Privacy Act of 1974; As Amended; Report of New System of Records and Routine Uses

SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; As Amended; Report of New System of Records

and Routine Uses

AGENCY: Social Security Administration.

ACTION: New System of Records and Routine Uses.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4)), we

are issuing public notice of our intent to establish a new system of

records. The proposed system of records is entitled the Prisoner Update

Processing System (PUPS), SSA/OPB, SSA-099. The proposed system will

maintain information collected for use in connection with enforcement

of the nonpayment of benefits provisions of the Social Security Act

(the Act) affecting certain inmates of public institutions and

prisoners, as well as certain other confined individuals. We are also

proposing routine uses of information which will be maintained in the

system in accordance with 5 U.S.C. 552a(e)(11). We invite public

comments on the proposed system and the routine uses.

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

the Senate, the Speaker of the House of Representatives, and the

Director, Office of Information and Regulatory Affairs, Office of

Management and Budget on February 23, 1999. The proposed system,

including the proposed routine uses, will become effective on April 5,

1999, unless we receive comments on or before that date which would

result in a contrary determination.

ADDRESSES: Interested individuals may comment on this publication by

writing to the SSA Privacy Officer, Social Security Administration, 3-

A-6 Operations Building, 6401 Security Boulevard, Baltimore, Maryland

21235. All comments received will be available for public inspection at

the above address.

FOR FURTHER INFORMATION CONTACT: Mr. Willie J. Polk, Office of

Disclosure Policy, Social Security Administration, 3-A-6 Operations

Building, 6401 Security Boulevard, Baltimore, Maryland 21235, telephone

(410) 965-1753.

SUPPLEMENTARY INFORMATION:

I. Purpose of the Proposed System

Section 202(x) of the Social Security Act (the Act) (42 U.S.C.

402(x)) provides for nonpayment of Retirement, Survivors, or Disability

Insurance benefits under title II of the Act to individuals confined in

a jail, prison, or other penal institution or correctional facility

pursuant to conviction of an offense punishable by imprisonment for

more than one year (regardless of the sentence imposed), and to

individuals who are confined by court order in an institution at public

expense in connection with: (a) A verdict or finding that the

individual is guilty but insane with respect to an offense punishable

by imprisonment for more than one year, (b) a verdict or finding that

the individual is not guilty of such an offense by reason of insanity,

(c) a finding that such individual is incompetent to stand trial under

an allegation of such an offense, (d) a similar verdict or finding with

respect to such an offense based on similar factors (such as mental

defect or mental incompetence). Similarly, section 1611(e)(1)(A) of the

Act (42 U.S.C. 1382(e)(1)(A)) provides for nonpayment of Supplemental

Security Income (SSI) benefits under title XVI of the Act to any

individual for any month throughout which the individual is an inmate

of a public institution. Section 1611(e)(1)(I)(i) of the Act provides

for incentive payments to be made by SSA to inmate data sources for

information leading to suspension of SSI payments to an SSI recipient.

The proposed PUPS system will maintain information collected for

the purpose of determining whether an individual is subject to the

above-cited payment restriction provisions, and provide a control

mechanism for any inmate or confinement alerts generated by relevant

computer matching programs or by informal reports to SSA regarding an

individual's confinement. It will facilitate the suspension of benefits

where appropriate and the reinstatement of benefits to released inmates

and other confined persons. Inmates considered possibly subject to the

nonpayment of benefit provisions will be afforded all due process

rights under applicable statutes, regulations, and procedures before

any action is taken to suspend their benefits.

II. Collection and Maintenance of Data in the Proposed System

The proposed PUPS system will primarily contain information about

persons reported to SSA as confined individuals under Privacy Act

computer matching agreements for the provision of records of confined

individuals to SSA. (Certain information on confined individuals is

reported to SSA under agreements which are, along with any information

exchanged pursuant to the agreements, wholly exempt from the Privacy

Act requirements. This data will not be incorporated into PUPS. See

section 1611(e)(1)(I) of the Act, 42 U.S.C. 1382(e)(1)(I).) The records

in the system will include those of individuals reported by jails,

prisons, other penal institutions or correctional facilities and

certain mental health institutions. We also may receive and incorporate

into the system relevant information from individuals and certain other

third-party sources, such as news media, etc., under informal reporting

arrangements. The system will maintain information on both title II

beneficiaries entitled to RSDI benefits and title XVI SSI recipients,

as well as non-beneficiaries and non-recipients who may have

[[Page 11077]]

claims in some stage of SSA's adjudicative process. The specific

information maintained will include the individual's name, Social

Security number, date of birth, sex, date of conviction, date of

confinement, release date, inmate status code, and such other

information as may be supplied or acquired during the benefit

suspension or reinstatement process. The information will be retrieved

by Social Security number.

III. Proposed Routine Uses of Information in the System

We are proposing to establish routine uses of information which

will be maintained in the system as discussed below.

1. Disclosure to third-party contacts in situations where the party

to be contacted has, or is expected to have, information relating to

the individual's eligibility for, or entitlement to, benefits under a

Social Security program when the data are needed to establish the

validity of evidence or to verify the accuracy of information presented

by the individual, and it concerns one or more of the following:

(a) His or her eligibility for benefits under a Social Security

program;

(b) The amount of his or her benefit payment;

(c) Any case in which the evidence is being reviewed as a result of

suspected fraud, concern for program integrity, quality appraisal, or

evaluation and measurement activities.

We contemplate disclosing information under this routine use as

necessary to enable SSA to fully develop and investigate information it

receives from reporting sources with regard to confined individuals, to

ensure the accuracy of such information, to contact the reporting

source, or other sources, for additional information, if necessary, and

to make certain that any suspension action taken is proper.

2. Disclosure to third-party contacts where necessary to establish

or verify information presented by representative payees or payee

applicants.

We contemplate disclosing information under this routine use in

situations paralleling (1) above except that, in situations where SSA

will be developing benefit eligibility through a representative payee,

we will disclose information presented by such a payee for verification

purposes.

3. Disclosure to the Department of Justice (DOJ) for:

(a) Investigating and prosecuting violations of the Act to which

criminal penalties attach;

(b) Representing the Commissioner of Social Security in litigation

relative to this system of records;

(c) Investigating issues of fraud by agency officers or employees,

or violations of civil rights.

We contemplate disclosing information under this routine use as

necessary to assist DOJ in pursuing possible violations of section 208

of the Act (42 U.S.C. 408), facilitate representation of the

Commissioner of Social Security where necessary in litigation relative

to this system of records and to combat possible fraud by agency

officers or employees in connection with this system of records.

4. Disclosure 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/her behalf.

We contemplate disclosing information under this routine use as

necessary to enable the Office of the President to respond to an

individual pursuant to an inquiry from that individual or from a third

party on his or her behalf about a Social Security matter involving the

individual.

5. Disclosure to a congressional office in response to an inquiry

from that office made at the request of the subject of a record.

We contemplate disclosing information under this routine use only

in situations in which an individual may ask his or her congressional

representative to intercede in an SSA matter on his or her behalf.

Information would be disclosed when the congressional representative

makes an inquiry and presents evidence that he or she is acting on

behalf of the individual whose record is requested.

6. Disclosure 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.

We contemplate disclosing information under this routine use only

where the specific requirements set forth in sections 459 and 461 of

the Act are met, and only to the extent necessary to enable SSA to

comply with its legal obligations under those sections of the Act.

7. Disclosure to Federal, State, or local agencies, (or agents on

their behalf) for administering income-maintenance or health-

maintenance programs (including programs under the Act).

We contemplate disclosing information under this routine use to

various other Federal, State, or local agencies to assist such agencies

in the administration of income-maintenance and/or health-maintenance

programs whose character, nature and purpose are similar to SSA

programs. Examples of such programs are veterans benefits, food stamps,

and Medicaid. The purpose of these disclosures is to assist such

agencies in establishing eligibility for such programs, to provide

information necessary to enforce eligibility restrictions in such

programs, and to combat and prevent fraud, waste and abuse in those

programs.

8. Disclosure to third-party contacts (including private collection

agencies under contract to SSA) for the purpose of assisting SSA in

recovering overpayments.

We contemplate disclosing information under this routine use only

for the purpose of enhancing and improving SSA's debt collection

activities and only as permitted by statute.

9. Disclosure 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.

10. Disclosure to DOJ, a court or other tribunal, or other third

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 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 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.

We contemplate disclosing information under this routine use, as

necessary, to enable DOJ, a court or other tribunal, to effectively

defend SSA, its components or employees or when SSA has an interest in

litigation involving the proposed system of records and/or records

contained therein.

[[Page 11078]]

IV. Compatibility of Proposed Routine Uses

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

regulation (20 CFR part 401) permit us to disclose information under a

routine use for a purpose which is compatible with the purpose for

which we collected the information. Section 401.150 permits us to

disclose information under a routine use where necessary to assist in

carrying out SSA programs or similar programs of other agencies. The

proposed routine uses will ensure efficient administration of SSA's

relevant suspension and incentive payment programs. They will also

assist in implementing other programs which have the same purposes as

SSA programs where disclosure of information to such other programs is

relevant to determinations of eligibility, benefit amounts or other

matters of benefit status in those other programs. Thus, the proposed

routine uses are consistent with the Privacy Act and SSA's regulatory

criteria.

V. Records Storage Medium and Safeguards

We will maintain information in the system on magnetic media (e.g.,

magnetic tapes and magnetic diskette) in a secure storage area. Only

authorized SSA personnel who have a need for the information in the

performance of their official duties will be permitted access to the

information. When records are electronically transmitted between SSA's

central office and field office locations, safeguards include a lock/

unlock password system, exclusive use of leased telephone lines, a

terminal oriented transaction matrix and secured printers.

VI. Effect of the System on Individuals

The proposed system will maintain information which could lead to

suspension of Social Security title II/title XVI benefits to certain

confined individuals. These suspension actions, however, would only

occur after complete development by SSA of the facts of each case, and

after each individual has been afforded all appropriate due process and

appeal rights. Thus, we do not anticipate that the system will have any

unwarranted adverse effect on the privacy of individuals.

Dated: February 23, 1999.

Kenneth S. Apfel,

Commissioner of Social Security.

SSA-099

System Name:

Prisoner Update Processing System (PUPS), SSA/OPB.

Security Classification:

None.

System Location:

Social Security Administration, Office of Systems Operations, 6401

Security Boulevard, Baltimore, MD 21235

Categories of individuals covered by the system:

Persons reported to the Social Security Administration, under

Privacy Act computer matching agreements as well as certain informal

reporting arrangements, as confined in certain institutions. Certain

data regarding confined individuals is reported to SSA under agreements

which are, along with any information exchanged pursuant to the

agreements, wholly exempt from the Privacy Act's requirements. See

section 1611(e)(1)(I) of the Social Security Act (Act), 42 U.S.C.

1386(e)(i)(I). The records in the system will include those of

individuals reported by jails, prisons, other penal institutions or

correctional facilities, certain mental health institutions and various

third parties, including media sources. The records included will be

those of Retirement, Survivors, or Disability Insurance (RSDI) and

Supplemental Security Income (SSI) beneficiaries, as well as non-

beneficiaries who may have claims in some stage of SSA's adjudicative

process.

Categories of records in the system:

PUPS will contain all identifying information requested by SSA and

supplied by the reporting source, including the individual's name,

Social Security number, date of birth, sex, date of conviction, date of

confinement, release date, inmate status code, and such other

information as may be supplied or acquired during the benefit

suspension or reinstatement process.

Authority for maintenance of the system:

Sections 202(x)(1) and 1611(e)(1) of the Act.

Purpose(s):

PUPS will record inmate information in support of the above cited

provisions mandating nonpayment of RSDI and SSI benefits to certain

confined individuals. All information on the system will be maintained

under each affected individual's Social Security number. The PUPS

system will expedite the handling of inmate reports in SSA field

offices, and provide a control mechanism for any inmate or confinement

alerts generated by SSA's computer matching programs or by informal

reports to SSA regarding an individual's confinement. It will

facilitate the suspension of benefits to appropriate individuals, and

the reinstatement of benefits to beneficiaries when such individuals

are released from confinement.

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. Disclosure to third-party contacts in situations where the party

to be contacted has, or is expected to have, information relating to

the individual's eligibility for, or entitlement to, benefits under a

Social Security program when the data are needed to establish the

validity of evidence or to verify the accuracy of information presented

by the individual, and it concerns one or more of the following:

(a) His or her eligibility for benefits under a Social Security

program;

(b) The amount of his or her benefit payment;

(c) Any case in which the evidence is being reviewed as a result of

suspected fraud, concern for program integrity, quality appraisal, or

evaluation and measurement activities.

2. Disclosure to third-party contacts where necessary to establish

or verify information presented by representative payees or payee

applicants.

3. Disclosure to the Department of Justice (DOJ) for:

(a) Investigating and prosecuting violations of the Act to which

criminal penalties attach;

(b) Representing the Commissioner of Social Security;

(c) Investigating issues of fraud by agency officers or employees,

or violations of civil rights.

4. Disclosure 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/her behalf.

5. Disclosure to a congressional office in response to an inquiry

from that office made at the request of the subject of a record.

6. Disclosure in response to legal process or interrogatories

relating to the enforcement of an individual's child support or alimony

obligations, as required under sections 459 and 461 of the Act.

7. Disclosure to Federal, State, or local agencies, (or agents on

their behalf) for administering income-maintenance or health-

maintenance programs (including programs under the Act).

8. Disclosure to third-party contacts (including private collection

agencies under contract to SSA) for the purpose of assisting SSA in

recovering overpayments.

[[Page 11079]]

9. Disclosure to contractors and other Federal agencies, as

necessary, for the purpose of assisting SSA in the efficient

administration of its programs.

10. Disclosure to DOJ, a court or other tribunal, or other third

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 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 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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored in magnetic media (e.g., magnetic tape and

magnetic diskette).

RETRIEVABILITY:

Records in this system are indexed and retrieved by SSN.

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. For records

electronically transmitted between SSA's central office and field

office locations, safeguards include a lock/unlock password system,

exclusive use of leased telephone lines, a terminal oriented

transaction matrix and secured printers.

RETENTION AND DISPOSAL:

SSA will retain PUPS records for the period of time required for

any processing related to the relevant data exchange and then, within

12 months, will either return the records to the source or destroy the

records, unless the records must be retained in individual claim

folders for documentation purposes and/or to meet evidentiary

requirements. In that instance, the records eventually will be retired

to the Federal Records Center and destroyed, in accordance with the

applicable Federal Records Retention Schedule (44 U.S.C. 3303a) and any

other relevant standards established by SSA and the National Archives

and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Payment Policy, Office of Program Benefits,

Social Security Administration, 6401 Security Boulevard , Baltimore,

Maryland 21235.

NOTIFICATION PROCEDURE:

An individual can determine if this system contains a record about

him/her by contacting the most convenient Social Security field office

and providing his/her name, Social Security number, address, and proper

identification. (Furnishing the SSN is voluntary, but it will make

searching for an individual's record easier and prevent delay). An

individual may also write to the System Manager shown above.

An individual requesting notification of records in person must

provide at least one piece of tangible identification such as a

driver's license, passport, voter registration card, etc., to verify

his/her identity. If an individual does not have identification papers

sufficient to establish his/her identity, that individual must certify

in writing that he/she is the person they claim to be and that they

understand that the knowing and willful request for or acquisition of a

record pertaining to an individual under false pretenses is a criminal

offense (see 5 U.S.C. 552a(i)(1)(3)). If notification is requested by

telephone, an individual must verify his/her identity by providing

identifying information which 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 a request for notification is submitted by mail, an

individual must include a notarized request to SSA to verify his/her

identity or must certify in the request that he/she is the person they

claim to be and that they understand that the knowing and willful

request for or acquisition of a record pertaining to an individual

under false pretenses is a criminal offense. These procedures are in

accordance with SSA Regulations 20 CFR 401.45.

RECORD ACCESS PROCEDURES:

Same as notification procedures. Requesters should also reasonably

specify the record contents being sought. These procedures are in

accordance with SSA Regulations 20 CFR 401.45.

CONTESTING RECORD PROCEDURES:

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 their reasons for believing that

the record should be amended. These procedures are in accordance with

SSA Regulations 20 CFR 401.65.

RECORD SOURCE CATEGORIES:

Data for the PUPS are secured primarily from various facilities

with which SSA has appropriate arrangements for reporting of such

information including jails, prisons, other penal institutions or

correctional facilities, departments or divisions of corrections or

correctional services, and certain mental health facilities. Data is

also reported by individuals and certain other third party sources,

such as news media, etc.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE aCT:

None.

[FR Doc. 99-5587 Filed 3-5-99; 8:45 am]

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