[Federal Register Volume 74, Number 81 (Wednesday, April 29, 2009)]
[Notices]
[Pages 19617-19620]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-9835]
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SOCIAL SECURITY ADMINISTRATION
Privacy Act of 1974, as Amended; Proposed Alteration to Existing
System of Records, New Routine Use, and General Housekeeping Changes
AGENCY: Social Security Administration (SSA).
ACTION: Proposed altered system of records, new routine use, and
general housekeeping changes.
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SUMMARY: We are issuing public notice of our intent to alter, add a new
routine use, and make minor housekeeping changes to an existing system
of records in accordance with the Privacy Act (5 U.S.C. 552a(e)(4)) and
(e)(11). The affected system of records is the Administrative Law Judge
(ALJ) Working File on Claimant Cases (60-0005), hereinafter referred to
as the ALJ Working File. The proposed alterations will result in the
following changes:
Expansion of the purpose of the system of records to
include the electronic internal working file of the administrative law
judges in the hearing offices. This working file is accessed primarily
by hearing office personnel viewing documents stored in the Private
Section of eView, an electronic interface.
Inclusion of our data protection routine use that provides
for the release of information in the event of an unauthorized release
of personally identifiable information. We published this routine use
in the Federal Register on December 10, 2007 (72 FR 69723); and
Updates of various cited Federal Government regulations
and minor editing, including correcting miscellaneous and stylistic
format errors.
The proposed alteration, new routine use, and housekeeping changes are
discussed in the SUPPLEMENTARY INFORMATION section below. We invite
public comments on this proposal.
DATES: We filed a report of the proposed altered system of records and
added routine use with the Chairman of the Senate Committee on Homeland
Security and 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 April 23,
2009. The proposed altered system of records will become effective on
June 1, 2009, unless we receive comments before that date that would
result in a contrary determination.
ADDRESSES: Interested individuals may comment on this publication by
writing to the Deputy Executive Director, Office of Privacy and
Disclosure, Office of the General Counsel, Social Security
Administration, 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. Neil Etter, Social Insurance
Specialist, Disclosure Policy Development and Services Division I,
Office of Privacy and Disclosure, Office of the General Counsel, Social
Security Administration, Room 3-A-6 Operations Building, 6401 Security
Boulevard, Baltimore, Maryland 21235-6401, telephone: (410) 965-8028,
e-mail: [email protected].
SUPPLEMENTARY INFORMATION:
I. Background and Purpose of the Proposed Alteration and New Routine
Use for the ALJ Working File
A. General Background Relating to the Proposed Alteration
Under Titles II and XVI of the Social Security Act, an individual
who has received a Federal reviewing official decision, a prototype
process determination, or a reconsideration determination on a claim
for benefits has a right to a hearing before an ALJ. In the past,
hearing offices kept their records in paper form. New technology will
allow us to store information electronically and, therefore, we need to
update this system of records to reflect the change. As a result,
records in this system may be in paper and electronic media formats.
B. Discussion of Proposed Alteration to the ALJ Working File
During the course of adjudicating a claim at the hearing level,
ALJs and members of their staffs often create notes and instructions
regarding the evidence, testimony, legal theories, merits of the case,
and opinions and advice about a case. While there may be both
electronic and paper records gathered and maintained in the ALJ Working
File, this system covers any documents maintained electronically, such
as any documents viewed in the Private Section of eView. eView is the
interface that allows authorized users to view documents stored
electronically. This Private Section is accessible only to authorized
SSA staff. Additionally, this proposed alteration provides that any
movement of the paper-based records in the ALJ Working File to the new
electronic environment does not affect:
[[Page 19618]]
--The categories of individuals covered by or categories of records
contained in this system;
--The purpose, storage, retrieval, or notification policies; and
--The existing routine uses of information contained in this system.
Maintaining information in the Private Section ensures that the
information will not be integrated or intermingled with other
information contained in the electronic environment.
Some of the documents are compiled in anticipation of litigation
and, thus, may be exempt from the access provisions of the Privacy Act
(5 U.S.C. 552a(d)(5)). We review requests for access under the Freedom
of Information Act and as described in the Social Security Ruling, SSR
92-1p: Policy Interpretation Ruling: Request Under the Privacy Act or
the Freedom of Information Act for Access to Records and for Disclosure
of Material Maintained by the Office of Hearings and Appeals.
C. Discussion of New Routine Use
As recommended by the President's Identity Theft Task Force, as
mandated by the Office of Management and Budget (OMB) in Memorandum M-
07-16, and in accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and
(11)), we established a routine use disclosure that specifically
permits the disclosure of SSA information in connection with response
and remediation efforts in the event of an unintentional release of
agency information, otherwise known as a ``data security breach.'' Such
a routine use serves to protect the interests of the people whose
information is at risk by allowing the agency to take appropriate steps
to facilitate a timely and effective response to a data breach. (For
more information, please see: Federal Register (Vol. 72, No. 236)
Monday, December 10, 2007.)
II. Records Storage Medium and Safeguards for the Information
Maintained in the Proposed Altered ALJ Working File System of Records
The proposed altered ALJ Working File system of records will
maintain information in electronic and paper form. We permit only
authorized personnel who have a need for the information in the
performance of their official duties to access the information.
Security measures include the use of access codes to enter the computer
system that will maintain the data, and storage of the computerized
records in secured areas that are accessible only to employees who
require the information in performing their official duties. Any
related records maintained in paper files are kept in locked cabinets
or in otherwise secure areas.
III. Effects of the Proposed Alteration and New Routine Use Disclosure
to the ALJ Working File System of Records on the Rights of Individuals
A. Discussion Relating to the Proposed Alteration
The proposed alteration to the ALJ Working File system of records
pertains to our responsibilities in continuing to expand the record
storage medium to accommodate increasing demand to maintain records in
electronic form. We will adhere to all applicable statutory
requirements, including those under the Social Security Act and the
Privacy Act, in carrying out our responsibilities. Therefore, we do not
anticipate that the proposed alteration to these systems will have an
unwarranted adverse effect on the rights of individuals.
B. Discussion Relating to the Added Routine Use
The new routine use would serve to protect the interests of persons
whose information could be at risk. We would take appropriate steps to
facilitate a timely and effective response to a security breach of our
data, thereby improving our ability to prevent, minimize, or remedy any
harm that may result from a compromise of data maintained in our
systems of records. We do not anticipate that the new routine use will
have any unwarranted adverse effect on the rights of persons about whom
data might be disclosed.
IV. Compatibility of Proposed Routine Use
As mandated by OMB, as recommended by the President's Identity
Theft Task Force, and in accordance with the Privacy Act (5 U.S.C.
552a(a)(7) and (b)(3)) and our disclosure regulation (20 CFR part 401),
we are permitted to release information under a published routine use
for a purpose that is compatible with the purpose for which we
collected the information. Section 401.120 of our regulations provides
that we will disclose information required by law. Because OMB has
mandated the publication of this routine use, the proposed routine use
is appropriate and meets the relevant statutory and regulatory
criteria. In addition, disclosures to other agencies, entities, and
persons when needed to respond to an unintentional release are
compatible with the reasons we collect the information, as helping to
prevent and minimize the potential for harm is consistent with taking
appropriate steps to protect information entrusted to us. See 5 U.S.C.
552a(e)(10).
V. Minor Housekeeping Changes in the Proposed Altered ALJ Working File
System of Records
We are doing some minor editing, including correcting miscellaneous
stylistic and formatting errors.
Dated: April 23, 2009.
Michael J. Astrue,
Commissioner.
Social Security Administration Notice of Altered System of Records
Required by the Privacy Act of 1974, as Amended
System number:
60-0005.
System name:
Administrative Law Judge Working File on Claimant Cases, Social
Security Administration (SSA), Office of Disability Adjudication and
Review (ODAR).
Security classification:
None.
System location:
SSA, ODAR, Local hearing offices. Access Social Security
Administration's Internet Web site: http://www.socialsecurity.gov/foia/bluebook/app_f.htm for local hearing office address information.
Categories of individuals covered by the system:
Claimants--Title II (Retirement and Survivors Insurance (RSI), and
Disability Insurance (DI)); Title XI (claimants subject to Professional
Standards Review); Title XVI (Supplemental Security Income (SSI)).
Categories of records in the system:
We establish these files in the hearing office as a record of
actions taken on each particular case. The file may contain copies of
various documents such as the Notice of Hearing; Decision on Dismissal;
the Exhibit List when one is prepared; a copy of congressional
inquiries and responses thereto; as well as copies of post-adjudicative
material received and any responses made. Official copies of these
materials are placed in claim folders. These files also contain working
papers such as notes taken during the hearing by the administrative law
judge (ALJ); case analyses prepared by hearing office employees; case
file cover sheets; attorney worksheets; working papers of hearing
office staff; and other developmental notes and instructional sheets.
Authority for maintenance of the system:
Sections 205 and 1631(d)(1) of the Social Security Act, as amended.
[[Page 19619]]
Purpose(s):
We use the records in this system of records to reference the
actions we take in a particular case at the hearing level. For example,
during the course of adjudicating the claim at the hearing level, ALJs
and members of their staffs often construct documents for only internal
purposes regarding the evidence, testimony, legal theories, merits of
the case, and opinions and advice regarding other factors involved in
the case. While there may be both electronic and paper records in the
ALJ Working File, this system covers any documents that are gathered,
maintained, and viewed electronically in the Private Section of eView.
eView is the interface that allows authorized users to view documents
stored electronically. The Private Section is accessible only to
authorized SSA staff.
Routine uses of records maintained in the system of records, including
categories of users and the purposes of such use:
Routine use disclosures are 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 a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. 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 or her official capacity; or
(c) any SSA employee in his or her individual capacity where DOJ
(or SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) the United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any of
its components;
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal, 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.
3. To IRS, as necessary, for the purpose of auditing SSA's
compliance with safeguard provisions of the IRC, as amended.
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 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, for the use of those agencies in
conducting records management studies.
6. 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 they need access to personally
identifiable information in SSA records in order to perform their
assigned agency functions.
7. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, if information is
necessary:
(a) 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
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupts the operation of SSA facilities.
8. To the appropriate Federal, State, and local agencies, entities,
and persons when (1) we suspect or confirm that the security or
confidentiality of information in this system of records has been
compromised; (2) we determine that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs of SSA that rely
upon the compromised information; and (3) we determine that disclosing
the information to such agencies, entities, and persons is necessary to
assist in our efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm. SSA will use
this routine use to respond only to those incidents involving an
unintentional release of our records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
We maintain and store records in this system in paper and in
electronic form.
Retrievability:
We retrieve records by Social Security number (SSN) or name.
Safeguards:
We will store the records in the ALJ Working File system of records
in electronic media (e.g., computer data systems) and in paper forms.
We permit only authorized SSA personnel who have a need for the
information in the performance of their official duties to access the
information. Security measures include the use of access codes
(personal identification number (PIN) and password) to enter our
computer systems that house the data.
Additionally, we give all of our employees and our contract
employees annual reminders of the need to protect personal information
to which they have access for official purposes and remind them of the
criminal penalties that apply to unauthorized access to, or disclosure
of, personal information. See 5 U.S.C. 552a(i)(1).
Retention and disposal:
We will destroy electronic and paper records by deleting them 2
years after the final action is taken.
System manager(s) and address:
Deputy Commissioner, Office of Disability Adjudication and Review,
Social Security Administration, 5107 Leesburg Pike, Falls Church, VA
22041.
Notification procedures:
A person can determine if this system contains a record about them
by writing to the hearing office (access http://www.socialsecurity.gov/foia/bluebook/app_f.htm for address information).
Persons can also determine if this system contains a record about
them by writing to the system manager(s) at the above address and
providing their name, SSN, or other information that may be in the
system of records that will identify them. Persons 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, such
as voter registration card, etc. Persons lacking identification
documents sufficient to establish their identity must certify in
writing that they are the person they claimed to be and that they
understand that the knowing and willful request for, or acquisition of,
a record pertaining to another person under false pretenses is a
criminal offense.
Persons requesting notification by telephone must verify their
identity by providing identifying information that
[[Page 19620]]
parallels the information in the record to which notification is being
requested. If we determine that the identifying information the person
provides by telephone is insufficient, the person will be required to
submit a request in writing or in person. If a person requests
information by telephone on behalf of another individual, the subject
person must be on the telephone with the requesting person and us in
the same phone call. We will establish the subject person's identity
(his or 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 or her consent to provide information to the
requesting person.
Persons requesting notification by mail must include a notarized
statement to us to verify their identity or must certify in the request
that they are the person they claim to be and that they understand that
the knowing and willful request for, or acquisition of, a record
pertaining to another person 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 record contents being sought. These procedures are in
accordance with SSA Regulations (20 CFR 401.40(c)). Some of the
documents are compiled in anticipation of litigation and, thus, may be
exempt from the access provisions of the Privacy Act (5 U.S.C.
552a(d)(5)).
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(a)).
Record source categories:
Information in this system is obtained from claimants; their
representatives; appropriate members of the public, SSA, and other
Federal, State, and local agencies.
Systems exempted from certain provisions of the Privacy Act:
None.
[FR Doc. E9-9835 Filed 4-28-09; 8:45 am]
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