[Federal Register Volume 64, Number 40 (Tuesday, March 2, 1999)]
[Notices]
[Pages 10173-10176]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5193]


=======================================================================
-----------------------------------------------------------------------

SOCIAL SECURITY ADMINISTRATION


PRIVACY ACT OF 1974, AS AMENDED; NEW SYSTEM OF RECORDS

AGENCY: Social Security Administration (SSA).

ACTION: New system of records and proposed routine uses.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act (5 U.S.C. Sec. 552a(e)(4)), 
we are issuing public notice of our intent to establish a new system of 
records. The proposed system of records is entitled the Medicare Part B 
Buy-In Information System, SSA/OPB, SSA-100. The proposed system will 
maintain information collected for use in connection with 
implementation of the Medicare Part B buy-in demonstration program. We 
are also proposing routine uses of information that will be maintained 
in the system in accordance with 5 U.S.C. Sec. 552a(e)(11). We invite 
public comment on the proposed system and the routine uses.

DATES: We filed a report of the proposed system with the President of 
the Senate, the Speaker of the House of Representatives, and the 
Director, Office of Information and Regulatory Affairs, Office of 
Management and Budget on February 22, 1999. We also requested a waiver 
of the OMB 40-day advance notice requirements. If OMB does not grant 
the waiver we will not implement the proposal before April 3, 1999.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 3-
B-6 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: Ms. Priscilla Rieger, Social Insurance 
Policy Specialist, Social Security Administration, 3-D-1 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235, telephone 
(410) 965-3953.

SUPPLEMENTARY INFORMATION:

I. Purpose and Background of The System

    Under the provisions of the Medicare Part B Buy-in programs 
described in titles XVIII and XIX of the Social Security Act (Act), 
Medicare beneficiaries with very low incomes and few assets may qualify 
for State assistance in paying health care costs. Title IV of Division 
A, Social Security Administration, of the Omnibus Consolidated and 
Emergency Supplemental Appropriations Act, 1999, Public Law 105-277, 
directs the Commissioner of Social Security to expend $6,000,000 for 
Federal-State partnerships which will evaluate means to promote the 
Medicare buy-in programs targeted to elderly and disabled individuals. 
Enrollments in the Medicare Part B buy-in programs are low. A lack of 
awareness about the Medicare Part B buy-in programs appears to be one 
of the major obstacles to enrollments.
    SSA will conduct a Medicare Part B buy-in demonstration to identify 
and overcome the obstacles to Medicare Part B buy-in enrollments for: 
(1) certain qualified Medicare beneficiaries (QMB) who are eligible for 
Medicaid payment of their Medicare premiums, deductibles and 
coinsurance; (2) specified low-income Medicare beneficiaries (SLMB) who 
would be QMBs but for income which exceeds the Federal poverty level 
(FPL) but is less than 120 percent of the FPL after application of 
Supplemental Security Income (SSI) income exclusions; and (3) subject 
to the availability of funding, qualified individuals who would be QMBs 
or SLMBs but for income which exceeds the allowable limit but is less 
than 135 percent of the FPL after application of SSI income exclusions. 
The demonstration will assist these beneficiaries who are or could be 
eligible for Medicaid benefits to help pay their Medicare costs. SSA 
intends to work with the Health Care Financing Administration to 
identify and investigate barriers and to foster enrollment of these 
beneficiaries in the Medicare buy-in programs. See 63 FR 64137 (1998) 
for more detailed information concerning the demonstration and the 
Medicare Part B buy-in programs.
    In order to conduct the demonstration, SSA must collect and 
maintain personally identifiable information. The information will be 
maintained in the system of records we are proposing to establish, the 
Medicare Part B Buy-In Information System, OPB, SSA-100. The 
information will be collected during screening interviews conducted by 
SSA staff. Once gathered, the information will be used to assess a 
beneficiary's knowledge of the Medicare buy-in programs and to 
determine his or her potential eligibility for the buy-in programs. SSA 
will employ the services of a contractor to assist in designing and 
evaluating the effectiveness of the demonstration methodology. The 
amount of personal information maintained on each individual is the 
minimum necessary to provide factual research and statistical data for 
an evaluation of the net outcomes (e.g., increased applications to and 
enrollments in the buy-in programs) of the demonstration.

II. Collection and Maintenance of Data in the Proposed System

    The proposed system will maintain information about all persons 
screened during the Medicare Part B buy-in demonstration. This will 
include information about beneficiaries potentially eligible for a buy-
in program as well as those deemed not potentially eligible. 
Information will be collected from Social Security beneficiaries and, 
as necessary, from existing SSA systems of records such as the Master 
Beneficiary Record (09-60-0090) and the Supplemental Security Income 
Record (09-60-0103). The specific information maintained will include 
the

[[Page 10174]]

beneficiary's name, Social Security number, date of birth, marital 
status, and such other information as may be supplied by the 
beneficiary regarding income, resources and living arrangements during 
a screening interview with an SSA staff contact. Statistical data as to 
how a beneficiary learned about the Medicare Part B buy-in 
demonstration will also be maintained to assist development of future 
publicity campaigns. The information will be retrieved by Social 
Security number and date.

III. Proposed Routine Uses of Information in The Proposed System

    We are proposing to establish routine uses of information which 
will be maintained in the system as discussed below.
    1. Disclosure to third parties such as State Agencies and/or a 
beneficiary's representative payee in situations where the third party 
to be contacted has, or is expected to have, information relating to 
the individual's eligibility for, or entitlement to, benefits under a 
Social Security program when relevant data maintained in this system of 
records are needed to establish the validity of evidence or to verify 
the accuracy of information presented by the individual, and it 
concerns one or more of the following:
    (a) his or her eligibility for benefits under a Social Security 
program;
    (b) the amount of his or her benefit payment; or
    (c) any case in which the evidence is being verified as a result of 
suspected fraud, concern for program integrity, quality appraisal, or 
evaluation and measurement activities.
    We will disclose information under this routine use only as 
necessary to enable SSA to obtain information that will assist in 
determining individuals' entitlement to Medicare Part B buy-in 
programs.
    2. Disclosure to the Office of the President for the purpose of 
responding to an individual pursuant to an inquiry received from that 
individual or a third party on his/her behalf.
    We will disclose information under this routine use in situations 
in which an individual may contact the Office of the President, seeking 
that office's assistance in an SSA matter on his or her behalf. 
Information would be disclosed when the Office of the President makes 
an inquiry and presents evidence that the office is acting on behalf of 
the individual whose record is requested.
    3. Disclosure to a congressional office in response to an inquiry 
from that office made at the request of the subject of a record.
    We will disclose information under this routine use only in 
situations in which an individual may ask his or her congressional 
representative to intercede in an SSA matter on his or her behalf. 
Information would be disclosed when the congressional representative 
makes an inquiry and presents evidence that he or she is acting on 
behalf of the individual whose record is requested.
    4. Disclosure to State or local agencies, (or agents on their 
behalf) for administering the Medicaid program.
    We will disclose information under this routine use to State, or 
local agencies to assist such agencies in administration of the 
Medicaid program. The purpose of this disclosure is to assist the 
agencies in establishing individuals' eligibility for such programs, to 
provide information necessary to enforce eligibility restrictions in 
such programs, and to combat and prevent fraud, waste and abuse in 
those programs.
    5. Disclosure to contractors and other Federal agencies, as 
necessary, for the purpose of assisting SSA in the efficient 
administration of its programs.
    We will disclose 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 (e.g., designing and 
evaluating the effectiveness of the methodologies tested in the 
Medicare Part B buy-in demonstration.)
    6. Disclosure to the Department of Justice (DOJ), a court or other 
tribunal, or other third-party before such tribunal when:
    (a) SSA, or 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 by DOJ, the 
court or other tribunal is relevant and necessary to the litigation.
    We will disclose information under this routine use only, as 
necessary, to enable DOJ, a court or other tribunal, to effectively 
defend SSA, its components or employees in litigation involving the 
proposed system of records.
    7. Information may be disclosed to student volunteers and other 
workers, who technically do not have the status of Federal employees, 
when they are performing work for SSA as authorized by law, and they 
need access to personally identifiable information in SSA records in 
order to perform their assigned Agency functions.
    Under certain Federal statutes, SSA is authorized to use the 
services of volunteers and participants in certain educational, 
training, employment and community service programs. Examples of such 
statutes and programs are: 5 U.S.C. Sec. 3111 regarding student 
volunteers; and 42 U.S.C. Sec. 2753 regarding the College Work Study 
Program. We contemplate disclosing information under this routine use 
only when SSA uses the services of these individuals and they need 
access to information in this proposed system of records to perform 
their assigned duties.
    8. Nontax return information, the disclosure of which is not 
expressly restricted by Federal law, may be disclosed to the General 
Services Administration (GSA) and the National Archives and Records 
Administration (NARA) under 44 U.S.C. Sec. 2904 and Sec. 2906, as 
amended by the National Archives and Records Administration Act of 
1984, for the use of those agencies in conducting records management 
studies.
    The Administrator of GSA and the Archivist of NARA are charged by 
44 U.S.C. Sec. 2904 with promulgating standards, 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 this proposed system of records. In such 
instances, the routine use will facilitate disclosure.

IV. Compatibility of The Proposed Routine Uses

    The Privacy Act (5 U.S.C. Sec. 552a(b)(3)) and our disclosure 
regulations (20 CFR part 401) permit us to disclose information under a 
published routine use for a purpose which is compatible with the 
purpose for which we collected the information. Section 401.150(c) of 
title 20 of the Code of Federal Regulations (CFR) permits us to 
disclose information under a routine use where necessary to assist in 
carrying out SSA programs. Section 401.120 of title 20 C.F.R. provides 
that we will disclose

[[Page 10175]]

information when a law specifically requires the disclosure. The 
proposed routine uses numbered 1-7 will ensure efficient administration 
of SSA's Medicare Part B buy-in project, and would allow other 
disclosures, as necessary, to administer SSA programs that may involve 
this proposed system of records. The proposed routine use number 8 will 
allow GSA or NARA to inspect our records, as required by 44 U.S.C. 
Sec. 2904 and Sec. 2906, when those agencies conduct records management 
studies. Thus, all of the routine uses are appropriate and meet the 
relevant statutory and regulatory criteria.

V. Records Storage Medium and Safeguards

    We will maintain information in the proposed system in computer 
data systems and in paper form. Only authorized SSA, State and private 
evaluation contractor personnel who have a need for the information in 
the performance of their official duties will be permitted access to 
the information. Security measures include the use of 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. Any paper records will be kept in locked cabinets or in 
otherwise secure areas. Also, all entrances and exits to SSA buildings 
and facilities are patrolled by armed security guards. Contractor 
personnel having access to data in the system of records will be 
required to adhere to SSA rules concerning safeguards, access and use 
of the data. SSA and contractor personnel having 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 this 
system. See 5 U.S.C. Sec. 552a(i)(1).

VI. Effect of The System of Records on Individuals

    The proposed system will maintain information to determine if the 
methodologies used in the Medicare Part B buy-in demonstration were 
effective in increasing awareness of, and applications and enrollments 
in, the buy-in programs. This information will also be used to identify 
and investigate barriers to such enrollments, thereby benefiting 
elderly and disabled Social Security beneficiaries who may be eligible 
for the buy-in programs. Thus, we do not anticipate that the proposed 
system of records will have any unwarranted adverse effect on 
individuals.

    Dated: February 22, 1999.
Kenneth S. Apfel,
Commissioner of Social Security.

Social Security Administration Notice of System of Records Required 
by the Privacy Act of 1974, As Amended, 5 U.S.C. Sec. 552a

    System number: SSA-100.
    System name: Medicare Part B Buy-In Information System, SSA/OPB, 
SSA-100.
    Security classification: None.
    System location: Social Security Administration, Office of 
Research, Evaluation and Statistics, ITC Building, 9th Floor, 500 E. 
Street, SW, Washington, D.C. 20254.
    Categories of individuals covered by the system: All persons 
screened in the Medicare Part B buy-in demonstration program for 
potential eligibility for Medicare buy-in programs. This includes 
Social Security beneficiaries who have attained age 65, disabled Social 
Security beneficiaries who have received 24 consecutive months of 
Social Security benefits, and certain individuals who suffer from end 
stage renal disease.
    Categories of records in the system: The system contains 
information supplied by a beneficiary during a screening interview 
conducted by SSA staff to determine potential eligibility for Medicare 
Part B buy-in programs. This information may include the individual's 
name, Social Security number (SSN), date of birth, address, marital 
status and such other information as may be supplied by the beneficiary 
regarding income, resources and living arrangements. Information may 
also be obtained from the Master Beneficiary Record and from the 
Supplemental Security Income Record, as needed. The beneficiary will 
also be surveyed as to how he or she learned about the Medicare Part B 
buy-in programs.
    Authority for maintenance of the system: Title IV of Division A, 
Social Security Administration, of the Omnibus Consolidated and 
Emergency Supplemental Appropriations Act, 1999, Public Law (P.L.) 105-
277.
    Purpose(s): All information on the system will be maintained under 
the beneficiary's Social Security number. The system will be designed 
to determine a beneficiary's potential eligibility for Medicare Part B 
buy-in and gather information to be used in evaluating the 
effectiveness of the methodologies tested under the demonstration 
authority in P.L. 105-277 to increase Medicare buy-in applications and 
enrollments.
    Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses: Disclosure may be 
made for routine uses as indicated below:
    1. Disclosure to third parties in situations where the party to be 
contacted has, or is expected to have, information relating to the 
individual's eligibility for, or entitlement to, benefits under a 
Social Security program when the data are needed to establish the 
validity of evidence or to verify the accuracy of information presented 
by the individual, and it concerns one or more of the following:
    (a) his or her eligibility for benefits under a Social Security 
program;
    (b) the amount of his or her benefit payment;
    (c) any case in which the evidence is being reviewed as a result of 
suspected fraud, concern for program integrity, quality appraisal, or 
evaluation and measurement activities.
    2. Disclosure to the Office of the President for the purpose of 
responding to an individual pursuant to an inquiry received from that 
individual or a third party on his or her behalf.
    3. Disclosure to a congressional office in response to an inquiry 
from that office made at the request of the subject of a record.
    4. Disclosure to State or local agencies, (or agents on their 
behalf), for administering the Medicaid program.
    5. Disclosure to contractors and other Federal agencies, as 
necessary, for the purpose of assisting SSA in the efficient 
administration of its programs.
    6. Disclosure to the Department of Justice (DOJ), a court or other 
tribunal, or other third-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 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 by DOJ, the 
court or other 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.
    7. Information may be disclosed to student volunteers and other 
workers, who technically do not have the status

[[Page 10176]]

of Federal employees, when they are performing work for SSA as 
authorized by law, and they need access to personally identifiable 
information in SSA records in order to perform their assigned Agency 
functions.
    8. Nontax return information, the disclosure of which is not 
expressly restricted by Federal law, may be disclosed to the General 
Services Administration (GSA) and the National Archives and Records 
Administration (NARA) under 44 U.S.C. Sec. 2904 and Sec. 2906, as 
amended by the National Archives and Records Administration Act of 
1984, for the use of those agencies in conducting records management 
studies.
    Policies and practices for storing, retrieving, accessing, 
retaining and disposing of records in the system:
    Storage: Data may be stored in paper form and on magnetic media 
(e.g., magnetic tape and magnetic diskette).
    Retrievability: Records in this system are indexed and retrieved by 
the SSN.
    Safeguards: Security measures include the use of 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. Any paper records will be kept in locked cabinets or in 
otherwise secure areas. Contractor personnel having access to data in 
the system of records will be required to adhere to SSA rules 
concerning safeguards, access and use of the data. SSA and contractor 
personnel having 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 this system of records.
    Retention and disposal: Magnetic discs and other files with 
personal identifiers are retained in secure areas accessible only to 
authorized personnel and will be disposed of as soon as they are 
determined to be no longer needed for contractor or SSA analysis. Means 
of disposal will be appropriate to the storage medium (e.g., deletion 
of magnetic discs or shredding of paper records). Records used in 
administering the demonstration and experimental programs will be 
retained indefinitely.
    System manager and address: Director, Division of Representative 
Payment and Evaluation, Office of Program Benefits, Social Security 
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235
    Notification procedure: An individual can determine if this system 
contains a record about him or her by writing to the system manager at 
the above address and providing his or her name, address and SSN.
    An individual requesting notification of records in person need not 
provide any special documents of identity. Documents he or she would 
normally carry on his or her person would be sufficient (e.g., credit 
cards, drivers license, or voter registration card.) See 20 C.F.R. 
Sec. 401.45(b) (1998). If an individual does not have identification 
papers sufficient to establish his or her identity that individual must 
certify in writing that he or she is the person claimed to be and that 
he or she understands that the knowing and willful request for or 
acquisition of a record pertaining to an individual under false 
pretenses is a criminal offense. Id.
    If notification is requested by telephone, an individual must 
verify his or her identity by providing identifying information that 
parallels the record to which notification is being requested. If it is 
determined that the identifying information provided by telephone is 
insufficient, the individual will be required to submit a request in 
writing or in person. Id. at Sec. 401.45(b)(2)(1998). If a request for 
notification is submitted by mail, an individual must include a 
notarized request to SSA to verify his/her identity or must certify in 
the request that he or she is the person claimed to be and that he or 
she understands that the knowing and willful request for or acquisition 
of a record pertaining to an individual under false pretenses is a 
criminal offense. Id. at Sec. 401.45(b)(3)(1998).
    Record access procedures: Same as notification procedures. 
Requesters should also reasonably specify the record contents being 
sought. See 20 C.F.R. Sec. 401.40(b)(1998).
    Contesting record procedures: Same as notification procedures. 
Requesters should also 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 
showing how the record is untimely, incomplete, inaccurate or 
irrelevant. These procedures are in accordance with SSA regulations 20 
C.F.R. Sec. 401.65(1998).
    Record source categories: Data for the system are secured primarily 
from individual beneficiaries (or their representative payees if 
applicable) who are screened for eligibility for Medicare Part B buy-in 
as part of SSA's demonstration. Records in this system may also be 
derived in part from other SSA systems of records (e.g., the Master 
Beneficiary Record (09-60-0090) and the Supplemental Security Income 
Record (09-60-0103)).
    Systems exempted from certain provisions of the Privacy Act: None.
[FR Doc. 99-5193 Filed 3-1-99; 8:45 am]
BILLING CODE 4190-11-P