[Federal Register Volume 61, Number 172 (Wednesday, September 4, 1996)]
[Notices]
[Pages 46675-46678]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-22489]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974; Report of New System of Records

AGENCY: Social Security Administration (SSA).

ACTION: New system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 (5 U.S.C. 
552a(e)(4) and (11)), we are notifying the public of our intent to 
establish a new system of records. The proposed system is entitled 
``Plans for Achieving Self-Support (PASS) Management Information 
System, SSA/OPBP, 05-009.'' Supplemental Security Income (SSI) 
recipients can engage in gainful employment or receive income in other 
ways that contribute toward their regaining the ability to participate 
normally in the work force. Individuals can report their earnings from 
work activity or other job-related income by means of a PASS, which 
becomes part of their SSI claim documentation.
    The system will maintain information about plans to establish 
financial self-sufficiency submitted by certain recipients of SSI under 
title XVI of the Social Security Act. SSA management will use the 
information in the system to keep track of SSI claims involving PASS 
and perform quality assurance and program reviews and other studies 
regarding PASS.
    We are also proposing to establish certain routine use disclosures 
of the information to be maintained in the system. The routine uses are 
discussed below.
    We invite public comment on this publication.

DATES: We filed a report of the proposed system of records with the 
Senate Committee on Governmental Affairs, the House Committee on 
Government Reform and Oversight, and the Office of Management and 
Budget (OMB), Office of Information and Regulatory Affairs, on August 
20, 1996. We have requested a waiver of the OMB 40-day advance notice 
period for this system of records. If OMB grants the waiver, the system 
of records is effective upon publication in the Federal Register; if 
OMB does not grant the waiver, we will implement the system on October 
4, 1996. In any event, we will not disclose any information under a 
routine use until 30 days after publication. We may defer 
implementation of this system of records or one or more of the routine 
use statements listed below if we receive comments that persuade us to 
defer implementation.

ADDRESSES: Interested individuals may comment on this proposal by 
writing to the SSA Privacy Officer. The mailing address is 3-A-6 
Operations Building, 6401 Security Boulevard, Baltimore, Maryland 
21235; telephone 410-965-1736. 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. Peter J. Benson, Office of 
Disclosure Policy, 6401 Security Boulevard, Baltimore, Maryland 21235; 
telephone 410-965-1736.

SUPPLEMENTARY INFORMATION:

I. Description of the Proposed System of Records

    Sections 1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the Social 
Security Act authorize the Commissioner of Social Security, when 
determining eligibility for, or the amount of, supplemental security 
income (SSI) benefits, to exclude such income or resources as 
determined to be necessary for the fulfillment of Plans for Achieving 
Self-Support (PASS) approved by the Commissioner.
    We are proposing to establish a more effective and efficient case 
control and management information system than we now have for PASS 
program evaluation purposes. The system would maintain information 
about individuals who have submitted a PASS.
    The proposed system will consist of computerized files and some 
paper records retrievable by the Social Security number (SSN) and name 
of the individual who has submitted a PASS. Based on past experience, 
we expect to process approximately 5,500 new PASS per year. We will 
collect and maintain only the information that is essential for program 
evaluation and case control purposes.

II. Collection and Maintenance of Data in the System

    Most of the information in this system of records will already be 
in existing SSA Privacy Act systems of records, in the Claims Folder 
system (09-60-0089) or the Supplemental Security Income Record system 
(09-60-0103). Some new information will be obtained from SSI recipients 
or from other persons, or will be generated by SSA. Holding this 
information together will facilitate review and oversight of SSI claims 
involving PASS by SSA management.

III. Proposed Routine Use Disclosures of Data in the System

    We are proposing to establish the following routine use disclosures 
of information which will be maintained in the system:
    1. To third-party contacts when the party to be contacted has, or 
is expected to have, information relating to the individual's PASS, 
when:
    (a) The individual is unable to provide the information being 
sought. An individual is considered to be unable to provide certain 
types of information when:
    (1) He or she is incapable or of questionable mental capability;
    (2) He or she cannot read or write;
    (3) He or she cannot afford the cost of obtaining the information;
    (4) He or she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (5) A language barrier exists; or
    (6) The custodian of the information will not, as a matter of 
policy, provide it to the individual; or
    (b) The data are needed to establish the validity of evidence or to 
verify the accuracy of information presented by the individual in 
connection with his or her PASS; or SSA is reviewing the information as 
a result of suspected abuse or fraud, concern for program integrity, 
quality appraisal, or evaluation and measurement activities.
    Although most of the information that will be maintained in this 
system will already be in SSA's files, SSA will occasionally need to 
obtain additional information from SSI recipients or other sources. 
When an SSI recipient has difficulty communicating with SSA or 
obtaining needed information because

[[Page 46676]]

of a physical handicap, a language barrier, or other reason, SSA helps 
the individual as needed. There can also be other situations in which 
SSA requests information from a source other than the subject 
individual. To request needed information from such other sources, SSA 
must disclose minimal information about the individual to them, for 
example, information identifying the individual and the fact that the 
subject individual is, or was, a recipient of SSI payments.
    2. To a Congressional office in response to an inquiry from that 
office made at the request of the subject of the record.
    Individuals sometimes request the help of a Member of Congress in 
resolving some issue relating to a matter before SSA. The Member of 
Congress then writes SSA, and SSA must be able to give sufficient 
information to be responsive to the inquiry.
    3. To the Department of the Treasury, Internal Revenue Service, for 
the purpose of auditing SSA's compliance with the safeguard provisions 
of the Internal Revenue Code of 1986, as amended.
    Wage and self-employment income information in SSA's files, 
obtained through the Federal tax reporting process, is considered to be 
``tax return'' information, subject to the confidentiality provisions 
of section 6103 of the Internal Revenue Code, 26 U.S.C. 6193, 
administered by the Internal Revenue Service (IRS). SSA must give IRS 
information to allow IRS to carry out its necessary auditing functions 
under that statute to determine whether SSA is maintaining and 
disclosing tax return information in accordance with that statute.
    4. To the Office of the President for the purpose of responding to 
an individual pursuant to an inquiry received from that individual or 
from a third party on his or her behalf.
    Individuals sometimes request the help of the President in 
resolving some issue relating to matters before SSA. The Office of the 
President then writes SSA, and SSA must be able to give sufficient 
information to be responsive to the inquiry.
    5. Information may be disclosed to a contractor or another Federal 
agency, 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 SSA function relating to this system of records.
    SSA occasionally contracts out certain of its functions when this 
would contribute to effective and efficient operations. SSA must be 
able to give a contractor whatever information is necessary for the 
contractor to fulfill its duties. In these situations, safeguards are 
provided in the contract prohibiting the contractor from using or 
disclosing the information for any purpose other than that described in 
the contract.
    6. Nontax return information that is not restricted from disclosure 
by Federal law may be disclosed to the General Services Administration 
or the National Archives and Records Administration (NARA) for the 
purpose of conducting records management studies with respect to their 
duties and responsibilities under 44 U.S.C. 2904 and 2906.
    The General Services Administration (GSA) and NARA are responsible 
for archiving old records no longer actively used but which may be 
appropriate for preservation; they are responsible in general for the 
physical maintenance of the Federal government's records. SSA must be 
able to turn records over to these agencies in order to determine the 
proper disposition of such records.
    7. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such tribunal, when:
    (a) SSA or any component thereof, or
    (b) any SSA employee in his or her official capacity, or
    (c) any SSA employee in his or her individual capacity when DOJ (or 
SSA when it is authorized to do so) has agreed to represent the 
employee, or
    (d) 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 party before such court or 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 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.
    Whenever SSA is involved in litigation, or occasionally when 
another party is involved in litigation and SSA's policies or 
operations could be affected by the outcome of the litigation, SSA 
would be able to disclose information to the court or the parties 
involved. A determination would be made in each instance that, under 
the circumstances involved, the purpose served by the use of the 
information in the particular litigation is compatible with a purpose 
for which SSA collects the information.

IV. Compatibility of the Proposed Routine Uses

    We are proposing the routine use statements discussed above in 
accordance with the Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), (e)(4) 
and (e)(11) and our disclosure regulation (20 CFR part 401).
    The Privacy Act permits us to disclose information about 
individuals without their consent for a routine use, i.e., when the 
information will be used for a purpose that is compatible with the 
purpose for which we collected the information.
    Our disclosure regulation allows us to disclose information under a 
routine use when the disclosure will be used to administer one of our 
programs or a similar program of another government agency, or when 
disclosure is required by law. See 20 CFR 401.205 and 401.310.
    In all of the routine use disclosures described above, either the 
recipient of the information will use the information in connection 
with a matter relating to one of SSA's programs (for example, 
disclosures to obtain other information needed for a purpose related to 
PASS from sources other than the SSI recipient, disclosures to 
contractors assisting SSA with an administrative function, disclosure 
in connection with litigation relating to (or affecting) a program 
administered by SSA) or disclosure is required by law (for example, to 
IRS, GSA and NARA). Uses of information in connection with matters 
affecting SSA's programs are self-evidently ``compatible.'' Where 
disclosure is required by law, the statute establishes that the 
mandated use of information described in that statute is one of the 
statutorily prescribed uses for which that information is collected and 
maintained by SSA.

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 
proposed system. 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 and paper records, in secured areas 
which are accessible only to employees who require the information in 
performing their official duties. SSA employees

[[Page 46677]]

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.

VI. Effect of the Proposed System of Records on Individual Rights

    While some new information will be collected or generated by SSA 
for this system, most of the information maintained in the system will 
be obtained from other SSA systems of records. Routine use disclosures 
of information in this system will be even more limited than those 
permitted from the other systems or records furnishing information to 
this system. SSA will use the data internally to track cases involving 
PASS, and perform quality assurance and program integrity reviews and 
other management studies. SSA will apply the safeguards described above 
to information in this system and will comply with the provisions of 
the Privacy Act, the Social Security Act and other laws pertaining to 
the maintenance, use and disclosure of such information. Any action, 
resulting from SSA's use of information maintained in this system of 
records and affecting an individual's Supplemental Security Income 
benefits, will be taken in accordance with the Social Security Act and 
regulations and procedures established to implement that statute. 
Consequently, we do not anticipate that this system of records or the 
routine uses established for the disclosure of information maintained 
in this system of records would have any unwarranted adverse effect on 
the privacy rights or other rights of individuals covered by the 
system.

    Dated: August 20, 1996.
Shirley S. Chater,
Commissioner of Social Security.
05-009
    Plans for Achieving Self-Support (PASS) Management Information 
System, SSA/OPBP.
    None.
Social Security Administration, Office of Program Benefits Policy, 760 
Altmeyer Building, 6401 Security Boulevard, Baltimore, MD 21235

    In addition, PASS documents may be temporarily transferred to other 
locations within the Social Security Administration (SSA). Contact the 
system manager to inquire about these addresses.
    This system maintains information on disabled and blind individuals 
who are Supplemental Security Income recipients and who have submitted 
plans for achieving self-support under sections 1612(b)(4)(A), 
1612(b)(4)(B), and 1613(a)(4) of the Social Security Act.
    This system contains the beneficiary's name; Social Security number 
(SSN); disability diagnosis; occupational objective; information as to 
whether the individual's plan was developed by a third party and, if 
so, the identity of the third party; if the PASS was disapproved, 
terminated or suspended, the basis for that action; information 
relating to his or her earnings and employment at the beginning and end 
of the PASS; the nature and costs of those goods and services which the 
individual has purchased or proposes to purchase under his or her plan; 
information about goods and services actually purchased with respect to 
an approved plan; and information about plans that were not approved 
(e.g., the basis for denial of approval of a plan).
    Secs. 1602, 1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the 
Social Security Act.
    SSA uses the information in the system for program evaluation 
purposes and to determine the number and types of individuals that are 
successfully returning to work as a result of the PASS.
    Disclosure may be made for routine uses as indicated below:
    1. To third-party contacts when the party to be contacted has, or 
is expected to have, information relating to the individual's PASS, 
when:
    (a) The individual is unable to provide the information being 
sought. An individual is considered to be unable to provide certain 
types of information when:
    (1) He or she is incapable or of questionable mental capability;
    (2) He or she cannot read or write;
    (3) He or she cannot afford the cost of obtaining the information;
    (4) He or she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (5) A language barrier exists; or
    (6) The custodian of the information will not, as a matter of 
policy, provide it to the individual; or
    (b) The data are needed to establish the validity of evidence or to 
verify the accuracy of information presented by the individual in 
connection with his or her PASS; or SSA is reviewing the information as 
a result of suspected abuse or fraud, concern for program integrity, 
quality appraisal, or evaluation and measurement activities.
    2. To a Congressional office in response to an inquiry from that 
office made at the request of the subject of the record.
    3. To the Department of the Treasury, Internal Revenue Service, for 
the purpose of auditing SSA's compliance with the safeguard provisions 
of the Internal Revenue Code of 1986, as amended.
    4. To the Office of the President for the purpose of responding to 
an individual pursuant to an inquiry received from that individual or 
from a third party on his or her behalf.
    5. Information may be disclosed to a contractor or another Federal 
agency, 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 SSA function relating to this system of records.
    6. Nontax return information that is not restricted from disclosure 
by Federal law may be disclosed to the General Services Administration 
or 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.
    7. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such tribunal, when:
    (a) SSA or any component thereof, or
    (b) Any SSA employee in his or her official capacity, or
    (c) Any SSA employee in his or her individual capacity when DOJ (or 
SSA when it is authorized to do so) has agreed to represent the 
employee, or
    (d) 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 to DOJ, the 
court or other tribunal, or party before such court or tribunal, is 
relevant and necessary to the litigation, provided, however, that in

[[Page 46678]]

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 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.
    Records in this system are stored in magnetic media (e.g., computer 
hard drives) and on paper. Paper printouts of these data are made when 
required for study. The system also contains photocopies of benefit 
application forms, keyed application forms, and other claims 
documentation, when relevant to the PASS system.
    Records are retrieved from the system by the name or SSN of the 
individual who submitted the PASS.
    Safeguards for automated data have been established in accordance 
with the Systems Security Program Handbook. This includes maintaining 
computer disk packs or other magnetic fields with personal identifiers 
in secured storage areas accessible only to authorized personnel. SSA 
employees having access to the computerized records and employees of 
any contractor who may be utilized to develop and maintain the software 
for the automated system will be notified of criminal sanctions for 
unauthorized disclosure of information about individuals. Also, 
contracts, if any, will contain language that delineates the conditions 
under which contractors will have access to data in the system and the 
safeguards that must be employed to protect the data.
    Paper documents are stored either in lockable file cabinets within 
locked rooms or in otherwise secured areas. Access to these records are 
restricted to those employees who require them to perform their 
assigned duties.
    Computerized records are maintained for a period of six years and 
three months after the end of the fiscal year in which final 
adjudication was made. Paper records produced for purposes of studies 
will be destroyed upon completion of the study. Photocopies of forms 
and documentation will be destroyed upon approval or denial of the 
PASS. Original copies of the forms and documentation are maintained in 
the Claims Folder System, (SSA/OSR 09-60-0089). Means of disposal are 
appropriate to the storage medium (e.g., erasure of disks, shredding of 
paper records, or transfer to another system of records).
Associate Commissioner, Office of Program Benefits Policy, 760 Altmeyer 
Building, Social Security Administration, 6401 Security Boulevard, 
Baltimore, Maryland 21235
    An individual can find out if this system of records contains 
information about him/her by writing to the system manager at the 
address shown above and providing his or her name, address, and SSN. 
(Furnishing the SSN is voluntary. However, searching for the 
individual's data will be easier and faster if it is furnished.)
    An individual can also find out if this system of records contains 
information about him/her by contacting any Social Security office.
    When requesting notification of records in person, an individual 
should provide his/her name, Social Security claim number (the SSN plus 
alphabetic symbols), address, and proper identification. If the Social 
Security number is not known, the requester's date and place of birth 
and mother's birth name may be provided instead.
    An individual requesting notification of records in person need not 
furnish any special documents of identity. Documents normally carried 
on one's person are sufficient (e.g., driver's license, voter 
registration card, or credit cards). 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 SSA may request.
    Same as notification procedures described above. Individuals 
requesting access to their records should also reasonably describe the 
records they are seeking.
    Same as notification procedures described above. Individuals 
contesting the contents of a record in the system should also 
reasonably describe the record, specify the information being 
contested, and state the corrective action sought with supporting 
justification showing how the record is untimely, incomplete, 
inaccurate, or irrelevant.
    Information in this system is obtained from other SSA systems of 
records (i.e., Claims Folder System (SSA/OSR 09-60-0089) and 
Supplemental Security Income Record (SSA/OSR 09-60-0103), from 
information provided by the beneficiary, and from investigations 
conducted by SSA employees relating to beneficiaries' PASS activities.
    None.

[FR Doc. 96-22489 Filed 9-3-96; 8:45 am]
BILLING CODE 4190-29-P