SYSTEM OF RECORDS NOTICES (SORNs)
DoD COMPONENT NOTICES
Office of the Secretary, DoD/Joint Staff
Personnel Security Clearance Adjudication Files (July 18, 1996, 61 FR 37447).
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; and
Defense Office of Hearings and Appeals, Western Department Counsel, Second Floor, Building A, 21820 Burbank Boulevard, Suite 235, Woodland Hills, CA 91367-6484.
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 locations.
Defense Office of Hearing and Appeals, Boston Hearing Office, Room D-017A, Kansas Street, Natick, MA 01760-5055.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former Federal Government, contractor, state and local government employees, military personnel, and other persons whose security clearance or trustworthiness cases are referred to the Defense Office of Hearings and Appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
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 Defense Office of Hearings and Appeals (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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
10 U.S.C. 140; 31 U.S.C. 1535; Executive Orders 10865, as amended, 10450, as amended, 12829, 9397, and 12698.
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.
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:
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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE 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.
RETENTION AND DISPOSAL:
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. Case files for military and DoD civilian personnel security clearance cases will be returned to the appropriate DoD Component after DOHA completes its processing of those cases. 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.
System Manager(s) and Address:
Director, Defense Office of Hearings and Appeals, P.O. 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, P.O. Box 3656, Arlington, VA 22203-1995.
Individual should provide their full name and Social Security Number.
Record Access Procedures:
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, P.O. 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.
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:
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.
Exemptions Claimed for the System:
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.