SYSTEM OF RECORDS NOTICES (SORNs)

DoD COMPONENT NOTICES

Office of the Secretary, DoD/Joint Staff

SYSTEM NAME:

Hearings and Appeals Case Files (July 18, 1996, 61 FR 37447).

SYSTEM LOCATION:

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, Western Hearing Office, Second Floor, Building A, 21820 Burbank Boulevard, Suite 250, Woodland Hills, CA 91367-6484;

Defense Office of Hearings and Appeals, Western Department Counsel, Second Floor, Building A, 21820 Burbank Boulevard, Suite 235, Woodland Hills, CA 91367-6484; and

Defense Office of Hearings and Appeals, Boston Hearing Office, Room D-017A, Kansas Street, Natick, MA 01760-5055.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

(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 Education Activity (DoDEA).

CATEGORIES OF RECORDS IN THE SYSTEM:

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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

10 U.S.C. 140 and E.O. 9397 (SSN).

PURPOSE(S):

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.

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:

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:

STORAGE:

Paper records are maintained in file folders, and on file cards; electronic records are stored on magnetic or optical media.

RETRIEVABILITY:

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.

Safeguards:

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.

RETENTION AND DISPOSAL:

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.

System Manager(s) and Address:

Director, Defense Office of Hearings and Appeals, P.O. Box 3656, Arlington, VA 22203-1995.

Notification Procedure:

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, P.O. Box 3656, Arlington, VA 22203-1995.

Record Access Procedures:

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, P.O. Box 3656, Arlington, VA 22203-1995.

Individual should provide full name and any former names used, date and 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).'

Contesting Record Procedures:

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.

Record Source Categories:

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.

Exemptions Claimed for the System:

None.