[Federal Register: March 15, 2005 (Volume 70, Number 49)]
[Notices]
[Page 12774-12777]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15mr05-168]
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SOCIAL SECURITY ADMINISTRATION
Privacy Act of 1974; as Amended New System of Records and New
Routine Use Disclosures
AGENCY: Social Security Administration (SSA).
ACTION: Proposed new system of records and proposed routine uses.
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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and
(e)(11)), we are issuing public notice of our intent to establish a new
system of records entitled Representative Payee/Misuse Restitution
Control System (RP/MRCS), 60-0318, and routine uses applicable to this
system of records. Hereinafter, we will refer to the proposed system of
records as the RP/MRCS. We invite public comments on this proposal.
DATES: We filed a report of the proposed new system of records and
proposed routine use disclosures with the Chairman of the Senate
Committee on Homeland Security and Governmental Affairs, the Chairman
of the House Committee on Government Reform, and the Director, Office
of Information and Regulatory Affairs, Office of Management and Budget
(OMB) on January 26, 2005. The proposed system of records and routine
uses will become effective on March 6, 2005, unless we receive comments
warranting it not to become effective.
ADDRESSES: Interested individuals may comment on this publication by
writing to the Executive Director, Office of Public Disclosure, Office
of the General Counsel, Social Security Administration, Room 3-A-6
Operations Building, 6401 Security Boulevard, Baltimore, Maryland
21235-6401. All comments received will be available for public
inspection at the above address.
FOR FURTHER INFORMATION CONTACT: Ms. Joyce Schaul, Social Insurance
Specialist, Office of Public Disclosure, Office of the General Counsel,
Social Security Administration, Room 3-A-6 Operations Building, 6401
Security Boulevard, Baltimore, Maryland 21235, e-mail address at
joyce.schaul@ssa.gov, or by telephone at (410) 965-5662.
SUPPLEMENTARY INFORMATION:
I. Background and Purpose of the Proposed New System of Records
Entitled the RP/MRCS System
A. General Background
On March 4, 2004, President Bush signed into law the Social
Security Protection Act of 2004 (Pub. L. 108-203), which amended
section 205(j) of the Social Security Act. Included in the amendment is
a requirement for the Commissioner of Social Security to re-issue
benefits under Title II or XVI whenever an individual representative
payee serving 15 or more beneficiaries or an organizational
representative payee is found to have misused a beneficiary's funds.
This is effective for determinations of misuse on or after January 1,
1995. To carry out this function as required under the amended section
205(j), SSA must collect and maintain certain identifying information
about: (1) representative payees that have misused benefits; (2)
beneficiaries whose benefits have been misused; and (3) the
relationship between the representative payee and the beneficiary.
B. Collection and Maintenance of the Data for the Proposed New System
of Records Entitled the RP/MRCS System
SSA must collect and maintain certain identifying information about
representative payees that have misused benefits; beneficiaries whose
benefits have been misused; and, the relationship between the
representative payee and the beneficiary. We will retrieve information
from the proposed system of records by using the individual's name and/
or Social Security number. Thus the RP/MRCS system will constitute a
system of records under the Privacy Act of 1974, as amended.
II. Proposed Routine Use Disclosures of Data Maintained in the Proposed
RP/MRCS
A. Proposed Routine Use Disclosures
We are proposing to establish routine uses of information that will
be maintained in the proposed RP/MRCS as discussed below.
1. To the Office of the President for the purpose of responding to
an individual pursuant to an inquiry received from that individual or
from a third party on his or her behalf.
We will disclose information under this routine use only in
situations in which an individual may contact the Office of the
President, seeking that Office's assistance in a matter relating to
information contained in this system of records. Information will be
disclosed when the Office of the President makes an inquiry and
indicates that it is acting on behalf of the individual whose record is
requested.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
We will disclose information under this routine use only in
situations in which an individual may ask his or her congressional
representative to intercede in a matter relating to information
contained in this system of records. Information will be disclosed when
the congressional representative makes an inquiry and indicates that he
or she is acting on behalf of the individual whose record is requested.
3. To the Department of Justice (DOJ), a court or other tribunal,
or another party before such tribunal when:
[[Page 12775]]
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operation of SSA or any of
its components, is party to litigation or has an interest in such
litigation, and SSA determines that the use of such records by DOJ, a
court or other tribunal, or another party before such tribunal, is
relevant and necessary to the litigation, provided, however, that in
each case, SSA determines that such disclosure is compatible with the
purpose for which the records were collected.
Disclosure of any information defined as ``return or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be made unless authorized by a statute, the Internal Revenue
Service (IRS), or IRS regulations.
We will disclose information under this routine use only as
necessary to enable DOJ to effectively defend SSA, its components or
employees in litigation involving the proposed new system of records
and ensure that courts and other tribunals have appropriate
information.
4. To contractors and other Federal Agencies, as necessary, for the
purpose of assisting SSA in the efficient administration of its
programs. We contemplate disclosing information under this routine use
only in situations in which SSA may enter into a contractual or similar
agreement with a third party to assist in accomplishing an Agency
function relating to this system of records.
We will disclose information under this routine use only in
situations in which SSA may enter into a contractual agreement or
similar agreement with a third party to assist in accomplishing an
Agency function relating to this system of records.
5. To student volunteers, individuals working under a personal
service contract, and other individuals performing functions for SSA
but technically not having the status of Agency employees, if they need
access to the records in order to perform their assigned Agency
functions.
Under certain Federal statutes, SSA is authorized to use the
service of volunteers and participants in certain educational,
training, employment and community service programs. Examples of such
statutes and programs include: 5 U.S.C. 3111 regarding student
volunteers and 42 U.S.C. 2753 regarding the College Work-Study Program.
We contemplate disclosing information under this routine use only when
SSA uses the services of these individuals, and they need access to
information in this system to perform their assigned Agency duties.
6. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by NARA
Act of 1984, for the use of those agencies in conducting records
management studies.
The Administrator of GSA and the Archivist of NARA are charged by
44 U.S.C. 2904, as amended, with promulgating standards, procedures and
guidelines regarding record management and conducting records
management studies. 44 U.S.C. 2906, as amended, provides that GSA and
NARA are to have access to Federal agencies' records and that agencies
are to cooperate with GSA and NARA. In carrying out these
responsibilities, it may be necessary for GSA and NARA to have access
to this proposed system of records. In such instances, the routine use
will facilitate disclosure.
7. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace, and the operation of SSA
facilities, or
To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
We will disclose information under this routine use to law
enforcement agencies and private security contractors when information
is needed to respond to, investigate, or prevent, activities that
jeopardize the security and safety of SSA customers, employees or
workplaces or that otherwise disrupt the operation of SSA facilities.
Information would also be disclosed to assist in the prosecution of
persons charged with violating Federal or local law in connection with
such activities.
B. Compatibility of Proposed Routine Uses
The Privacy Act (5 U.S.C. 552a(b)(3)) and SSA's disclosure
regulation (20 CFR part 401) permit us to disclose information under a
published routine use for a purpose that is compatible with the purpose
for which we collected the information. SSA's Regulations at 20 CFR
401.150(c) permit us to disclose information under a routine use where
necessary to carry out SSA programs. SSA's Regulations at 20 CFR
401.120 provide that we will disclose information when a law
specifically requires the disclosure. The proposed routine uses
numbered 1 through 5 and 7 above will ensure efficient administration
of SSA programs administered through the RP/MRCS; the disclosure that
would be made under routine use number 6 is required by law. The
proposed routine uses are appropriate and meet the relevant statutory
and regulatory criteria.
III. Records Storage Medium and Safeguards for the Proposed New System
Entitled the RP/MRCS
SSA will maintain information in the RP/MRCS in electronic and
paper form. Only authorized SSA and contractor personnel who have a
need for the information in the performance of their official duties
will be permitted access to the information. We will safeguard the
security of the information by requiring the use of access codes to
enter the computer system that will maintain the data and will store
computerized records in secured areas that are accessible only to
employees who require the information to perform their official duties.
Any manually maintained records will be kept in locked cabinets or in
otherwise secure areas. Furthermore, SSA employees having access to SSA
databases maintaining personal information must sign a sanction
document annually, acknowledging their accountability for making
unauthorized access to or disclosure of such information.
Contractor personnel having access to data in the RP/MRCS will be
required to adhere to SSA rules concerning safeguards, access and use
of the data.
SSA and contractor personnel having access to the data on this
system will be informed of the criminal penalties of the Privacy Act
for unauthorized access to or disclosure of information maintained in
this system. See 5 U.S.C. 552a(i)(1).
IV. Effect of the Proposed RP/MRCS on the Rights of Individuals
The proposed new system of records will maintain only that
information that is necessary for the efficient and effective control
and processing of the RP/MRCS in order to investigate certain misuse
cases to determine whether the beneficiary has been repaid by either
SSA or the representative payee. Security measures will be employed
that protect access to and preclude unauthorized disclosure of records
in
[[Page 12776]]
the proposed system of records. Therefore, we do not anticipate that
the proposed system of records will have an unwarranted adverse effect
on the rights of individuals.
Dated: January 25, 2005.
Jo Anne B. Barnhart,
Commissioner.
Notice of System of Records Required by the Privacy Act of 1974; as
Amended
System Number: 60-0318.
System Name:
Representative Payee/Misuse Restitution Control System (RP/MRCS),
Office of the Deputy Commissioner for Disability and Income Security
Programs, Associate Commissioner for Income Security Programs.
Security Classification:
None.
System Location:
Associate Commissioner for Income Security Programs, Social
Security Administration, 6401 Security Boulevard, Baltimore, Maryland
21235-6401.
Categories of Individuals Covered By the System:
This system maintains information about representative payees that
have misused benefits and beneficiaries/recipients whose benefits have
been misused.
Categories of Records in the System:
Data in this system consist of:
(1) Names, mailing address, location address, phone number,
employee identification number (EIN)/Social Security number (SSN), and
identification number of representative payees;
(2) Names, SSNs or other cross-referenced account numbers, the
program in which the misuse occurred (Title II or Title XVI), current
address, payment status, misuse amount, misuse determination date,
misuse start date, misuse end date and SSA negligence code (Y or N) of
beneficiaries/recipients; and
(3) The original amount refunded by payee, original amount restored
by SSA, new amount refunded by payee, new amount restored by SSA, case
outcome and completion date.
Authority for Maintenance of the System:
The Social Security Protection Act of 2004 (Pub. L. 108-203);
Section 205(j)(5) of the Social Security Act (42 U.S.C. 405(j)(5)).
Purpose(s):
Information in this system will assist SSA in investigating certain
representative payee misuse cases going back to January 1, 1995, to
determine whether the beneficiary has been repaid by either SSA or the
representative payee. The information in this system will also be used
to control completion of cases and to provide details about how the
case was resolved.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purpose of Such Uses:
Disclosure may be made for routine uses as indicated below.
However, disclosure of any information defined as ``return'' or
``return information'' under 26 U.S.C. 6103 of the Internal Revenue
Code will not be made unless authorized by a statute, the Internal
Revenue Service (IRS) or IRS regulations.
1. To the Office of the President for the purpose of responding to
an individual pursuant to an inquiry received from that individual or
from a third party on his or her behalf.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
3. To the Department of Justice (DOJ), a court or other tribunal,
or another party before such tribunal when:
(a) SSA, or any component thereof; or
(b) any SSA employee in his/her official capacity; or
(c) any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) the United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any of
its components, is party to litigation or has an interest in such
litigation, and SSA determines that the use of such records by DOJ, a
court or other tribunal, or another party before such tribunal, is
relevant and necessary to the litigation, provided, however, that in
each case, SSA determines that such disclosure is compatible with the
purpose for which the records were collected.
Disclosure may be made for routine uses as indicated below.
However, disclosure of any information defined as ``return'' or
``return information'' under 26 U.S.C. 6103 of the Internal Revenue
Code will not be made unless authorized by a statute, the Internal
Revenue Service (IRS) or IRS regulations.
4. To contractors and other Federal agencies, as necessary, for the
purpose of assisting SSA in the efficient administration of its
programs. We contemplate disclosing information under this routine use
only in situations in which SSA may enter into a contractual or similar
agreement with a third party to assist in accomplishing an Agency
function relating to this system of records.
5. To student volunteers, individuals working under a personal
services contract, and other individuals performing functions for SSA,
but technically not having the status of Agency employees if they need
access to the records in order to perform their assigned Agency
functions.
6. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by NARA
Act of 1984, for the use of those Agencies in conducting records
management studies.
7. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
To enable them to protect the safety of SSA employees and
the public, the security of the SSA workplace, the operation of SSA
facilities, or
To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
Policies and Practices for Storing, Retrieving, Accessing, Retaining
and Disposing of Records in the System:
Storage:
Records in this system are maintained electronically.
Retrievability:
Records in this system will be retrieved by the name, SSN or EIN of
the representative payee, or name or SSN of the beneficiary/recipient.
Safeguards:
Security measures include the use of access codes to enter the
computer system which will maintain the data and the storage of
computerized records in secured areas which are accessible only to
employees who require the information in performing their official
duties. SSA employees who have access to the data will be informed of
the criminal penalties of the Privacy Act for unauthorized access to,
or disclosure of, information maintained in the system. See 5 U.S.C.
552a(i)(1).
Contractor personnel having access to data in the system of records
will be
[[Page 12777]]
required to adhere to SSA rules concerning safeguards, access and use
of the data.
Retention and Disposal:
Misuse data and contact information about misusers (payees) will be
populated into RP/MRCS via a flat file produced by the Office of
Systems from the Representative Payee System (RPS) using the criteria
specified by section 205(j) of the Social Security Act. This flat file
will also contain current beneficiary contact data from the Master
Beneficiary Record and/or the Supplemental Security Income Record.
Once the data is loaded into RP/MRCS, field offices will develop
the status of repayment of each misuse event and post resolution
information. Management information regarding cases pending and cleared
will be collected and reported, as will information about case
resolution.
Data collected during the course of an RP/MCRS action is stored in
a database on the Dallas Regional Office's Windows servers. Only a
limited number of new records (those that were not recorded on RPS)
will be added to the database. RP/MRCS will cover only misuse events
related to the closed period of January 1, 1995, through the initial
population of the database from SSA's Representative Payee System in
April 2004.
Records in the system will be retained for 12 months after the
final data are posted and then they will be archived.
System Manager(s):
Associate Commissioner for Income Security Programs, Social
Security Administration, 6401 Security Boulevard, Baltimore, Maryland
21235-6401.
Notification Procedure(s):
An individual can determine if this system contains a record about
him/her by writing to the systems manager(s) at the above address and
providing his/her name, SSN or other information that may be in the
system of records that will identify him/her. An individual requesting
notification of records in person should provide the same information,
as well as provide an identity document, preferably with a photograph,
such as a driver's license or some other means of identification. If an
individual does not have any identification documents sufficient to
establish his/her identity, the individual must certify in writing that
he/she is the person claimed to be and that he/she understands that the
knowing and willful request for, or acquisition of, a record pertaining
to another individual under false pretenses, is a criminal offense. (20
CFR 401.40).
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it is
determined that the identifying information provided by telephone is
insufficient, the individual will be required to submit a request in
writing or in person. If an individual is requesting information by
telephone on behalf of another individual, the subject individual must
be connected with SSA and the requesting individual in the same phone
call. SSA will establish the subject individual's identity (his/her
name, SSN, address, date of birth, and place of birth, along with one
other piece of information, such as mother's maiden name) and ask for
his/her consent in providing information to the requesting individual.
(20 CFR 401.45)
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity or
must certify in the request that he/she is the person claimed to be and
that he/she understands that the knowing and willful request for, or
acquisition of, a record pertaining to another individual under false
pretenses, is a criminal offense. These procedures are in accordance
with SSA Regulations (20 CFR 401.45).
Record Access Procedure(s):
Same as Notification procedures. Requesters also should reasonably
specify the record contents they are seeking. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Contesting Record Procedure(s):
Same as Notification procedures. Requesters should also reasonably
identify the record, specify the information they are contesting, and
state the corrective action sought and the reasons for the correction
with supporting justification showing how the record is untimely,
incomplete, inaccurate, or irrelevant. These procedures are in
accordance with SSA Regulations (20 CFR 401.65).
Record Source Categories:
Information in this system of records is obtained from existing
systems of records such as the Claims Folder System, 60-0089, Master
Beneficiary Record, 60-0090, Supplemental Security Income Record and
Special Veterans Benefits, 60-0103 and the Master Representative Payee
File, 60-0222.
Systems Exempt from Certain Provisions of the Privacy Act:
None.
[FR Doc. 05-4988 Filed 3-14-05; 8:45 am]
BILLING CODE 4191-02-P