[Federal Register Volume 69, Number 248 (Tuesday, December 28, 2004)]
[Notices]
[Pages 77816-77822]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-28302]


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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: Proposed 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 Medicare Part D and Part D Subsidy File, 60-
0321, and routine uses applicable to the system of records. We also are 
issuing notice that we may disclose personally identifiable information 
from the Medicare Part D and Part D Subsidy File to consumer reporting 
agencies in accordance with 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e). 
We invite public comment on this proposal.

DATES: We filed a report of the proposed Medicare Part D and Part D 
Subsidy File and the applicable routine uses with the Chairman of the 
Senate Committee on Governmental Affairs, the Chairman of the House 
Committee on Government Reform, and the Director, Office of Information 
and Regulatory Affairs, Office of Management and Budget (OMB) on 
December 16, 2004. The proposed Medicare Part D and Part D Subsidy File 
system of records and the proposed routine uses will become effective 
on January 25, 2005, unless we receive comments warranting that they 
not be effective.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the Executive Director, Office of Public Disclosure, Office 
of the General Counsel, Social Security Administration, Room 3-A-6 
Operations Building, 6401 Security Boulevard, Baltimore, Maryland 
21235-6401. All comments received will be available for public 
inspection at the above address.

FOR FURTHER INFORMATION CONTACT: Ms. Christine W. Johnson, Strategic 
Issues Team, Office of Public Disclosure, Office of the General 
Counsel, Social Security Administration, Room 3-C-1 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, e-
mail address at [email protected], or by telephone at (410) 965-
8563.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New Medicare Part D and Part 
D Subsidy File System of Records

A. General Background

    On December 8, 2003, the Medicare Prescription Drug, Improvement, 
and Modernization Act (MMA) of 2003, was signed into law (Public Law 
108-173). The MMA creates a voluntary prescription drug benefit program 
under new Part D of Medicare for all individuals eligible for Medicare 
Part A or Part B under which a monthly premium is required to assist in 
the purchase of prescription drugs. The new coverage, which is 
effective January 1, 2006, will assist Medicare-eligible seniors, 
people with disabilities and persons with end-stage renal disease with 
their prescription drug costs. In 2006, almost all of the 43 million 
Medicare beneficiaries will have a chance to enroll in the subsidized 
drug cost program.
    The MMA also created a premium subsidy program for Medicare

[[Page 77817]]

beneficiaries with limited means. This program limits beneficiaries' 
premiums, co-payments and deductibles if they have low incomes and 
limited assets. Low-income status under Part D is income of less than 
150% of the Federal poverty guidelines for a family of the applicable 
size. Low assets are resources of no more than $10,000 for an 
individual or $20,000 for a couple, which will change after 2006 
according to the Consumer Price Index. We expect approximately 5 
million beneficiaries to apply for the low-income assistance program in 
2006 and about 3.3 million are expected to be approved.
    The MMA introduces considerable changes to existing Medicare 
processes and supporting automation systems within SSA. For example, in 
response to the new legislation, SSA will implement significant 
enhancements to key programmatic and management information systems, 
create new Medicare-specific systems and databases, and enhance or 
create new data exchange agreements with multiple government agencies 
to support this initiative. The new enhancements will support--
     Selection of initial and subsequently entitled Medicare 
beneficiaries (e.g., those who attain age 65 after the initial 
selection);
     Screening for individuals with low-income and limited 
assets, including ``deemed eligible'' individuals that do not need to 
apply for the premium subsidy;
     Prospective eligibility and effective month determinations 
(and subsequent redeterminations) for the Part D subsidy;
     Data exchanges with other government agencies for income 
and resource data;
     Generating and mailing outreach notices and applications 
to individuals potentially eligible for the premium subsidy;
     Subsidy calculations;
     Collection of subsidy application data via machine-
readable application forms, the Internet and the Intranet; and
     Medicare Part D subsidy appeals.
    To this end, the Medicare Part D and Part D Subsidy File will 
encompass all related information from the initial intake process 
through the administrative appeals process. Information from the 
application will be created, maintained and stored electronically and 
source systems within SSA will interface with the Medicare Part D and 
Part D Subsidy File to support the subsidy application process.
    Because SSA will maintain and retrieve information from the 
proposed Medicare Part D and Part D Subsidy File using Social Security 
numbers (SSN) and/or names, the proposed Medicare Part D and Part D 
Subsidy File will constitute a ``system of records'' under the Privacy 
Act.

B. Collection and Maintenance of Data in the Medicare Part D and Part D 
Subsidy File System of Records

    The Medicare Part D and Part D Subsidy File will include 
identifying information about beneficiaries and potential applicants 
for subsidy benefits administered by SSA. See the ``Categories of 
Records'' section of the notice below for a full description of the 
data that will be maintained in the system of records.

II. Proposed Routine Use Disclosures of Data Maintained in the Proposed 
Medicare Part D and Part D Subsidy File System of Records

A. Proposed Routine Use Disclosures

    We are proposing to establish the following routine use disclosures 
of information that will be maintained in the proposed new Medicare 
Part D and Part D Subsidy File system of records:
    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 the 
Medicare Part D and Part D Subsidy File. 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 the Medicare Part D 
and Part D Subsidy File. 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 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 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, or another party before such 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.
    However, any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) 
will not be disclosed unless authorized by the IRC, the Internal 
Revenue Service (IRS), or IRS Regulations.
    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 system of records or 
when the United States is a party to litigation and SSA has an interest 
in the litigation.
    4. Information may be disclosed to DOJ for:
    (a) Investigating and prosecuting violations of the Social Security 
Act to which criminal penalties attach,
    (b) Representing the Commissioner, or
    (c) Investigating issues of fraud by agency officers or employees, 
or violation of civil rights.
    We will disclose information under this routine use only as 
necessary to enable DOJ to represent SSA in matters concerning 
violations of the Social Security Act; to represent the Commissioner of 
Social Security or to investigate issues of fraud by SSA officers or 
employees or violation of civil rights.
    5. To applicants, claimants, prospective applicants or claimants, 
other than the data subject, and their authorized representatives to 
the extent necessary for the purpose of pursuing Medicare Part D and 
Part D subsidy entitlement or appeals rights.
    We will disclose information under this routine use only as 
necessary to enable authorized representatives to pursue entitlement to 
or appeal rights for the Medicare Part D or Part D subsidy on behalf of 
the claimant.
    6. To Federal, State, or local agencies (or agents on their behalf) 
for administering cash or non-cash income maintenance or health 
maintenance programs (including programs under the

[[Page 77818]]

Social Security Act). Such disclosures include, but are not limited to, 
release of information to:
    (a) The Railroad Retirement Board for administering provisions of 
the Railroad Retirement and Social Security Acts relating to railroad 
employment and for administering the Railroad Unemployment Insurance 
Act;
    (b) The Department of Veterans Affairs (VA) for administering 38 
U.S.C. 412, and upon request, information needed to determine 
eligibility for or amount of VA benefits or verifying other information 
with respect thereto;
    (c) The Department of Labor for administering provisions of Title 
IV of the Federal Coal Mine Health and Safety Act, as amended by the 
Black Lung Benefits Act;
    (d) State agencies for making determinations of Medicaid 
eligibility;
    (e) State agencies for making determinations of food stamp 
eligibility under the food stamp program;
    (f) State audit agencies for auditing Medicaid eligibility 
considerations; and
    (g) State welfare departments pursuant to agreements with SSA for 
administration of State supplementation payments; for enrollment of 
welfare recipients for medical insurance under section 1843 of the Act; 
and for conducting independent quality assurance reviews of 
Supplemental Security Income recipient records, provided that the 
agreement for Federal administration of the supplementation provides 
for such an independent review.
    We will disclose information under this routine use only for the 
purpose of supporting other government agencies that administer 
programs which have the same compatible purposes as SSA programs, e.g., 
eligibility, benefit amounts, or other matters of benefit status in a 
Social Security program and the information is relevant to determining 
the same matters in the other program.
    7. To Internal Revenue Service, Department of the Treasury, for the 
purpose of auditing SSA's compliance with the safeguard provisions of 
the Internal Revenue Code of 1986, as amended.
    This proposed routine use would allow the IRS to audit SSA's 
maintenance of earnings and wage information in the Medicare Part D and 
Part D Subsidy File to ensure that SSA complies with the safeguard 
requirements of the IRC.
    8. To the Centers for Medicare & Medicaid Services (CMS), for the 
purpose of administering Medicare Part D enrollment and premium 
collection processes.
    We will disclose information under this routine use only for the 
purpose of assisting in the administration of Medicare Part D 
enrollment and premium collection.
    9. To Federal and State agencies for administering the Medicare 
Part D and Part D subsidy under the MMA of 2003. Such disclosures 
include, but are not limited to, release of information to:
    (a) The Bureau of Public Debt, Department of Treasury;
    (b) The Internal Revenue Service; and
    (c) The Office of Child Support and Enforcement for the purpose of 
assisting in the verification of eligibility for the prescription drug 
subsidy.
    We will disclose information under this routine use only for the 
purpose of supporting the administration of the prescription drug 
subsidy program under the MMA of 2003.
    10. To a Federal, State, or congressional support agency (e.g., the 
Congressional Budget Office and the Congressional Research Staff in the 
Library of Congress) for research, evaluation, or statistical studies. 
Such disclosures include, but are not limited to, release of 
information in assessing the extent to which one can predict 
eligibility for Supplemental Security Income (SSI) payments or Social 
Security disability insurance (SSDI) benefits; examining the 
distribution of Social Security benefits by economic and demographic 
groups and how these differences might be affected by possible changes 
in policy; analyzing the interaction of economic and non-economic 
variables affecting entry and exit events and duration in the Title II 
Old Age, Survivors, and Disability Insurance and the Title XVI SSI 
disability programs; and analyzing retirement decisions focusing on the 
role of Social Security benefit amounts, automatic benefit 
recomputation, the delayed retirement credit, and the retirement test, 
if SSA:
    (a) Determines that the routine use does not violate legal 
limitations under which the record was provided, collected or obtained;
    (b) Determines that the purpose for which the proposed use is to be 
made:
    (i) Cannot reasonably be accomplished unless the record is provided 
in a form that identifies individuals;
    (ii) Is of sufficient importance to warrant the effect on, or risk 
to, the privacy of the individual which such limited additional 
exposure of the record might bring;
    (iii) Has reasonable probability that the objective of the use 
would be accomplished;
    (iv) Is of importance to the Social Security program or the Social 
Security beneficiaries or is for an epidemiological research project 
that relates to the Social Security program or beneficiaries;
    (c) Requires the recipient of information to:
    (i) Establish appropriate administrative, technical, and physical 
safeguards to prevent unauthorized use or disclosure of the record and 
agree to on-site inspection by SSA's personnel, its agents, or by 
independent agents of the recipient agency of those safeguards;
    (ii) Remove or destroy the information that enables the individual 
to be identified at the earliest time at which removal or destruction 
can be accomplished consistent with the purpose of the project, unless 
the recipient receives written authorization from SSA that it is 
justified, based on research objectives, in retaining such information;
    (iii) Make no further use of the records except
    (a) Under emergency circumstances affecting the health or safety of 
any individual following written authorization from SSA;
    (b) For disclosure to an identified person approved by SSA for the 
purpose of auditing the research project;
    (iv) Keep the data as a system of statistical records. A 
statistical record is one which is maintained only for statistical and 
research purposes and which is not used to make any determination about 
an individual;
    (d) Secures a written statement by the recipient of the information 
attesting to the recipient's understanding of, and willingness to abide 
by, these provisions.
    We will disclose information under this routine use only for the 
purpose of allowing new studies to occur regarding the administration 
of the Social Security program and other related programs.
    11. To the Department of Homeland Security, Bureau of Citizenship 
and Immigration Services (BCIS), upon request, to identify and locate 
aliens in the United States pursuant to section 290(b) of the 
Immigration and Nationality Act (8 U.S.C. 1360(b)).
    We will disclose information under this routine use only for the 
purpose of identifying and locating illegal aliens pursuant to section 
290(b) of the Immigration and Nationality Act (8 U.S.C. 1360(b)).
    12. 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

[[Page 77819]]

in which SSA may enter a contractual or similar agreement with a third 
party to assist in accomplishing an agency function relating to this 
system of records.
    SSA occasionally contracts out certain of its functions when this 
would contribute to effective and efficient operations. SSA must be 
able to give a contractor whatever information the Agency can legally 
provide in order for the contractor to fulfill its duties. In these 
situations, safeguards are provided in the contract prohibiting the 
contractor from using or disclosing the information for any purpose 
other than that described in the contract.
    13. To addresses of beneficiaries who are obligated on loans held 
by the Secretary of Education or a loan made in accordance with 20 
U.S.C. 1071, et seq. (the Robert T. Stafford Student Loan Program) may 
be disclosed to the Department of Education as authorized by section 
489A of the Higher Education Act of 1965.
    Under this routine use we will disclose only address information to 
the Secretary of Education for the purpose of locating beneficiaries 
that are obligated on loans held by the Secretary.
    14. 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 who 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 
service of volunteers and participants in certain educational, 
training, employment and community service programs. An example of such 
statutes and programs includes: 5 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.
    15. To Federal, State and local law enforcement agencies and 
private security contractors as appropriate, information necessary:
     To enable them to protect the safety of SSA employees and 
customers, the security of SSA workplace and the operation of SSA 
facilities, or
     To assist investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupt the operation of SSA facilities.
    We will disclose information under this routine use to law 
enforcement agencies and private security contractors when information 
is needed to respond to, investigate, or prevent activities that 
jeopardize the security and safety of SSA customers, employees or 
workplaces or that otherwise disrupt the operation of SSA facilities. 
Information would also be disclosed to assist in the prosecution of 
persons charged with violating Federal or local law in connection with 
such activities.
    16. To the General Services Administration (GSA) and the National 
Archives Records Administration (NARA) under 44 U.S.C. 2904 and 2906, 
as amended by NARA Act of 1984, non-tax return information which is not 
restricted from disclosure by Federal law 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 SSA's disclosure 
regulation (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. SSA's Regulations at 20 CFR 
401.150(c) permit us to disclose information under a routine use where 
necessary to carry out SSA programs. SSA's Regulations at 20 CFR 
401.120 provide that we will disclose information when a law 
specifically requires the disclosure. The proposed routine uses 
numbered 1 through 10, 12, 14, and 15 above will ensure efficient 
administration of SSA programs administered through the proposed 
Medicare Part D and Part D Subsidy File; the disclosures that would be 
made under routine uses number 11, 13, and 16 are required by law. The 
proposed routine uses are appropriate and meet the relevant statutory 
and regulatory criteria.

III. Disclosure to Consumer Reporting Agencies

    The Privacy Act of 1974, as amended (5 U.S.C. 552a(b)(12)) permits 
Federal agencies to disclose certain information to consumer reporting 
agencies in accordance with 31 U.S.C. 3711(e) without the consent of 
the individuals to whom the information pertains. The purpose of this 
disclosure is to provide an incentive for individuals to pay any 
outstanding debts they owe to the Federal government by including 
information about these debts in the records relating to those persons 
maintained by consumer reporting agencies. This is a practice commonly 
used by the private sector. The information disclosed will be limited 
to that which is needed to establish the identity of the individual 
debtor, the amount, status, and history of the debt, and the agency or 
program under which the debt arose.
    We have added the following statement at the end of the routine 
uses section of the proposed system of records:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 
U.S.C. 3701, et seq.), as amended. The disclosure will be made in 
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f), 
808(e), or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f), 
1008(e), or 1383(b)(4)). The purpose of this disclosure is to aid in 
the collection of outstanding debts owed to the Federal government, 
typically, to provide an incentive for debtors to repay delinquent 
Federal government debts by making these debts part of their credit 
records. The information to be disclosed is limited to the individual's 
name, address, SSN, and other information necessary to establish the 
individual's identity, the amount, status, and history of the debt and 
the agency or program under which the debt arose.

IV. Records Storage Medium and Safeguards for the Proposed Medicare 
Part D and Part D Subsidy File System of Records

    The Medicare Part D and Part D Subsidy File is a repository. 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 systems 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

[[Page 77820]]

kept in locked cabinets or in otherwise secure areas. Furthermore, SSA 
employees having access to SSA databases maintaining personal 
information must sign a sanction document annually, acknowledging their 
accountability for making unauthorized access to or disclosure of such 
information.
    Contractor personnel having access to data in the Medicare Part D 
and Part D Subsidy File will be required to adhere to SSA rules 
concerning safeguards, access and use of the data.
    SSA 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).

V. Effect of the Proposed Medicare Part D and Part D Subsidy File 
System of Records on the Rights of Individuals

    The proposed new Medicare Part D and Part D Subsidy File system of 
records will maintain only that information that is necessary for the 
efficient and effective control and processing of subsidy applications 
from the initial phase through the appeals process. Security measures 
will be employed that protect access to and preclude unauthorized 
disclosure of records in the proposed system of records. Therefore, we 
do not anticipate that the proposed system of records will have an 
unwarranted adverse effect on the rights of individuals.

    Dated: December 16, 2004.
Jo Anne B. Barnhart,
Commissioner.
Social Security Administration (SSA) Notice of System of Records 
Required by the Privacy Act of 1974

System Number:
    60-0321.

System Name:
    Medicare Part D and Part D Subsidy File, Social Security 
Administration, Deputy Commissioner for Disability and Income Security 
Programs.

Security Classification:
    None.

System Location:
    The Medicare Part D and Part D Subsidy File is virtually 
established before applications are mailed to potentially eligible 
beneficiaries, when applications are filed through the Internet, in 
Social Security field offices, or a lead is expected to result in a 
claim, and maintained in the National Computer Center at SSA 
Headquarters. The computerized records and database are maintained at 
the Social Security Administration, Office of Systems, 6401 Security 
Boulevard, Baltimore, Maryland 21235.
    Other authorized Federal and State agencies that generally have 
access to information in SSA systems will also have access as needed to 
the Medicare Part D and Part D Subsidy File. Contact the system manager 
for address information.

Categories of Individuals Covered by the System:
    Claimants, applicants, beneficiaries, ineligible spouses and 
potential claimants for Medicare Advantage Part C and Medicare Part D 
and drug prescription premium and co-payment subsidies.

Categories of Records in the System:
    The Medicare Part D and Part D Subsidy File contains the name and 
Social Security number (SSN) of the claimant or potential claimant and 
may contain the subsidy application; supporting evidence and 
documentation for eligibility; documentation for income and resource 
verification; supporting evidence and documentation for appeal 
requests; premium payment documentation; correspondence to and from 
claimants and/or personal representatives; and leads information from 
third parties such as social service agencies and hospitals.
    The Medicare Part D and Part D Subsidy File also may contain data 
collected as a result of inquiries or complaints, and evaluation and 
measurement studies of the effectiveness of Medicare Prescription Drug 
Improvement and Modernization Act (MMA) policies. Separate files may be 
maintained of certain actions, which are entered directly into the 
Medicare Part D and Part D Subsidy File. These relate to reports of 
changes of income and resources, and other post-adjudicative reports. 
Separate data are also maintained for statistical purposes (i.e., 
subsidy denial, and demographic and statistical information relating to 
subsidy decisions).

Authority for Maintenance of the System:
    Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, 1840 and 
1860D-1-1860D-15 of the Social Security Act (42 U.S.C. Sec. Sec.  402-
405, 423, 426, 428, 1382, 1383, 1395i-2, 1395o, 1395s and 1395w-101-
1395w-115).

Purpose(s):
    The Medicare Part D and Part D Subsidy File contains material 
related to the request for subsidized prescription drug coverage under 
the MMA of 2003. Medicare Part D and Part D subsidy claim file 
information is used throughout SSA for the purposes of collecting, 
documenting, organizing and maintaining information and documents for 
making determinations of eligibility for subsidized benefits, the 
amount of the subsidy, processing appeals; ensuring that proper 
adjustments are made based on events affecting entitlement; and 
answering inquiries.
    Medicare Part D and Part D subsidy claim file information may be 
used for quality review, evaluation, and measurement studies, and other 
statistical and research purposes. Extracts may be maintained as 
interviewing tools, activity logs, records of claims clearance, and 
records of type or nature of actions taken.

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. 
However, any information defined as ``return or return information'' 
under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) will not be 
disclosed unless authorized by the IRC, the Internal Revenue Service 
(IRS), or IRS regulations.
    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 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 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, or another party before such 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.
    However, any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code will 
not be disclosed unless authorized by the IRC, the Internal Revenue 
Service, or IRS Regulations.

[[Page 77821]]

    4. Information may be disclosed to DOJ for:
    (a) Investigating and prosecuting violations of the Social Security 
Act to which criminal penalties attach,
    (b) Representing the Commissioner, or
    (c) Investigating issues of fraud by agency officers or employees, 
or violation of civil rights.
    5. To applicants, claimants, prospective applicants or claimants, 
other than the data subject, and their authorized representatives to 
the extent necessary for the purpose of pursuing Medicare Part D and 
Part D subsidy entitlement or appeal rights.
    6. To Federal, State, or local agencies (or agents on their behalf) 
for administering cash or non-cash income maintenance or health 
maintenance programs (including programs under the Social Security 
Act). Such disclosures include, but are not limited to, release of 
information to:
    (a) The Railroad Retirement Board for administering provisions of 
the Railroad Retirement and Social Security Acts relating to railroad 
employment and for administering the Railroad Unemployment Insurance 
Act;
    (b) The Department of Veterans Affairs (VA) for administering 38 
U.S.C. 412, and upon request, information needed to determine 
eligibility for, or amount of, VA benefits or verifying other 
information with respect thereto;
    (c) The Department of Labor for administering provisions of Title 
IV of the Federal Coal Mine Health and Safety Act, as amended by the 
Black Lung Benefits Act;
    (d) State agencies for making determinations of Medicaid 
eligibility; and
    (e) State agencies for making determinations of food stamp 
eligibility under the food stamp program;
    (f) State audit agencies for auditing Medicaid eligibility 
considerations; and
    (g) State welfare departments pursuant to agreements with SSA for 
administration of State supplementation payments; for enrollment of 
welfare recipients for medical insurance under section 1843 of the Act; 
and for conducting independent quality assurance reviews of 
Supplemental Security Income recipient records, provided that the 
agreement for Federal administration of the supplementation provides 
for such an independent review.
    7. To the Internal Revenue Service, Department of the Treasury, for 
the purpose of auditing SSA's compliance with the safeguard provisions 
of the Internal Revenue Code of 1986, as amended.
    8. To the Centers for Medicare & Medicaid Services (CMS), for the 
purpose of administering Medicare Part D enrollment and premium 
collection.
    9. To Federal and State agencies administering Medicare Part D and 
Part D subsidy under the MMA of 2003. Such disclosure include release 
of information to:
    (a) The Bureau of Public Debt, Department of the Treasury;
    (b) The Internal Revenue Service; and
    (c) The Office of Child Support and Enforcement for the purpose of 
assisting in the verification of eligibility for the prescription drug 
subsidy.
    10. To a Federal, State, or congressional support agency (e.g., the 
Congressional Budget Office and the Congressional Research Service in 
the Library of Congress) for research, evaluation, or statistical 
studies. Such disclosures include, but are not limited to, release of 
information in assessing the extent to which one can predict 
eligibility for Supplemental Security Income (SSI) payments or Social 
Security disability insurance benefits; examining the distribution of 
Social Security benefits by economic and demographic groups and how 
these differences might be affected by possible changes in policy; 
analyzing the interaction of economic and non-economic variables 
affecting entry and exit events and duration in the Title II Old Age, 
Survivors, and Disability Insurance and the Title XVI SSI disability 
programs; and analyzing retirement decisions focusing on the role of 
Social Security benefit amounts, automatic benefit recomputation, the 
delayed retirement credit, and the retirement test, if SSA:
    (a) Determines that the routine use does not violate legal 
limitations under which the record was provided, collected, or 
obtained;
    (b) Determines that the purpose for which the proposed use is to be 
made:
    (i) Cannot reasonably be accomplished unless the record is provided 
in a form that identifies individuals;
    (ii) Is of sufficient importance to warrant the effect on, or risk 
to, the privacy of the individual which such limited additional 
exposure of the record might bring;
    (iii) Has reasonable probability that the objective of the use 
would be accomplished;
    (iv) Is of importance to the Social Security program or the Social 
Security beneficiaries or is for an epidemiological research project 
that relates to the Social Security program or beneficiaries;
    (c) Requires the recipient of information to:
    (i) Establish appropriate administrative, technical, and physical 
safeguards to prevent unauthorized use or disclosure of the record and 
agree to on-site inspection, by SSA's personnel, its agents, or by 
independent agents of the recipient agency, of those safeguards;
    (ii) Remove or destroy the information that enables the individual 
to be identified at the earliest time at which removal or destruction 
can be accomplished consistent with the purpose of the project, unless 
the recipient receives written authorization from SSA that it is 
justified, based on research objectives, for retaining such 
information;
    (iii) Make no further use of the records except
    (a) Under emergency circumstances affecting the health or safety of 
any individual following written authorization from SSA;
    (b) For disclosure to an identified person approved by SSA for the 
purpose of auditing the research project;
    (iv) Keep the data as a system of statistical records. A 
statistical record is one which is maintained only for statistical and 
research purposes and which is not used to make any determination about 
an individual;
    (d) Secures a written statement by the recipient of the information 
attesting to the recipient's understanding of, and willingness to abide 
by, the provisions.
    11. The Department of Homeland Security, Bureau of Citizenship and 
Immigration Services, upon request, to identify and locate aliens in 
the United States pursuant to section 290(b) of the Immigration and 
Nationality Act (8 U.S.C. 1360(b)).
    12. 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 a contractual or similar 
agreement with a third party to assist in accomplishing an agency 
function relating to this system of records.
    13. Addresses of beneficiaries who are obligated on loans held by 
the Secretary of Education or a loan made in accordance with 20 U.S.C. 
1071, et seq. (the Robert T. Stafford Student Loan Program) may be 
disclosed to the Department of Education as authorized by section 489A 
of the Higher Education Act of 1965.
    14. To student volunteers and other workers, who technically do not 
have the status of Federal employees, when

[[Page 77822]]

they are performing work for SSA as authorized by law, and who need 
access to personally identifiable information in SSA records in order 
to perform their assigned Agency functions.
    15. To Federal, State and local law enforcement agencies and 
private security contractors, as appropriate, information necessary:
     To enable them to protect the safety of SSA employees and 
customers, the security of the SSA workplace and the operation of SSA 
facilities, or
     To assist investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupt the operation of SSA facilities.
    16. To the General Services Administration (GSA) and the National 
Archives Records Administration (NARA) under 44 U.S.C. 2904 and 2906, 
as amended by NARA Act of 1984, non-tax return information which is not 
restricted from disclosure by Federal law for the use of those agencies 
in conducting records management studies.

Disclosure to Consumer Reporting Agencies:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 
U.S.C. 3701, et seq.), as amended. The disclosure will be made in 
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f), 
808(e), or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f), 
1008(e), or 1383(b)(4)). The purpose of this disclosure is to aid in 
the collection of outstanding debts owed to the Federal government, 
typically, to provide an incentive for debtors to repay delinquent 
Federal government debts by making these debts part of their credit 
records. The information to be disclosed is limited to the individual's 
name, address, SSN, and other information necessary to establish the 
individual's identity, the amount, status, and history of the debt and 
the agency or program under which the debt arose.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are maintained electronically.

Retrievability:
    Medicare Part D and Part D subsidy claim files are retrieved 
electronically by SSN and alphabetically by name.

Safeguards:
    Medicare Part D and Part D subsidy claim files are protected 
through limited access to SSA records. Access to the records is limited 
to those employees who require such access in the performance of their 
official duties. All employees are instructed about SSA confidentiality 
rules as a part of their initial orientation training.
    Safeguards for automated records have been established in 
accordance with the Systems Security Handbook. For computerized 
records, electronically transmitted between SSA's central office and 
field office locations (including organizations administering SSA 
programs under contractual agreements), safeguards include a lock/
unlock password system, exclusive use of leased telephone lines, a 
terminal oriented transaction matrix, and an audit trail.

Retention and Disposal:
    Pursuant to 36 CFR 1228.26, SSA will submit to NARA for approval a 
schedule for the Medicare Part D and Part D Subsidy File no later than 
one year from implementation of this new program. Until a schedule is 
developed and approved, records may not be destroyed.

System Manager(s) and Address:
    Deputy Commissioner, Disability and Income Security Programs, 
Social Security Administration, 6401 Security Boulevard, Baltimore, MD 
21235.

Notification Procedure:
    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 or some other means of identification. If an 
individual does not have any 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 the 
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 for 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 to 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 Procedures:
    Same as Notification procedures. Requesters should also reasonably 
specify the information they are seeking. These procedures are in 
accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

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 incomplete, 
untimely, inaccurate or irrelevant. These procedures are in accordance 
with SSA Regulations (20 CFR 401.65).

Record Source Categories:
    Information in this system is obtained from claimants, 
beneficiaries, applicants and recipients; accumulated by SSA from 
reports of employers or self-employed individuals; various local, 
State, and Federal agencies; claimant representatives and other 
sources, to support factors of entitlement and continuing eligibility 
or to provide leads information.

Systems Exempted From Certain Provisions of the Privacy Act:
    None.

[FR Doc. 04-28302 Filed 12-27-04; 8:45 am]
BILLING CODE 4191-02-P