[Federal Register Volume 69, Number 248 (Tuesday, December 28, 2004)]
[Notices]
[Pages 77823-77826]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-28303]



[[Page 77823]]

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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 the Non-Attorney Representative 
Prerequisites Process File, 60-0355, and routine uses applicable to 
this system of records. Hereinafter, we will refer to the proposed 
system of records as the NARPPF system. The proposed system of records 
will consist of information used to determine the eligibility of a non-
attorney who represents claimants before SSA to participate in the 
demonstration project for direct payment of fees. We invite public 
comments on this proposal.

DATES: We filed a report of the proposed new system of records and 
proposed routine use disclosures 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 
14, 2004. The proposed system of records and routine uses will become 
effective on January 23, 2005, unless we receive comments warranting 
them not to become 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: Mr. Vincent A. Dormarunno, Supervisory 
Social Insurance Specialist, Office of Public Disclosure, Office of the 
General Counsel, Social Security Administration, Room 3-A-6 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235, e-mail 
address at [email protected], or by telephone at (410) 965-
3669.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New System of Records 
Entitled the NARPPF System

A. General Background

    The Social Security Protection Act of 2004 (SSPA) requires the 
Commissioner of Social Security to develop and implement a 5-year 
nationwide demonstration project that will extend to certain non-
attorney representatives of claimants under titles II and XVI of the 
Social Security Act the option to have approved fees for their 
representation withheld and paid directly from a beneficiary's past-due 
benefits. Currently, by statute this option is available only to 
representatives who are attorneys.
    Non-attorney representatives who wish to participate in the 
demonstration project must meet the prerequisites specified in section 
303 of the SSPA, and any additional prerequisites that the Commissioner 
may prescribe.

B. Collection and Maintenance of the Data for the Proposed New System 
of Records Entitled the NARPPF System

    SSA and/or its agents will collect and maintain the information 
that will be housed in the NARPPF system from applicants who have 
requested participation in the Non-Attorney Representative 
Demonstration Project. The information maintained in this system of 
records will be maintained in manual and electronic formats and will 
include information on all applications for participation. 
Specifically, it will contain some or all of the following: (1) 
Application information, including filing date and fee information; (2) 
the applicant's identifying information, including name, Social 
Security number (SSN), date and place of birth, business address, 
telephone numbers, e-mail addresses, fax numbers and fingerprints; (3) 
a work history, including employer names and addresses, dates of 
employment, self-employment information, and verification of 
employment; (4) the applicant's educational background and continuing 
education; (5) certain integrity information including previous Federal 
employment, suspensions and/or terminations of representative 
authorization, criminal background, and circumstances for previous 
employment termination, if applicable; (6) examination and examination 
results; (7) professional liability insurance information; (8) 
background check and report information; (9) direct payment eligibility 
status; (10) post-application discovery information including 
previously undisclosed eligibility information; and (11) post-
eligibility audit and evaluation information. We will retrieve 
information from the proposed system of records by using the 
individual's name and/or SSN. Thus the NARPPF system will constitute a 
system of records under the Privacy Act.

II. Proposed Routine Use Disclosures of Data Maintained in the Proposed 
NARPPF System

A. Proposed Routine Use Disclosures

    We are proposing to establish routine uses of information that will 
be maintained in the proposed NARPPF 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 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 operation 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

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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, 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.
    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 
service contract, participant contractors 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.
    7. 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.
    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.
    8. To inform a claimant/beneficiary that his/her representative is 
eligible to participate in the demonstration project or has been 
disqualified or suspended from participating in the demonstration 
project and/or from further representations before SSA.
    We will inform individuals if their participating representative 
has been determined to be eligible to participate in the demonstration 
project or has been disqualified or suspended from further 
participation in this demonstration project and/or has been 
disqualified or suspended from further representation before SSA.
    9. SSA may disclose information to a State agency or other 
certifying entity that uses such eligibility information in their 
certifying procedures.
    We may disclose certain eligibility information to certifying 
entities for social workers, health care workers or others requiring 
such certifications, who have chosen to apply for participation in this 
demonstration project.
    10. SSA may disclose information to contractors under contract to 
SSA and/or under contract to another agency with funds provided by SSA, 
for the performance of research, evaluation and statistical activities 
directly relating to this system of records.
    We may disclose certain information to contractors under contract 
to SSA or another agency with funds provided by SSA, for the purpose of 
researching, evaluating and/or providing statistical information 
directly relating to the activities covered by this system of records.

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. SSA Regulations at Sec.  
401.120 provide that we will disclose information when a law 
specifically requires the disclosure. The proposed routine uses 
numbered 1 through 5 and numbered 7 through 10 above will ensure 
efficient administration of the NARPPF system; the disclosure that 
would be made under routine use number 6 is required by Federal law. 
Thus, all routine uses are appropriate and meet the relevant statutory 
and regulatory criteria.

III. Records Storage Medium and Safeguards for the Proposed New System 
Entitled the NARPPF System

    SSA will maintain information in the NARPPF system in electronic 
and paper form. Only authorized SSA and contractor 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 to 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 Entitled NARPPF

    The proposed new system of records will maintain only that 
information

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relevant to determining the eligibility of applicants that request 
participation in the section 303 Demonstration Project Extending Direct 
Payments to Non-Attorney Representatives. 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 the proposed system of 
records will have an unwarranted effect on the privacy of the 
individuals that will be covered by the NARPPF system.

    Dated: December 14, 2004.
Jo Anne B. Barnhart,
Commissioner.

Social Security Administration (SSA), Notice of System of Records, 
Required by the Privacy Act of 1974; as Amended.

System number:

     60-0355.

System name:

    Non-Attorney Representative Prerequisites Process File (NARPPF), 
Social Security Administration, Deputy Commissioner for Disability and 
Income Security Programs, Office of Hearings and Appeals.

Security classification:

    None.

System location:

    Social Security Administration, Deputy Commissioner for Disability 
and Income Security Programs, Office of Hearings and Appeals, 5107 
Leesburg Pike, Falls Church, Virginia, 22041.

Categories of individuals covered by the system:

    Any non-attorney individual who applies to participate in the 
demonstration project for direct payment of fees under section 303 of 
the Social Security Protection Act of 2004 (SSPA) (Public Law No. 108-
203). Applications for participation will be filed directly with a 
contract vendor.

Categories of records in the system:

    Demonstration project application and supporting documentation, and 
corresponding eligibility determination. This may include some or all 
of the following: (1) Application information, including filing date 
and fee information; (2) the applicant's identifying information, 
including name, Social Security number, date and place of birth, 
business address, telephone numbers, e-mail addresses, fax numbers and 
fingerprints; (3) a work history, including employer names and 
addresses, dates of employment, self-employment information, and 
verification of employment; (4) the applicant's educational background 
and continuing education; (5) certain integrity information including 
previous Federal employment, suspensions and/or terminations of 
representative authorization, criminal background, and circumstances 
for previous employment termination, if applicable; (6) examination and 
examination results; (7) professional liability insurance information; 
(8) background check and report information; (9) direct payment 
eligibility status; (10) post-application discovery information 
including previously undisclosed eligibility information; and (11) 
post-eligibility audit and evaluation information.

Authority for maintenance of the system:

    Section 303 of the SSPA.

Purpose(s):

    The prerequisites process application files will be used to 
determine the eligibility of a non-attorney representative who 
represents claimants before SSA to participate in the demonstration 
project for the direct payment of fees.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:

    Disclosures may be made for routine uses as indicated below. 
However, disclosure of 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 a statute, 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. Wage and other 
information which is subject to the provisions of the IRC (26 U.S.C. 
6103) will not be disclosed under this routine use unless disclosure is 
expressly permitted by the IRC.
    4. 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.
    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.
    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 the 
NARA Act of 1984, for the use of those agencies in conducting records 
management studies.
    7.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, 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.
    8. To inform a claimant/beneficiary that his/her representative is 
eligible to participate in the demonstration project or has been 
disqualified or suspended from participating in the demonstration 
project and/or from further representation before SSA.
    9. To a State agency or other certifying entity that uses such 
eligibility information in their certifying procedures.

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    10. To contractors under contract to SSA and/or under contract to 
another agency with funds provided by SSA, for the performance of 
research, evaluation and statistical activities directly relating to 
this system of records.

Policies and Practices for Storing, Retrieving, Accessing, Retaining 
and Disposing of Records in the System:

Storage:

    Records in this system are stored electronically and in paper form.

Retrievability:

    Records in this system are indexed and retrieved by the name and 
SSN of the demonstration project applicant.

Safeguards:

    Security measures include the use of access codes to enter the 
computer system which will maintain the data, and the storage of 
computerized records in secured areas which 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. 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 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:

    Applications and supporting documentation are held for a minimum of 
7 years. Paper files are destroyed by shredding when deemed 
appropriate. Computer files are archived after 12 months.

System manager(s) and address:

    Director, Office of Policy, Planning and Evaluation, Office of 
Hearings and Appeals, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedure(s):

    An individual can determine if this system contains a record about 
him/her by writing to the systems 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. (20 
CFR 401.45.)
    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. 
(20 CFR 401.45.) 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 401.45).
    Record access procedure(s):
    Same as Notification procedures. Requesters also should reasonably 
specify the record contents they are seeking. These access 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:
    Applications, supporting documentation, eligibility criteria, and 
corresponding eligibility determinations. As a part of the eligibility 
criteria, SSA may compare records from the Representative 
Disqualification/Suspension Information System (60-0219) with 
those contained in the NARPPF system.
    Systems exempt from certain provisions of the Privacy Act:
    None.
[FR Doc. 04-28303 Filed 12-27-04; 8:45 am]
BILLING CODE 4191-02-P