Privacy Act of 1974; Report of New System of Records

SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; Report of New System of Records

AGENCY: Social Security Administration (SSA).

ACTION: New system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 (5 U.S.C.

552a(e)(4) and (11)), we are notifying the public of our intent to

establish a new system of records. The proposed system is entitled

``Plans for Achieving Self-Support (PASS) Management Information

System, SSA/OPBP, 05-009.'' Supplemental Security Income (SSI)

recipients can engage in gainful employment or receive income in other

ways that contribute toward their regaining the ability to participate

normally in the work force. Individuals can report their earnings from

work activity or other job-related income by means of a PASS, which

becomes part of their SSI claim documentation.

The system will maintain information about plans to establish

financial self-sufficiency submitted by certain recipients of SSI under

title XVI of the Social Security Act. SSA management will use the

information in the system to keep track of SSI claims involving PASS

and perform quality assurance and program reviews and other studies

regarding PASS.

We are also proposing to establish certain routine use disclosures

of the information to be maintained in the system. The routine uses are

discussed below.

We invite public comment on this publication.

DATES: We filed a report of the proposed system of records with the

Senate Committee on Governmental Affairs, the House Committee on

Government Reform and Oversight, and the Office of Management and

Budget (OMB), Office of Information and Regulatory Affairs, on August

20, 1996. We have requested a waiver of the OMB 40-day advance notice

period for this system of records. If OMB grants the waiver, the system

of records is effective upon publication in the Federal Register; if

OMB does not grant the waiver, we will implement the system on October

4, 1996. In any event, we will not disclose any information under a

routine use until 30 days after publication. We may defer

implementation of this system of records or one or more of the routine

use statements listed below if we receive comments that persuade us to

defer implementation.

ADDRESSES: Interested individuals may comment on this proposal by

writing to the SSA Privacy Officer. The mailing address is 3-A-6

Operations Building, 6401 Security Boulevard, Baltimore, Maryland

21235; telephone 410-965-1736. Comments may be faxed to 410-966-0869.

All comments received will be available for public inspection at the

above address.

FOR FURTHER INFORMATION CONTACT: Mr. Peter J. Benson, Office of

Disclosure Policy, 6401 Security Boulevard, Baltimore, Maryland 21235;

telephone 410-965-1736.

SUPPLEMENTARY INFORMATION:

I. Description of the Proposed System of Records

Sections 1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the Social

Security Act authorize the Commissioner of Social Security, when

determining eligibility for, or the amount of, supplemental security

income (SSI) benefits, to exclude such income or resources as

determined to be necessary for the fulfillment of Plans for Achieving

Self-Support (PASS) approved by the Commissioner.

We are proposing to establish a more effective and efficient case

control and management information system than we now have for PASS

program evaluation purposes. The system would maintain information

about individuals who have submitted a PASS.

The proposed system will consist of computerized files and some

paper records retrievable by the Social Security number (SSN) and name

of the individual who has submitted a PASS. Based on past experience,

we expect to process approximately 5,500 new PASS per year. We will

collect and maintain only the information that is essential for program

evaluation and case control purposes.

II. Collection and Maintenance of Data in the System

Most of the information in this system of records will already be

in existing SSA Privacy Act systems of records, in the Claims Folder

system (09-60-0089) or the Supplemental Security Income Record system

(09-60-0103). Some new information will be obtained from SSI recipients

or from other persons, or will be generated by SSA. Holding this

information together will facilitate review and oversight of SSI claims

involving PASS by SSA management.

III. Proposed Routine Use Disclosures of Data in the System

We are proposing to establish the following routine use disclosures

of information which will be maintained in the system:

1. To third-party contacts when the party to be contacted has, or

is expected to have, information relating to the individual's PASS,

when:

(a) The individual is unable to provide the information being

sought. An individual is considered to be unable to provide certain

types of information when:

(1) He or she is incapable or of questionable mental capability;

(2) He or she cannot read or write;

(3) He or she cannot afford the cost of obtaining the information;

(4) He or she has a hearing impairment, and is contacting SSA by

telephone through a telecommunications relay system operator;

(5) A language barrier exists; or

(6) The custodian of the information will not, as a matter of

policy, provide it to the individual; or

(b) The data are needed to establish the validity of evidence or to

verify the accuracy of information presented by the individual in

connection with his or her PASS; or SSA is reviewing the information as

a result of suspected abuse or fraud, concern for program integrity,

quality appraisal, or evaluation and measurement activities.

Although most of the information that will be maintained in this

system will already be in SSA's files, SSA will occasionally need to

obtain additional information from SSI recipients or other sources.

When an SSI recipient has difficulty communicating with SSA or

obtaining needed information because

[[Page 46676]]

of a physical handicap, a language barrier, or other reason, SSA helps

the individual as needed. There can also be other situations in which

SSA requests information from a source other than the subject

individual. To request needed information from such other sources, SSA

must disclose minimal information about the individual to them, for

example, information identifying the individual and the fact that the

subject individual is, or was, a recipient of SSI payments.

2. To a Congressional office in response to an inquiry from that

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

Individuals sometimes request the help of a Member of Congress in

resolving some issue relating to a matter before SSA. The Member of

Congress then writes SSA, and SSA must be able to give sufficient

information to be responsive to the inquiry.

3. To the Department of the Treasury, Internal Revenue Service, for

the purpose of auditing SSA's compliance with the safeguard provisions

of the Internal Revenue Code of 1986, as amended.

Wage and self-employment income information in SSA's files,

obtained through the Federal tax reporting process, is considered to be

``tax return'' information, subject to the confidentiality provisions

of section 6103 of the Internal Revenue Code, 26 U.S.C. 6193,

administered by the Internal Revenue Service (IRS). SSA must give IRS

information to allow IRS to carry out its necessary auditing functions

under that statute to determine whether SSA is maintaining and

disclosing tax return information in accordance with that statute.

4. 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.

Individuals sometimes request the help of the President in

resolving some issue relating to matters before SSA. The Office of the

President then writes SSA, and SSA must be able to give sufficient

information to be responsive to the inquiry.

5. Information may be disclosed to a contractor or another Federal

agency, 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 SSA function relating to this system of records.

SSA occasionally contracts out certain of its functions when this

would contribute to effective and efficient operations. SSA must be

able to give a contractor whatever information is necessary for the

contractor to fulfill its duties. In these situations, safeguards are

provided in the contract prohibiting the contractor from using or

disclosing the information for any purpose other than that described in

the contract.

6. Nontax return information that is not restricted from disclosure

by Federal law may be disclosed to the General Services Administration

or the National Archives and Records Administration (NARA) for the

purpose of conducting records management studies with respect to their

duties and responsibilities under 44 U.S.C. 2904 and 2906.

The General Services Administration (GSA) and NARA are responsible

for archiving old records no longer actively used but which may be

appropriate for preservation; they are responsible in general for the

physical maintenance of the Federal government's records. SSA must be

able to turn records over to these agencies in order to determine the

proper disposition of such records.

7. 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 or her official capacity, or

(c) any SSA employee in his or her individual capacity when DOJ (or

SSA when it is authorized to do so) has agreed to represent the

employee, or

(d) the United States or any agency thereof (when 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 by DOJ, the

court, or other tribunal, or party before such court or 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 Internal Revenue Code (IRC, 26 U.S.C. 6103) will not

be disclosed under this routine use unless disclosure is expressly

permitted by the IRC.

Whenever SSA is involved in litigation, or occasionally when

another party is involved in litigation and SSA's policies or

operations could be affected by the outcome of the litigation, SSA

would be able to disclose information to the court or the parties

involved. A determination would be made in each instance that, under

the circumstances involved, the purpose served by the use of the

information in the particular litigation is compatible with a purpose

for which SSA collects the information.

IV. Compatibility of the Proposed Routine Uses

We are proposing the routine use statements discussed above in

accordance with the Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), (e)(4)

and (e)(11) and our disclosure regulation (20 CFR part 401).

The Privacy Act permits us to disclose information about

individuals without their consent for a routine use, i.e., when the

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

purpose for which we collected the information.

Our disclosure regulation allows us to disclose information under a

routine use when the disclosure will be used to administer one of our

programs or a similar program of another government agency, or when

disclosure is required by law. See 20 CFR 401.205 and 401.310.

In all of the routine use disclosures described above, either the

recipient of the information will use the information in connection

with a matter relating to one of SSA's programs (for example,

disclosures to obtain other information needed for a purpose related to

PASS from sources other than the SSI recipient, disclosures to

contractors assisting SSA with an administrative function, disclosure

in connection with litigation relating to (or affecting) a program

administered by SSA) or disclosure is required by law (for example, to

IRS, GSA and NARA). Uses of information in connection with matters

affecting SSA's programs are self-evidently ``compatible.'' Where

disclosure is required by law, the statute establishes that the

mandated use of information described in that statute is one of the

statutorily prescribed uses for which that information is collected and

maintained by SSA.

V. Safeguards

We will employ a number of security measures to minimize the risk

of unauthorized access to or disclosure of personal data in the

proposed system. These measures include the use of passwords and access

codes to enter the computer system which will maintain the data, and

storage of the computerized records and paper records, in secured areas

which are accessible only to employees who require the information in

performing their official duties. SSA employees

[[Page 46677]]

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.

VI. Effect of the Proposed System of Records on Individual Rights

While some new information will be collected or generated by SSA

for this system, most of the information maintained in the system will

be obtained from other SSA systems of records. Routine use disclosures

of information in this system will be even more limited than those

permitted from the other systems or records furnishing information to

this system. SSA will use the data internally to track cases involving

PASS, and perform quality assurance and program integrity reviews and

other management studies. SSA will apply the safeguards described above

to information in this system and will comply with the provisions of

the Privacy Act, the Social Security Act and other laws pertaining to

the maintenance, use and disclosure of such information. Any action,

resulting from SSA's use of information maintained in this system of

records and affecting an individual's Supplemental Security Income

benefits, will be taken in accordance with the Social Security Act and

regulations and procedures established to implement that statute.

Consequently, we do not anticipate that this system of records or the

routine uses established for the disclosure of information maintained

in this system of records would have any unwarranted adverse effect on

the privacy rights or other rights of individuals covered by the

system.

Dated: August 20, 1996.

Shirley S. Chater,

Commissioner of Social Security.

05-009

Plans for Achieving Self-Support (PASS) Management Information

System, SSA/OPBP.

None.

Social Security Administration, Office of Program Benefits Policy, 760

Altmeyer Building, 6401 Security Boulevard, Baltimore, MD 21235

In addition, PASS documents may be temporarily transferred to other

locations within the Social Security Administration (SSA). Contact the

system manager to inquire about these addresses.

This system maintains information on disabled and blind individuals

who are Supplemental Security Income recipients and who have submitted

plans for achieving self-support under sections 1612(b)(4)(A),

1612(b)(4)(B), and 1613(a)(4) of the Social Security Act.

This system contains the beneficiary's name; Social Security number

(SSN); disability diagnosis; occupational objective; information as to

whether the individual's plan was developed by a third party and, if

so, the identity of the third party; if the PASS was disapproved,

terminated or suspended, the basis for that action; information

relating to his or her earnings and employment at the beginning and end

of the PASS; the nature and costs of those goods and services which the

individual has purchased or proposes to purchase under his or her plan;

information about goods and services actually purchased with respect to

an approved plan; and information about plans that were not approved

(e.g., the basis for denial of approval of a plan).

Secs. 1602, 1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the

Social Security Act.

SSA uses the information in the system for program evaluation

purposes and to determine the number and types of individuals that are

successfully returning to work as a result of the PASS.

Disclosure may be made for routine uses as indicated below:

1. To third-party contacts when the party to be contacted has, or

is expected to have, information relating to the individual's PASS,

when:

(a) The individual is unable to provide the information being

sought. An individual is considered to be unable to provide certain

types of information when:

(1) He or she is incapable or of questionable mental capability;

(2) He or she cannot read or write;

(3) He or she cannot afford the cost of obtaining the information;

(4) He or she has a hearing impairment, and is contacting SSA by

telephone through a telecommunications relay system operator;

(5) A language barrier exists; or

(6) The custodian of the information will not, as a matter of

policy, provide it to the individual; or

(b) The data are needed to establish the validity of evidence or to

verify the accuracy of information presented by the individual in

connection with his or her PASS; or SSA is reviewing the information as

a result of suspected abuse or fraud, concern for program integrity,

quality appraisal, or evaluation and measurement activities.

2. To a Congressional office in response to an inquiry from that

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

3. To the Department of the Treasury, Internal Revenue Service, for

the purpose of auditing SSA's compliance with the safeguard provisions

of the Internal Revenue Code of 1986, as amended.

4. 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.

5. Information may be disclosed to a contractor or another Federal

agency, 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 SSA function relating to this system of records.

6. Nontax return information that is not restricted from disclosure

by Federal law may be disclosed to the General Services Administration

or 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.

7. 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 or her official capacity, or

(c) Any SSA employee in his or her individual capacity when DOJ (or

SSA when it is authorized to do so) has agreed to represent the

employee, or

(d) The United States or any agency thereof (when 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 to DOJ, the

court or other tribunal, or party before such court or tribunal, is

relevant and necessary to the litigation, provided, however, that in

[[Page 46678]]

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 Internal Revenue Code (IRC, 26 U.S.C. 6103) will not

be disclosed under this routine use unless disclosure is expressly

permitted by the IRC.

Records in this system are stored in magnetic media (e.g., computer

hard drives) and on paper. Paper printouts of these data are made when

required for study. The system also contains photocopies of benefit

application forms, keyed application forms, and other claims

documentation, when relevant to the PASS system.

Records are retrieved from the system by the name or SSN of the

individual who submitted the PASS.

Safeguards for automated data have been established in accordance

with the Systems Security Program Handbook. This includes maintaining

computer disk packs or other magnetic fields with personal identifiers

in secured storage areas accessible only to authorized personnel. SSA

employees having access to the computerized records and employees of

any contractor who may be utilized to develop and maintain the software

for the automated system will be notified of criminal sanctions for

unauthorized disclosure of information about individuals. Also,

contracts, if any, will contain language that delineates the conditions

under which contractors will have access to data in the system and the

safeguards that must be employed to protect the data.

Paper documents are stored either in lockable file cabinets within

locked rooms or in otherwise secured areas. Access to these records are

restricted to those employees who require them to perform their

assigned duties.

Computerized records are maintained for a period of six years and

three months after the end of the fiscal year in which final

adjudication was made. Paper records produced for purposes of studies

will be destroyed upon completion of the study. Photocopies of forms

and documentation will be destroyed upon approval or denial of the

PASS. Original copies of the forms and documentation are maintained in

the Claims Folder System, (SSA/OSR 09-60-0089). Means of disposal are

appropriate to the storage medium (e.g., erasure of disks, shredding of

paper records, or transfer to another system of records).

Associate Commissioner, Office of Program Benefits Policy, 760 Altmeyer

Building, Social Security Administration, 6401 Security Boulevard,

Baltimore, Maryland 21235

An individual can find out if this system of records contains

information about him/her by writing to the system manager at the

address shown above and providing his or her name, address, and SSN.

(Furnishing the SSN is voluntary. However, searching for the

individual's data will be easier and faster if it is furnished.)

An individual can also find out if this system of records contains

information about him/her by contacting any Social Security office.

When requesting notification of records in person, an individual

should provide his/her name, Social Security claim number (the SSN plus

alphabetic symbols), address, and proper identification. If the Social

Security number is not known, the requester's date and place of birth

and mother's birth name may be provided instead.

An individual requesting notification of records in person need not

furnish any special documents of identity. Documents normally carried

on one's person are sufficient (e.g., driver's license, voter

registration card, or credit cards). 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 which SSA may request.

Same as notification procedures described above. Individuals

requesting access to their records should also reasonably describe the

records they are seeking.

Same as notification procedures described above. Individuals

contesting the contents of a record in the system should also

reasonably describe the record, specify the information being

contested, and state the corrective action sought with supporting

justification showing how the record is untimely, incomplete,

inaccurate, or irrelevant.

Information in this system is obtained from other SSA systems of

records (i.e., Claims Folder System (SSA/OSR 09-60-0089) and

Supplemental Security Income Record (SSA/OSR 09-60-0103), from

information provided by the beneficiary, and from investigations

conducted by SSA employees relating to beneficiaries' PASS activities.

None.

[FR Doc. 96-22489 Filed 9-3-96; 8:45 am]

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