Privacy Act: [DODDS 25] DODDS Internal Review Office Project File....

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  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.
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, PO 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, PO 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, PO 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.

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DEPARTMENT OF DEFENSE

DGC 18

System name: 

  DoD Roster of Mediators.
System location: 
  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: 
  Persons who have mediation training and/or experience who agree to act 
  as a mediator in labor-management disputes involving the Department of 
  Defense.
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.
Authority for maintenance of the system: 
  10 U.S.C. 140, General Counsel of the Department of Defense.
Purpose(s): 
  Information is collected and maintained about individuals who have 
  volunteered to serve as mediators for DoD employment-related disputes. 
  Records are reviewed by all parties to the mediation in advance of the 
  appointment of a mediator to evaluate information about a mediator's 
  experience, training, and resolution of other cases.
Routine uses of records maintained in the system, including categories 
    of users and the purpose 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 labor organizations who are parties to an employment dispute 
  involving the Department of Defense.
  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: 
  Hard copy files are maintained in file cabinets and computer files on 
  magnetic or optical media. All are stored in a secure area.
Retrievability: 
  Files are retrieved by the last name of the mediator, by geographic 
  availability of a mediator, and by type of subject matter expertise of 
  a mediator.
Safeguards: 
  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 are maintained for as long as the individual actively provides 
  mediation services. Upon a person's withdrawal or upon nonavailability 
  of a mediator, files pertaining to that mediator are purged from the 
  record system.
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.
Notification procedure:
  Individuals seeking to determine whether information about themselves 
  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 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 records and 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: 
  Mediator qualification and experience information and evaluations by 
  parties of a dispute of the effectiveness of the mediation efforts.
Exemptions claimed for the system:
  None.

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DEPARTMENT OF DEFENSE

DHA 01

System name: Medical Malpractice Claims Data File.

System location: 
  Assistant Secretary of Defense (Health Affairs), Office of 
  Professional Affairs and Quality Assurance, The Pentagon, Washington, 
  DC 20301-1200.
Categories of individuals covered by the system: 
  Individuals include health care providers named in malpractice/
  professional negligence claims abstracted and reported whether the 
  claim was denied, closed favorably for the plaintiff or for the U.S. 
  Government and patients of the health care providers, identified to 
  the extent of Social Security Number of military sponsor.
Categories of records in the system: 
  Case records relating to malpractice claims recorded against DOD. 
  Record fields consist of Facility Name, Military Department, Date of 
  Incident, Date Claim Filed, Date Claim Closed, Litigation Settlement 
  Data, Diagnosis and Treatment Procedures, Injury Extent 
  Classification, Social Security Number of Military Sponsor, Patient 
  Allegation(s) of Malpractice, Professional Review Assessment, Provider 
  Name, Social Security Number and Medical Specialty.
Authority for maintenance of the system: 
  42 U.S.C. 11101 (Pub. L. 99-660, Health Care Quality Improvement Act 
  of 1986); 42 U.S.C. 11131-11134; and E.O. 9397.
Purpose(s): 
  To collect malpractice claims data provided by the Military Services. 
  The data are used to conduct trend analyses of DOD Medical Quality 
  Assurance Programs and to facilitate DOD compliance with requirements 
  of the Health Care Quality Improvement Act of 1986, which includes 
  establishment of a National Data Bank for compilation of medical 
  malpractice information.
Routine uses of records maintained in the system, including categories 
    of users and the purposes of such uses: 
  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: 
  Records are maintained on paper in file folders and on a microcomputer 
  system.
Retrievability: 
  Hard copy is filed by sponsor's Social Security Number. Electronic 
  records may be accessed by search on Social Security Number of 
  Military Sponsor.
Safeguards: 
  Records are accessed by authorized personnel with an official need-to-
  know who have been trained for handling Privacy Act data. Hard copy 
  records are maintained in locked cabinets in restricted access areas. 
  Computer files are accessed on a password-protected stand alone 
  microcomputer system with a mechanical lock for additional protection.
Retention and disposal: 
  Paper records are destroyed after five years. The microcomputer 
  database files are destroyed after five years. Conversion of data to 
  aggregate form with stripping of data fields, not to include personal 
  identifiers, is performed on older data for statistical and other data 
  analysis uses.
System manager(s) and address: 
  The Assistant Secretary of Defense (Health Affairs), Office of 
  Professional Affairs and Quality Assurance, Room 3D360, The Pentagon, 
  Washington, DC 20301-1200.
Notification procedure: 
  Individuals seeking to determine whether information about themselves 
  is contained in this system should address written inquiries to the 
  Assistant Secretary of Defense (Health Affairs), Office of 
  Professional Affairs and Quality Assurance, Room 3D360, The Pentagon, 
  Washington, DC 20301-1200.
  The request should contain the full name of either the medical 
  professional or military sponsor, requesting individual's Social 
  Security Number (or Social Security Number of military sponsor, if 
  inquiry is by a claimant), military department and medical facility 
  and signature of the requester, and the approximate period of time, by 
  date, during which the case record was developed.
Record access procedures: 
  Individuals seeking access to information about themselves contained 
  in this system should address written inquiries to the Assistant 
  Secretary of Defense (Health Affairs), Office of Professional Affairs 
  and Quality Assurance, Room 3D360, The Pentagon, Washington, DC 20301-
  1200.
Contesting record procedures: 
  The OSD's 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.

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