Privacy Act of 1974; New Systems of Records

Federal RegisterFeb 11, 1998

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SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; New Systems of Records

AGENCY: Social Security Administration (SSA).

ACTION: Notification of two proposed new systems of records.

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SUMMARY: In accordance with the Privacy Act of 1974 as amended (5

U.S.C. 552a(e)(4) and (11)), we are notifying the public of our intent

to establish two new systems of records. The proposed systems are

entitled:

Vocational Rehabilitation; State Vocational Rehabilitation

Agency Information (VR SVRA) File; and

Vocational Rehabilitation; SSA Disability Beneficiaries/

Recipients Eligible for Re-referral to an Alternate Vocational

Rehabilitation Service Provider (VR Re-referral) File.

For convenience we will refer to the first system as the ``VR SVRA

File'' and the second system as the ``VR Re-referral File.''

We are also proposing to establish routine uses of the information

to be maintained in these systems. The proposed systems and the

proposed routine uses are discussed below in the Supplementary

Information section.

We invite public comments on this publication.

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

Chairman, Senate Committee on Governmental Affairs, the Chairman, House

Committee on Government Reform and Oversight, and the Director, Office

of Information and Regulatory Affairs, Office of Management and Budget

(OMB) on December 29, 1997. The proposed systems, including the

proposed routine uses will become effective on March 23, 1998, unless

we receive comments on or before that date which would warrant

preventing the proposed systems from taking effect.

ADDRESSES: Interested individuals may comment on this proposal by

writing to the SSA Privacy Officer, 3-A-6 Operations Building, 6401

Security Boulevard, Baltimore, Maryland 21235; 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: Mrs. Stephanie J. Green, Social

Insurance Specialist, Office of Disclosure Policy, Social Security

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

Baltimore, Maryland 21235, Telephone 410-965-4561.

[[Page 7035]]

SUPPLEMENTARY INFORMATION:

I. Discussion of the Proposed Systems of Records

A. General

Sections 222(d)(2) and 1615(a) of the Social Security Act (the Act)

authorize the Commissioner of Social Security to arrange with alternate

participants to provide vocational rehabilitation (VR) services to

certain disabled Social Security beneficiaries and certain disabled or

blind Supplemental Security Income (SSI) recipients when a State VR

agency (SVRA) is unable or unwilling to provide such services. The Act

authorizes SSA to pay the providers of services for the reasonable and

necessary costs of the services in certain specified situations

including where the furnishing of the services results in the

performance of substantial gainful activity for a continuous period of

9 months.

The law and regulations provide for SSA to:

Arrange for an alternate source of VR services when the

SVRA is unable or unwilling to serve an SSA-referred title II or title

XVI beneficiary/recipient who is disabled or blind.

Select only alternate participants that meet the following

basic qualifications:

--Are licensed, certified, accredited or registered, as appropriate, to

provide VR services in the State in which they provide services, and

--Have a plan similar to the SVRA's which meets the requirements of

title I of the Rehabilitation Act of 1973.

Review the standards for the provision of VR services by

alternate participants.

First refer a Social Security disability beneficiary or

SSI recipient who is disabled or blind to the SVRA for services.

Identify all such SSA-referred beneficiaries/recipients

who are not served by an SVRA.

At its option to re-refer to an alternate participant

(i.e., an alternate provider of VR services) if the SVRA is unable or

unwilling to provide services to an individual initially referred by

SSA.

The two proposed new systems of records will enable SSA to maintain

records that will assist the Agency in administering the rehabilitation

provisions of the Act.

B. VR SVRA File

The VR SVRA File will maintain information about the following

categories of individuals:

(a) Newly awarded title II disability beneficiaries referred by SSA

to the SVRA for VR services;

(b) Current title II disability beneficiaries who recently had a

continuing disability review (CDR) and still are considered disabled,

and were referred by SSA to the SVRA;

who are referred by SSA to the SVRA for VR services; and

(d) Current title XVI recipients who are disabled or blind, who

recently had a CDR and still are considered disabled or blind, and were

referred by SSA to the SVRA.

(See the ``Categories of records'' section of the VR SVRA notice

below for a complete description of the records that SSA will maintain

about these individuals.)

The VR SVRA system will enable SSA to:

Verify that disability beneficiaries and recipients who

are disabled or blind are referred to the SVRA by SSA and are accepted

for VR services;

Conduct statistical studies; and

Provide management information on VR referrals.

C. VR Re-referral File

The VR Re-referral File will maintain information about the same

categories of individuals as the VR SVRA file, but only when the

individuals are not accepted for VR services by the SVRA.

The VR Re-referral File will enable SSA to:

Provide approved alternate participants with disability

beneficiaries and recipients who are disabled or blind and who are

eligible for VR services;

Conduct statistical studies;

Provide management information on VR re-referrals; and

Identify the approved alternate participant who is

providing the VR services.

(See the ``Categories of records'' section of the VR Re-referral

File below for a complete description of the records that SSA will

maintain about these individuals.)

II. Collection of Data for the Systems

Records in the VR SVRA and VR Re-referral File systems of records

are obtained from information collected by the State disability

determination services when adjudicating claims for disability and

blindness, from SVRA responses, and from existing SSA systems of

records (e.g. the Claims Folders system).

III. Proposed Routine Use Disclosures of Data in the Systems

We are proposing to establish the following routine use disclosures

of the information that will be maintained in the VR SVRA and VR Re-

referral File systems:

1. Information may be disclosed to State or private alternate

providers having an approved business arrangement with SSA to perform

vocational rehabilitation services for SSA disability beneficiaries and

recipients who are disabled or blind.

This proposed routine use would permit us to disclose information

from the proposed systems for the purpose of assisting beneficiaries/

recipients to participate in vocational rehabilitation. Information in

the VR Re-referral File system also will be used to identify the

alternate provider of record for successful rehabilitation of a

disability beneficiary/recipient.

2. Information may be disclosed to contractors and other Federal

agencies, as necessary, to assist SSA in the efficient administration

of its programs.

We contemplate disclosing information under this proposed 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 these systems of records. In administering

our programs, we often find that it is more efficient to use an outside

contractor to carry out some of our functions. This proposed routine

use will allow us to disclose information from the systems under such

circumstances. Contractors, or other Federal agencies, will, under

agreements with SSA, be required to safeguard information disclosed to

them consistent with the requirements of the Privacy Act.

3. Information may be disclosed to a congressional office in

response to an inquiry from the congressional office made at the

request of the subject of the record.

We contemplate disclosing information under this proposed routine

use only in situations in which the individual asks his/her Member of

Congress to intercede in an SSA matter on his/her behalf. Information

will be disclosed from the proposed systems only when the Member of

Congress inquires and presents evidence that he/she is acting on behalf

of the individual whose record is requested.

4. Information may be disclosed to the Department of Justice (DOJ),

a court, or other tribunal, or another party before such tribunal,

when:

(1) SSA, or any component thereof; or

(2) Any SSA employee in his/her official capacity; or

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

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

employee; or

[[Page 7036]]

(4) 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 the other party before the tribunal is relevant and

necessary to the litigation, provided, however, that in each case SSA

determines that such disclosure is compatible with the purposes for

which the records were collected.

This proposed routine use would permit us to disclose information

from the proposed systems when an SSA component and/or employee is

involved in litigation involving information in the proposed systems.

The routine use would also permit disclosure when SSA brings suit or

when another party brings suit and SSA has an interest in the

litigation.

5. Information may be disclosed to the Office of the President for

responding to an individual who is the subject of the record pursuant

to an inquiry received from that individual or from a third party on

his or her behalf.

We contemplate disclosing information under this routine use only

in situations in which the individual who is the subject of the record

or someone else on the individual's behalf asks the President to

intercede in an SSA matter pertaining to the individual. Information

may be disclosed from the proposed systems when the Office of the

President inquires and presents evidence that it is acting on behalf of

the individual whose record is requested.

6. Information may be disclosed to student volunteers and other

workers, who technically do not have the status of Federal employees,

when they are performing work for SSA as authorized by law, and they

need access to personally identifiable information in SSA records in

order to perform their assigned Agency functions.

Under certain Federal statutes, SSA is authorized to use the

services of volunteers and participants in certain educational,

training, employment and community service programs. Examples of such

statutes and programs are: 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 these systems to perform their assigned duties.

7. Nontax return information, the disclosure of which is not

expressly restricted by Federal law, may be disclosed to the General

Services Administration and the National Archives and Records

Administration under 44 U.S.C. 2904 and 2906 for the use of those

agencies in conducting records management studies.

The Administrator of the General Services Administration (GSA) and

the Archivist of the National Archives and Records Administration

(NARA) are charged by 44 U.S.C. 2904 with promulgating standards,

procedures, and guidelines regarding records management and conducting

records management studies. Section 2906 of that law, also amended by

the NARA Act of 1984, 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 these proposed systems of records.

In such instances, the routine use will facilitate disclosure.

IV. Compatibility of the Proposed Routine Uses

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

disclosure regulations (20 CFR part 401) permit us to disclose

information under a routine use for a purpose which is compatible with

the purposes for which we collected the information. Section 401.150(c)

of our regulations permits us to disclose information under a routine

use to administer our programs. Section 401.120 of our regulations

provides that we will disclose information when a law specifically

requires the disclosure.

The proposed routine uses numbered 1, 2, 3, 4, 5 and 6, described

above, will facilitate SSA's administration of its programs. Routine

use number 7 will allow GSA or NARA to inspect our records, as required

by 44 U.S.C. 2904 and 2906, when those agencies conduct records

management studies. Thus, all of the routine uses are appropriate and

meet the relevant statutory and regulatory criteria.

V. Safeguards

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

of unauthorized access to or disclosure of personal data in these

proposed systems. These measures include the use of access codes to

enter the computer system which will maintain the data, and storage of

the computerized records in secured areas which are accessible only to

employees who require the information in performing their official

duties. All individuals 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 systems.

Any business arrangement which SSA may sign with an alternate

participant to access the information in the VR Re-referral file will

stipulate that (a) the alternate participant must establish safeguards

to protect the personal information temporarily in its custody, in

accordance with the Privacy Act requirements; (b) the alternate

participant may use the information only as necessary in fulfilling the

business arrangement and (c) the alternate participant would be subject

to criminal penalties for violations of the Privacy Act.

VI. Effect of the Proposed Systems of Records on the Privacy of

Individuals

As discussed above, a number of security measures will be used to

minimize the risk of unauthorized access to or disclosure of personal

data. Thus, we do not anticipate that the proposed systems will have

any unwarranted effect on the privacy of individuals.

Dated: December 29, 1998.

Kenneth S. Apfel,

Commissioner of Social Security.

05-007

SYSTEM NAME:

Vocational Rehabilitation; State Vocational Rehabilitation Agency

Information (VR SVRA) File, SSA/OD.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Social Security Administration, Office of Systems 6401 Security

Boulevard, Baltimore, MD 21235.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

(a) Newly awarded title II disability beneficiaries referred by SSA

to the SVRA for VR services.

(b) Current title II disability beneficiaries who recently had a

continuing disability review (CDR) and still are considered disabled,

and were referred by SSA to the SVRA.

and who are referred by SSA to the SVRA for VR services.

(d) Current title XVI recipients who are disabled or blind who

recently had a CDR and still are considered disabled or blind, and were

referred by SSA to the SVRA.

[[Page 7037]]

CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains the following information about each

beneficiary/recipient:

Name;

Beneficiary's or recipient's own account number (BOAN);

Claim account number (CAN);

Prior incorrect account number--in the event either SSA or

the SVRA provides an incorrect account number, it will be retained for

reference only;

Date of birth;

SVRA;

Referral source--identifies source of the record (new

awards or CDR continuances);

Date decision due--date ending the fourth month after the

month of referral when SVRA decision is due;

District office;

Action--identifies SSA-referred beneficiaries or

recipients accepted by SVRA for VR services or placed in extended

evaluation status;

Date of extended evaluation--date the SVRA placed the

beneficiary or recipient in extended evaluation;

Date of final decision--date the SVRA accepted the

beneficiary or recipient for services, or if in extended evaluation,

date resolving extended evaluation;

Date SSA notified--date SSA informed of SVRA decision;

Control--identifies records the SVRA added to or deleted

from their reports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Secs. 222, 223, 225, 1611, 1615, 1631 and 1633 of the Social

Security Act (42 U.S.C. 422, 423, 425, 1382, 1382d, 1383, and 1383b);

the Federal Records Act of 1950 (Pub. L. 81-754, 64 Stat. 583), as

amended.

PURPOSE:

Information in this system of records is used for the following

purposes:

To verify that disability beneficiaries and recipients who

are disabled or blind are referred to the SVRA by SSA and accepted for

VR services;

To conduct statistical studies; and

To provide management information on VR referrals.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Disclosure may be made for routine uses as indicated below:

1. Information may be disclosed to State or private alternate

providers having an approved business arrangement with SSA to perform

vocational rehabilitation services for SSA disability beneficiaries and

recipients who are disabled or blind.

2. Information may be disclosed to contractors and other Federal

agencies, as necessary, to assist SSA in the efficient administration

of its programs.

3. Information may be disclosed to a congressional office in

response to an inquiry from the congressional office made at the

request of the subject of the record.

4. Information may be disclosed to the Department of Justice (DOJ),

a court, or other tribunal, or another party before such tribunal,

when:

(1) SSA, or any component thereof; or

(2) Any SSA employee in his/her official capacity; or

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

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

employee; or

(4) 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 the other party before the 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.

5. Information may be disclosed to the Office of the President for

responding to an individual who is the subject of the record pursuant

to an inquiry received from that individual or from a third party on

his or her behalf.

6. Information may be disclosed to student volunteers and other

workers, who technically do not have the status of Federal employees,

when they are performing work for SSA as authorized by law, and they

need access to personally identifiable information in SSA records in

order to perform their assigned Agency functions.

7. Nontax return information, the disclosure of which is not

expressly restricted by Federal law, may be disclosed to the General

Services Administration and the National Archives and Records

Administration under 44 U.S.C. 2904 and 2906 for the use of those

agencies in conducting records management studies.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

AND DISPOSING OF RECORDS IN THE SYSTEMS:

STORAGE:

SSA records may be stored in various forms including magnetic media

(e.g., magnetic tape and disc), microfilm, or paper.

RETRIEVABILITY:

Data will be retrieved from the system by the individual's SSN and/

or by name.

SAFEGUARDS:

Security measures include the use of access codes to enter the

computer system which will maintain the data, and storage of the

computerized records in secured areas which are accessible only to

employees who require the information in performing their official

duties. SSA personnel 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 this system.

Access to information in this system of records will be restricted

to authorized SSA personnel and alternate participants. Any business

arrangement that SSA may enter into with an alternate participant to

access the information in this system will stipulate (a) the alternate

participant must establish safeguards to protect the personal

information temporarily in its custody, in accordance with the Privacy

Act requirements; (b) the alternate participant may use the information

only as necessary in fulfilling the business arrangement; and (c) the

alternate participant would be subject to criminal penalties for

violations of the Privacy Act.

RETENTION AND DISPOSAL:

SSA retains records for one year when they concern: (1) Documents

returned to an individual, (2) denials of requests for confidential

information, (3) release of confidential information to an authorized

third party, and (4) undeliverable material. SSA retains records for

four years when they concern information and evidence pertaining to

coverage, wage, and self-employment determinations or when it affects

future claims development, especially coverage, wage, and self-

employment determinations. Information is erased or otherwise destroyed

after the retention period.

SYSTEM MANAGER(S) AND ADDRESS:

Associate Commissioner, Office of Disability, Social Security

Administration, 6401 Security Boulevard, Baltimore, MD 21235.

NOTIFICATION PROCEDURE:

An individual can determine if this system of records contains a

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

SSN to the address shown above under ``Systems

[[Page 7038]]

manager and address'' and by referring to the system. (Furnishing the

SSN is voluntary, but it will enable an easier and faster search for an

individual's record.) If the SSN is not known, the individual should

provide name, signature, date and place of birth, sex, mother's birth

name, and father's name, and evidence of identity. An individual

requesting notification of records in person need furnish only an

identification document he/she would normally carry on his/her person

(e.g., driver's license, or voter registration card). An individual

requesting notification via mail or telephone must furnish a minimum of

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

plus any additional information which may be requested.

RECORD ACCESS PROCEDURES:

Same as notification procedures. Also, requesters should reasonably

identify the record contents they are seeking.

CONTESTING RECORD PROCEDURE:

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.

RECORD SOURCE CATEGORIES:

Records in this system of records are obtained from information

collected by the State disability determination services when

adjudicating claims for Social Security or Supplemental Security Income

benefits based on disability and blindness, from SVRA responses, and

from existing SSA systems of records (e.g. the Claims Folders system).

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE aCT:

None.

05-008

SYSTEM NAME:

Vocational Rehabilitation; SSA Disability Beneficiaries/Recipients

Eligible for Re-referral to an Alternate Vocational Rehabilitation

Service Provider (VR Re-referral) File, SSA/OD.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Social Security Administration, Office of Systems, 6401 Security

Boulevard, Baltimore, MD 21235.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

(a) Newly awarded title II disability beneficiaries referred by SSA

to the State Vocational Rehabilitation Agency (SVRA) for VR services,

but not accepted for VR services by the SVRA.

(b) Current title II disability beneficiaries who recently had a

continuing disability review (CDR) and still are considered disabled

and who were referred by SSA to the SVRA but were not accepted for VR

services by the SVRA.

and who are referred by SSA to the SVRA for VR services but not

accepted for VR services by the SVRA.

(d) Current title XVI recipients who are disabled or blind who

recently had a CDR and still are considered disabled or blind and who

were referred by SSA to the SVRA, but were not accepted for VR services

by the SVRA.

CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains the following information about each

beneficiary/recipient:

Name;

Social security number (SSN);

Date of birth;

Address;

Telephone number (if available);

Alternate participant service categories;

Date first available for alternate participant selection;

Name of representative payee (where applicable).

AUTHORITY FOR MAINTENANCE OF THESE SYSTEMS:

Secs. 222, 223, 225, 1611, 1615, 1631 and 1633 of the Social

Security Act (42 U.S.C. 422, 423, 425, 1382, 1382d, 1383 and 1383b);

the Federal Records Act of 1950 (Pub. L. 81-754, 64 Stat. 583), as

amended.

PURPOSE:

Information in this system of records is used for the following

purposes:

To provide approved alternate participants with disability

beneficiaries and recipients who are disabled or blind and who are

eligible for VR services;

To conduct statistical studies;

To provide management information on VR re-referrals;

To identify the approved alternate participant who is

providing the VR services.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Disclosure may be made for routine uses as indicated below:

1. Information may be disclosed to State or private alternate

providers having an approved business arrangement with SSA to perform

vocational rehabilitation services for SSA disability beneficiaries and

recipients who are disabled or blind.

2. Information may be disclosed to contractors and other Federal

agencies, as necessary, to assist SSA in the efficient administration

of its programs.

3. Information may be disclosed to a congressional office in

response to an inquiry from the congressional office made at the

request of the subject of the record.

4. Information may be disclosed to the Department of Justice (DOJ),

a court, or other tribunal, or another party before such tribunal,

when:

(1) SSA, or any component thereof; or

(2) any SSA employee in his/her official capacity; or

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

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

employee; or

(4) 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 the other party before the 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.

5. Information may be disclosed to the Office of the President for

responding to an individual who is the subject of the record pursuant

to an inquiry received from that individual or from a third party on

his or her behalf.

6. Information may be disclosed to student volunteers and other

workers, who technically do not have the status of Federal employees,

when they are performing work for SSA as authorized by law, and they

need access to personally identifiable information in SSA records in

order to perform their assigned Agency functions.

7. Nontax return information, the disclosure of which is not

expressly restricted by Federal law, may be disclosed to the General

Services Administration and the National Archives and Records

Administration under 44 U.S.C. 2904 and 2906 for the use of those

agencies in conducting records management studies.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

AND DISPOSING OF RECORDS IN THE SYSTEMS:

STORAGE:

SSA records may be stored in various forms including magnetic media

(e.g.,

[[Page 7039]]

magnetic tape and disc), microfilm, or paper.

RETRIEVABILITY:

Data will be retrieved from the system by the individual's SSN and/

or name and/or address.

SAFEGUARDS:

Security measures include the use of access codes to enter the

computer system which will maintain the data, and storage of the

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.