Collections

1. TRICARE Management Activity HEALTH AFFAIRS Collections 2009 Data Protection Seminar TMA Privacy Office

2. TRICARE Management Activity HEALTH AFFAIRS Collections

3. Collections Purpose The purpose of this presentation is to provide a basic overview of Information Collection within the TRICARE Management Activity (TMA) and the DoD

4. Collections Objectives • Upon completion of this presentation, you should be able to: • Describe an information collection • Identify the authority and guidance on information collection • Define who is a member of the public for purposes of public information collection • Explain the basics of the Office of Management and Budget (OMB) approval process

5. Information Collection

6. Collections What is an Information Collection? Data or information to carry out specified and authorized functions or management purposes that require the maintenance of forms, formats, reports, or record keeping systems whether manual or automated. A written report form, application form, survey /questionnaire, schedule, reporting, or record keeping requirement, or other similar method calling for the collection of information An example of an information collection is a survey

7. Collections Members of the Public • Federal Employees • Are members of the public if the collection of information addresses them in their capacity as an individual private citizen. These collections do need OMB approval require a Report Control Symbol – issued by Washington Headquarters Services • Arenot members of the public when they respond to a collection of information within the scope of their employment. These collections do not need OMB approval 7

8. Collections Members of the Public • Military Personnel • Are members of the public if the collection of information addresses them in their capacity as an individual private citizen. These collections do need OMB approval • Arenot members of the public if they are responding to questions regarding their duty status as a Federal employee or to determine the effectiveness of Federal programs. These collections do not need OMB approval 8

9. Collections Members of the Public Active Duty Military and Retiree Dependents and Retirees are generally considered to be members of the public except when surveyed under 10 USC 1782 "Surveys of Military Families"

10. Collections Members of the Public • Contractors hired by a respondent to comply with the information collection requests are not considered members of the public • Contractors with the Federal Government are considered members of the public for information collection purposes. These collections do require OMB approval • OMB approval is required for surveys conducted by contractors 10

11. Collections Members of the Public • All surveys of Military Personnel on active duty (including reservists and members of the National Guard in active status) must be submitted to the DoD Clearance Office at WHS for approval • DoD Clearance Officer will determine whether the information collection requires OMB approval 11

12. Collections Members of the Public • Foreign Nationals • Paperwork Reduction Act does not differentiate based on the respondent’s national origin • The general rule for collections involving Foreign Nationals is that they do need OMB approval 12

13. Collections Members of the Public • Reserve Officers' Training Corps (ROTC) Cadets • Are members of the public if the collection of information addresses them in their capacity as an individual private citizen. These collections do need OMB approval • Arenot members of the public when providing information to instructors during classroom and other training activities. These collections do not need OMB approval 13

14. Collections Exempt Collections • Collections that do not require OMB approval include: • Information collections addressed to nine or fewer persons • Information collections conducted during the conduct of Federal criminal investigations • Information collections conducted as part of a civil action to which the United States is a party • Information collections conducted as part of national intelligence activities 14

15. Collections Exempt Collections • Items generally not considered to be information collections include: • Affidavits, oaths, affirmations, certifications, receipts, changes of address, consents, or acknowledgments • Samples of products or of any other physical object • Facts or opinions obtained through direct observation by an employee or agent of the sponsoring Agency • Facts or opinions submitted in response to general solicitations of comments from the public 15

16. Collections Exempt Collections • Items generally not considered to be information collections include: • Facts or opinions, obtained initially or in follow-up requests, from individuals under treatment of clinical examination • A request for facts or opinions addressed to a single person • Facts or opinions obtained or solicited at or in connection with public hearings • Collections of information from federal employees within the scope of their employment 16

17. Collections Procedure to Obtain Approval • The request for OMB approval involves: • Preparation of a 60-day notice that is published in the Federal Register. This notice invites public comment • Notice is forwarded through DoD Component Information Management Control Officer (IMCO) (Ms. Kim Frazier) to the DoD Clearance Officer • OMB Form 83-I, “Paperwork Reduction Act Submission” is prepared and routed through DoD Component IMCO Information Collections conducted as part of national intelligence activities • The Notice is published in the Federal Register for comment 17

18. Collections Procedure to Obtain Approval • The request for OMB approval involves: • A week before the package is sent to OMB, the notice is published in the Federal Register for a 30-day public comment period • OMB then has 30 days to review comments and approve or disapprove the package • The clearance package includes the OMB Form 83-I, a Supporting Statement and Supporting Documentation 18

19. CollectionsDoD Policy on Information Collections • Information collected by a DoD Component – internally (within the Department) or externally (from the public) shall be “minimized, accounted for, and controlled” • Internal Collections require a Report Control Symbol – issued by Washington Headquarters Services • External Collections require an OMB number – issued by OMB

20. CollectionsConducting a Survey When do I need approval to conduct a survey?

21. CollectionsPoints of Contact • Ms. Kim L. Frazier • HA/TMA Information Management Control Officer, Health Program Analysis and Evaluation • E-mail: Kim.Frazier@tma.osd.mil • Phone: 703-681-3636 • Ms. Sandra Dennis • CTR Support • E-mail: Sandra.Dennis.ctr@tma.osd.mil • Phone: 703-681-3636

22. CollectionsSummary • You should now be able to: • Describe an Information collection • Identify the authority and guidance on information collection • Define who is a member of the public for purposes of public information collection • Explain the basics of the OMB approval process

23. CollectionsResources • DODI 1100.13, “Surveys of DoD Personnel” • The Privacy Act of 1974 • HIPAA • DoD 5400.11-R, “DoD Privacy Program” • All information requirements must have a Privacy Act Review, a HIPAA Review, and provisions to address the protection of personally identifiable information and personal health information for DoD respondents under the Law

24. CollectionsResources (continued) • DOD 8910.1-M, “DoD Procedures for Management of Information Requirements” • HA Policy 08-003 (Apr 1, 2008), “Policy for Conducting Surveys and Studies-Related Information Collection Requirements in the Military Health System” • 5 CRF 1320, “Paperwork Reduction Act” • DoDD 3216.02, “Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research”