[Federal Register Volume 65, Number 155 (Thursday, August 10, 2000)]
[Notices]
[Pages 49047-49050]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-20222]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974, as Amended; New System of Records and 
Routine Use Disclosures

AGENCY: Social Security Administration (SSA).

ACTION: New system of records and proposed new routine uses.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and 
(e)(11)), we are issuing public notice of our intent to establish a new 
system of records entitled, the Social Security

[[Page 49048]]

Administration's (SSA's) Mandate Against Red Tape (hereinafter referred 
to as SMART). The proposed SMART system will maintain information 
collected for use in connection with SSA's implementation of a process 
for capturing and addressing employees' requests for waiver of internal 
Agency rules and procedures in order to improve work processes and 
working conditions, provide better customer service and encourage 
employee participation. The proposed new system of records will provide 
for routine use disclosures in connection with our administration of 
the Social Security Act, or disclosures mandated by Federal law. We 
invite public comment on this proposal.

DATES: We filed a report of the proposed new system of records 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 (OMB) on August 3, 2000. We have asked OMB to 
waive the 40-day advance notice requirement for the proposed SMART 
system. If OMB does grant the waiver, we will not implement before 
September 12, 2000, unless we receive comments which would warrant the 
system of records not being implemented.

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: Nancy Daniels, Program Analyst, Social 
Security Administration, Room 3-B-3 Operations Building, 6401 Security 
Boulevard, Baltimore, Maryland 21235, telephone (410) 965-1461.

SUPPLEMENTARY INFORMATION:

1. Background and Purpose of the Proposed Smart System

    On April 21, 1998, President Clinton issued an Executive Memorandum 
regarding streamlining the granting of waivers. This Executive 
Memorandum directs Federal Agencies to adopt practices that effectively 
encourage innovation through granting employees waivers from certain 
internal Agency rules.
    In response to this Executive Memorandum, the Social Security 
Administration (SSA) has developed ``Social Security Administration's 
(SSA's) Mandate Against Red Tape'' or ``SMART.'' SMART is an Agency-
wide automated process to set aside administrative directives, policies 
and procedures that provide guidance for office operations, workflows 
and work processes but that have lost their usefulness and/or 
effectiveness.
    In implementing SMART, the Agency will create a Website on our 
Intranet. This site will be the primary vehicle for SSA employees to 
submit SMART waiver requests, and will permit employees to see what 
waiver requests have been previously submitted and monitor the status 
of all requests within the review and approval process. Each SMART 
request submitted will receive a SMART request number that the employee 
can use to track that request. Because SSA can also retrieve 
information from the SMART system using employees' names and SSNs, the 
SMART system will constitute a system of records under the Privacy Act.

2. Collection, Maintenance, and Use of Data in the Proposed Smart 
System

    We will obtain the information from our employees that will be 
maintained in the SMART automated system of records. The information 
will pertain to waivers requesting SSA to eliminate and/or set aside 
administrative directives, policies and procedures that provide 
guidance for office operations, workflows and work processes but that 
have lost their usefulness and/or effectiveness. The information 
maintained in the SMART system will include: identifying information 
such as employee's pay plan, employee's series and grade, position 
title, organization/office, Social Security number (SSN), timekeeper 
number, e-mail, FAX, Internet, and telephone number. We will maintain 
and retrieve this information by the employee's SMART request number.

3. Proposed Routine Use Disclosures of Data That Will be Maintained 
in the Proposed Smart System

    We are proposing to establish routine uses of information that will 
be maintained in the proposed system as discussed below.
    A. 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 or her behalf.
    We will disclose information under this routine use only 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 involving this system of records. 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.
    B. 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.
    C. To Department of Justice (DOJ), a court, or other tribunal 
(either foreign or domestic), or another party before such tribunal 
when:
    (1) SSA, or any component thereof; or
    (2) Any SSA employee in his/her official capacity; or
    (3) 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
    (4) 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 the 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 purposes for which the records were 
collected.
    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 this 
system of records.
    D. Disclosures to student volunteers and other workers, who 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. 3111 regarding student volunteers; 
and 42 U.S.C. 2753 regarding the College Work-Study Program. We 
contemplate disclosing information under this routine use only

[[Page 49049]]

when SSA uses the services of these individuals and they need access to 
information in this system to perform their assigned duties.
    E. 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 agreement or 
similar agreement with a third party to assist in accomplishing an 
agency function relating to this system of records.
    F. Nontax return information which is not restricted from 
disclosure 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. 2904 and 2906, as amended by NARA 
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. 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.

4. Compatibility of Proposed Routine Uses

    The Privacy Act (5 U.S.C. 552a(a)(7) and 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 the regulations permits us to disclose 
information under a routine use where necessary to assist in carrying 
out SSA programs. Section 401.120 of the regulations provides that we 
will disclose information when a law specifically requires the 
disclosure. The proposed routine uses lettered A-E above will ensure 
efficient administration of Social Security programs; the disclosures 
that would be made under routine use ``F'' are required by Federal law. 
Thus, all of the routine uses are appropriate and meet the relevant 
statutory and regulatory criteria.

5. Records Storage Medium and Safeguards For The Proposed Smart 
System

    We will maintain information in the proposed SMART system in 
electronic form, computer data systems, and paper form. 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.
    Security measures include the use of access codes to enter the 
computer systems that will maintain the data, and storage of the 
computerized records in secured areas that are accessible only to 
employees who require the information in performing their official 
duties. Any manually maintained records will be kept in locked cabinets 
or in otherwise secure areas. Also, all entrances and exits to SSA 
buildings are patrolled by security guards. Contractor personnel having 
access to data in the proposed and altered systems of records will be 
required to adhere to SSA rules concerning safeguards, access and use 
of the data. SSA personnel having access to the data on these systems 
will be informed of the criminal penalties of the Privacy Act for 
unauthorized access to or disclosure of information maintained in these 
systems. See 5 U.S.C. 552a(i)(1).

6. Effect of the Proposed Smart System on the Rights of Individuals

    The proposed SMART system will enable SSA employees to request 
waivers of internal Agency rules which will lead to improved work 
processes and working conditions, provide better customer service and 
encourage employee participation. We will not use the information in 
any manner that will be adverse to the individuals to whom it pertains. 
Thus, we do not anticipate that the SMART system will have any 
unwarranted adverse effect on individuals.

    Dated: August 3, 2000.
Kenneth S. Apfel,
Commissioner of Social Security.
60-0279

System name:
    SSA's Mandate Against Red Tape (SMART) Program Records, SSA/COSS/
OCSI.

Security classification:
    None.

System location:
    Social Security Administration (SSA), Office of the Commissioner, 
Office of Customer Service Integration (OCSI), 450 Altmeyer Building, 
6401 Security Boulevard, Baltimore, Maryland 21235.

Categories of individuals covered by the system:
    SSA employees who have made requests that the SSA eliminate and/or 
set aside administrative directives, polices and procedures that 
provide guidance for office operations, workflows and work processes 
that have lost their usefulness and/or effectiveness. Such requests for 
waivers of internal rules give employees real opportunities to perform 
their jobs faster, better and cost effectively.

Categories of records in the system:
    Requests, evaluations of requests, name and office address of 
individual submitting the request and evaluating the request, other 
identifying information such as employee's pay plan, employee's series 
and grade, position title, organization/office, Social Security number 
(SSN), timekeeper number, e-mail address, FAX number, Internet address, 
and telephone number.

Authority for maintenance of the system:
    42 U.S.C. 405A and 5 U.S.C. 301.

Purpose(s):
    Records in this system are used to control, evaluate, approve and 
adopt practices that effectively encourage innovation through granting 
employees waivers from certain internal agency rules. These records are 
maintained within the Office of the Commissioner, Office of Customer 
Service Integration (OCSI) in SSA.

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 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.
    2. Disclosure to a congressional office from the record of an 
individual in response to an inquiry from the congressional office made 
at the request of that individual.
    3. Disclosure to the Department of Justice (DOJ), to a court or 
other tribunal, or to another 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

[[Page 49050]]

litigation is likely to affect SSA or any of its components, is party 
to litigation or has in interest in such litigation, and SSA determines 
that the use of such records by DOJ, the court or other tribunal, or 
the other party before the 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.
    4. Disclosure to student volunteers, individuals working under a 
personal services contract, and other individuals performing functions 
for SSA, but technically not having the status of Agency employees, if 
they need access to the records in order to perform their assigned 
Agency functions.
    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 General Services Administration (GSA) and the 
National Archives and Records Administration (NARA), which is not 
expressly restricted by Federal law, under 44 U.S.C. 2904 and 2906, as 
amended by the National Archives and Records Administration Act of 
1984, for the use of those agencies in conducting records management 
studies for Non-tax return information.

Polices and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    The records are maintained electronically and in paper form (e.g., 
file folders) in locked file cabinets within OCSI.

Retrievability:
    The records are indexed and retrieved by the SMART request number 
assigned to the employee's request.

Safeguards:
    This system of records is a data base that is accessible via an SSA 
Intranet Website. Security measures include the use of access codes to 
enter the data base, and storage of the electronic records in secured 
areas which are accessible only to employees who require the 
information in performing their official duties. The paper records that 
result from the electronic site are kept in locked cabinets or in 
otherwise secure areas. SSA, foreign site and contractor personnel 
having access to data in the system of records are required to adhere 
to SSA rules concerning safeguards, access, and use of the data. They 
also are 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:
    After final action to approve or deny a SMART request, it will be 
maintained for at least 7 years, or when it is determined that they are 
no longer needed, then destroyed in a manner appropriate to the storage 
media.

System manager(s) and address:
    Social Security Administration, Office of the Commissioner, 
Manager, Office of Customer Service Integration, 450 Altmeyer Building, 
6401 Security Boulevard, Baltimore, Maryland 21235.

Notification procedures:
    An individual can determine if this system contains a record about 
him or her by writing to the system manager at the above address. The 
requester should include his or her SMART request number along with and 
any other identifying information that's listed on the SMART Request 
Form.
    An individual requesting notification of records in person need not 
furnish any special documents of identity. Documents he/she would 
normally carry on his/her person would be sufficient (e.g., employee 
identification badge, credit card, driver's license, or voter 
registration card). If an individual does not have identification 
papers sufficient to establish his/her identify, that individual must 
certify in writing that he/she is the person claimed to be and that he/
she understands that the knowing and willful request for or acquisition 
or a record pertaining to an individual under false pretenses, is a 
criminal offense.
    If notification is requested by telephone, an individual must 
verify his/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.
    If a request for notification is submitted via 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 claimed to be and 
that he/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. These procedures are in accordance 
with SSA Regulations (20 CFR 401.50).

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 401.65).

Contesting record procedures:
    Same as notification procedures. Also, requesters should reasonably 
identify the record, specify the information they are contesting, state 
the corrective action sought and the reasons for the correction with 
supporting justification showing how the record is incomplete, 
untimely, inaccurate or irrelevant. These procedures are in accordance 
with SSA Regulations (20 CFR 401.50).

Record source categories:
    Incoming requests, responses, evaluations and other information 
obtained during the course of deciding to adopt a request.

System exempted from certain provisions of the Act:
    None.

[FR Doc. 00-20222 Filed 8-09-00; 8:45 am]
BILLING CODE 4190-29-M