[Federal Register Volume 78, Number 77 (Monday, April 22, 2013)]
[Notices]
[Pages 23811-23815]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-09343]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2013-0015]


Privacy Act of 1974; Proposed New Routine Uses and System of 
Records Alterations

AGENCY: Social Security Administration (SSA).

ACTION: Proposed New Routine Uses and System of Records Alterations.

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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 modify the 
system of records entitled, Master Representative Payee File, 60-0222 
(hereinafter referred to as the Representative Payee SOR). We propose 
modifying the categories of records, record source categories, and 
adding two new routine uses to the Representative Payee SOR. We propose 
adding criminal history information and representative payee annual 
accounting reports to the categories of records. We propose adding 
third parties, contractors, other Federal agencies, and SSA's Prisoner 
Update Processing System of Records, 60-0269 as new record source 
categories. The first new

[[Page 23812]]

routine use will allow us to disclose representative payee (RP) and RP 
applicant personally identifiable information (PII) to conduct criminal 
background checks. The second routine use will allow us to disclose RP 
and RP applicant PII to Federal, State, and local law enforcement 
agencies and private security contractors to protect the safety of SSA 
employees and customers or assist in the investigation or prosecution 
of activities that disrupt the operation of SSA facilities. We discuss 
the revisions to the categories of records in the system, the record 
source categories, and the routine uses in detail in the Supplementary 
Information section below. We invite public comment on this proposal.

DATES: We filed a report of the system of records alterations and new 
routine uses with the Chairman of the Senate Committee on Homeland 
Security and Governmental Affairs, the Chairman of the House Committee 
on Oversight and Government Reform, and the Director, Office of 
Information and Regulatory Affairs, Office of Management and Budget 
(OMB) on April 16, 2013. The routine uses will become effective on May 
25, 2013 unless we receive comments before that date that require 
further consideration.

ADDRESSES: Interested persons may comment on this publication by 
writing to the Executive Director, Office of Privacy and Disclosure, 
Office of the General Counsel, Social Security Administration, 617 
Altmeyer Building, 6401 Security Boulevard, Baltimore, Maryland 21235-
6401 or through the Federal e-Rulemaking Portal at http://www.regulations.gov. All comments we receive will be available for 
public inspection at the above address and will be posted to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Anthony Tookes, Government Information 
Specialist, Privacy Implementation Division, Office of Privacy and 
Disclosure, Office of the General Counsel, Social Security 
Administration, 617 Altmeyer Building, 6401 Security Boulevard, 
Baltimore, Maryland 21235-6401, (410) 966-0097, email: 
[email protected].

SUPPLEMENTARY INFORMATION: 

I. Background and Purpose of the Proposed Changes to the Categories of 
Records, Record Source Categories, and New Routine Uses

General Background

    The Social Security Administration (SSA) is establishing new data 
collection procedures to strengthen its RP selection process. An RP is 
an individual or organization appointed by SSA to receive Social 
Security or Supplemental Security Income benefits, or both, for someone 
who cannot manage or direct the management of their money. The RP's 
primary responsibility is to use the beneficiary's benefits to pay for 
the beneficiary's current and foreseeable needs.
    We maintain information that we collect from RP applicants in the 
Master Representative Payee File system of records (hereinafter, we 
refer to it as the RP SOR). The RP SOR describes how we may disclose 
the RP information contained in the system.
    The purpose of the additional data collection is to assist us in 
identifying RPs and RP applicants with serious criminal convictions and 
ensure that we adhere to a consistent process in determining their 
suitability. The Social Security Act prohibits certain groups of 
persons from serving as representative payees due to their criminal 
history. For example, the Act prohibits from serving as representative 
payees persons convicted of Social Security fraud and persons who are 
fleeing to avoid prosecution, or custody or confinement after 
conviction, of a felony, or an attempt to commit a felony. In other 
cases, the Act gives us discretion to determine whether it would be 
appropriate to appoint someone as a representative payee despite his or 
her criminal history.
    During the initial RP interview, we verify applicants' information 
against our prisoner and fugitive felon records. We verify allegations 
of criminal history data against third party sources and maintain the 
results in the RP SOR. If the applicant has an existing record with us, 
such as a Master Beneficiary Record (MBR), Supplemental Security Record 
(SSR), or Prisoner Update Processing System (PUPS) record, we review 
our records to determine if that information has any bearing on the RP 
applicant's suitability. We also gather information about the nature of 
any self-reported criminal convictions; fugitive felony history or 
periods of incarceration recorded on the PUPS record; the beginning and 
ending dates of confinement; types of conviction (e.g., felony or 
misdemeanor); type of crime (e.g., robbery or forgery); and any pending 
civil or criminal charges. Applicants can provide details about their 
incarceration or unsatisfied felony warrant. If criminal information is 
incomplete, applicants must produce documentation that provides this 
information.
    The first new routine use in the RP SOR will permit us to disclose 
RP and RP applicant PII to third parties, contractors, or other Federal 
agencies that provide PII verification and other data to support our 
efforts to conduct criminal background checks.
    The second routine use is a general routine use recently added to 
other SSA systems of records. It will enable us to disclose information 
to Federal, State, and local law enforcement agencies and private 
security contractors to enable them to protect our employees and 
customers. Furthermore, it enables us to assist in prosecutions with 
respect to activities that affect such safety and security, or 
activities that disrupt the operation of our facilities.
    Additionally, we propose some minor alterations to the system of 
records to more accurately reflect the information we use and maintain 
in this system. This includes expanding the categories of records and 
the record source categories.

II. Proposed New Routine Uses

A. Representative Payee Background Checks

    The Privacy Act requires that agencies publish in the Federal 
Register notification of ``each routine use of the records contained in 
the system, including the categories of users and the purpose of such 
use.'' 5 U.S.C. 552a(e)(4)(D). This new routine use, numbered 19, for 
the Representative Payee SOR will allow disclosure of RP and RP 
applicant PII to third parties, contractors, or other Federal agencies, 
to conduct criminal background checks. The routine use reads as 
follows:

    To third parties, contractors, or other Federal agencies, as 
necessary, to conduct criminal background checks and to obtain 
criminal history information on representative payees and 
representative payee applicants.

B. To Federal, State, and Local Law Enforcement To Protect the Safety 
of SSA Employees and Customers

    This new routine use, numbered 20, will allow disclosure of RP and 
RP applicant PII to law enforcement agencies. The routine use reads as 
follows:
    To Federal, State, and local law enforcement agencies and 
private security contractors as appropriate, if 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 
disrupt the operation of SSA facilities.

III. Compatibility of Routine Uses

    We may disclose information when the purpose is compatible with the

[[Page 23813]]

purpose for which we collected the information and when re-disclosure 
is supported by published routine uses (20 CFR 401.150).
    Third parties, contractors, and other Federal agencies, as 
necessary, will use RP PII to conduct background checks. We will use 
the information derived from the background checks in our suitability 
evaluation to determine if an RP or RP applicant has committed a 
serious crime.
    Disclosure of PII to Federal, State, and local law enforcement 
agencies and private security contractors to enable them to protect SSA 
employees and customers is compatible with our health and safety 
policies.
    For these reasons, we find that the aforementioned routine uses 
meet the statutory and regulatory compatibility requirements.

IV. Effect of the Routine Use on the Rights of Individuals

    We will adhere to the provisions of the Privacy Act and all other 
applicable Federal statutes that govern our use and disclosure of the 
information we obtain from third parties when we evaluate the 
suitability of RP applicants. We will only perform background checks on 
RP applicants who we advise via the RP application form that we will 
collect, verify, maintain, and use such information only as provided 
for by Federal law. Therefore, we do not anticipate that the routine 
uses will have any unwarranted adverse effect on the privacy or other 
rights of individuals.

Kirsten J. Moncada,
Executive Director.

Social Security Administration Notice of System of Records Alterations 
and Proposed New Routine Uses Required by the Privacy Act of 1974

System Number:
    60-0222

System name:
    Master Representative Payee File, Social Security Administration 
(SSA)

Security Classification:
    None.

System Location:
    SSA, National Computer Center, 6201 Security Boulevard, Baltimore, 
Maryland 21235. The system database is available by direct electronic 
access by Social Security field offices (FO). FO addresses and 
telephone numbers can be found in local telephone directories under 
``Social Security Administration'' (SSA), or by accessing http://www.ssa.gov/regions/regional.html.

Categories of individuals covered by the system:
    This system maintains information about all payees and payee 
applicants, including persons whose certifications as representative 
payees have been revoked or terminated on or after January 1, 1991; 
persons who have been convicted of a violation of sections 208, 811, 
and 1632 of the Social Security Act, as amended, persons convicted 
under other statutes in connection with services as a representative 
payee, and others whose certification as a representative payee SSA has 
revoked due to misuse of funds paid under Title II and Title XVI of the 
Social Security Act; persons who are acting or have acted as 
representative payees; representative payee applicants who were not 
selected to serve as representative payees; representative payee 
applicants who have been convicted of an offense resulting in more than 
one (1) year imprisonment; payees and payee applicants who have an 
outstanding felony warrant; organizational payees who have been 
authorized to collect a fee for their service; and beneficiaries/
applicants who are being served by representative payees.

Categories of records in the system:
    Records in this system consist of:
    1. Names and Social Security numbers (SSNs) (or employer 
identification numbers (EINs)) of representative payees whose 
certifications for payment of benefits as representative payees have 
been revoked or terminated on or after January 1, 1991, because of 
misuse of benefits under Title II or Title XVI of the Social Security 
Act;
    2. Names and SSNs (or EINs) of all persons convicted of violations 
of sections 208, 811, and 1632 of the Social Security Act, as amended;
    3. Names, addresses, and SSNs (or EINs) of persons convicted of 
violations of statutes other than sections 208 and 1632 of the Social 
Security Act, when such violations were committed in connection with 
the individual's service as a Social Security representative payee;
    4. Names, addresses, SSNs, and information about representative 
payee or representative payee applicant self-reported crimes, 
outstanding felony warrants, or imprisonment for a period exceeding one 
(1) year (an indicator will be used in the system to identify persons 
identified as having an outstanding felony warrant);
    5. Names, addresses, and SSNs (or EINs) of representative payees 
who are receiving benefit payments pursuant to section 205(j) or 
section 1631(a)(2) of the Social Security Act;
    6. Names, addresses, and SSNs of persons for whom representative 
payees are reported to be providing representative payee services under 
section 205(j) or section 1631(a)(2) of the Social Security Act;
    7. Names, addresses, and SSNs of representative payee applicants 
who were not selected as representative payees;
    8. Names, addresses, and SSNs of persons who were terminated as 
representative payees for reasons other than misuse of benefits paid to 
them on behalf of beneficiaries/recipients;
    9. Information concerning the representative payee's relationship 
to the beneficiaries/recipients they serve;
    10. Names, addresses, EINs, and qualifying information of 
organizations authorized to charge a fee for providing representative 
payee services;
    11. Codes which indicate the relationship (other than familial) 
between the beneficiaries/recipients and the persons who have custody 
of the beneficiaries/recipients;
    12. Dates and reasons for payee terminations (e.g., performance not 
acceptable, death of payee, beneficiary in direct payment, etc.) and 
revocations;
    13. Codes indicating whether representative payee applicants were 
selected or not selected;
    14. Dates and reasons representative payee applicants were not 
selected to serve as payees, dates and reasons for changes of payees 
(e.g., beneficiary in direct payment, a criminal history etc.);
    15. Amount of benefits misused;
    16. Identification number assigned to the claim on which the misuse 
occurred;
    17. Date of the determination of misuse;
    18. Information about a felony conviction reported by the 
representative payee;
    19. Criminal history information obtained from SSA databases, third 
parties, contractors, and other Federal agencies; and,
    20. Annual payee accounting reports.

Authority for maintenance of the system:
    Sections 205(a), 205(j), 208, 811, 1631(a), and 1632 of the Social 
Security Act, as amended, and the Social Security Protection Act of 
2004 (Pub. L. 108-203).

Purpose(s):
    Information maintained in this system will assist SSA in the 
selection process of a representative payee by enabling Social Security 
field offices to better screen applicants to determine their

[[Page 23814]]

suitability to become representative payees. SSA also will use the data 
for management information and workload projection purposes. 
Additionally, we will use the information to prepare annual reports to 
Congress on representative payee activities.

Routine uses of records covered by the system, including categories of 
users and the purposes of such uses:
    Disclosure 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 will 
not be disclosed unless authorized by a statute, the Internal Revenue 
Service (IRS), or IRS regulations.
    1. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such tribunal, when:
    (a) The Social Security Administration (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 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, a court or other 
tribunal, or another party before the tribunal, is relevant and 
necessary to the litigation, provided, however, that in each case, SSA 
determines that such disclosure is compatible with the purpose for 
which the records were collected.
    2. To a congressional office, in response to an inquiry from that 
office made at the request of the subject of the records.
    3. To the General Services Administration and the National Archives 
and Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as 
amended by the NARA Act of 1984, information that is not restricted 
from disclosure by Federal law for the use of those agencies in 
conducting records management studies.
    4. To the Department of Veterans Affairs (DVA), Regional Office, 
Manila, Philippines, for the administration of the Social Security Act 
in the Philippines and other parts of the Asia-Pacific region through 
services and facilities of that agency.
    5. To the Department of State for administration of the Social 
Security Act in foreign countries through services and facilities of 
that agency.
    6. To the American Institute, a private corporation under contract 
to the Department of State, for administering the Social Security Act 
in Taiwan through facilities and services of that agency.
    7. To DOJ for:
    (a) Investigating and prosecuting violations of the Social Security 
Act to which criminal penalties attach,
    (b) Representing the Commissioner of Social Security, and,
    (c) Investigating issues of fraud or violations of civil rights by 
officers or employees of the SSA.
    8. To the Office of the President, for responding to an inquiry 
received from the subject of the records or a third party acting on 
behalf of the subject.
    9. To DVA for the shared administration of DVA's and the SSA's 
representative payee programs.
    10. To contractors and other Federal Agencies, as necessary, for 
the purpose of assisting the SSA in the efficient administration of its 
programs. We will disclose information under this routine use only in 
situations in which SSA may enter into a contractual or similar 
agreement to obtain assistance in accomplishing an SSA function 
relating to this system of records.
    11. To a third party such as a physician, social worker, or 
community service worker, who has, or is expected to have, information, 
which is needed to evaluate one or both of the following:
    (a) The claimant's capability to manage or direct the management of 
his or her benefits.
    (b) Any case in which disclosure aids investigation of suspected 
misuse of benefits, abuse or fraud, or is necessary for program 
integrity, or quality appraisal activities.
    12. To a third party, where necessary, information pertaining to 
the identity of a payee or payee applicant, the fact of the person's 
application for or service as a payee, and, as necessary, the identity 
of the beneficiary, to obtain information on employment, sources of 
income, criminal justice records, stability of residence, and other 
information relating to the qualifications and suitability of 
representative payees or representative payee applicants to serve as 
representative payees, or their use of the benefits paid to them under 
section 205(j) or section 1631(a) of the Social Security Act.
    13. To a claimant or other individual authorized to act on his or 
her behalf information concerning the status of his or her 
representative payee or the status of the application of a person 
applying to be his or her representative payee, and information 
pertaining to the address of a representative payee applicant or a 
selected representative payee when this information is needed to pursue 
a claim for recovery of misapplied or misused benefits.
    14. To the Railroad Retirement Board (RRB) for the administration 
of RRB's representative payment program.
    15. To student volunteers, persons working under a personal 
services contract, 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.
    16. To the Office of Personnel Management (OPM) for the 
administration of OPM's representative payee programs.
    17. To the Secretary of Health and Human Services or to any State, 
any record or information requested in writing by the Secretary for the 
purpose of administering any program administered by the Secretary, if 
records or information of such type were so disclosed under applicable 
rules, regulations and procedures in effect before the date of 
enactment of the Social Security Independence and Program Improvements 
Act of 1994.
    18. To appropriate Federal, State, and local agencies, entities, 
and persons when:
    (a) We suspect or confirm a compromise of security or 
confidentiality of information;
    (b) we determine that as a result of the suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
risk of identity theft or fraud, or harm to the security or integrity 
of this system or other systems or programs that rely upon the 
compromised information; and
    (c) we determine that disclosing the information to such agencies, 
entities, and persons will assist us in our efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.
    19. To third parties, contractors, or other Federal Agencies, as 
necessary, to conduct criminal background checks and to obtain criminal 
history information on representative payees and representative payee 
applicants.
    20. To Federal, State, and local law enforcement agencies and 
private security contractors as appropriate, if 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

[[Page 23815]]

that affect such safety and security, or activities that disrupt the 
operation of SSA facilities.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    We maintain records in this system in paper form and system 
generated forms and in electronic files.

Retrievability:
    We will retrieve records by both SSN and name. If we deny an 
application because the applicant submitted fraudulent evidence, or if 
we are verifying evidence we suspect to be fraudulent, we will retrieve 
records by the applicant's name plus month and year of birth, or by the 
applicant's name plus the eleven-digit reference number of the 
disallowed application.

Safeguards:
    We have established safeguards for automated records in accordance 
with our Information Systems Security Handbook. These safeguards 
include maintaining the magnetic tapes and discs within a secured 
enclosure attended by security guards. Anyone entering or leaving this 
enclosure must have a special badge we issue only to authorized 
personnel.
    For computerized records, we or our contractors, including 
organizations administering our programs under contractual agreements, 
transmit information electronically between Central Office and field 
office locations. Safeguards include a lock/unlock password system, 
exclusive use of leased telephone lines, a terminal-oriented 
transaction matrix, and an audit trail. Only authorized personnel who 
have a need for the records in the performance of their official duties 
may access paper files.
    We annually provide to all our employees and contractors 
appropriate security guidance and training that include reminders about 
the need to protect PII and the criminal penalties that apply to 
unauthorized access to, or disclosure of, PII. See 5 U.S.C. 552a(i)(1). 
Furthermore, employees and contractors with access to databases 
maintaining PII must sign a sanction document annually, acknowledging 
their accountability for inappropriately accessing or disclosing such 
information.

Retention and disposal:
    We retain and destroy this information in accordance with the 
National Archives and Records Administration approved records schedules 
N1-47-09-04, Master Beneficiary Record, and N1-47-09-5, Supplemental 
Security Income Record. We retain most paper forms only until we film 
and verify them for accuracy. We then shred the paper records. We 
retain electronic and updated microfilm and microfiche records in 
accordance with the approved records schedules. We update all tape, 
discs, microfilm, and microfiche files periodically. We erase out-of-
date magnetic tapes and discs and we shred out-of-date microfiches.

System manager(s) and address:
    Associate Commissioner, Office of Income Security Programs, Social 
Security Administration, Room 252 Altmeyer Building, 6401 Security 
Boulevard, Baltimore, Maryland 21235.

Notification procedures:
    Persons can determine if this system contains a record about them 
by writing to the system manager at the above address and providing 
their name, SSN, or other information that may be in this system of 
records that will identify them. 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.
    Persons requesting notification of records in person must provide 
their name, SSN, or other information that may be in this system of 
records that will identify them, as well as provide an identity 
document, preferably with a photograph, such as a driver's license. 
Persons lacking identification documents sufficient to establish their 
identity must certify in writing 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. Persons requesting notification by 
telephone must verify their identity by providing identifying 
information that parallels the information in the record about which 
notification is sought. If we determine that the identifying 
information the person provides by telephone is insufficient, we will 
require the person to submit a request in writing or in person. If a 
person requests information by telephone on behalf of another person, 
the subject person must be on the telephone with the requesting person 
and with 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. These procedures are in 
accordance with our regulations at 20 CFR 401.40 and 401.45.

Record access procedures:
    Same as notification procedures. Persons must also reasonably 
specify the record contents they are seeking. These procedures are in 
accordance with our regulations at 20 CFR 401.40(c).

Contesting record procedures:
    Same as Notification procedures. Requester should also reasonably 
identify the record, specify the information they are contesting and 
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 our regulations at 20 CFR 401.65(a).

Record source categories:
    Information in this system is obtained from representative payee 
applicants and representative payees; third parties, contractors, and 
other Federal agencies; the SSA Office of Inspector General; and other 
SSA systems of records such as the Claims Folder System, 60-0089, 
Master Beneficiary Record, 60-0090, Supplemental Security Income Record 
and Special Veterans Benefits, 60-0103, Master Files of SSN Holders and 
SSN Applications, 60-0058, Recovery of Overpayments, Accounting and 
Reporting, 60-0094, and Prisoner Update Processing System, 60-0269.

Systems exempted from certain provisions of the Privacy Act:
    None.

[FR Doc. 2013-09343 Filed 4-19-13; 8:45 am]
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