[Federal Register Volume 64, Number 44 (Monday, March 8, 1999)]
[Notices]
[Pages 11076-11079]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5587]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974; As Amended; Report of New System of Records 
and Routine Uses

AGENCY: Social Security Administration.

ACTION: New System of Records and Routine Uses.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 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 Prisoner Update 
Processing System (PUPS), SSA/OPB, SSA-099. The proposed system will 
maintain information collected for use in connection with enforcement 
of the nonpayment of benefits provisions of the Social Security Act 
(the Act) affecting certain inmates of public institutions and 
prisoners, as well as certain other confined individuals. We are also 
proposing routine uses of information which will be maintained in the 
system in accordance with 5 U.S.C. 552a(e)(11). We invite public 
comments 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 23, 1999. The proposed system, 
including the proposed routine uses, will become effective on April 5, 
1999, unless we receive comments on or before that date which would 
result in a contrary determination.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 3-
A-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: Mr. Willie J. Polk, Office of 
Disclosure Policy, Social Security Administration, 3-A-6 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235, telephone 
(410) 965-1753.

SUPPLEMENTARY INFORMATION:

I. Purpose of the Proposed System

    Section 202(x) of the Social Security Act (the Act) (42 U.S.C. 
402(x)) provides for nonpayment of Retirement, Survivors, or Disability 
Insurance benefits under title II of the Act to individuals confined in 
a jail, prison, or other penal institution or correctional facility 
pursuant to conviction of an offense punishable by imprisonment for 
more than one year (regardless of the sentence imposed), and to 
individuals who are confined by court order in an institution at public 
expense in connection with: (a) A verdict or finding that the 
individual is guilty but insane with respect to an offense punishable 
by imprisonment for more than one year, (b) a verdict or finding that 
the individual is not guilty of such an offense by reason of insanity, 
(c) a finding that such individual is incompetent to stand trial under 
an allegation of such an offense, (d) a similar verdict or finding with 
respect to such an offense based on similar factors (such as mental 
defect or mental incompetence). Similarly, section 1611(e)(1)(A) of the 
Act (42 U.S.C. 1382(e)(1)(A)) provides for nonpayment of Supplemental 
Security Income (SSI) benefits under title XVI of the Act to any 
individual for any month throughout which the individual is an inmate 
of a public institution. Section 1611(e)(1)(I)(i) of the Act provides 
for incentive payments to be made by SSA to inmate data sources for 
information leading to suspension of SSI payments to an SSI recipient.
    The proposed PUPS system will maintain information collected for 
the purpose of determining whether an individual is subject to the 
above-cited payment restriction provisions, and provide a control 
mechanism for any inmate or confinement alerts generated by relevant 
computer matching programs or by informal reports to SSA regarding an 
individual's confinement. It will facilitate the suspension of benefits 
where appropriate and the reinstatement of benefits to released inmates 
and other confined persons. Inmates considered possibly subject to the 
nonpayment of benefit provisions will be afforded all due process 
rights under applicable statutes, regulations, and procedures before 
any action is taken to suspend their benefits.

II. Collection and Maintenance of Data in the Proposed System

    The proposed PUPS system will primarily contain information about 
persons reported to SSA as confined individuals under Privacy Act 
computer matching agreements for the provision of records of confined 
individuals to SSA. (Certain information on confined individuals is 
reported to SSA under agreements which are, along with any information 
exchanged pursuant to the agreements, wholly exempt from the Privacy 
Act requirements. This data will not be incorporated into PUPS. See 
section 1611(e)(1)(I) of the Act, 42 U.S.C. 1382(e)(1)(I).) The records 
in the system will include those of individuals reported by jails, 
prisons, other penal institutions or correctional facilities and 
certain mental health institutions. We also may receive and incorporate 
into the system relevant information from individuals and certain other 
third-party sources, such as news media, etc., under informal reporting 
arrangements. The system will maintain information on both title II 
beneficiaries entitled to RSDI benefits and title XVI SSI recipients, 
as well as non-beneficiaries and non-recipients who may have

[[Page 11077]]

claims in some stage of SSA's adjudicative process. The specific 
information maintained will include the individual's name, Social 
Security number, date of birth, sex, date of conviction, date of 
confinement, release date, inmate status code, and such other 
information as may be supplied or acquired during the benefit 
suspension or reinstatement process. The information will be retrieved 
by Social Security number.

III. Proposed Routine Uses of Information in the System

    We are proposing to establish routine uses of information which 
will be maintained in the system as discussed below.
    1. Disclosure to third-party contacts 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.
    We contemplate disclosing information under this routine use as 
necessary to enable SSA to fully develop and investigate information it 
receives from reporting sources with regard to confined individuals, to 
ensure the accuracy of such information, to contact the reporting 
source, or other sources, for additional information, if necessary, and 
to make certain that any suspension action taken is proper.
    2. Disclosure to third-party contacts where necessary to establish 
or verify information presented by representative payees or payee 
applicants.
    We contemplate disclosing information under this routine use in 
situations paralleling (1) above except that, in situations where SSA 
will be developing benefit eligibility through a representative payee, 
we will disclose information presented by such a payee for verification 
purposes.
    3. Disclosure to the Department of Justice (DOJ) for:
    (a) Investigating and prosecuting violations of the Act to which 
criminal penalties attach;
    (b) Representing the Commissioner of Social Security in litigation 
relative to this system of records;
    (c) Investigating issues of fraud by agency officers or employees, 
or violations of civil rights.
    We contemplate disclosing information under this routine use as 
necessary to assist DOJ in pursuing possible violations of section 208 
of the Act (42 U.S.C. 408), facilitate representation of the 
Commissioner of Social Security where necessary in litigation relative 
to this system of records and to combat possible fraud by agency 
officers or employees in connection with this system of records.
    4. Disclosure 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/her behalf.
    We contemplate disclosing information under this routine use as 
necessary to enable the Office of the President to respond to an 
individual pursuant to an inquiry from that individual or from a third 
party on his or her behalf about a Social Security matter involving the 
individual.
    5. Disclosure to a congressional office in response to an inquiry 
from that office made at the request of the subject of a record.
    We contemplate disclosing 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.
    6. Disclosure 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.
    We contemplate disclosing information under this routine use only 
where the specific requirements set forth in sections 459 and 461 of 
the Act are met, and only to the extent necessary to enable SSA to 
comply with its legal obligations under those sections of the Act.
    7. Disclosure to Federal, State, or local agencies, (or agents on 
their behalf) for administering income-maintenance or health-
maintenance programs (including programs under the Act).
    We contemplate disclosing information under this routine use to 
various other Federal, State, or local agencies to assist such agencies 
in the administration of income-maintenance and/or health-maintenance 
programs whose character, nature and purpose are similar to SSA 
programs. Examples of such programs are veterans benefits, food stamps, 
and Medicaid. The purpose of these disclosures is to assist such 
agencies in establishing 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.
    8. Disclosure to third-party contacts (including private collection 
agencies under contract to SSA) for the purpose of assisting SSA in 
recovering overpayments.
    We contemplate disclosing information under this routine use only 
for the purpose of enhancing and improving SSA's debt collection 
activities and only as permitted by statute.
    9. Disclosure 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.
    10. Disclosure to 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, provided, 
however, that in each case, SSA determines that such disclosure is 
compatible with the purpose for which the records were collected.
    We contemplate disclosing information under this routine use, as 
necessary, to enable DOJ, a court or other tribunal, to effectively 
defend SSA, its components or employees or when SSA has an interest in 
litigation involving the proposed system of records and/or records 
contained therein.

[[Page 11078]]

IV. Compatibility of Proposed Routine Uses

    The Privacy Act (5 U.S.C. 552a(7) and (b)(3)) and our disclosure 
regulation (20 CFR part 401) permit us to disclose information under a 
routine use for a purpose which is compatible with the purpose for 
which we collected the information. Section 401.150 permits us to 
disclose information under a routine use where necessary to assist in 
carrying out SSA programs or similar programs of other agencies. The 
proposed routine uses will ensure efficient administration of SSA's 
relevant suspension and incentive payment programs. They will also 
assist in implementing other programs which have the same purposes as 
SSA programs where disclosure of information to such other programs is 
relevant to determinations of eligibility, benefit amounts or other 
matters of benefit status in those other programs. Thus, the proposed 
routine uses are consistent with the Privacy Act and SSA's regulatory 
criteria.

V. Records Storage Medium and Safeguards

    We will maintain information in the system on magnetic media (e.g., 
magnetic tapes and magnetic diskette) in a secure storage area. Only 
authorized SSA personnel who have a need for the information in the 
performance of their official duties will be permitted access to the 
information. When records are electronically transmitted between SSA's 
central office and field office locations, safeguards include a lock/
unlock password system, exclusive use of leased telephone lines, a 
terminal oriented transaction matrix and secured printers.

VI. Effect of the System on Individuals

    The proposed system will maintain information which could lead to 
suspension of Social Security title II/title XVI benefits to certain 
confined individuals. These suspension actions, however, would only 
occur after complete development by SSA of the facts of each case, and 
after each individual has been afforded all appropriate due process and 
appeal rights. Thus, we do not anticipate that the system will have any 
unwarranted adverse effect on the privacy of individuals.

    Dated: February 23, 1999.
Kenneth S. Apfel,
Commissioner of Social Security.
SSA-099

System Name:
    Prisoner Update Processing System (PUPS), SSA/OPB.

Security Classification:
    None.

System Location:
    Social Security Administration, Office of Systems Operations, 6401 
Security Boulevard, Baltimore, MD 21235

Categories of individuals covered by the system:
    Persons reported to the Social Security Administration, under 
Privacy Act computer matching agreements as well as certain informal 
reporting arrangements, as confined in certain institutions. Certain 
data regarding confined individuals is reported to SSA under agreements 
which are, along with any information exchanged pursuant to the 
agreements, wholly exempt from the Privacy Act's requirements. See 
section 1611(e)(1)(I) of the Social Security Act (Act), 42 U.S.C. 
1386(e)(i)(I). The records in the system will include those of 
individuals reported by jails, prisons, other penal institutions or 
correctional facilities, certain mental health institutions and various 
third parties, including media sources. The records included will be 
those of Retirement, Survivors, or Disability Insurance (RSDI) and 
Supplemental Security Income (SSI) beneficiaries, as well as non-
beneficiaries who may have claims in some stage of SSA's adjudicative 
process.

Categories of records in the system:
    PUPS will contain all identifying information requested by SSA and 
supplied by the reporting source, including the individual's name, 
Social Security number, date of birth, sex, date of conviction, date of 
confinement, release date, inmate status code, and such other 
information as may be supplied or acquired during the benefit 
suspension or reinstatement process.

Authority for maintenance of the system:
    Sections 202(x)(1) and 1611(e)(1) of the Act.

Purpose(s):
    PUPS will record inmate information in support of the above cited 
provisions mandating nonpayment of RSDI and SSI benefits to certain 
confined individuals. All information on the system will be maintained 
under each affected individual's Social Security number. The PUPS 
system will expedite the handling of inmate reports in SSA field 
offices, and provide a control mechanism for any inmate or confinement 
alerts generated by SSA's computer matching programs or by informal 
reports to SSA regarding an individual's confinement. It will 
facilitate the suspension of benefits to appropriate individuals, and 
the reinstatement of benefits to beneficiaries when such individuals 
are released from confinement.

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-party contacts 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 third-party contacts where necessary to establish 
or verify information presented by representative payees or payee 
applicants.
    3. Disclosure to the Department of Justice (DOJ) for:
    (a) Investigating and prosecuting violations of the Act to which 
criminal penalties attach;
    (b) Representing the Commissioner of Social Security;
    (c) Investigating issues of fraud by agency officers or employees, 
or violations of civil rights.
    4. Disclosure 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/her behalf.
    5. Disclosure to a congressional office in response to an inquiry 
from that office made at the request of the subject of a record.
    6. Disclosure in response to legal process or interrogatories 
relating to the enforcement of an individual's child support or alimony 
obligations, as required under sections 459 and 461 of the Act.
    7. Disclosure to Federal, State, or local agencies, (or agents on 
their behalf) for administering income-maintenance or health-
maintenance programs (including programs under the Act).
    8. Disclosure to third-party contacts (including private collection 
agencies under contract to SSA) for the purpose of assisting SSA in 
recovering overpayments.

[[Page 11079]]

    9. Disclosure to contractors and other Federal agencies, as 
necessary, for the purpose of assisting SSA in the efficient 
administration of its programs.
    10. Disclosure to 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, provided, 
however, that in each case, SSA determines that such disclosure is 
compatible with the purpose for which the records were collected.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in magnetic media (e.g., magnetic tape and 
magnetic diskette).

RETRIEVABILITY:
    Records in this system are indexed and retrieved by 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. SSA personnel 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 this system. For records 
electronically transmitted between SSA's central office and field 
office locations, safeguards include a lock/unlock password system, 
exclusive use of leased telephone lines, a terminal oriented 
transaction matrix and secured printers.

RETENTION AND DISPOSAL:
    SSA will retain PUPS records for the period of time required for 
any processing related to the relevant data exchange and then, within 
12 months, will either return the records to the source or destroy the 
records, unless the records must be retained in individual claim 
folders for documentation purposes and/or to meet evidentiary 
requirements. In that instance, the records eventually will be retired 
to the Federal Records Center and destroyed, in accordance with the 
applicable Federal Records Retention Schedule (44 U.S.C. 3303a) and any 
other relevant standards established by SSA and the National Archives 
and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Payment Policy, 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/her by contacting the most convenient Social Security field office 
and providing his/her name, Social Security number, address, and proper 
identification. (Furnishing the SSN is voluntary, but it will make 
searching for an individual's record easier and prevent delay). An 
individual may also write to the System Manager shown above.
    An individual requesting notification of records in person must 
provide at least one piece of tangible identification such as a 
driver's license, passport, voter registration card, etc., to verify 
his/her identity. If an individual does not have identification papers 
sufficient to establish his/her identity, that individual must certify 
in writing that he/she is the person they claim to be and that they 
understand that the knowing and willful request for or acquisition of a 
record pertaining to an individual under false pretenses is a criminal 
offense (see 5 U.S.C. 552a(i)(1)(3)). If notification is requested by 
telephone, an individual must verify his/her identity by providing 
identifying information which 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. 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/she is the person they 
claim to be and that they understand that the knowing and willful 
request for or acquisition of a record pertaining to an individual 
under false pretenses is a criminal offense. These procedures are in 
accordance with SSA Regulations 20 CFR 401.45.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. These procedures are in 
accordance with SSA Regulations 20 CFR 401.45.

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 their reasons for believing that 
the record should be amended. These procedures are in accordance with 
SSA Regulations 20 CFR 401.65.

RECORD SOURCE CATEGORIES:
    Data for the PUPS are secured primarily from various facilities 
with which SSA has appropriate arrangements for reporting of such 
information including jails, prisons, other penal institutions or 
correctional facilities, departments or divisions of corrections or 
correctional services, and certain mental health facilities. Data is 
also reported by individuals and certain other third party sources, 
such as news media, etc.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE aCT:
    None.

[FR Doc. 99-5587 Filed 3-5-99; 8:45 am]
BILLING CODE 4190-29-P