Privacy Act of 1974; Report of Altered System of Records and New Routine Use

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SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; Report of Altered System of Records and New

Routine Use

AGENCY: Social Security Administration (SSA).

ACTION: Altered system of records and new routine use.

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

issuing public notice of our intent to alter an existing system of

records entitled ``Master Representative Payee File (MRPF).'' We are

proposing to alter the MRPF by expanding the categories of records

maintained to include an additional type of record. The proposed

alteration will expand the categories of records maintained to include

information about persons convicted of statutory violations where a

violation was committed in connection with the individual's service as

a Social Security representative payee. We also are proposing to

establish a new routine use of the information that is maintained in

the system. We invite public comment on this publication.

DATES: We filed a report of the proposed altered system and new routine

use with the Chairman, Committee on Government Reform and Oversight of

the House of Representatives, the Chairman, Committee on Governmental

Affairs of the Senate, and the Administrator, Office of Information and

Regulatory Affairs, Office of Management and Budget on May 3, 1996. The

proposed alteration will become effective on July 1, 1996, 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,

Room 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: Mr. Ron Martorana, 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 410-965-1745.

SUPPLEMENTARY INFORMATION:

I. Discussion of the Proposed Alteration--Expansion of Categories of

Records Maintained in the MRPF

The MRPF maintains information that Social Security field offices

use when screening applicants to determine suitability as

representative payees for Social Security claimants and beneficiaries

who are incapable of handling their Social Security benefits and those

who are required by law to have payees. The MRPF currently contains

records about persons who have been convicted under sections 208 or

1632 of the Social Security Act (the Act), and others whose

certification as representative payees SSA has revoked due to misuse of

funds paid under Title II or Title XVI of the Act. The past performance

of individuals as representative payees is therefore considered

material to decisions that are made regarding future appointments. In

order to afford better protection for our beneficiaries, we are now

proposing that information about convictions of individuals for

violations of statutes other than sections 208 and 1632 of the Act be

made available to Social Security personnel, when such violations were

committed in connection with the individual's service as a Social

Security representative payee. We will obtain this information from the

SSA, Office of Inspector General (OIG). The OIG will obtain this

information as a result of its investigation of alleged payee misuse

cases. Accordingly, we are proposing to revise the MRPF to include the

following information as a new category of records:

Names and Social Security Numbers (SSNs) or Employer

Identification Numbers (EINs)) of persons convicted of violations of

statutes other than sections 208 and 1632 of the Social Security

Act, when such violations were committed in connection with an

individual's service as a Social Security representative payee.

II. Proposed Routine Use Disclosure of Data in the System

We are proposing to establish the following new routine use of

information maintained in the MRPF system; the new routine use will be

#16.

16. Information may be disclosed to the Office of Personnel

Management (OPM) for the administration of that Office's

representative payee programs.

We contemplate disclosing information to OPM under this routine use

only in situations in which an applicant has filed to serve on behalf

of a Social Security beneficiary and also filed to serve for an OPM

annuitant. Information maintained in this system of records about the

applicant's qualifications or past performance as a representative

payee on behalf of SSA will be disclosed for consideration by OPM in

evaluating the suitability of an applicant to serve as representative

payee for OPM clients.

III. Compatibility of the Proposed Routine Use

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

our disclosure regulation (20 CFR part 401) permit us to disclose data

for a routine use, i.e., a use serving a purpose which is compatible

with the purpose for which we collected the information. Section

401.310 of the regulation permits us to disclose information under a

routine use for administering our programs or, under certain

circumstances, for use in similar income-maintenance or health-

maintenance programs of other agencies.

The proposed routine use will permit SSA to disclose information to

OPM when an individual who has applied to serve as a representative

payee on behalf of a Social Security beneficiary applies to serve as a

representative payee for an OPM annuitant. The relevant OPM program has

the same income maintenance purpose as SSA programs and the information

to be disclosed is relevant to identical matters in both programs.

Thus, the proposed routine use is appropriate and meets the criteria in

the Privacy Act and SSA's regulations.

IV. Effect of the Proposed Alteration and Routine Use Disclosure on

Individual Privacy Rights

The system will maintain additional information about current and

past representative payees and representative payee applicants to

ensure that the best applicants are selected as representative payees

on behalf of incapable beneficiaries. The MRPF system will identify an

individual convicted under a statute other than sections 208 or 1632 of

the Act only if the violation was committed in connection with the

individual's service as a Social Security representative payee.

Disclosing information to OPM about violations related to payee service

will result in a more effectively administered pension program. The

information that will be disclosed to OPM will assist that agency in

enhancing public service and in protecting the property rights of

incapable pensioners. Since information will be shared only in tightly

controlled situations, we do not believe that the proposed changes to

the MRPF will

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have any unwarranted effect on individual privacy rights.

V. Minor Revisions

We have made the following minor revisions to the notice of the

MRPF system:

Changed ``ORSI'' in the system name to ``OPBP,''

Changed ``Office of Retirement and Survivors Insurance''

in the system manager section to ``Office of Program Benefits Policy.''

Because SSA is now independent of the Department of Health

and Human Services we have assigned a new SSA identification number

(OPPEC-005) to the MRPF and added language to the ``notification

procedure'' section of the MRPF notice indicating that HHS regulations

governing notification procedures for the system are still in effect at

this time.

Dated: May 3, 1996.

Shirley S. Chater,

Commissioner of Social Security.

09-60-0222

System name:

Master Representative Payee File, SSA/OPBP.

Security Classification:

None.

System location:

The system database will be available by direct electronic access

by Social Security field offices (FOs). Addresses of FOs can be found

by calling the number listed in local telephone directories under

``United States Department of Health and Human Services, Social

Security Administration'' or under ``Social Security Administration.''

The data base is housed at the: National Computer Center, Social

Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.

Categories of individuals covered by the system:

This system maintains information about persons whose

certifications as representative payees have been revoked or terminated

on or after January 1, 1991; persons who have been convicted of a

violation of section 208 or section 1632 of the Social Security Act

(the Act); persons who are acting or have acted as representative

payees, representative payee applicants who were not selected to serve

as representative payees, and beneficiaries/applicants who are being

served by representative payees.

Categories of records in the system:

Data in this system consist of:

Names and Social Security Numbers (SSNs) (or employer

identification numbers (EINs)) of representative payees whose

certifications for payment of benefits as representative payees have

been revoked or terminated on or after January 1, 1991, because of

misuse of benefits under title II or title XVI of the Act;

Names and SSNs (or EINs) of all persons convicted of

violations of sections 208 or 1632 of the Act;

Names, addresses, and SSNs (or EINs) of persons convicted

of violations of statutes other than sections 208 and 1632 of the Act,

when such violations were committed in connection with the individual's

service as a Social Security representative payee;

Names, addresses, and SSNs (or EINs) of representative

payees who are receiving benefit payments pursuant to section 205(j) or

section 1631(a)(2) of the Act;

Names, addresses, and SSNs of individuals for whom

representative payees are reported to be providing representative payee

services under section 205(j) or section 1631(a)(2) of the Act;

Names, addresses, and SSNs of representative payee

applicants who were not selected as representative payees;

Names, addresses, and SSNs of persons who were terminated

as representative payees for reasons other than misuse of benefits paid

to them on behalf of beneficiaries/recipients;

Information on the representative payees' relationship to

the beneficiaries/recipients they serve;

Names, addresses, and EINs of organizations authorized to

charge a fee for providing representative payee services;

Codes which indicate the relationship (other than

familial) between the beneficiaries/recipients and the individuals who

have custody of the beneficiaries/recipients;

Dates and reasons for payee terminations (e.g.,

performance not acceptable, death of payee, beneficiary in direct

payment, etc.) and revocations;

Codes indicating whether representative payee applicants

were selected or not selected;

Dates and reasons representative payee applicants were not

selected to serve as payees and dates and reasons for changes of payees

(e.g., beneficiary in direct payment, etc.);

Amount of benefits misused;

Identification number assigned to the claim on which the

misuse occurred;

Date of the determination of misuse; and

Information about a felony conviction reported by the

representative payee.

Authority for maintenance of the system:

Sections 205(a), 205(j) and 1631(a) of the Act.

Purpose(s):

Information maintained in this system will assist SSA in the

representative payee selection process by enabling Social Security

field offices to more carefully screen applicants and to determine

their suitability to become representative payees. SSA also will use

the data for management information and workload projection purposes

and to prepare annual reports to Congress on representative payee

activities.

Routine uses of records maintained in the system, including categories

of users and the purposes of such uses:

Information may be disclosed for routine uses as indicated below.

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

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

when

(a) SSA, or any component thereof; or

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

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

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

employee; or

(d) The United States or any agency thereof where SSA determines

that the litigation is likely to affect SSA or any of its components,

is a party to litigation or has an interest in such litigation.

Disclosure will occur only if SSA determines that the use of such

records before the tribunal is relevant and necessary to the

litigation, would help in the effective representation of the

governmental party, and, in each case, such disclosure is compatible

with the purpose for which the records were collected.

2. Information pertaining to an individual may be disclosed to a

Congressional office in response to an inquiry from that office made at

the request of the subject of the records.

3. Information may be disclosed to the General Services

Administration and the National Archives and Records Administration for

the purpose of conducting records management studies under 44 U.S.C.

2904 and 2906, when such disclosure is not prohibited by Federal law.

4. Information may be disclosed to the Department of Veterans

Affairs (DVA) Regional Office in the Philippines for

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the administration of the Social Security Act in the Philippines

through services and facilities of that agency.

5. Information may be disclosed to the Department of State for

administration of the Social Security Act in foreign countries through

services and facilities of that agency.

6. Information may be disclosed to the Department of Interior for

administration of the Social Security Act in the Trust Territory of the

Pacific Islands through services and facilities of that agency.

7. Information may be disclosed to the American Institute in Taiwan

for administration of the Social Security Act in Taiwan through

services and facilities of that agency.

8. Information may be disclosed to DOJ for:

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

criminal penalties attach,

(b) Representing the Secretary, and

(c) Investigating issues of fraud or violations of civil rights by

officers or employees of SSA.

9. Information about an individual may be disclosed to the Office

of the President for responding to an inquiry received from that

individual or from a third party acting on that individual's behalf.

10. Information may be disclosed to DVA for the shared

administration of that Department's and SSA's representative payee

programs.

11. 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 to obtain assistance in

accomplishing an SSA function relating to this system of records.

12. Information may be disclosed to a third party such as a

physician, social worker, or community service worker, who has, or is

expected to have, information which is needed to evaluate one or both

of the following:

(a) The claimant's capability to manage or direct the management of

his/her affairs.

(b) Any case in which disclosure aids investigation of suspected

misuse of benefits, abuse or fraud, or is necessary for program

integrity, or quality appraisal activities.

13. Information pertaining to the identity of a payee or payee

applicant, the fact of the person's application for or service as a

payee, and, as necessary, the identify of the beneficiary, may be

disclosed to a third party where necessary to obtain information on

employment, sources of income, criminal justice records, stability of

residence and other information relating to the qualifications and

suitability of representative payees or representative payee applicants

to serve as representative payees or their use of the benefits paid to

them under section 205(j) or section 1631(a) of the Act.

14. Information pertaining to the address of a representative payee

applicant or a selected representative payee may be disclosed to a

claimant or other individual authorized to act on his/her behalf when

this information is needed to pursue a claim for recovery of misapplied

or misused benefits.

15. Information may be disclosed to the Railroad Retirement Board

(RRB) for the administration of RRB's representative payment program.

16. Information may be disclosed to the Office of Personnel

Management for the administration of that Office's representative payee

programs.

Policies and Practices for Storing, Retrieving, Accessing, Retaining,

and Disposing of Records in the System:

Storage:

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

disc).

Retrievability:

Data are retrieved from the system by the name, SSN or EIN, and the

ZIP code (in a situation where the representative payee is an

institution) of the representative payee, or the name or SSN of the

beneficiary/recipient.

Safeguards:

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 performing their

official duties. Magnetic tapes are in secured storage areas accessible

only to authorized personnel.

Retention and Disposal:

The magnetic media are updated periodically. Out-of-date tapes are

erased.

System Manager(s) and

addresses:

Associate Commissioner, Office of Program Benefits Policy, Room 760

Altmeyer Building, 6401 Security Boulevard, Baltimore, MD 21235.

Notification Procedure:

An individual can determine if this system contains data about him/

her by writing to the system manager at the address shown above and

providing his/her name, address and SSN or EIN. An individual

requesting notification via mail must submit sufficient evidence (i.e.,

the individual's notarized signature or a signed statement that he/she

is the individual to whom the record pertains and that he/she

understands that there are criminal penalties for making a knowing and

willful request for access to records concerning another individual

under false pretenses) to establish identity. An individual requesting

notification of data 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 telephone

must furnish a minimum of his/her name, SSN or EIN, date of birth and

address in order to establish identity.

Record Access Procedures:

Same as notification procedures above. Also, a requester should

reasonably identify and specify the information he/she is attempting to

obtain. These procedures are in accordance with HHS Regulations 45 CFR

part 5b.

Contesting Record Procedures:

Same as notification procedures above. Also, an individual

contesting records in the system should identify the record, specify

the information he/she is contesting, state the corrective action

sought, and the reasons for the correction with supporting

justification showing how the record is incomplete, untimely,

inaccurate, or irrelevant.

Record Source Categories:

Data in this system are obtained from representative payee

applicants and representative payees, the SSA Office of Inspector

General, and other SSA systems of records (e.g., Claims Folder System

(09-60-0089), Master Beneficiary Record (09-60-0090), Supplemental

Security Income Record (09-60-0103), Master Files of SSN Holders (09-

60-0058), Recovery, Accounting for Overpayments (09-60-0094)).

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Systems Exempted From Certain Provisions of the Act:

None.

[FR Doc. 96- 12712 Filed 5-21-96; 8:45 am]

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