[Federal Register Volume 67, Number 198 (Friday, October 11, 2002)]
[Notices]
[Pages 63489-63492]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-25917]


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SOCIAL SECURITY ADMINISTRATION


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

AGENCY: Social Security Administration (SSA).

ACTION: New System of Records and Proposed 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 Visitor Intake Process/Customer Service 
Record (VIP/CSR) System, 60-0350, together with routine uses applicable 
to this system of records. The proposed system of records will consist 
of information collected from and about visitors to SSA field offices 
(FOs). This proposed system would assist SSA in improving the services 
it provides to visitors to our FOs.

DATES: We filed a report of the proposed system of records and routine 
uses with the Chairman of the Senate Governmental Affairs Committee, 
the Chairman of the House Government Reform Committee, and the 
Director, Office of Information and Regulatory Affairs, Office of 
Management and Budget (OMB) on October 2, 2002. The proposed system of 
records will become effective on November 11, 2002, unless we receive 
comments on or before that date that would warrant our not implementing 
the system of records.

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 
21235-6401. All comments received will be

[[Page 63490]]

available for public inspection at the above address.

FOR FURTHER INFORMATION CONTACT: Ms. Pamela McLaughlin, Social 
Insurance Specialist, Social Security Administration, Room 3-C-2 
Operations Building, 6401 Security Boulevard, Baltimore, Maryland 
21235-6401, telephone (410) 965-3677, e:mail: [email protected].

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New System of Records, the 
VIP/CSR System, 60-0350

A. General Background

    The VIP/CSR System, 60-0350, is designed to simplify and control 
all stages of interview and appointment tracking. The proposed VIP/CSR 
System will maintain information that SSA will use for management 
information and administrative purposes, such as tracking scheduled 
appointments and monitoring visitor information, and programmatic 
purposes associated with individuals' claims for benefits under 
programs administered by SSA.

B. Collection and Maintenance of the Data for the Proposed VIP/CSR 
System, 60-0350

    SSA will collect the information that will be housed in the VIP/CSR 
System from visitors to SSA FOs, from other SSA Privacy Act systems of 
records such as the Master Beneficiary Record, Supplemental Security 
Income and Special Veterans Benefits Record and Claims Folders System, 
and via SSA processes used in conducting business with visitors (e.g., 
appointment dates and times). The information will be maintained in 
manual and electronic formats. The information maintained will include 
personal information of the visitor such as name, Social Security 
number (SSN) and date of birth, appointment information and other 
information relating to the purpose of the visit. (See the ``Categories 
of Records'' section of the notice below for a description of the 
records that will be maintained in the VIP/CSR System.) We will 
retrieve information from the proposed system of records by using the 
visitor's/claimant's name and/or SSN. Thus, the VIP/CSR System will 
constitute a system of records under the Privacy Act.

II. Proposed Routine Use Disclosures of Data Maintained in the Proposed 
VIP/CSR System, 60-0350

A. Proposed Routine Use Disclosures

    We are proposing to establish routine uses of information that will 
be maintained in the proposed new system as discussed below.
    1. 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 a matter relating to 
information contained in this system of records. Information will be 
disclosed when the Office of the President makes an inquiry and 
indicates that it is acting on behalf of the individual whose record is 
requested.
    2. 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 a matter relating to information 
contained in this system of records. Information will be disclosed when 
the congressional representative makes an inquiry and indicates that he 
or she is acting on behalf of the individual whose record is requested.
    3. To the Department of Justice (DOJ), a court, or other tribunal, 
or other 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 party to litigation or has an interest in such litigation, and SSA 
determines that the use of such records by DOJ, a 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 will disclose information under this routine use only as 
necessary to enable DOJ to effectively defend SSA, its components or 
employees in litigation involving the proposed new system of records 
and ensure that courts and other tribunals have appropriate 
information.
    4. To contractors and other Federal agencies, as necessary, to 
assist 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.
    5. 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.
    Under certain Federal statutes, SSA is authorized to use the 
service of volunteers and participants in certain educational, 
training, employment and community service programs. Examples of such 
statutes and programs include: 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 when 
SSA uses the services of these individuals, and they need access to 
information in this system to perform their assigned agency duties.
    6. Non-tax 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, as amended, with promulgating standards, procedures and 
guidelines regarding record management and conducting records 
management studies. 44 U.S.C. 2906, as amended, 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.

B. Compatibility of Proposed Routine Uses

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

[[Page 63491]]

Section 401.120 of SSA Regulations provides that we will disclose 
information when a law specifically requires the disclosure. The 
proposed routine uses numbered 1 through 5 above will ensure efficient 
administration of the VIP/CSR System; the disclosure that would be made 
under routine use number 6 is required by Federal law. Thus, all the 
routine uses are appropriate and meet the relevant statutory and 
regulatory criteria.

III. Records Storage Medium and Safeguards for the Proposed New System, 
the VIP/CSR System, 60-0350

    SSA will maintain information in the VIP/CSR System in electronic 
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. We will safeguard the security of 
the information by requiring the use of access codes to enter the 
computer system that will maintain the data and will store computerized 
records in secured areas that are accessible only to employees who 
require the information to perform their official duties. Any manually 
maintained records will be kept in locked cabinets or in otherwise 
secure areas.
    Contractor personnel having access to data in the proposed 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 on this 
system 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. 552a(i)(1).

IV. Effect of the Proposed New System of Records, the VIP/CSR, 60-0350 
on the Rights of Individuals

    The information that will be maintained in the VIP/CSR System will 
enable SSA to provide more timely and efficient service to visitors 
conducting business in SSA FOs. This will increase customer 
satisfaction with the services SSA provides to the public. 
Additionally, SSA will adhere to all applicable provisions of the 
Privacy Act, Social Security Act and other Federal statutes that govern 
our use and disclosure of the information. Thus, we do not anticipate 
that this system of records will have an unwarranted effect on the 
privacy of individuals that will be covered by the VIP/CSR System.

    Dated: October 1, 2002.
Jo Anne B. Barnhart,
Commissioner.
60-0350

System Name:
    Visitor Intake Process/Customer Service Record (VIP/CSR) System.

Security classification:
    None.

System location:
    Social Security Administration, Office of Systems, 6401 Security 
Boulevard, Baltimore, Maryland 21235

Categories of individuals covered by the system:
    This system covers visitors to the Social Security Administration 
(SSA-- field offices (FOs) for various purposes (see ``Purpose(s):'' 
section below).

Categories of records in the system:
    This system contains the following information about each visitor: 
(1) Visitor information such as Social Security number (SSN), full name 
and date of birth, when such information is provided by the visitor; 
(2) visit information such as the time visitor entered and left the 
office, an assigned group number, number of interviews associated with 
the visit and remarks associated with the visit; (3) appointment 
information such as date/time of appointment, source of appointment and 
appointment unit number (unit establishing appointment); (4) notice 
information such as close-out notice type (e.g., title II 6-month 
closeout letter, title XVI SSA-L991) and close-out notice date/time 
when sent; (5) interview information such as each occurrence, subject 
of interview, estimated waiting time, preferred language, type of 
translator, number of interview in queue, interview disposition (e.g., 
completed, deleted, left without service), interview priority, start 
and ending time and name of interviewer; and (6) SSN, full name and 
relationship to claimant/beneficiary, when such information is 
provided.

Authority for maintenance of the system:
    Sections 222, 223, 225, 1611, 1615, 1631 and 1633 of the Social 
Security Act (42 U.S.C. 422, 423, 425, 1382, 1382d, 1383 and 1383b); 
the Federal Records Act of 1950 (Pub. L. 81-754, 64 Stat. 583), as 
amended.

Purpose(s):
    Information in this system will be used to:
    [sbull] Provide a means of collecting waiting time data on all in-
office interviews in SSA FOs;
    [sbull] Provide management information on other aspects of all in-
office interviews in SSA FOs;
    [sbull] Provide a source for customer service record data 
collection for such interviews, and
    [sbull] Capture discrete data about the volume and nature of 
inquiries to support management decisions in the areas of process 
improvement and resource allocation.
    Also, information collected from visitors to SSA FOs will be used 
for filing claims for benefits under title II, transacting post-
entitlement actions if currently entitled to benefits under title II, 
filing claims for benefits under title XVI, transacting post-
eligibility actions if currently eligible for benefits under title XVI, 
obtaining an SSN, transacting other actions related to a SSN, or other 
actions/queries that may require an interview at the Social Security 
Administration (SSA).

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Disclosures may be made for routine uses as indicated below.
    1. 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. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    3. To the Department of Justice (DOJ), a court, or other tribunal, 
or other 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 party to litigation or has an interest in such litigation, and SSA 
determines that the use of such records by DOJ, a 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.
    4. To contractors and other Federal agencies, as necessary, to 
assist SSA in the efficient administration of its programs.
    5. To student volunteers, individuals working under a personal 
services

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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.
    6. Non-tax 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.

Policies and practices for storing, retrieving, accessing, retaining 
and disposing of records in the system:
Storage:
    Records in this system are maintained in both electronic and paper 
form (e.g., magnetic tape and disc and microfilm).

Retrievability:
    Records in this system will be retrieved by the individual's SSN 
and/or name.

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 employees 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. See 5 U.S.C. 
552a(i)(1).
    Contractor personnel and/or alternate participants 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.

Retention and disposal:
    Records in this system are retained for one year when they pertain 
to documents provided by and returned to an individual, denial of 
requests for confidential information, release of confidential 
information to an authorized third party, and undeliverable material. 
Records are maintained for 4 years when they contain information and 
evidence pertaining to Social Security coverage, wage, and self-
employment determinations or when they affect future claims 
development. Additional information collected such as waiting time 
information may be retained for longer periods for purposes of analysis 
and process improvement, without regard to individual records.
    The means of disposal of the information in this system will be 
appropriate to the storage medium (e.g., deletion of individual 
electronic records or shredding of paper records).

System manager(s) and address:
    Associate Commissioner, Office of Systems, Social Security 
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235.

Notification procedure(s):
    An individual can determine if this system contains a record about 
him/her by writing to the system manager(s) at the above address and 
providing his/her name, SSN or other information that may be in the 
system of records that will identify him/her. An individual requesting 
notification of records in person should provide the same information, 
as well as provide an identity document, preferably with a photograph, 
such as a driver's license. If an individual does not have 
identification documents sufficient to establish his/her identity, the 
individual must certify in writing that he/she is the person claimed to 
be and that he/she understands that knowing and willful request for, or 
acquisition of, a record pertaining to another 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 an individual is requesting information by 
telephone on behalf of another individual, the subject individual must 
be connected with SSA and the requesting individual in the same phone 
call. SSA will establish the subject individual's identity (his/her 
name, SSN, address, date of birth and place of birth along with one 
other piece of information such as mother's maiden name) and ask for 
his/her consent in providing information to the requesting individual.
    If a request for notification is submitted by mail, an individual 
must include a notarized statement 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 another individual under false 
pretenses is a criminal offense. These procedures are in accordance 
with SSA Regulations (20 CFR 401.40).

Record access procedure(s):
    Same as ``Notification'' procedure(s). Requesters also should 
reasonably specify the record contents they are seeking. These 
procedures are in accordance with SSA Regulations (20 CFR 401.50).

Contesting record procedure(s):
    Same as ``Notification'' procedures. Requesters also should 
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 CFR 401.65).

Record source categories:
    Information in this system of records is obtained from information 
collected from individuals interviewed in person in SSA FOs, from 
existing systems of records, such as the Claims Folders System, (60-
0089), Master Beneficiary Record, (60-0090), Supplemental Security 
Income Record and Special Veterans Benefits, (60-0103), and from 
information generated by SSA, such as computer date/time stamps at 
various points in the interview process.

Systems exempted from certain provisions of the Act:
    None.
[FR Doc. 02-25917 Filed 10-10-02; 8:45 am]
BILLING CODE 4191-02-P