[Federal Register Volume 59, Number 232 (Monday, December 5, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-29739]


[[Page Unknown]]

[Federal Register: December 5, 1994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Social Security Administration

 

Privacy Act of 1974; Report of Revised System of Records

AGENCY: Social Security Administration (SSA), Department of Health and 
Human Services (HHS).

ACTION: Revision to a system of records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(11)), we 
are issuing public notice of our intent to revise the description of a 
system of records entitled ``Earnings Recording and Self-Employment 
Income System'' (HHS/SSA/OSR, 09-60-0059) (last published at 58 FR 
48525, September 16, 1993).

DATE: The proposed changes will become effective as proposed, without 
further notice, on January 13, 1995, unless we receive comments on or 
before that date which would warrant our preventing the changes from 
taking effect.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 
Room 3-D-1 Operations Building, 6401 Security Boulevard, Baltimore, 
Maryland 21235. All comments received will be available for public 
inspection at that address.

FOR FURTHER INFORMATION CONTACT:
Mr. Stanley Hanna, 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 410-966-7077.

SUPPLEMENTARY INFORMATION:

I. Discussion of Proposed Revision

    We are adding information to the description of the system of 
records to indicate that it includes information about individuals 
affected by the Coal Industry Retiree Health Benefit Act of 1992, and 
that the information is obtained from the United Mine Workers of 
America (UMWA) Combined Benefit Fund. We are also revising two routine 
use statements.
    To comply with the Coal Industry Retiree Health Benefit Act of 1992 
(Pub. L. 102-486, 106 Stat. 2776), we published new routine uses to 
this system of records on September 16, 1993 (at 58 FR 48525). At that 
time we did not believe that any further change to the system was 
necessary. However, as the Social Security Administration (SSA) has 
gained some experience with developing cases in connection with this 
law, we have found that we need to revise our description of the 
records which are included in the system and to make other changes in 
the system's notice.
    We therefore propose to add the following phrase to the paragraph 
entitled ``Categories of individuals covered by the system'': ``any 
person affected by the Coal Industry Retiree Health Benefit Act of 
1992.''
    We propose to add the following phrase to the paragraph entitled 
``Categories of records in the system'': ``information about miners and 
their families needed to administer the Coal Industry Retiree Health 
Benefit Act of 1992.''
    We propose to add the following to the list of ``Purposes'': ``To 
make assignments of responsibility for paying premiums and to perform 
other functions under the Coal Industry Retiree Health Benefit Act of 
1992.''
    We propose to expand the explanation of information which may be 
disclosed to the coal industry assigned operator (in Routine Use #29) 
to include: ``work history and other detailed information as to the 
basis for the assignment of that individual.''
    We propose to add the following phrase to the paragraph entitled 
``Record source categories'': ``the United Mine Workers of America 
Combined Benefit Fund.''
    We are proposing the changes to Routine Use #29 in accordance with 
the Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), and (e)(11)) and our 
disclosure regulation (20 CFR part 401).
    The Privacy Act permits us to disclose information about 
individuals without their consents for a routine use, i.e., where the 
information will be used for a purpose that is compatible with the 
purpose for which we collected the information. The disclosure of 
information on individuals obtained from the UMWA Combined Benefit Fund 
to the coal industry operators to whom they were assigned under 26 
U.S.C. 9706, as described in Routine Use #29, for use by those 
operators in pursuing their remedies regarding those assignments, is 
required by statute, 26 U.S.C. 9706(f). Thus, we believe that this 
disclosure meets the compatibility criterion discussed above because it 
serves the purposes for which it was collected and because it is 
required by law.
    The proposed changes will make it clear that the earnings record 
system now includes information which SSA has received from the UMWA 
Combined Benefit Fund regarding miners and their families who are 
affected by the Coal Industry Retiree Health Benefit Act of 1992, and 
that this information will be used and disclosed for the purpose of 
performing those functions assigned to us under that statute.
    We are also making a minor wording change to Routine Use #13 so 
that the language will be consistent with the routine use statements in 
systems notices of other SSA systems of records which deal with 
disclosure to the Department of Justice.

II. Effect of the Proposed Changes on Individual Rights

    The proposed changes will:

 Add another category of individuals and category of records 
covered by this system of records,
 Clarify the kind of information which SSA maintains and the 
routine use statement on disclosures of this information, and
 Show the sources from which the information is obtained.

    The proposed changes will have no unwarranted effect on 
individual's rights.

    Dated: November 8, 1994.
Shirley S. Chater,
Commissioner of Social Security.
09-60-0059
    Earnings Recording and Self-Employment Income System, HHS/SSA/OSR.
    None.
Social Security Administration, Office of Systems, 6401 Security 
Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Systems Requirements, 6401 
Security Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Central Records Operations, 
Metro West Building, 300 North Greene Street, Baltimore, MD 21201

    Records also may be located at contractor sites (contact the system 
manager at the address below for contractor addresses), and in the 
program service centers.
    Any person who has been issued a Social Security number (SSN) and 
who may or may not have earnings under Social Security; or any person 
requesting, reporting, changing and/or inquiring about earnings 
information; or any person affected by the Coal Industry Retiree Health 
Benefit Act of 1992; or any person having a vested interest in a 
private pension fund.
    This system contains records of every SSN holder, his/her name, 
date of birth, sex, and race/ethnic data and a summary of his/her 
yearly earnings and quarters of coverage; special employment codes 
(i.e., self-employment, military, agriculture, and railroad); benefit 
status information; employer identification (i.e., employer 
identification numbers and pension plan numbers); minister waiver forms 
(i.e., forms filed by the clergy for the election or waiver of coverage 
under the Social Security Act (the Act)); correspondence received from 
individuals pertaining to the above-mentioned items; the replies to 
such correspondence; information about miners and their families needed 
to administer the Coal Industry Retiree Health Benefit Act of 1992 and 
pension plan information (i.e., nature, form, and amount of vested 
benefits).
    Sections 205(a) and 205(c)(2) of the Act, the Federal Records Act 
of 1950 (64 Stat. 583), the Employee Retirement Income Security Act of 
1974 (Pub. L. 93-406), and the Coal Industry Retiree Health Benefit Act 
of 1992 (Pub. L. 102-486, 106 Stat. 2776).
    This system is used for the following purposes:

     As a primary working record file of all SSN holders;
     As a quarterly record detail file to provide full data in 
wage investigation cases;
     To provide information for determining amount of benefits;
     To record all incorrect or incomplete earnings items;
     To reinstate incorrectly or incompletely reported earnings 
items;
     To record the latest employer of a wage earner;
     For statistical studies;
     For identification of possible overpayments of benefits;
     For identification of individuals entitled to additional 
benefits;
     To provide information to employers/former employers for 
correcting or reconstructing earnings records and for Social Security 
tax purposes;
     To provide workers and self-employed individuals with 
earnings statements or quarters of coverage statements;
     To provide information to Health and Human Services (HHS) 
Office of Inspector General for auditing benefit payments under Social 
Security programs;
     To provide information to the National Institute for 
Occupational Safety and Health for epidemiological research studies 
required by the Occupational Health and Safety Act of 1974;
     To assist the Social Security Administration (SSA) in 
responding to general inquiries about Social Security, including 
earnings or adjustments to earnings, and in preparing responses to 
subsequent inquiries;
     To store minister waivers, thus preventing erroneous 
payment of Social Security benefits; and
     To make assignments of responsibility for paying premiums 
and to perform other functions under the Coal Industry Retiree Health 
Benefit Act of 1992.
    Disclosure may be made for routine uses as indicated below:
    1. To employers or former employers, including State Social 
Security administrators, for correcting and reconstructing State 
employee earnings records and for Social Security purposes.
    2. To the Department of the Treasury for:
    (a) Investigating the alleged forgery, or unlawful negotiation of 
Social Security checks; and
    (b) Tax administration as defined in 26 U.S.C. 6103 of the Internal 
Revenue Code (IRC).
    3. To the Railroad Retirement Board (RRB) for administering 
provisions of the Railroad Retirement and Social Security Acts relating 
to railroad employment.
    4. To the Department of Justice (DOJ) (Federal Bureau of 
Investigation and United States Attorneys) for investigating and 
prosecuting violations of the Act.
    5. To a contractor for the purpose of collating, evaluating, 
analyzing, aggregating or otherwise refining records when the SSA 
contracts with a private firm. (The contractor shall be required to 
maintain Privacy Act safeguards with respect to such records.)
    6. To the Department of Energy for its study of low-level radiation 
exposure.
    7. To a congressional office in response to an inquiry from the 
congressional office made at the request of the subject of a record.
    8. To the Department of State for administering the Act in foreign 
countries through services and facilities of that agency.
    9. To the American Institute of Taiwan for administering the Act in 
Taiwan through services and facilities of that agency.
    10. To the Department of Veterans Affairs (DVA) Regional Office for 
administering the Act in the Philippines through services and 
facilities of that agency.
    11. To the Department of Interior for administering the Act in the 
Trust Territory of the Pacific Islands through services and facilities 
of that agency.
    12. To State audit agencies for auditing State supplementation 
payments and Medicaid eligibility considerations.
    13. To DOJ, a court or other tribunal, or another party before such 
tribunal when:
    (a) SSA, 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 DOJ, the court or other 
tribunal or other party before such tribunal is relevant and necessary 
to the litigation, provided, however, that in each case, SSA determines 
that such disclosure is compatible with the purpose for which the 
records were collected.
    Wage and other information that is subject to the disclosure 
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under this 
routine use unless disclosure is expressly permitted by the IRC.
    14. 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.
    15. Information necessary to adjudicate claims filed under an 
international Social Security agreement that the United States has 
entered into pursuant to section 233 of the Act may be disclosed to a 
foreign country that is a party to that agreement.
    16. To Federal, State, or local agencies (or agents on their 
behalf) for the purpose of validating SSNs used in administering cash 
or noncash income maintenance programs or health maintenance programs 
(including programs under the Act).
    17. Tax return information (e.g., information with respect to net 
earnings from self-employment, wages, payments of retirement income 
that has been disclosed to SSA and business and employment address) may 
be disclosed, upon written request, to officers and employees of a 
Federal, State or local agency for purposes of, and to the extent 
necessary in, determining an individual's eligibility for, or the 
correct amount of, benefits under certain programs listed in section 
6103(l)(7) of the Internal Revenue Code (IRC). These programs are:
    (a) Aid to families with dependent children provided under a State 
plan approved under part A of title IV of the Act;
    (b) Medical assistance provided under a State plan approved under 
title XIX of the Act;
    (c) Supplemental security income benefits provided under title XVI 
of the Act, and federally administered supplementary payments of the 
type described in section 1616(a) of such Act (including payments 
pursuant to an agreement entered into under section 212(a) of Public 
Law (Pub. L.) 93-66);
    (d) Any benefits provided under a State plan approved under title 
I, X, XIV, or XVI of the Act (as those titles apply to Puerto Rico, 
Guam and the Virgin Islands);
    (e) Unemployment compensation provided under a State law described 
in section 3304 of the IRC;
    (f) Assistance provided under the Food Stamp Act of 1977; and
    (g) State-administered supplementary payments of the type described 
in section 1616(a) of the Act (including payments pursuant to an 
agreement entered into under section 212(a) of Pub. L. 93-66).
    18. Tax return information (e.g., information with respect to net 
earnings from self-employment, wages, payments of retirement income 
that has been disclosed to SSA and business and employment addresses) 
may be disclosed, upon written request, to appropriate officers and 
employees of a State or local child support enforcement agency in 
accordance with 26 U.S.C. 6103(l)(8) for purposes of, and to the extent 
necessary in
    (a) Establishing and collecting child support obligations from 
individuals who owe such obligations, and
    (b) Locating those individuals

under a program established under title IVD of the Act (42 U.S.C. 
651ff).
    19. The fact that a veteran is or is not eligible for retirement 
insurance benefits under the Social Security program may be disclosed 
to the Office of Personnel Management (OPM) for its use in determining 
a veteran's eligibility for a civil service retirement annuity and the 
amount of such annuity.
    20. Employee and employer name and address information may be 
disclosed to DOJ (Immigration and Naturalization Service) for the 
purpose of informing that agency of the identities and locations of 
aliens who appear to be illegally employed.
    21. 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 with a third party to 
assist in accomplishing an agency function relating to this system of 
records.
    22. Information derived from this system may be disclosed to OPM 
for the purpose of computing civil service annuity offsets of civil 
service annuitants with military service or the survivors of such 
individuals pursuant to provisions of section 307 of Pub. L. 97-253.
    23. Nontax return information that is not restricted from 
disclosure by Federal law may be disclosed to the General Services 
Administration and the National Archives and Records Administration for 
the purpose of conducting records management studies with respect to 
their duties and responsibilities under 44 U.S.C. 2904 and 2906, as 
amended by the National Archives and Records Administration Act of 
1984.
    24. Disclosure of tax return information will be made to OPM, upon 
OPM's written request, for the purpose of administering the Civil 
Service and Federal Employees Retirement Systems in accordance with 
Chapters 83 and 84 of Title 5, United States Code.
    25. To the Rehabilitation Services Administration (RSA) for use in 
its program studies of, and development of enhancements for, State 
vocational rehabilitation programs. These are programs to which 
applicants or beneficiaries under titles II and/or VI of the Act may be 
referred. Data released to RSA will not include any personally 
identifying information (such as names or SSNs).
    26. Upon written request, SSA will disclose tax return information 
to the VA for propose of Administration for the purposes of, and to the 
extent necessary for determining eligibility for, or the amount of, 
benefits under the following programs:
    (a) Any needs-based pension provided under chapter 15 of title 38, 
United States Code, or under any other law administered by the 
Secretary of Veterans Affairs;
    (b) Parents' dependency and indemnity compensation provided under 
section 1315 of title 38, United States Code;
    (c) Health-care services furnished under sections 1710(a)(1)(I), 
1710(a)(2), 1710(b), and 1712(a)(2)(B) of title 38, United States Code; 
and
    (d) Compensation paid under chapter 11 of title 38, United States 
Code, at the 100 percent rate based solely on unemployability and 
without regard to the fact that the disability or disabilities are not 
rated as 100 percent disabling under the rating schedule.
    The tax return information which may be disclosed under this 
paragraph includes wages, net earnings from self-employment, payments 
of retirement income which have been disclosed to SSA and business and 
employment addresses, except that information on payments of retirement 
income will not be disclosed for use with respect to programs described 
in subparagraph (d).
    27. The identity of each coal industry assigned operator determined 
to be responsible for annual premiums, and the names and Social 
Security numbers of eligible beneficiaries with respect to whom the 
operator is identified, may be disclosed to the trustees of the United 
Mine Workers of America Combined Benefit Fund pursuant to section 
9706(e)(1) of the IRC as added by the Coal Industry Retiree Health 
Benefit Act of 1992, Pub. L. 102-486, 106 Stat; 2776 (codified at 26 
U.S.C. 9701-9721 (1992)).
    28. The names and Social Security numbers of eligible beneficiaries 
who have been assigned to a coal industry assigned operator and a brief 
summary of the facts related to the basis for such assignments may be 
disclosed to the coal industry assigned operator determined to be 
responsible for that individual's annual premiums payable to the United 
Mine Workers of America Combined Benefit Fund pursuant to section 
9706(e)(2) of the IRC as added by the Coal Industry Retiree Health 
Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified at 26 
U.S.C. 9701-9721 (1992)).
    29. Detailed information from an individual's work history and 
other detailed information as to the basis for the assignment of that 
individual may be disclosed to the coal industry assigned operator 
determined to be responsible for that individual's annual premiums 
payable to the United Mine Workers of America Combined Benefit Fund 
pursuant to section 9706(f)(1) of the IRC as added by the Coal Industry 
Retiree Health Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 
(codified at 26 U.S.C. 9701-9721 (1992)).
    Records in this system are maintained as paper forms, 
correspondence in manila folders on open shelving, paper lists, 
punchcards, microfilm, magnetic tapes, and discs with online access 
files.
    Records in this system are indexed by SSN, name, and employer 
identification number.
    Safeguards for automated records have been established in 
accordance with the 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 the performance of 
their official duties.
    Expansion and improvement of SSA's telecommunications systems has 
resulted in the acquisition of terminals equipped with physical key 
locks. The terminals also are fitted with adapters to permit the future 
installation of data encryption devices and devices to permit the 
identification of terminal users.
    All paper forms and cards are retained until they are filmed or are 
entered on tape and their accuracy is verified. Then they are destroyed 
by shredding. All tapes, discs, and microfilm files are updated 
periodically. The out-of-date magnetic tapes and discs are erased. The 
out-of-date microfilm is shredded.
    SSA retains correspondence for 1 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 4 years when it concerns information and 
evidence pertaining to coverage, wage, and self-employment 
determinations or when the statute of limitations is involved, and 
permanently when it affects future claims development, especially 
coverage, wage, and self-employment determinations. Correspondence is 
destroyed, when appropriate, by shredding.
    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 maiden name and father's name to the address shown under 
system manager and by referring to this system. (Furnishing the SSN is 
voluntary, but it will make searching for an individuals's record 
easier and prevent delay.)
    An individual requesting notification of records 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 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 specified in this section. 
These procedures are in accordance with HHS Regulations 45 CFR part 5b.
    Same as notification procedures. Also, requesters should reasonably 
specify the record contents they are seeking. These procedures are in 
accordance 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 are in accordance with 
HHS Regulations 45 CFR part 5b.
    SSN applicants, employers and self-employed individuals; DOJ 
(including the Immigration and Naturalization Service); the Department 
of Treasury (Internal Revenue Service); the United Mine Workers of 
America Combined Benefit Fund; an existing system of records maintained 
by SSA, the Master Beneficiary Record (09-60-0090); correspondence, 
replies to correspondence, and earnings modifications resulting from 
SSA internal processes.
    None.

[FR Doc. 94-29739 Filed 12-2-94; 8:45 am]
BILLING CODE 4190-29-M