Privacy Act of 1974; Report of Revised System of Records

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Social Security Administration

Privacy Act of 1974; Report of Revised System of Records

AGENCY: Social Security Administration (SSA), Department of Health and

Human Services (HHS).

ACTION: Revision to a system of records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(11)), we

are issuing public notice of our intent to revise the description of a

system of records entitled ``Earnings Recording and Self-Employment

Income System'' (HHS/SSA/OSR, 09-60-0059) (last published at 58 FR

48525, September 16, 1993).

DATE: The proposed changes will become effective as proposed, without

further notice, on January 13, 1995, unless we receive comments on or

before that date which would warrant our preventing the changes from

taking effect.

ADDRESSES: Interested individuals may comment on this publication by

writing to the SSA Privacy Officer, Social Security Administration,

Room 3-D-1 Operations Building, 6401 Security Boulevard, Baltimore,

Maryland 21235. All comments received will be available for public

inspection at that address.

FOR FURTHER INFORMATION CONTACT:

Mr. Stanley Hanna, Social Insurance Specialist, Confidentiality and

Disclosure Branch, Office of Disclosure Policy, Social Security

Administration, 3-D-1 Operations Building, 6401 Security Boulevard,

Baltimore, Maryland 21235, telephone 410-966-7077.

SUPPLEMENTARY INFORMATION:

I. Discussion of Proposed Revision

We are adding information to the description of the system of

records to indicate that it includes information about individuals

affected by the Coal Industry Retiree Health Benefit Act of 1992, and

that the information is obtained from the United Mine Workers of

America (UMWA) Combined Benefit Fund. We are also revising two routine

use statements.

To comply with the Coal Industry Retiree Health Benefit Act of 1992

(Pub. L. 102-486, 106 Stat. 2776), we published new routine uses to

this system of records on September 16, 1993 (at 58 FR 48525). At that

time we did not believe that any further change to the system was

necessary. However, as the Social Security Administration (SSA) has

gained some experience with developing cases in connection with this

law, we have found that we need to revise our description of the

records which are included in the system and to make other changes in

the system's notice.

We therefore propose to add the following phrase to the paragraph

entitled ``Categories of individuals covered by the system'': ``any

person affected by the Coal Industry Retiree Health Benefit Act of

1992.''

We propose to add the following phrase to the paragraph entitled

``Categories of records in the system'': ``information about miners and

their families needed to administer the Coal Industry Retiree Health

Benefit Act of 1992.''

We propose to add the following to the list of ``Purposes'': ``To

make assignments of responsibility for paying premiums and to perform

other functions under the Coal Industry Retiree Health Benefit Act of

1992.''

We propose to expand the explanation of information which may be

disclosed to the coal industry assigned operator (in Routine Use #29)

to include: ``work history and other detailed information as to the

basis for the assignment of that individual.''

We propose to add the following phrase to the paragraph entitled

``Record source categories'': ``the United Mine Workers of America

Combined Benefit Fund.''

We are proposing the changes to Routine Use #29 in accordance with

the Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), and (e)(11)) and our

disclosure regulation (20 CFR part 401).

The Privacy Act permits us to disclose information about

individuals without their consents for a routine use, i.e., where the

information will be used for a purpose that is compatible with the

purpose for which we collected the information. The disclosure of

information on individuals obtained from the UMWA Combined Benefit Fund

to the coal industry operators to whom they were assigned under 26

U.S.C. 9706, as described in Routine Use #29, for use by those

operators in pursuing their remedies regarding those assignments, is

required by statute, 26 U.S.C. 9706(f). Thus, we believe that this

disclosure meets the compatibility criterion discussed above because it

serves the purposes for which it was collected and because it is

required by law.

The proposed changes will make it clear that the earnings record

system now includes information which SSA has received from the UMWA

Combined Benefit Fund regarding miners and their families who are

affected by the Coal Industry Retiree Health Benefit Act of 1992, and

that this information will be used and disclosed for the purpose of

performing those functions assigned to us under that statute.

We are also making a minor wording change to Routine Use #13 so

that the language will be consistent with the routine use statements in

systems notices of other SSA systems of records which deal with

disclosure to the Department of Justice.

II. Effect of the Proposed Changes on Individual Rights

The proposed changes will:

Add another category of individuals and category of records

covered by this system of records,

Clarify the kind of information which SSA maintains and the

routine use statement on disclosures of this information, and

Show the sources from which the information is obtained.

The proposed changes will have no unwarranted effect on

individual's rights.

Dated: November 8, 1994.

Shirley S. Chater,

Commissioner of Social Security.

09-60-0059

Earnings Recording and Self-Employment Income System, HHS/SSA/OSR.

None.

Social Security Administration, Office of Systems, 6401 Security

Boulevard, Baltimore, MD 21235

Social Security Administration, Office of Systems Requirements, 6401

Security Boulevard, Baltimore, MD 21235

Social Security Administration, Office of Central Records Operations,

Metro West Building, 300 North Greene Street, Baltimore, MD 21201

Records also may be located at contractor sites (contact the system

manager at the address below for contractor addresses), and in the

program service centers.

Any person who has been issued a Social Security number (SSN) and

who may or may not have earnings under Social Security; or any person

requesting, reporting, changing and/or inquiring about earnings

information; or any person affected by the Coal Industry Retiree Health

Benefit Act of 1992; or any person having a vested interest in a

private pension fund.

This system contains records of every SSN holder, his/her name,

date of birth, sex, and race/ethnic data and a summary of his/her

yearly earnings and quarters of coverage; special employment codes

(i.e., self-employment, military, agriculture, and railroad); benefit

status information; employer identification (i.e., employer

identification numbers and pension plan numbers); minister waiver forms

(i.e., forms filed by the clergy for the election or waiver of coverage

under the Social Security Act (the Act)); correspondence received from

individuals pertaining to the above-mentioned items; the replies to

such correspondence; information about miners and their families needed

to administer the Coal Industry Retiree Health Benefit Act of 1992 and

pension plan information (i.e., nature, form, and amount of vested

benefits).

Sections 205(a) and 205(c)(2) of the Act, the Federal Records Act

of 1950 (64 Stat. 583), the Employee Retirement Income Security Act of

1974 (Pub. L. 93-406), and the Coal Industry Retiree Health Benefit Act

of 1992 (Pub. L. 102-486, 106 Stat. 2776).

This system is used for the following purposes:

As a primary working record file of all SSN holders;

As a quarterly record detail file to provide full data in

wage investigation cases;

To provide information for determining amount of benefits;

To record all incorrect or incomplete earnings items;

To reinstate incorrectly or incompletely reported earnings

items;

To record the latest employer of a wage earner;

For statistical studies;

For identification of possible overpayments of benefits;

For identification of individuals entitled to additional

benefits;

To provide information to employers/former employers for

correcting or reconstructing earnings records and for Social Security

tax purposes;

To provide workers and self-employed individuals with

earnings statements or quarters of coverage statements;

To provide information to Health and Human Services (HHS)

Office of Inspector General for auditing benefit payments under Social

Security programs;

To provide information to the National Institute for

Occupational Safety and Health for epidemiological research studies

required by the Occupational Health and Safety Act of 1974;

To assist the Social Security Administration (SSA) in

responding to general inquiries about Social Security, including

earnings or adjustments to earnings, and in preparing responses to

subsequent inquiries;

To store minister waivers, thus preventing erroneous

payment of Social Security benefits; and

To make assignments of responsibility for paying premiums

and to perform other functions under the Coal Industry Retiree Health

Benefit Act of 1992.

Disclosure may be made for routine uses as indicated below:

1. To employers or former employers, including State Social

Security administrators, for correcting and reconstructing State

employee earnings records and for Social Security purposes.

2. To the Department of the Treasury for:

(a) Investigating the alleged forgery, or unlawful negotiation of

Social Security checks; and

(b) Tax administration as defined in 26 U.S.C. 6103 of the Internal

Revenue Code (IRC).

3. To the Railroad Retirement Board (RRB) for administering

provisions of the Railroad Retirement and Social Security Acts relating

to railroad employment.

4. To the Department of Justice (DOJ) (Federal Bureau of

Investigation and United States Attorneys) for investigating and

prosecuting violations of the Act.

5. To a contractor for the purpose of collating, evaluating,

analyzing, aggregating or otherwise refining records when the SSA

contracts with a private firm. (The contractor shall be required to

maintain Privacy Act safeguards with respect to such records.)

6. To the Department of Energy for its study of low-level radiation

exposure.

7. To a congressional office in response to an inquiry from the

congressional office made at the request of the subject of a record.

8. To the Department of State for administering the Act in foreign

countries through services and facilities of that agency.

9. To the American Institute of Taiwan for administering the Act in

Taiwan through services and facilities of that agency.

10. To the Department of Veterans Affairs (DVA) Regional Office for

administering the Act in the Philippines through services and

facilities of that agency.

11. To the Department of Interior for administering the Act in the

Trust Territory of the Pacific Islands through services and facilities

of that agency.

12. To State audit agencies for auditing State supplementation

payments and Medicaid eligibility considerations.

13. To DOJ, a court or other tribunal, or another party before such

tribunal when:

(a) SSA, 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 a party to litigation or has an interest in such litigation, and SSA

determines that the use of such records DOJ, the court or other

tribunal or other 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.

Wage and other information that is subject to the disclosure

provisions of the IRC (26 U.S.C. 6103) will not be disclosed under this

routine use unless disclosure is expressly permitted by the IRC.

14. In response to legal process or interrogatories relating to the

enforcement of an individual's child support or alimony obligations, as

required by sections 459 and 461 of the Act.

15. Information necessary to adjudicate claims filed under an

international Social Security agreement that the United States has

entered into pursuant to section 233 of the Act may be disclosed to a

foreign country that is a party to that agreement.

16. To Federal, State, or local agencies (or agents on their

behalf) for the purpose of validating SSNs used in administering cash

or noncash income maintenance programs or health maintenance programs

(including programs under the Act).

17. Tax return information (e.g., information with respect to net

earnings from self-employment, wages, payments of retirement income

that has been disclosed to SSA and business and employment address) may

be disclosed, upon written request, to officers and employees of a

Federal, State or local agency for purposes of, and to the extent

necessary in, determining an individual's eligibility for, or the

correct amount of, benefits under certain programs listed in section

6103(l)(7) of the Internal Revenue Code (IRC). These programs are:

(a) Aid to families with dependent children provided under a State

plan approved under part A of title IV of the Act;

(b) Medical assistance provided under a State plan approved under

title XIX of the Act;

(c) Supplemental security income benefits provided under title XVI

of the Act, and federally administered supplementary payments of the

type described in section 1616(a) of such Act (including payments

pursuant to an agreement entered into under section 212(a) of Public

Law (Pub. L.) 93-66);

(d) Any benefits provided under a State plan approved under title

I, X, XIV, or XVI of the Act (as those titles apply to Puerto Rico,

Guam and the Virgin Islands);

(e) Unemployment compensation provided under a State law described

in section 3304 of the IRC;

(f) Assistance provided under the Food Stamp Act of 1977; and

(g) State-administered supplementary payments of the type described

in section 1616(a) of the Act (including payments pursuant to an

agreement entered into under section 212(a) of Pub. L. 93-66).

18. Tax return information (e.g., information with respect to net

earnings from self-employment, wages, payments of retirement income

that has been disclosed to SSA and business and employment addresses)

may be disclosed, upon written request, to appropriate officers and

employees of a State or local child support enforcement agency in

accordance with 26 U.S.C. 6103(l)(8) for purposes of, and to the extent

necessary in

(a) Establishing and collecting child support obligations from

individuals who owe such obligations, and

(b) Locating those individuals

under a program established under title IVD of the Act (42 U.S.C.

651ff).

19. The fact that a veteran is or is not eligible for retirement

insurance benefits under the Social Security program may be disclosed

to the Office of Personnel Management (OPM) for its use in determining

a veteran's eligibility for a civil service retirement annuity and the

amount of such annuity.

20. Employee and employer name and address information may be

disclosed to DOJ (Immigration and Naturalization Service) for the

purpose of informing that agency of the identities and locations of

aliens who appear to be illegally employed.

21. Information may be disclosed 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.

22. Information derived from this system may be disclosed to OPM

for the purpose of computing civil service annuity offsets of civil

service annuitants with military service or the survivors of such

individuals pursuant to provisions of section 307 of Pub. L. 97-253.

23. Nontax return information that is not restricted from

disclosure by Federal law may be disclosed to the General Services

Administration and the National Archives and Records Administration for

the purpose of conducting records management studies with respect to

their duties and responsibilities under 44 U.S.C. 2904 and 2906, as

amended by the National Archives and Records Administration Act of

1984.

24. Disclosure of tax return information will be made to OPM, upon

OPM's written request, for the purpose of administering the Civil

Service and Federal Employees Retirement Systems in accordance with

Chapters 83 and 84 of Title 5, United States Code.

25. To the Rehabilitation Services Administration (RSA) for use in

its program studies of, and development of enhancements for, State

vocational rehabilitation programs. These are programs to which

applicants or beneficiaries under titles II and/or VI of the Act may be

referred. Data released to RSA will not include any personally

identifying information (such as names or SSNs).

26. Upon written request, SSA will disclose tax return information

to the VA for propose of Administration for the purposes of, and to the

extent necessary for determining eligibility for, or the amount of,

benefits under the following programs:

(a) Any needs-based pension provided under chapter 15 of title 38,

United States Code, or under any other law administered by the

Secretary of Veterans Affairs;

(b) Parents' dependency and indemnity compensation provided under

section 1315 of title 38, United States Code;

(c) Health-care services furnished under sections 1710(a)(1)(I),

1710(a)(2), 1710(b), and 1712(a)(2)(B) of title 38, United States Code;

and

(d) Compensation paid under chapter 11 of title 38, United States

Code, at the 100 percent rate based solely on unemployability and

without regard to the fact that the disability or disabilities are not

rated as 100 percent disabling under the rating schedule.

The tax return information which may be disclosed under this

paragraph includes wages, net earnings from self-employment, payments

of retirement income which have been disclosed to SSA and business and

employment addresses, except that information on payments of retirement

income will not be disclosed for use with respect to programs described

in subparagraph (d).

27. The identity of each coal industry assigned operator determined

to be responsible for annual premiums, and the names and Social

Security numbers of eligible beneficiaries with respect to whom the

operator is identified, may be disclosed to the trustees of the United

Mine Workers of America Combined Benefit Fund pursuant to section

9706(e)(1) of the IRC as added by the Coal Industry Retiree Health

Benefit Act of 1992, Pub. L. 102-486, 106 Stat; 2776 (codified at 26

U.S.C. 9701-9721 (1992)).

28. The names and Social Security numbers of eligible beneficiaries

who have been assigned to a coal industry assigned operator and a brief

summary of the facts related to the basis for such assignments may be

disclosed to the coal industry assigned operator determined to be

responsible for that individual's annual premiums payable to the United

Mine Workers of America Combined Benefit Fund pursuant to section

9706(e)(2) of the IRC as added by the Coal Industry Retiree Health

Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified at 26

U.S.C. 9701-9721 (1992)).

29. Detailed information from an individual's work history and

other detailed information as to the basis for the assignment of that

individual may be disclosed to the coal industry assigned operator

determined to be responsible for that individual's annual premiums

payable to the United Mine Workers of America Combined Benefit Fund

pursuant to section 9706(f)(1) of the IRC as added by the Coal Industry

Retiree Health Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776

(codified at 26 U.S.C. 9701-9721 (1992)).

Records in this system are maintained as paper forms,

correspondence in manila folders on open shelving, paper lists,

punchcards, microfilm, magnetic tapes, and discs with online access

files.

Records in this system are indexed by SSN, name, and employer

identification number.

Safeguards for automated records have been established in

accordance with the HHS Information Resources Management Manual, Part

6, Automated Information Systems Security Program Handbook. This

includes maintaining the magnetic tapes and discs within an enclosure

attended by security guards. Anyone entering or leaving this enclosure

must have a special badge issued only to authorized personnel.

For computerized records electronically transmitted between Central

Office and field office locations (including organizations

administering SSA programs under contractual agreements, safeguards

include a lock/unlock password system, exclusive use of leased

telephone lines, a terminal-oriented transaction matrix, and an audit

trail. All microfilm and paper files are accessible only by authorized

personnel who have a need for the information in the performance of

their official duties.

Expansion and improvement of SSA's telecommunications systems has

resulted in the acquisition of terminals equipped with physical key

locks. The terminals also are fitted with adapters to permit the future

installation of data encryption devices and devices to permit the

identification of terminal users.

All paper forms and cards are retained until they are filmed or are

entered on tape and their accuracy is verified. Then they are destroyed

by shredding. All tapes, discs, and microfilm files are updated

periodically. The out-of-date magnetic tapes and discs are erased. The

out-of-date microfilm is shredded.

SSA retains correspondence for 1 year when it concerns documents

returned to an individual, denials of confidential information, release

of confidential information to an authorized third party and

undeliverable material, for 4 years when it concerns information and

evidence pertaining to coverage, wage, and self-employment

determinations or when the statute of limitations is involved, and

permanently when it affects future claims development, especially

coverage, wage, and self-employment determinations. Correspondence is

destroyed, when appropriate, by shredding.

Director, Office of Pre-Claims Requirements, Office of Systems

Requirements, Social Security Administration, 6401 Security Boulevard;

Baltimore, MD 21235.

An individual can determine if this system contains a record

pertaining to him/her by providing his/her name, signature and SSN or,

if the SSN is not known, name, signature, date and place of birth,

mother's maiden name and father's name to the address shown under

system manager and by referring to this system. (Furnishing the SSN is

voluntary, but it will make searching for an individuals's record

easier and prevent delay.)

An individual requesting notification of records in person need not

furnish any special documents of identity. Documents he/she would

normally carry on his/her person would be sufficient (e.g., credit

cards, driver's license, or voter registration card). An individual

requesting notification via mail or telephone must furnish a minimum of

his/her name, date of birth, and address in order to establish

identity, plus any additional information specified in this section.

These procedures are in accordance with HHS Regulations 45 CFR part 5b.

Same as notification procedures. Also, requesters should reasonably

specify the record contents they are seeking. These procedures are in

accordance with HHS Regulations 45 CFR part 5b.

Same as notification procedures. Also, requesters should 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. These procedures are in accordance with

HHS Regulations 45 CFR part 5b.

SSN applicants, employers and self-employed individuals; DOJ

(including the Immigration and Naturalization Service); the Department

of Treasury (Internal Revenue Service); the United Mine Workers of

America Combined Benefit Fund; an existing system of records maintained

by SSA, the Master Beneficiary Record (09-60-0090); correspondence,

replies to correspondence, and earnings modifications resulting from

SSA internal processes.

None.

[FR Doc. 94-29739 Filed 12-2-94; 8:45 am]

BILLING CODE 4190-29-M