained to determine whether the 
granting or retention of a security clearance to or affirmative 
trustworthiness decision for an individual is clearly consistent with 
the national interest; to record adjudicative actions and 
determinations; to record processing steps taken and processing time; 
to prepare statistical listings and summaries; to document due process 
actions taken; to assist authorized DoD Consulting Psychiatrists to 
compile evaluations and reports; to respond to inquiries from within 
the executive and legislative branches when the inquiry is made at the 
request of the individual or for official purposes; to monitor and 
control adjudicative actions and processes.
    Automated case status system and card files are used to record 
statistics, provide location and status and internal identification of 
cases, to prepare listings and statistical reports and summaries, and 
to monitor work flow and actions. [[Page 15540]] 
    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:
    Case files referred by Federal Emergency Management Agency (FEMA) 
for adjudication by DOHA are provided to FEMA when action is completed, 
along with recommended clearance decisions.
    The `Blanket Routine Uses' set forth at the beginning of OSD's 
compilation of systems of records notices apply to this system.
    Paper records are maintained in file folders, and on file cards; 
electronic records are stored on magnetic or optical media; certain 
automated records are maintained on magnetic tapes and disks at Defense 
Investigative Service, Personnel Investigations Center, Baltimore, MD.
    Filed alphabetically by name, or by case number. Access to computer 
data may be made by name and Social Security Number and a combination 
of name and other personal identifying data.
    Records are stored in a secure area accessible only to DOHA 
authorized personnel. Except for a small number of records that are 
classified and need to be safeguarded as classified materials, all 
other records are stored, processed, transmitted and protected as the 
equivalent of For Official Use Only information. Records are accessed 
by the custodian of the record system and by persons responsible for 
servicing the system, who are properly screened and have a need-to-
know. Computer hardware is located in controlled areas with access 
limited to authorized personnel. Computer access is via dedicated data 
circuits with password control. Individual passwords are changed 
periodically and upon departure of personnel. The dedicated data 
feature prevents access from standard dial-up telephones. Automated 
systems are operated by DOHA and by the Defense Investigative Service, 
Personnel Investigations Center, Information Systems Division. Only 
DOHA personnel are given the security level on the computer system 
needed to amend, add, alter, change or delete DOHA records. Other 
authorized contributors and users of the Defense Central Index of 
Investigations have read-only access to DOHA case status records in the 
system.
    Completed case files are returned to non-DoD agencies and are 
subject to records retention schedules of the owning agency after 
completion of DOHA action. Copies of case summaries and recommended 
adjudication decisions and ancillary documents for all cases are 
retained for internal reference purposes by DOHA personnel. Industrial 
security and trustworthiness cases are retained at DOHA for two years 
after annual cut-offs, then are retired for twenty years at the 
Washington National Records Center and then destroyed.
    Inactive Department of Defense case files prior to 1982 are 
maintained at the U.S. Army Investigative Records Repository, Ft. 
Meade, MD 20755. Automated case tracking records and alphabetical card 
index files are retained as locator for active and inactive cases and 
for statistical purposes.
    Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individual should provide their full name and Social Security 
Number.
    Individuals seeking access to information about themselves 
contained in this system of records should address written requests to 
the Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individuals should provide their full name, and any former names 
used, date and place of birth, Social Security Number.
    Requests must be signed and notarized or, if the individual does 
not have access to notary services, preceded by a signed and dated 
declaration verifying the identity of the requester, in substantially 
the following form: `I certify that the information provided by me is 
true, complete, and accurate to the best of my knowledge and belief and 
this request is made in good faith. I understand that a knowing and 
willful false, fictitious or fraudulent statement or representation can 
be punished by fine or imprisonment or both.' (Signature).
    Some records may be made available for review at DOHA Headquarters, 
upon appointment made with Director. Individual must present picture 
identification, such as a valid driver's license.
    The OSD's rules for accessing records, for contesting contents and 
appealing initial agency determinations are published in OSD 
Administrative Instruction No. 81; 32 CFR part 311; or may be obtained 
from the system manager.
    Information is received from investigative reports from Federal 
investigative agencies; personnel security records and correspondence; 
medical and personnel records, reports and evaluations; correspondence 
from contractors, employers, organizations of assignment and Federal 
agencies, DoD organizations, agencies and offices; from individuals, 
their attorneys or authorized representatives; from witnesses at 
hearings or documentary evidence made part of the hearing record.
    Parts of this record system may be exempt under 5 U.S.C. 
552a(k)(5), as applicable.
    An exemption rule for this record system has been promulgated 
according to the requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) 
and (e) and published in 32 CFR part 311. For additional information 
contact the system manager.

DGC 17
    Hearings and Appeals Case Files.
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, Department of Defense, 4015 Wilson Boulevard, Suite 300, 
Arlington, VA 22203-1995;
    Defense Office of Hearings and Appeals, Defense Legal Services 
Agency, 6946 Van Nuys Boulevard, Suite 124, Van Nuys, CA 91405-3935; 
and
    Defense Office of Hearings and Appeals, Defense Legal Services 
[[Page 15541]] Agency, 3990 East Broad Street, Building 306, Columbus, 
OH 43216-5007.
    (1) Beneficiaries and providers under the Civilian Health and 
Medical Program of the Uniformed Services (CHAMPUS) that have 
unresolved disputes with the Office of CHAMPUS (OCHAMPUS);
    (2) Students in the Department of Defense Dependent Schools (DoDDS) 
overseas and Section 6 schools and their sponsors.
    CHAMPUS-related categories include: Appointment memoranda and 
transmittal correspondence; case files; petitions and answers to 
petitions; exhibits admitted into evidence; written transcripts or 
electronic records of hearings; pleadings or correspondence properly 
filed and served on all parties; claims and all other pertinent 
materials relating to a claim; billings, applications or approval 
forms; medical records, family history files; such other matter as the 
hearing officer may include in the record, rulings or orders issued by 
the hearing office, and the hearing officer's written decision.
    Education-related categories include: Records pertaining to 
students attending DoD-operated dependent schools in case files 
pertaining to hearings and appeals conducted pursuant to appendix C to 
32 CFR part 80, Special Education Children with Disabilities Within the 
Section 6 School Arrangements; 32 CFR part 57, Education of Handicapped 
Children in DoD Dependent Schools; or 32 CFR part 56, Nondiscrimination 
on the basis of Handicap in Programs and Activities Assisted or 
conducted by the Department of Defense, to afford impartial due process 
hearings and administrative appeals on the early intervention services 
or identification, evaluation, and educational placement of, and free 
appropriate public education provided to a disabled child; documents 
associated with such hearing, including: Appointment memoranda and 
transmittal correspondence; petitions and answers to petitions, the 
written transcript or the electronic record of the hearing, exhibits 
admitted into evidence; pleadings, written submissions or 
correspondence properly filed and served on all parties, such other 
matter as the hearing officer may include in the record, rulings or 
orders issued by the hearing office, the hearing officer's written 
decision; documents associated with administrative appeals from the 
hearing officer's written decision; including the administrative record 
on appeal, pleadings, written submissions or correspondence properly 
filed and served on all parties, rulings or orders issued by the appeal 
board, and the appeal board's written decision.
    Common to both categories, automated case status records for 
current cases and inactive cases are used to provide location and 
status and internal identification of cases, to prepare listings and 
internal statistical reports, and to monitor workflow and case handling 
actions.
    10 U.S.C. 140 and E.O. 9397.
    Records are collected and maintained to support claims resolution 
and impartial due process hearings/and or ancillary proceedings to 
parties requesting them and to provide decisions to those parties 
involved in the hearings; to record processing steps taken and 
processing time; to prepare statistical listings and summaries; to 
document due process actions taken; to respond to inquiries from 
offices within the executive and legislative branches when the inquiry 
is made at the request of the individual, or for official purposes; to 
monitor and control adjudicative actions and processes.
    The automated case tracking system is used to record statistics, 
provide location and status and internal identification of cases, to 
prepare listings and internal statistical reports, and to monitor work 
flow and case handling actions.
    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:
    The `Blanket Routine Uses' set forth at the beginning of OSD's 
compilation of systems of records notices apply to this system.
    Paper records are maintained in file folders, and on file cards; 
electronic records are stored on magnetic or optical media.
    Filed alphabetically by beneficiary, provider, child's or sponsor's 
name, Social Security Number, or by case number. Access to computer 
data may be made by name, Social Security Number, or a combination of 
other personal identifying data.
    Records are stored in a secure area accessible only to DOHA 
authorized personnel. All records are stored, processed, transmitted 
and protected as the equivalent of For Official Use Only information. 
Records are accessed by the custodian of the record system and by 
persons responsible for using or servicing the system, who are properly 
screened and have a need-to-know. Computer hardware is located in 
controlled areas with access limited to authorized personnel. Computer 
access is via dedicated data circuits with password control. Individual 
passwords are changed periodically and upon departure of personnel. The 
dedicated data feature prevents access from standard dial-up 
telephones.
    Along with decisions and other materials developed during DOHA 
processing of cases, the original case files, tapes, exhibit files, and 
associated documentation are returned to OCHAMPUS and the DoD Education 
Activity and are subject to records retention schedules of the owning 
agency after completion of DOHA action. Copies of decisions and audio 
tapes are destroyed when no longer needed for reference purposes but 
not later than 6 years after rendering a decision.
    Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individuals seeking access to information about themselves 
contained in this system of records should address written inquiries to 
the Director, Defense Office of Hearings and Appeals, PO Box 3656, 
Arlington, VA 22203-1995.
    Individual should provide full name and any former names used, date 
and [[Page 15542]] place of birth, and Social Security Number.
    Some records may be made available for review at DOHA Headquarters 
upon appointment made with the Director. Individual must be able to 
provide picture identification or a valid driver's license.
    Requests must be signed and notarized or, if the individual does 
not have access to notary services, preceded by a signed and dated 
declaration verifying the identity of the requester, in substantially 
the following form: `I certify that the information provided by me is 
true, complete, and accurate to the best of my knowledge and belief and 
this request is made in good faith. I understand that a knowing and 
willful false, fictitious or fraudulent statement or representation can 
be punished by fine or imprisonment or both. (Signature).'
    The OSD's rules for accessing records, for contesting contents and 
appealing initial agency determinations are published in OSD 
Administrative Instruction No. 81; 32 CFR part 311; or may be obtained 
from the system manager.
    For OCHAMPUS Cases: Case files referred by OCHAMPUS to DOHA 
Administrative Judges; correspondence and supplementary material from 
DOHA to the parties in connection with the handling of the case; 
correspondence, pleadings, written submissions and evidence associated 
with hearings from parties to such proceedings; DoD correspondence 
associated with receipt and transmittal of case files.
    For DoD Education Activity Cases: Case files assigned to DOHA 
Administrative Judges for hearing and/or administrative appeals; 
correspondence and supplementary material from DOHA to the parties in 
connection with the handling of the case; correspondence, pleadings, 
written submissions and evidence associated with hearings or appeals 
from parties to such proceedings; rulings, orders, and written 
decisions from hearing officers or appeal board; correspondence from 
individuals, their attorneys, or authorized representatives; and DoD 
correspondence associated with receipt and transmittal of case files.
    None.

[FR Doc. 95-7224 Filed 3-23-95; 8:45 am]
BILLING CODE 5000-04-F