[Federal Register Volume 59, Number 207 (Thursday, October 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-26627]
[[Page Unknown]]
[Federal Register: October 27, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Social Security Administration
Privacy Act of 1974; Report of New Systems of Records
AGENCY: Social Security Administration (SSA), HHS.
ACTION: Notification of new systems of records and new routine uses.
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SUMMARY: In accordance with the Privacy Act of 1974 (5 U.S.C.
552a(e)(4)), we are notifying the public of our intent to establish two
new systems of records. The proposed systems are entitled ``SSA-
Initiated Personal Earnings and Benefit Estimate Statement (SIPEBES)
History File, HHS/SSA/OSR, 09-60-0224'' and ``SSA-Initiated Personal
Earnings and Benefit Estimate Statement Address System for Certain
Territories, HHS/SSA/OSR, 09-60-0225.'' For convenience we will refer
to these systems as the ``History File'' and the ``Territory Address
System,'' respectively.
We are also proposing to establish routine uses of the information
to be maintained in the two systems. The proposed routine uses are
discussed below.
We invite public comment on this publication.
DATES: We filed a report of the proposed systems of records with the
Senate Committee on Governmental Affairs, the House Committee on
Government Operations, and the Office of Management and Budget, Office
of Information and Regulatory Affairs, on October 3, 1994. The proposed
systems, including the proposed routine uses, will become effective as
proposed, without further notice, on November 12, 1994, unless we
receive comments on or before that date which would warrant preventing
the systems from taking effect.
ADDRESSES: Interested individuals may comment on this proposal by
writing to the SSA Privacy Officer, 3-D-1 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. Peter J. Benson, Office of Policy, 6401 Security Boulevard,
Baltimore, Maryland 21235; telephone 410-965-1736.
SUPPLEMENTARY INFORMATION:
I. Description of the Proposed Systems of Records
Section 1143(c) of the Social Security Act requires SSA to phase in
a program, beginning not later than October 1, 1999, for mailing a
PEBES annually to everyone:
(a) Who has reached at least age 25,
(b) Who has had some earnings reported to his/her Social Security
number (SSN),
(c) Who is not receiving benefits under Title II of the Social
Security Act, and
(d) For whom SSA can determine a mailing address.
The phasing in requires SSA to furnish PEBES by not later than
September 30, 1995, to everyone who has reached age 60 by October 1,
1994, who is currently not receiving title II benefits, for whom some
earnings have been reported, and for whom a current mailing address can
be established; and from October 1, 1994, to September 30, 1999, to
everyone who attains age 60 during that period and who meets the other
criteria for receiving the PEBES. The PEBES will be sent in the fiscal
year (October 1 through September 30) in which the individual attains
age 60.
The two systems together will enable SSA to mail Personal Earnings
and Benefit Estimate Statements (PEBES) to certain individuals,
pursuant to section 1143 of the Social Security Act (42 U.S.C. 1320b-
13).
SSA has previously maintained current address information only for
those persons currently entitled to monthly Social Security benefits.
Therefore, SSA must obtain address information for everyone to whom SSA
will be required to mail a PEBES.
As discussed below, SSA will use different sources for obtaining
the address information that will be maintained in the systems.
A. History File. For persons living within a State of the United
States or the District of Columbia, SSA will use address information
obtained from the Internal Revenue Service (IRS), reflecting addresses
taken from Federal income tax returns. SSA will maintain this address
information obtained from IRS in the History File.
After the PEBES have been released in a given mailing cycle, SSA
will inevitably receive inquiries from some individuals about their
PEBES, or alleging that they did not receive a PEBES. The History File
will enable SSA to verify whether a PEBES was released to that person,
when, to what address, and what address source was used. The History
File will also permit statistical studies involving the PEBES system.
B. Territory Address System. For persons living in Puerto Rico or
in a territory of the United States who are not required to file
Federal income tax returns, SSA must obtain their addresses from
sources other than the IRS. SSA will obtain this information from the
Commonwealth and Territorial governments. SSA must maintain these data
until needed for a PEBES mailing. We therefore are establishing the
Territory Address System of records for that purpose. After an address
is identified from the Territory Address System and a PEBES is mailed,
the address information will be maintained in the History File.
II. Collection and Maintenance of Data in the Systems
Information for the History File (each individual's address
information, other personal information, and information about the
PEBES mailing) will be obtained from IRS and from sources within SSA,
respectively.
Information for the Territory Address System will be obtained
primarily from the Commonwealth and Territorial governments, possibly
supplemented from other sources.
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 two systems. The
routine use disclosures are identical for both systems except as noted.
Information may be disclosed as follows:
1. 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
routine use only in situations in which SSA may enter a contractual or
similar agreement with a third party to assist in accomplishing an
agency function relating to this system of records.
Wage and other information which 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.
Contractors will safeguard information disclosed to them consistent
with the requirements of the Privacy Act.
We contemplate disclosing information under this routine use only
when SSA enters into a contractual or similar agreement with a third
party to help SSA maintain the proposed systems or to carry out the
PEBES mailing program.
In administering our program, we often find that it is more
efficient to use an outside contractor to carry out some of our
functions. This proposed routine use would allow us to disclose
information from the system under these circumstances.
2. 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.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 6103) will not be
disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
We contemplate disclosing information under this 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.
3. 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 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.
Wage and other information which 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.
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 system.
The routine use would also permit disclosure when SSA brings suit or
when another party bring suit and SSA has an interest in the
litigation.
4. Information may be disclosed to the Office of the President for
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
Wage and other information which 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.
We contemplate disclosing information under this routine use in
situations in which that individual 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.
5. 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, as amended by the
National Archives and Records Administration Act of 1984, for the use
of those agencies in conducting records management studies.
Wage and other information which 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.
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 safeguards,
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 two proposed systems of
records. In such instances, the routine use will facilitate disclosure.
6. Information may be disclosed to the Internal Revenue Service
(IRS) for auditing SSA's compliance with the safeguard provisions of
the Internal Revenue Code of 1986, as amended.
This routine use applied only to the History File which maintains
some information obtained from the IRS. As necessary, the routine use
will allow disclosure to IRS to ensure that SSA is in compliance with
safeguard standards.
IV. Compatibility of the Proposed Routine Uses
Both the Privacy Act of 1974 (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. Paragraph
401.310(c) of the regulations permits us to disclose information under
a routine use to administer our programs. Section 401.205 of the
regulations requires us to disclose information when a law specifically
requires the disclosure.
The proposed routine uses numbered 1, 2, 3, 4, and 6, described
above, will facilitate SSA's administration of its programs. Routine
use number 5 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 the routine uses are appropriate and meet
the criteria in the Privacy Act and SSA's regulations.
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 two
proposed systems. 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 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.
In addition, any contract which SSA may sign with a third party in
order to carry out the required mailings will stipulate that (a) the
contractor must establish safeguards to protect the personal
information temporarily in its custody, in accordance with Privacy Act
requirements; (b) the contractor may use the information only as
necessary in fulfilling the contract; and (c) the contractor is subject
to criminal penalties for violations of the Privacy Act.
VI. Effect of the Proposed Systems of Records on Individual Rights
As discussed above, the proposed systems of records will enable SSA
to mail PEBES. Recipients will benefit from the PEBES because these
statements will help them plan their finances and check the accuracy of
SSA's records. The routine uses will benefit individuals by helping SSA
run its programs smoothly.
SSA will adhere to all provisions of the Privacy Act, Social
Security Act, and other applicable laws in our maintenance and use of
the information. Thus, we do not anticipate that the system will have
any adverse effect on individuals' rights.
Dated: October 3, 1994.
Shirley S. Chater,
Commissioner of Social Security.
09-60-0224
SSA-Initiated Personal Earnings and Benefit Estimate Statement
(SIPEBES) History File, HHS/SSA/OSR.
None.
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235.
Any person:
Who lives in a state or territory of the United States or
the District of Columbia;
Who has reached age 25;
Who has had earnings posted to his/her Social Security
number (SSN);
Who is not receiving benefits under title II of the Social
Security Act; and
For whom the Social Security Administration (SSA) can
determine the current mailing address.
This system contains the following information about each
individual:
Name;
SSN;
Address to which the PEBES was mailed;
Date of birth;
Sex;
Disposition code (to indicate earnings discrepancy or
refusal);
Date of SIPEBES issuance;
Whether the PEBES was issued at the individual's request
or SSA's initiative;
Primary language (English or Spanish);
Address source (IRS, the individual, or other);
IRARN-CD (a code reserved for future use).
PROC-CD (a code reserved for future use).
Sections 205(a), 205(c)(2), and 1143 of the Social Security Act (42
U.S.C. 405(a), 405(c)(2), and 1320b-13); the Federal Records Act of
1950 (64 Stat. 583), as amended.
This system is used for the following purposes:
To establish and retrieve specific records for PEBES
processing;
To identify whether or when a person has previously
received an SIPEBES;
To help SSA respond to PEBES inquiries; and
To conduct statistical studies.
Disclosure may be made for routine uses as indicated below:
1. 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
routine use only in situations in which SSA may enter a contractual or
similar agreement with a third party to assist in accomplishing an
agency function relating to this system of records.
Wage and other information which 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.
2. 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.
Wage and other information which 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.
3. 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 purposes for
which the records were collected.
Wage and other information which 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.
4. Information may be disclosed to the Office of the President for
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
Wage and other information which 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.
5. 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, as amended by the
National Archives and Records Administration Act of 1984, for the use
of those agencies in conducting records management studies.
Wage and other information which 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.
6. Information may be disclosed to the Internal Revenue Service
(IRS) for auditing SSA's compliance with the safeguard provisions of
the Internal Revenue Code of 1986, as amended.
Records may be stored in magnetic media (e.g., magnetic tape and
disc), microfilm, or paper.
Data will be retrieved from the system by SSN and name.
Safeguards for automated records have been established in
accordance with the Department of Health and Human Services (HHS)
Information Resources Management Manual, Part 6, Automated Information
Systems Security Program Handbook. This includes maintaining the
magnetic tapes and discs within an enclosure attended by security
guards. Anyone entering or leaving this enclosure must have a special
badge issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and Field Office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm and paper files are accessible only by authorized
personnel who have a need for the information in performing their
official duties.
SSA's terminals are equipped with physical key locks. The terminals
are also fitted with adapters to permit the future installation of data
encryption devices and devices to permit the identification of terminal
users.
Contractors will safeguard information disclosed to them consistent
with the requirements of the Privacy Act.
All tapes, discs, and microfilm files are updated periodically.
Out-of-date magnetic tapes and discs are erased. Out-of-date microfilm
is shredded.
SSA retains correspondence one year when it concerns documents
returned to an individual, denials of confidential information, release
of confidential information to an authorized third party, and
undeliverable material; for four years when it concerns 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. Correspondence is
destroyed, when appropriate, by shredding. Magnetic media records are
maintained indefinitely.
Director, Office of Pre-Claims Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature, and SSN,
or, if the SSN is not known, name, signature, date and place of birth,
mother's birth name, and father's name to the address shown above under
``System manager'' and by referring to this system. (Furnishing the SSN
is voluntary, but it will enable an easier and faster search for an
individuals record.)
An individual requesting notification of records in person need not
furnish any special documents of identify. Documents which one would
normally carry on one's person are sufficient (e.g., credit cards,
driver's license, or voter registration card). An individual requesting
notification via mail or telephone must furnish a minimum of his/her
name, date of birth, and address in order to establish identify, plus
any additional information which may be requested. These procedures
conform with HHS Regulations, 45 CFR part 5b.
Same as notification procedures. Also, requesters should reasonably
identify the record contents they are seeking. These procedures conform
with HHS Regulations, 45 CFR part 5b.
Same as notification procedures. Also, requesters should reasonably
identify the record, specify the information they are contesting and
state the corrective action sought and the reasons for the correction
with supporting justification. These procedures conform with HHS
Regulations, 45 CFR part 5b.
Information in this system is obtained from the Numident File of
the SSA system of records entitled ``Master File of Social Security
Number Holders, HHS/SSA/OSR (09-60-0058)''; and from the IRS.
None.
09-60-0225
SSA-Initiated Personal Earnings and Benefit Estimate Statement
Address System for Certain Territories. HHS/SSA/OSR.
None.
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235.
Records may also be located at contractor sites. Contact the system
manager at the address below for contractor addresses.
Any person:
Who lives in Guam, Puerto Rico, or the United States
Virgin Islands,
Who has reached age 25,
Who has had earnings posted to his/her SSN,
Who is not receiving benefits under Title II of the Social
Security Act, and
From whom SSA can determine the current mailing address.
This system contains the following information about each
individual:
Name;
Sex;
SSN;
Address;
Whether a PEBES was issued at the individual's request or
SSA's initiative;
A country name code.
Sections 205(a), 205(c)(2), and 1143 of the Social Security Act (42
U.S.C. 405(a), 405(c)(2), and 1320b-13); the Federal Records Act of
1950 (64 Stat. 583).
The system is used for the following purposes:
To establish and retrieve specific records for PEBES
processing for individuals living in the specified areas;
To help SSA respond to PEBES inquiries; and
To conduct statistical studies.
Disclosure may be made from routine uses as indicated below:
1. 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
routine use only in situations in which SSA may enter a contractual or
similar agreement with a third party to assist in accomplishing an
agency function relating to this system of records.
2. 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.
3. 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 operation 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.
4. Information may be disclosed to the Office of the President for
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
5. 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, as amended by the
National Archives and Records Administration Act of 1984, for the use
of those agencies in conducting records management studies.
Records will be stored in magnetic media (e.g., magnetic tape and
disc).
Data will be retrieved from the system by SSN, name, and date of
issuance of the PEBES.
Safeguards for automated records have been established in
accordance with the Department of Health and Human Services (HHS)
Information Resources Management Manual, Part 6, Automated Information
Systems Security Program Handbook. This includes maintaining the
magnetic tapes and discs within an enclosure attended by security
guards, Anyone entering or leaving this enclosure must have a special
badge issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and Field Office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm and paper files are accessible only by authorized
personnel who have a need for the information in performing their
official duties.
SSA's terminals are equipped with physical key locks. The terminals
are also fitted with adapters to permit the future installation of data
encryption devices and devices to permit the identification of terminal
users.
All tapes, discs, and microfilm files are updated periodically.
Out-of-date magnetic tapes and discs are erased. Out-of-date microfilm
is shredded.
SSA retains correspondence one year when it concerns documents
returned to an individual, denials of confidential information, release
of confidential information to an authorized third party, and
undeliverable material; for four years when it concerns 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. Correspondence is
destroyed, when appropriate, by shredding. Magnetic media records are
maintained indefinitely.
Director, Office of Pre-Claims Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature, and SSN,
or, if the SSN is not known, name, signature, date and place of birth,
mother's birth name, and father's name to the address shown above under
``System manager'' and by referring to this system. (Furnishing the SSN
is voluntary, but it will enable an easier and faster search for an
individuals' record.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents which one would
normally carry on one's person are sufficient (e.g., credit cards,
driver's license, or voter registration card). An individual requesting
notification via mail or telephone must furnish a minimum of his/her
name, date of birth, and address in order to establish identity, plus
any additional information which may be requested. These procedures
conform with HHS Regulations, 45 CFR Part 5b.
Same as notification procedures. Also, requesters should reasonably
identify the record contents they are seeking. These procedures conform
with HHS Regulations, 45 CFR Part 5b.
Same as notification procedures. Also, requesters should reasonably
identify the record, specify the information they are contesting and
state the corrective action sought and the reasons for the correction
with supporting justification. These procedures conform with HHS
Regulations, 45 CFR part 5b.
Information in this system is obtained from the Commonwealth of
Puerto Rico and the Territories of Guam and the United States Virgin
Islands.
None.
[FR Doc. 94-26627 Filed 10-26-94; 8:45 am]
BILLING CODE 4190-29-M