[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