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###### Department of Defense

###### Office of the Secretary 

# AGENCY:

Office of the Secretary, DoD. 

# ACTION:

Notice to alter systems of records. 
      ( print page 30967)    

# SUMMARY:

The Office of the Secretary of Defense proposes to alter systems of records notices in its inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended. 

# DATES:

The changes will be effective on June 14, 2000 unless comments are received that would result in a contrary determination. 

# ADDRESSES:

Send comments to OSD Privacy Act Coordinator, Records Management Division, Washington Headquarters Services, 1155 Defense Pentagon, Washington, DC 20301-1155. 

# FOR FURTHER INFORMATION CONTACT:

Mr. David Bosworth at (703) 588-0159. 

# SUPPLEMENTARY INFORMATION:

                    The Office of the Secretary of Defense notices for systems of records 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 specific changes to the records systems being amended are set forth below followed by the notices, as amended, published in their entirety. 

The proposed system report, as required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as amended, was submitted on April 24, 2000, to the House Committee on Government Reform, the Senate Committee on Governmental Affairs, 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 February 8, 1996 (February 20, 1996, 61 FR 6427). 

Dated: May 9, 2000. 

L. M. Bynum, 

Alternate OSD Federal Register Liaison Officer, Department of Defense. 

## DOCHA 01 

### System name: 

                        Health Benefits Authorization Files                         *(March 24, 1994, 59 FR 13934).*

### Changes: 

### System identifier: 

Delete entry and replace with ‘DTMA 01’. 

* * * * *

### Categories of records in the system: 

Delete entry and replace with ‘Original correspondence to and from individuals; medical/dental statements; medical/dental histories; Health Care Advise Nurse records; Congressional inquiries; medical/dental treatment records; authorization and pre-authorization requests for care; case status sheets; memoranda for the record; follow-up reports justifying extended care; correspondence with contractors; and work-up sheets maintained by case workers.’ 

* * * * *

### Purpose(s): 

Add a new paragraph ‘To determine eligibility of an individual, authorize payment, control and review health care management plans, health care demonstration programs, control accomplishment of reviews, and coordinate subject matter clearance for internal and external audits and reviews of the program.’ 

### Routine use(s) of records maintained in the system, including categories of users and purposes of such uses: 

Delete paragraph two, and add a new paragraph ‘Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party.’ 

* * * * *

## DTMA 01 

### System name: 

Health Benefits Authorization Files. 

### System location: 

TRICARE Management Activity, Department of Defense, 16401 East CentreTech Parkway, Aurora, CO 80011-9043, and Managed Care Contractors under contract to TRICARE. A listing of TRICARE Managed Care Contractors is available from the system manager. 

### Categories of individuals covered by the system: 

All individuals who seek authorization or pre-authorization for medical and dental health care under TRICARE/CHAMPUS and CHAMPVA. 

### Categories of records in the system: 

Original correspondence to and from individuals; medical/dental statements; medical/dental histories; Health Care Advise Nurse records; Congressional inquiries; medical/dental treatment records; authorization and pre-authorization requests for care; case status sheets; memoranda for the record; follow-up reports justifying extended care; correspondence with contractors; and work-up sheets maintained by case workers. 

### Authority for maintenance of the system: 

41 CFR part 101-11.000; chapter 55, 10 U.S.C. 613, chapter 17, 38 U.S.C.; 32 CFR part 199; and E.O. 9397 (SSN). 

### Purpose(s): 

To maintain and control records pertaining to requests for authorization or pre-authorization of health and dental care under TRICARE/CHAMPUS. 

To determine eligibility of an individual, authorize payment, control and review health care management plans, health care demonstration programs, control accomplishment of reviews, and coordinate subject matter clearance for internal and external audits and reviews of the program. 

### 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) 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 the Department of Health and Human Services and/or the Department of Veterans Affairs consistent with their statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C. 

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party. 

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

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, electronic, microfilm, imaging, or optical formats.                               ( print page 30968)    

### Retrievability: 

Information is retrieved by sponsor's Social Security Number and sponsor's or beneficiary's name. 

### Safeguards: 

Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Decentralized automated segments within contractor's operations are accessible on-line only to authorized persons possessing user identification codes. Security systems and/or security guards protect buildings where records are maintained. 

### Retention and disposal: 

Automated indexes are maintained for six years. Hard copy records are closed out at the end of the calendar year in which finalized and held six additional years. Where hard copy records have been converted to electronic, microfilm, imaging, or optical formats, the hard copy is destroyed and the electronic, microfilm, imaging, or optical format is kept by the contractor for six years after claim is processed to completion. 

### System manager(s) and address: 

TRICARE Management Activity, Department of Defense, Administration and Evaluation Directorate, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Notification procedure: 

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Record access procedures: 

Individuals seeking access to information about themselves contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

Written requests for information should include the full name of the beneficiary, the full name of the sponsor and sponsor's Social Security Number, current address and telephone number. 

For personal visits to examine records, the individual should provide some acceptable identification such as a driver's license or other form of picture identification. 

If it is determined that the release of medical information to the requester could have an adverse effect upon the individual's physical or mental health, the requester should be prepared to provide the name and address of a physician who would be willing to receive the medical record, and at the physician's discretion, inform the individual covered by the system of the contents of that record. In the event the physician does not agree to convey the information contained within the record to the individual, TRICARE Management Activity will take positive measures to ensure the individual is provided the requested information. 

### Contesting record 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: 

Contractors, Health Benefits Advisors, all branches of the Uniformed Services, congressional offices, providers of care, consultants and individuals. 

### Exemptions claimed for the system: 

None. 

## DOCHA 02 

### System name: 

                        Medical Care Inquiry Files                         *(March 24, 1994, 59 FR 13936).*

### Changes: 

### System identifier: 

Delete entry and replace with ‘DTMA 02’. 

### System name: 

Delete entry and replace with ‘Medical/Dental Care and Claims Inquiry Files’. 

* * * * *

### Purpose(s): 

Delete entry and replace with ‘To maintain and control records pertaining to requests for information concerning an individual’s TRICARE/CHAMPUS eligibility status, the benefits provided under programs of TRICARE/CHAMPUS and CHAMPVA and the processing of individual TRICARE/CHAMPUS and CHAMPVA claims.' 

* * * * *

### Routine uses of records maintained in the system, including categories of users and the purposes of such uses: 

Delete paragraph two, and add a new paragraph ‘Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party.’ 

* * * * *

### Record source categories: 

Delete entry and replace with ‘Contractors, congressional offices, Health Benefits Advisors, all branches of the Uniformed Service, congressional offices, providers of care, consultants and individuals.’ 

* * * * *

## DTMA 02 

### System name: 

Medical/Dental Care and Claims Inquiry Files. 

### System location: 

TRICARE Management Activity, Department of Defense, 16401 East CentreTech Parkway, Aurora, CO 80011-9043, and Managed Care Contractors under contract to TRICARE. A listing of TRICARE Managed Care Contractors is available from the system manager. 

### Categories of individual covered by the system: 

All individuals who seek information concerning health care (medical and dental) under TRICARE/CHAMPUS and CHAMPVA. 

### Categories of records in the system: 

Documents reflecting inquiries received from private individuals for information on TRICARE/CHAMPUS and CHAMPVA and replies thereto; congressional inquiries on behalf of constituents and replies thereto; and files notifying personnel of eligibility or termination of benefits. 

### Authority for maintenance of the system: 

41 CFR 101-11.000; chapter 55, 10 U.S.C.; section 613, chapter 17, 38 U.S.C.; and E.O. 9397 (SSN). 

### Purpose(s): 

To maintain and control records pertaining to requests for information concerning an individual's TRICARE/CHAMPUS eligibility status, the benefits provided under programs of TRICARE/CHAMPUS and CHAMPVA and the processing of individual TRICARE/CHAMPUS and CHAMPVA claims. 

### 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: 

                        To the Department of Health and Human Services and/or the Department of Veterans Affairs consistent with their                               ( print page 30969)                            statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C.                     

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party. 

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

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, electronic, microfilm, imaging, or optical formats. 

### Retrievability: 

Information is retrieved by case number, sponsor name and/or Social Security Number, and inquirer name. 

### Safeguards: 

Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Automated segments are accessible only by authorized persons possessing user identification codes. Security systems and/or security guards protect buildings where records are maintained. 

### Retention and disposal: 

Paper records are retained in active file until end of calendar year in which closed, held two additional years, and then destroyed. Where hard copy records have been converted to electronic, microfilm, imaging or optical formats, the hard copy record is destroyed and the electronic, microfilm, imaging, or optical format is kept by the contractor for six years after claim is processed to completion. 

### System manager(s) and address: 

TRICARE Management Activity, Department of Defense, Administration and Evaluation Directorate, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Notification procedure: 

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Record access procedures: 

Individuals seeking access to information about themselves contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

Written request for information should include the full name of the beneficiary, the full name of the sponsor and sponsor's Social Security Number, current address and telephone number. 

For personal visits to examine records, the individual should provide some acceptable identification such as a driver's license or other form of picture identification. 

If it is determined that the release of medical information to the requester could have an adverse effect upon the individual's physical or mental health, the requester should be prepared to provide the name and address of a physician who would be willing to receive the medical record, and at the physician's discretion, inform the individual covered by the system of the contents of that record. In the event the physician does not agree to convey the information contained within the record to the individual, TRICARE Management Activity will take positive measures to ensure the individual is provided the requested information. 

### Contesting record 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: 

Contractors, congressional offices, Health Benefits Advisors, all branches of the Uniformed Service, congressional offices, providers of care, consultants and individuals. 

### Exemptions claimed for the system: 

None. 

## DOCHA 04 

### System name: 

                        Legal Opinion Files                         *(February 22, 1993, 58 FR 10227).*

### Changes: 

### System identifier: 

Delete entry and replace with ‘DTMA 03’. 

* * * * *

### Categories of individuals covered by the system: 

Delete entry and replace with ‘Individuals who have contacted or corresponded with TRICARE Management Activity regarding any matter requiring legal clarification or resolution.’ 

* * * * *

### Purpose(s): 

Delete entry and replace with ‘TRICARE Management Activity uses these records to address and resolve legal issues and for research, precedent, historical, and record purposes.’ 

### Routine uses of records maintained in the system, including categories of users and the purposes of such uses: 

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: 

To the Department of Health and Human Services and/or the Department of Veterans Affairs consistent with their statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C. 

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

                        Disclosure to the Department of Justice and the United States Attorneys                               ( print page 30970)                            in situations where the United States is an interested party.                     

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

The ‘Blanket Routine Uses’ set forth at the beginning of OSD's compilation of systems of records notices apply to this system.' 

* * * * *

## DTMA 03 

### System name: 

Legal Opinion Files. 

### System location: 

TRICARE Management Activity, Department of Defense, Office of General Counsel, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Categories of individuals covered by the system: 

Individuals who have contacted or corresponded with TRICARE Management Activity regarding any matter requiring legal clarification or resolution. 

### Categories of records in the system: 

Inquiries received from individuals, attorneys, fiscal administrators, hospital contractors, other government agencies, Health Care Advise Nurse records, and congressional offices. Files contain legal opinions, correspondence, memoranda for the record, and similar documents. Medical/dental treatment records, authorizations and pre-authorizations, care and claims inquiry documents, and medical/dental history files may be included in these records, as appropriated to document TRICARE legal determinations. 

### Authority for maintenance of the system: 

41 CFR 101-11.000; Chapter 55, 10 U.S.C. 613, Chapter 17, 38 U.S.C.; 32 CFR part 199; and E.O. 9397 (SSN). 

### Purpose(s): 

TRICARE Management Activity uses these records to address and resolve legal issues and for research, precedent, historical, and record purposes. 

### 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: 

To the Department of Health and Human Services and/or the Department of Veterans Affairs consistent with their statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C. 

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party. 

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

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, electronic, microfilm, imaging, or optical formats. 

### Retrievability: 

Information is retrieved by subject matter with cross-reference by individual name and/or Social Security Number. 

### Safeguards: 

Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Security systems and/or security guards protect buildings where records are maintained. 

### Retention and disposal: 

Records are permanent. Paper records are retired to the Denver Regional Records Center when ten years old or when no longer needed for current business. Records are transferred to the NARA when thirty years old. Electronic and other non-paper media records are maintained until no longer needed for current business and are then deleted or destroyed. 

### System manager(s) and address: 

TRICARE Management Activity, Department of Defense, Office of General Counsel, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Notification procedure: 

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Record access procedures: 

Individuals seeking access to information about themselves contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

Written requests for information should include the full name of the beneficiary, the full name of the sponsor, and sponsor's Social Security Number, current address and telephone number. 

For personal visits to examine records, the individual should be able to provide some acceptable identification such as a driver's license or other form of picture identification. 

If it is determined that the release of medical information to the requester could have an adverse effect upon the individual's physical or mental health, the requester should be prepared to provide the name and address of a physician who would be willing to receive the medical record, and at the physician's discretion, inform the individual covered by the system of the contents of that record. In the event the physician does not agree to convey the information contained within the record to the individual, TRICARE Management Activity will take positive measures to ensure the individual is provided the requested information. 

### Contesting record 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.                               ( print page 30971)    

### Record source categories: 

Individuals (TRICARE/CHAMPUS and CHAMPVA beneficiaries, sponsors, or others), attorneys, fiscal administrators, hospital contractors, managed care support contractors, providers of care, medical records, other government agencies (Federal, state, local and foreign), and Congressional offices. 

### Exemptions claimed for the system: 

None. 

## DOCHA 07 

### System name: 

                        Medical Claim History Files                         *(March 24, 1994, 59 FR 13937).*

### Changes: 

### System identifier: 

Delete entry and replace with ‘DTMA 04’. 

### System name: 

Add ‘/Dental’ after ‘Medical. 

* * * * *

### Categories of records in the system: 

Delete entry and replace with ‘File contains claims, billings for services, applications or approval forms, enrollment files, recoupment files, third-party liability files, fraud and abuse files, case management files, resource sharing files, utilization management/quality assurance files, payment files, medical/dental records, family history files, records of grievances with a medical/dental provider, appeals, hearings, or any other correspondence, memoranda, or reports which are acquired or utilized in the development and processing of TRICARE/CHAMPUS or CHAMPVA claims. Records are also maintained on health care demonstration projects, including enrollment and authorization agreements, correspondence, memoranda, forms and reports, which are acquired or utilized during the projects.’ 

* * * * *

### Purpose(s): 

Delete entry and replace with ‘TRICARE Management Activity and its contractors, DoD staff (including Military Treatment Facilities, clinics and Lead Agent Staff) use the information to control and process health care benefits available under TRICARE/CHAMPUS and CHAMPVA including the processing of medical/dental claims, the control and approval of medical/dental treatments, issuance of deductible certificates, and necessary interface with providers of health care. The system also supports audits of contractor-processed claims to determine payment and occurrence accuracy of the contractor’s adjudication process.' 

### Routine uses of records maintained in the system, including categories of users and purposes of such uses: 

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: 

To the Department of Health and Human Services and/or the Department of Veterans Affairs consistent with their statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C. 

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party. 

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

The ‘Blanket Routine Uses’ set forth at the beginning of OSD's compilation of systems of records notices apply to this system.' 

* * * * *

## DTMA 04 

### System name: 

Medical/Dental Claim History Files. 

### System location: 

TRICARE Management Activity, Department of Defense, 16401 East CentreTech Parkway, Aurora, CO 80011-9043, and Managed Care Contractors under contract to TRICARE. A listing of TRICARE Managed Care Contractors is available from the system manager. 

### Categories of individuals covered by the system: 

Eligible beneficiaries and all individuals who seek health care (medical and dental) under TRICARE/CHAMPUS and CHAMPVA. 

### Categories of records in the system: 

File contains claims, billings for services, applications or approval forms, enrollment files, recoupment files, third-party liability files, fraud and abuse files, case management files, resource sharing files, utilization management/quality assurance files, payment files, medical/dental records, family history files, records of grievances with a medical/dental provider, appeals, hearings, or any other correspondence, memoranda, or reports which are acquired or utilized in the development and processing of TRICARE/CHAMPUS or CHAMPVA claims. Records are also maintained on health care demonstration projects, including enrollment and authorization agreements, correspondence, memoranda, forms and reports, which are acquired or utilized during the projects. 

### Authority for maintenance of the system: 

41 CFR 101-11.000; chapter 55, 10 U.S.C. 613, chapter 17, 38 U.S.C.; 32 CFR part 199; and E.O. 9397 (SSN). 

### Purpose(s): 

TRICARE Management Activity and its contractors, DoD staff (including Military Treatment Facilities, clinics and Lead Agent Staff) use the information to control and process health care benefits available under TRICARE/CHAMPUS and CHAMPVA including the processing of medical/dental claims, the control and approval of medical/dental treatments, issuance of deductible certificates, and necessary interface with providers of health care. The system also supports audits of contractor-processed claims to determine payment and occurrence accuracy of the contractor's adjudication process. 

### 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) 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 the Department of Health and Human Services and/or the Department                               ( print page 30972)                            of Veterans Affairs consistent with their statutory administrative responsibilities under TRICARE/CHAMPUS and CHAMPVA pursuant to chapter 55, 10 U.S.C. and section 613, chapter 17, 38 U.S.C.                     

Referral to Federal, state, local, or foreign governmental agencies, and to private business entities, including individual providers of care (participating and non-participating), on matters relating to eligibility, claims pricing and payment, fraud, program abuse, utilization review, quality assurance, peer review, program integrity, third-party liability, coordination of benefits, and civil or criminal litigation related to the operation of TRICARE/CHAMPUS. 

Disclosure to the Department of Justice and the United States Attorneys in situations where the United States is an interested party. 

Disclosure to third-party contacts in situations where the party to be contacted has, or is expected to have, information necessary to establish the validity of evidence or to verify the accuracy of information presented by the individual concerning his or her entitlement, the amount of benefit payments, any review of suspected abuse or fraud, or any concern for program integrity or quality appraisal. 

The ‘Blanket Routine Uses’ set forth at the beginning of OSD's compilation of systems of records notices apply to this system. 

### Disclosure to consumer reporting agencies: 

Disclosures pursuant to 5 U.S.C. 552a(b)(12) may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting act of 1966 (15 U.S.C. 1681a(f)) or the Federal Claims Collections Act of 1966 (31 U.S.C. 3701(a)(3)). The purpose of the disclosure is to aid in the collection of outstanding debts owed to the Federal Government; typically, to provide an incentive for debtors to repay delinquent Federal Government debts by making these debts part of their credit records. 

The disclosure is limited to information necessary to establish the identity of the individual, including name, address, and taxpayer identification number (Social Security Number); the amount, status, and history of the claim; and the agency or program under which the claim arose for the sole purpose of allowing the consumer reporting agency to prepare a commercial credit report. 

### Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: 

### Storage: 

Records are maintained on paper, electronic, microfilm, imaging, or optical formats. 

### Retrievability: 

Information is retrieved by sponsor's name; sponsor's Social Security Number; beneficiary's name; beneficiary's Social Security Number; provider's name; provider's number (Tax Identification Number or Social Security Number); internal control number; classification of medical diagnosis; procedure code; geographical location of care provided; and selected utilization limits. 

### Safeguards: 

Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared and trained. Decentralized automated segments within contractor's operations are accessible on-line only to authorized persons possessing user identification codes. The automated portion of the Primary System is accessible only through TRICARE Management Activity on-line data systems. Security systems and/or security guards protect buildings where records are maintained. 

### Retention and disposal: 

Paper records are closed out at the end of the calendar year in which finalized and held six additional years and then destroyed. Where hard copy records (except Claims History Files) have been converted to electronic, microfilm, imaging, or optical formats, the hard copy record is destroyed and the electronic, microfilm, imaging, or optical format is kept by the contractor for six years after claim is processed to completion and then destroyed. Claims History Files maintained in electronic format are kept for ten years and are then destroyed or deleted. 

### System manager(s) and address: 

TRICARE Management Activity, Department of Defense, Administration and Evaluation Directorate, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Notification procedure: 

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Record access procedures: 

Individuals seeking access to information about themselves contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

Written request for information should include the full name of the beneficiary, the full name of the sponsor and sponsor's Social Security Number, current address and telephone number. 

For personal visits to examine records, the individual should provide some acceptable identification such as a driver's license or other form of picture identification. 

If it is determined that the release of medical information to the requester could have an adverse effect upon the individual's physical or mental health, the requester should be prepared to provide the name and address of a physician who would be willing to receive the medical record, and at the physician's discretion, inform the individual covered by the system of the contents of that record. In the event the physician does not agree to convey the information contained within the record to the individual, TRICARE Management Activity will take positive measures to ensure the individual is provided the requested information.' 

### Contesting record 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: 

Contractors, Health Benefit Advisors; other Components of the Department of Defense; all branches of the Uniformed Services; Congressional offices; providers of care; consultants; and individuals. 

### Exemptions claimed for the system: 

None. 

## DOCHA 09 

### System name: 

                        Grievance Records                         *(August 9, 1993, 58 FR 42303).*

### Changes: 

### System identifier: 

                        Delete entry and replace with ‘DTMA 05’                              ( print page 30973)    

### Routine uses of records maintained in the system, including categories of users and the purposes of such uses: 

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: 

To disclose information to any source from which additional information is requested in the course of processing a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested. 

To disclose information to another Federal agency or to a court when the Government is party to a judicial proceeding before the court. 

To disclose information to officials of the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission, when requested in performance of their authorized duties. 

To disclose in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding. 

To provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to the performance of their exclusive representation duties concerning personnel policies, practices, and matters affecting working conditions. 

The ‘Blanket Routine Uses’ set forth at the beginning of OSD's compilation of systems of records notices apply to this system.' 

* * * * *

## DTMA 05 

### System name: 

Grievance Records. 

### System location: 

TRICARE Management Activity, Department of Defense, Personnel Office, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Categories of individuals covered by the system: 

Current or former Federal employees of TRICARE Management Activity or its predecessor, Office of Civilian Health and Medical Program of the Uniformed Services who have submitted grievances in accordance with 5 U.S.C. 2302 and 5 U.S.C. 7121 or a negotiated procedure. 

### Categories of records in the system: 

Documents related to grievances including statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, copy of the original and final decision, and related correspondence and exhibits. This system includes files and records of internal grievance and arbitration systems that TRICARE Management Activity may establish through negotiations with recognized labor organizations. 

### Authority for maintenance of the system: 

5 U.S.C. 2302; 5 U.S.C. 7121; and E.O. 11491. 

### Purpose(s): 

To control and process grievances of Federal employees of TRICARE Management Activity or its predecessor, Office of Civilian Health and Medical Program of the Uniformed Services. 

### 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: 

To disclose information to any source from which additional information is requested in the course of processing a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested. 

To disclose information to another Federal agency or to a court when the Government is party to a judicial proceeding before the court. 

To disclose information to officials of the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission, when requested in performance of their authorized duties. 

To disclose in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding. 

To provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to the performance of their exclusive representation duties concerning personnel policies, practices, and matters affecting working conditions. 

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 maintained in file folders. 

### Retrievability: 

Information is retrieved by individual name. 

### Safeguards: 

Security systems and/or security guards protect buildings where records are maintained. 

### Retention and disposal: 

Records are closed at the end of the calendar year in which they are closed, held an additional four years, and then destroyed. 

### System manager(s) and address: 

TRICARE Management Activity, Department of Defense, Personnel Office, 16401 East CentreTech Parkway, Aurora, CO 80011-9043. 

### Notification procedure: 

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

### Record access procedures: 

Individuals seeking access to information about themselves contained in this system should address written inquiries to the TRICARE Management Activity, Department of Defense, ATTN: Privacy Act Officer, 16401 CentreTech Parkway, Aurora, CO 80011-9043. 

Written requests for information should include the full name of the individual. 

For personal visits to examine records, the individual should provide some acceptable identification such as a driver's license or other form of picture identification. 

### Contesting record 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: 

                        Individuals, witnesses, agency officials, and organizations.                               ( print page 30974)    

### Exemptions claimed for the system: 

None. 

[FR Doc. 00-12072 Filed 5-12-00; 8:45 am] 

BILLING CODE 5001-10-F