[Federal Register Volume 63, Number 47 (Wednesday, March 11, 1998)]
[Proposed Rules]
[Pages 11856-11858]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-6211]


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SOCIAL SECURITY ADMINISTRATION

20 CFR Part 422

RIN 0960-AE66


Listening-In to or Recording Telephone Conversations

AGENCY: Social Security Administration (SSA).

ACTION: Proposed rule.

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SUMMARY: We are proposing to add regulations relating to the use of 
SSA's telephone lines. In the new regulations, we propose to describe 
the limited circumstances under which SSA employees may listen-in to or 
record telephone conversations and the procedures we will follow in 
connection with this activity.

DATES: Your comments will be considered if we receive them no later 
than May 11, 1998.

ADDRESSES: Comments should be submitted in writing to the Commissioner 
of Social Security, P.O. Box 1585, Baltimore, MD 21235, sent by telefax 
to (410) 966-2830, sent by E-mail to ``[email protected],'' or 
delivered to the Office of Process and Innovation Management, Social 
Security Administration, L2109 West Low Rise Building, 6401 Security 
Boulevard, Baltimore, MD 21235, between 8:00 a.m. and 4:30 p.m. on 
regular business days. Comments received may be inspected during these 
same hours by making arrangements with the contact person shown below.

FOR FURTHER INFORMATION CONTACT: Lois Berg, Legal Assistant, Office of 
Process and Innovation Management, Social Security Administration, 
L2109 West Low Rise Building, 6401 Security Boulevard, Baltimore, MD 
21235, (410) 965-1713.

SUPPLEMENTARY INFORMATION:

Background

    On August 8, 1996, the Federal Information Resources Management 
Regulation (FIRMR) was repealed. A provision of the FIRMR, section 201-
21.603, related to listening-in to or recording telephone 
conversations. As a result of the repeal of the FIRMR, we are now 
proposing to promulgate our own regulations describing the limited 
circumstances under which SSA employees may listen-in to or record 
telephone conversations. These circumstances include law enforcement/
national security, public safety, public service monitoring, and all-
party consent situations. We also describe in the proposed regulations 
the procedures we will follow in determining the circumstances in which 
we will permit listening-in to or recording telephone conversations, 
who will listen-in to or record the conversations, and other policies 
and procedures which we will follow in connection with this activity.
    SSA is committed to providing the public with the highest level of 
service by ensuring that information provided by SSA employees is 
delivered accurately and courteously. To ensure that commitment, we 
conduct monitoring of telephone calls over various designated SSA

[[Page 11857]]

telecommunications lines as a training and mentoring tool.
    We believe service observation is necessary to effectively perform 
SSA's mission. Therefore, we also conduct monitoring of telephone 
conversations to provide an objective assessment of SSA's telephone 
accuracy and courtesy. Data obtained through service observation are 
also used to comply with a congressional request that SSA provide 
Congress with information regarding teleservice center service levels 
on a continuing basis. This is done in the agency's Annual Financial 
Statement of Major Performance Measures. SSA's service observation 
activities are valuable to the public, not only because the data 
obtained are used to evaluate the accuracy of SSA's teleservice, but 
also because the service observation findings are used to make 
recommendations for improving teleservice procedures and processes. 
Data obtained through service observation are also used to respond to 
other oversight groups on how well SSA serves the public, for 
corrective action recommendation purposes, and for assisting in agency 
planning and decisionmaking.
    Finally, SSA currently conducts recording of incoming calls on the 
emergency telephone lines assigned to SSA headquarters. We believe the 
recording of emergency calls is in the best interest of public safety 
and agency emergency service.
    The main purpose of these proposed regulations is to inform the 
public and SSA employees of the circumstances under which SSA will 
listen-in to or record telephone conversations. The proposed 
regulations also contain language which differs from the repealed FIRMR 
which prohibited the annotating, e.g., writing down, of personal 
information such as a beneficiary's name, Social Security number, etc., 
when monitoring telephone calls. Since SSA has the responsibility to 
pay benefits correctly and to provide the public with accurate 
information, as well as to safeguard the trust funds, the proposed 
regulations will allow authorized employees to write down personal 
information obtained when listening-in to telephone calls. Annotated 
information obtained from public service monitoring will be used for 
programmatic or policy purposes; e.g., for recontacting individuals to 
correct or supplement information relating to benefits, for assessment 
of current/proposed policies and procedures, or to correct SSA records, 
etc.

Explanation of Proposed Regulations

    We are proposing to add a new subpart H to part 422 of our rules 
which will contain regulations relating to the use of SSA's telephone 
lines. We propose three sections for this new subpart H. In 
Sec. 422.701, we propose to explain the scope and purpose of subpart H. 
In Sec. 422.705, we propose to explain when SSA employees may listen-in 
to or record telephone conversations. Finally, in Sec. 422.710, we 
propose to describe the procedures we will follow when we plan to 
listen-in to or record telephone calls, who will do it, and other 
policies and procedures which we will follow.

Electronic Versions

    The electronic file of this document is available on the Federal 
Bulletin Board (FBB) at 9:00 a.m. on the date of the publication in the 
Federal Register. To download the file, modem dial (202) 512-1387. The 
FBB instructions will explain how to download the file and the fee. 
This file is in WordPerfect and will remain on the FBB during the 
comment period.

Regulatory Procedures

Executive Order 12866

    We have consulted with the Office of Management and Budget (OMB) 
and determined that these proposed rules do not meet the criteria for a 
significant regulatory action under Executive Order 12866. Thus, they 
were not subject to OMB review.

Regulatory Flexibility Act

    We certify that these proposed regulations will not have a 
significant economic impact on a substantial number of small entities 
because they affect only individuals. Therefore, a regulatory 
flexibility analysis as provided in the Regulatory Flexibility Act, as 
amended, is not required.

Paperwork Reduction Act

    These proposed regulations impose no additional reporting or 
recordkeeping requirements necessitating clearance by OMB.

(Catalog of Federal Domestic Assistance Program Nos. 93-773 
Medicare-Hospital Insurance; 93-774 Medicare-Supplementary Medical 
Insurance; 96.001 Social Security-Disability Insurance; 96.002 
Social Security-Retirement Insurance; 96-003 Special Benefits for 
Persons Aged 72 and Over; 96.004 Social Security-Survivors 
Insurance; 96-005 Special Benefits for Disabled Coal Miners; and 96-
006 Supplemental Security Income.)

List of Subjects in 20 CFR Part 422

    Administrative practice and procedure, Freedom of information, 
Organization and functions (Government agencies), Reporting and 
recordkeeping requirements, Social security.

    Dated: February 27, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.

    For the reasons set out in the preamble, we are proposing to amend 
part 422 of chapter III of title 20 of the Code of Federal Regulations 
as follows:

PART 422--ORGANIZATION AND PROCEDURES

    1. Subpart H is added to Part 422 to read as follows:

Subpart H--Use of SSA Telephone Lines

Sec.
422.701  Scope and Purpose.
422.705  When SSA employees may listen-in to or record telephone 
conversations.
422.710  Procedures SSA will follow.

Subpart H--Use of SSA Telephone Lines

    Authority: Secs. 205(a) and 702(a)(5) of the Social Security Act 
(42 U.S.C. 405 and 902(a)(5)).


Sec. 422.701  Scope and purpose.

    The regulations in this subpart describe the limited circumstances 
under which SSA is authorized to listen-in to or record telephone 
conversations. The purpose of this subpart is to inform the public and 
SSA employees of those circumstances and the procedures that SSA will 
follow when conducting telephone service observation activities.


Sec. 422.705  When SSA employees may listen-in to or record telephone 
conversations.

    SSA employees may listen-in to or record telephone conversations on 
SSA telephone lines under the following conditions:
    (a) Law enforcement/national security. When performed for law 
enforcement, foreign intelligence, counterintelligence or 
communications security purposes when determined necessary by the 
Commissioner of Social Security or designee. Such determinations shall 
be in writing and shall be made in accordance with applicable laws, 
regulations and Executive Orders governing such activities. 
Communications security monitoring shall be conducted in accordance 
with procedures approved by the Attorney General. Line identification 
equipment may be

[[Page 11858]]

installed on SSA telephone lines to assist Federal law enforcement 
officials in investigating threatening telephone calls, bomb threats 
and other criminal activities.
    (b) Public safety. When performed by an SSA employee for public 
safety purposes and when documented by a written determination by the 
Commissioner of Social Security or designee citing the public safety 
needs. The determination shall identify the segment of the public 
needing protection and cite examples of the possible harm from which 
the public requires protection. Use of SSA telephone lines identified 
for reporting emergency and other public safety-related situations will 
be deemed as consent to public safety monitoring and recording. (See 
Sec. 422.710(a)(1))
    (c) Public service monitoring. When performed by an SSA employee 
after the Commissioner of Social Security or designee determines in 
writing that monitoring of such lines is necessary for the purposes of 
measuring or monitoring SSA's performance in the delivery of service to 
the public; or monitoring and improving the integrity, quality and 
utility of service provided to the public. Such monitoring will occur 
only on telephone lines used by employees to provide SSA-related 
information and services to the public. Use of such telephone lines 
will be deemed as consent to public service monitoring. (See 
Sec. 422.710(a)(2) and (c)).
    (d) All-party consent. When performed by an SSA employee with the 
prior consent of all parties for a specific instance. This includes 
telephone conferences, secretarial recordings and other administrative 
practices. The failure to identify all individuals listening to a 
conversation by speaker phone is not prohibited by this or any other 
section.


Sec. 422.710  Procedures SSA will follow.

    SSA component(s) that plan to listen-in to or record telephone 
conversations under Sec. 422.705(b) or (c) shall comply with the 
following procedures.
    (a) Prepare a written certification of need to the Commissioner of 
Social Security or designee at least 30 days before the planned 
operational date. A certification as used in this section means a 
written justification signed by the Deputy Commissioner of the 
requesting SSA component or designee, that specifies general 
information on the following: The operational need for listening-in to 
or recording telephone conversations; the telephone lines and locations 
where monitoring is to be performed; the position titles (or a 
statement about the types) of SSA employees involved in the listening-
in to or recording of telephone conversations; the general operating 
times and an expiration date for the monitoring. This certification of 
need must identify the telephone lines which will be subject to 
monitoring, e.g., SSA 800 number voice and text telephone lines, and 
include current copies of any documentation, analyses, determinations, 
policies and procedures supporting the application, and the name and 
telephone number of a contact person in the SSA component which is 
requesting authority to listen-in to or record telephone conversations.
    (1) When the request involves listening-in to or recording 
telephone conversations for public safety purposes, the requesting 
component head or designee must identify the segment of the public 
needing protection and cite examples of the possible harm from which 
the public requires protection.
    (2) When the request involves listening-in to or recording 
telephone conversations for public service monitoring purposes, the 
requesting component head or designee must provide a statement in 
writing why such monitoring is necessary for measuring or monitoring 
the performance in the delivery of SSA service to the public; or 
monitoring and improving the integrity, quality and utility of service 
provided to the public.
    (b) At least every 5 years, SSA will review the need for each 
determination authorizing listening-in or recording activities in the 
agency. SSA components or authorized agents involved in conducting 
listening-in or recording activities must submit documentation as 
described in Sec. 422.710(a) to the Commissioner of Social Security or 
a designee to continue or terminate telephone service observation 
activities.
    (c) SSA will comply with the following controls, policies and 
procedures when listening-in or recording is associated with public 
service monitoring.
    (1) SSA will provide a message on SSA telephone lines subject to 
public service monitoring that will inform callers that calls on those 
lines may be monitored for quality assurance purposes. SSA will also 
continue to include information about telephone monitoring activities 
in SSA brochures and/or pamphlets as notification that some incoming 
and outgoing SSA telephone calls are monitored to ensure SSA's clients 
are receiving accurate and courteous service.
    (2) SSA employees authorized to listen-in to or record telephone 
calls are permitted to annotate personal identifying information about 
the calls, such as a person's name, Social Security number, address 
and/or telephone number. When this information is obtained from public 
service monitoring as defined in Sec. 422.705(c), it will be used for 
programmatic or policy purposes; e.g., recontacting individuals to 
correct or supplement information relating to benefits, for assessment 
of current/proposed policies and procedures, or to correct SSA records. 
Privacy Act requirements must be followed if data are retrievable by 
personal identifying information.
    (3) SSA will take appropriate corrective action, when possible, if 
information obtained from monitoring indicates SSA may have taken an 
incorrect action which could affect the payment of or eligibility to 
SSA benefits.
    (4) Telephone instruments subject to public service monitoring will 
be conspicuously labeled.
    (5) Consent from both parties is needed to tape record SSA calls 
for public service monitoring purposes.
    (d) The recordings and records pertaining to the listening-in to or 
recording of any conversations covered by this regulation shall be 
used, safeguarded and destroyed in accordance with SSA records 
management program.

[FR Doc. 98-6211 Filed 3-10-98; 8:45 am]
BILLING CODE 4190-29-P