[Federal Register Volume 83, Number 245 (Friday, December 21, 2018)]
[Notices]
[Pages 65779-65782]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-27665]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2018-0042]


Privacy Act of 1974; System of Records

AGENCY: Office of Retirement and Disability Policy, Office of Research, 
Demonstration, and Employment Support, Social Security Administration 
(SSA).

ACTION: Notice of a New System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, we are issuing 
public notice of our intent to establish a new system of records 
entitled the Disability Analysis File (DAF) and the National 
Beneficiary Survey (NBS) Data System, (60-0382). This notice publishes 
details of the system as set forth under the caption SUPPLEMENTARY 
INFORMATION.

DATES: This system of records is effective upon its publication in 
today's Federal Register, with the exception of the routine uses, which 
are effective January 22, 2019. We invite public comment on the routine 
uses or other aspects of this system of records. In accordance with 5 
U.S.C. 552a(e)(4) and (e)(11), the public is given a 30-day period in 
which to submit comments. Please submit any comments by January 22, 
2019.

ADDRESSES: The public, Office of Management and Budget (OMB), and 
Congress may comment on this publication by writing to the Executive 
Director, Office of Privacy and Disclosure, Office of the General 
Counsel, Social Security Administration, Room G-401 West High Rise, 
6401 Security Boulevard, Baltimore, Maryland 21235-6401, or through the 
Federal e-Rulemaking Portal at http://www.regulations.gov, please 
reference docket number SSA-2018-0042. All comments we receive will be 
available for public inspection at the above address and we will post 
them to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Andrea Huseth, Government Information 
Specialist, Privacy Implementation Division, Office of Privacy and 
Disclosure, Office of the General Counsel, SSA, Room G-401 West High 
Rise, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, 
telephone: (410) 965-6868, email: [email protected] and Tristin 
Dorsey, Government Information Specialist, Privacy Implementation 
Division, Office of Privacy and Disclosure, Office of the General 
Counsel, SSA, Room G-401 West High Rise, 6401 Security Boulevard, 
Baltimore, Maryland 21235-6401, telephone: (410) 965-2950, email: 
[email protected].

SUPPLEMENTARY INFORMATION: The DAF is an analytical file consisting of 
agency program data in an easy-to-use format. Each year, we create a 
new version of the file. The DAF contains historical, longitudinal, and 
one-time data \1\ on all beneficiaries with disabilities who were 
between age 18 and retirement age and who participated in the Social 
Security Disability Insurance (SSDI) or Supplemental Security Income 
(SSI) programs at any time between 1996 and the year of the file. The 
file also includes data on SSI child beneficiaries who participated in 
the SSI program.
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    \1\ Historical data provides characteristics about specific 
incidents that occurred in the past. Longitudinal data is 
information provided at intervals over time to indicate change over 
time, e.g., benefit amounts in each months from 1994 through the end 
of the file. One-time data provides information about a beneficiary 
that does not change over time, e.g., sex or date of birth.
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    The NBS collects data from a national sample of SSDI and SSI 
beneficiaries, covering a wide range of topics including socio-
demographic information, limiting conditions, health

[[Page 65780]]

and functional status, health insurance, interest in work, barriers to 
work, use of services, employment, income, and experience with Social 
Security programs including Ticket to Work.
    In accordance with 5 U.S.C. 552a(r), we have provided a report to 
OMB and Congress on this new system of records.

    Dated: October 1, 2018.
Mary Zimmerman,
Acting Executive Director, Office of Privacy and Disclosure, Office of 
the General Counsel.
SYSTEM NAME AND NUMBER
    Disability Analysis File (DAF) and the National Beneficiary Survey 
(NBS) Data System, 60-0382.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Social Security Administration, Office of Retirement and Disability 
Policy, Office of Research, Demonstration, and Employment Support, 6401 
Security Boulevard, Baltimore, Maryland 21235.

SYSTEM MANAGER(S):
    Social Security Administration, Deputy Commissioner for Retirement 
and Disability Policy, Office of Research, Demonstration, and 
Employment Support, 6401 Security Boulevard, Baltimore, Maryland 21235, 
[supcaret][email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 234, 1106, and 1110 of the Social Security Act (42 U.S.C. 
434, 1306, and 1310) and SSA Regulations (20 CFR part 401.165).

PURPOSE(S) OF THE SYSTEM:
    We use this system to perform research about SSDI and/or SSI 
beneficiaries. We may also grant outside researchers access to 
information in this system when conducting SSA-approved research. 
Internal and external researchers and statisticians use the data to 
perform in-depth research including, but not limited to, examining the 
medical, economic, and social consequences of limitations in work 
activity for individuals with disabilities and their families; program 
planning and evaluation; evaluation of proposals for policy and 
legislative changes; and, to determine the characteristics of program 
applicants and benefit recipients.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    We maintain information about past, present, and potential 
beneficiaries (e.g., denied applicants) of SSDI and SSI, as well as 
State Vocational Rehabilitation programs.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records in this system include name; Social 
Security number (SSN); socioeconomic data (e.g., education, work, and 
earnings); demographics, (e.g., date of birth, date of death, sex, and 
state of residence); medical characteristics, (e.g., number of 
limitations, self-reported health, mental health score); disability 
characteristics, (e.g. primary diagnosis code and dual eligibility); 
information concerning subjects, (e.g., health, self-reported health 
status, work experience, and family relationships); benefits, (e.g., 
combined SSI and SSDI); and use of medical and rehabilitative services, 
(e.g., agency closure type and service use).

RECORD SOURCE CATEGORIES:
    We obtain information in this system from other SSA systems of 
records, including but not limited to 60-0050, Completed Determination 
Record--Continuing Disability Determinations; 60-0058, Master File of 
Social Security Number (SSN) Holders and SSN Applications; 60-0090, 
Master Beneficiary Record; 60-0103, Supplemental Security Income Record 
and Special Veterans Benefits; 60-0221, Vocational Rehabilitation 
Reimbursement Case Processing System; 60-0295, Ticket-to-Work and Self-
Sufficiency Program Payment Database; and 60-0320, Electronic 
Disability (eDIB) Claim File.
    The system also contains data from system of records 60-0059, 
Earnings Recording and Self-Employment Income System. Only SSA staff 
have access to data from the Earnings Recording and Self-Employment 
Income System.
    We also obtain information in this system from other Federal 
agencies (e.g., the U.S. Census Bureau and U.S. Department of Education 
(e.g., the Rehabilitation Services Administration, for vocational 
rehabilitation program applicant or participant data)); surveys (e.g., 
the National Beneficiary Survey); and other extramural research 
conducted under agreements, contracts, and grants between SSA and other 
agencies or entities.

ROUTINE USES OF RECORDS COVERED IN THE SYSTEM, INCLUDING CATEGORIES OF 
USERS AND THE PURPOSES OF SUCH USES:
    We will disclose records pursuant to the following routine uses; 
however, we will not disclose any information defined as ``return or 
return information'' under 26 U.S.C. 6103 of the Internal Revenue Code, 
unless authorized by statute, the Internal Revenue Service (IRS), or 
IRS regulations.
    1. To contractors and Federal agencies, as necessary, for the 
purpose of assisting 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 with a third party to assist in accomplishing an agency 
function relating to this system of records.
    2. To contractors, cooperative agreement awardees, State agencies, 
Federal agencies, and Federal congressional support agencies for 
research and statistical activities that are designed to increase 
knowledge about present or alternative Social Security programs; are of 
importance to the Social Security program or the Social Security 
beneficiaries; or are for an epidemiological project that relates to 
the Social Security program or beneficiaries. We will disclose 
information under this routine use pursuant only to a written agreement 
with SSA.
    3. To organizations and agencies that have been granted on-site 
access only to the DAF-NBS system for research and statistics 
activities that are designed to increase knowledge about present or 
alternative Social Security programs; are of importance to the Social 
Security program or the Social Security beneficiaries; or are for an 
epidemiological project that relates to the Social Security program or 
beneficiaries. We will disclose information under this routine use 
pursuant only to a written agreement between the organization or agency 
and SSA.
    4. To student volunteers, individuals 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 (PII) in SSA records in order to perform their assigned 
agency functions.
    5. To a congressional office in response to an inquiry from that 
office made on behalf of, and at the request of, the subject of the 
record or third party acting on the subject's behalf.
    6. To the Office of the President, in response to an inquiry from 
that office made on behalf of, and at the request of, the subject of 
record or a third party acting on the subject's behalf.
    7. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such court or tribunal, when:
    (a) SSA, or any component thereof; or
    (b) any SSA employee in his/her official capacity; or

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    (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 
the litigation is likely to affect SSA or any of its components,is a 
party to the 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, the 
agency determines that disclosure of the records to DOJ, court or other 
tribunal, or another party is a use of the information contained in the 
records that is compatible with the purpose for which the records were 
collected.
    8. To Federal, State and local law enforcement agencies and private 
security contractors as appropriate, information 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 in investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupt the operation of SSA facilities.
    9. To the National Archives and Records Administration (NARA) under 
44 U.S.C. 2904 and 2906.
    10. To appropriate agencies, entities, and persons when:
    (a) SSA suspects or has confirmed that there has been a breach of 
the system of records;
    (b) SSA has determined that, as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals, SSA 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and
    (c) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connections with SSA's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    11. To another Federal agency or Federal entity, when the SSA 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in:
    (a) Responding to a suspected or confirmed breach; or
    (b) preventing, minimizing, or remedying the risk of harm to 
individuals, the recipient agency or entity (including its information 
systems, programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    We store data in paper form (e.g., questionnaire forms, computer 
printouts) and in electronic form (e.g., magnetic tape and disc).

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    We retrieve files by case number or SSN. We also retrieve files by 
socioeconomic, demographic, medical, and disability characteristics.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    We retain records until 90 days old or no longer needed pursuant to 
supervisory authorization, whichever is appropriate, in accordance with 
the approved NARA General Records Schedule 4.2: Information Access and 
Protection Records (DAA-GRS-2013-0007-0012).

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    We retain electronic and paper files with personal identifiers in 
secure storage areas accessible only by our authorized employees and 
contractors who have a need for the information when performing their 
official duties. Security measures include the use of codes and 
profiles, personal identification number and password, and personal 
identification verification cards. We keep paper records in locked 
cabinets within secure areas, with access limited to only those 
employees who have an official need for access in order to perform 
their duties. To the maximum extent consistent with the approved 
research needs, we purge personal identifiers from micro-data files 
prepared for purposes of research and subject these files to procedural 
safeguards to assure anonymity.
    We annually provide our employees and contractors with appropriate 
security awareness training that includes reminders about the need to 
protect PII and the criminal penalties that apply to unauthorized 
access to, or disclosure of, PII (5 U.S.C. 552a(i)(1)). Furthermore, 
employees and contractors with access to databases maintaining PII must 
sign a sanctions document annually, acknowledging their accountability 
for inappropriately accessing or disclosing such information.
    In addition, all external researchers accessing information from 
the DAF-NBS system of records will be required to complete the 
appropriate security awareness training, which includes reminders about 
the need to protect PII and the criminal penalties that apply to 
unauthorized access to, or disclosure of, PII.

RECORD ACCESS PROCEDURES:
    Individuals may submit requests for notification of, or access to, 
information about them contained in this system by submitting a written 
request to the system manager at the above address, which includes 
their name, SSN, or other information that may be in this system of 
records that will identify them. Individuals requesting notification 
of, or access to, a record by mail must include (1) a notarized 
statement to verify their identity or (2) must certify in the request 
that they are the individual they claim to be and that they understand 
that the knowing and willful request for, or acquisition of, a record 
pertaining to another individual under false pretenses is a criminal 
offense.
    Individuals requesting notification of, or access to, records may 
also make an in-person request by providing their name, SSN, or other 
information that may be in this system of records that will identify 
them, as well as provide an identifying document, preferably with a 
photograph, such as a driver's license. Individuals lacking 
identification documents sufficient to establish their identity must 
certify in writing that they are the individual they claim to be and 
that they understand that the knowing and willful request for, 
acquisition of, a record pertaining to another individual under false 
pretenses is a criminal offense. These procedures are in accordance 
with our regulations at 20 CFR 401.40 and 401.45.

CONTESTING RECORD PROCEDURES:
    Same as record access procedures. Individuals 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 our regulations at 20 CFR 401.65(a).

NOTIFICATION PROCEDURES:
    Same as record access procedures. These procedures are in 
accordance with our regulations at 20 CFR 401.40 and 401.45.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

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HISTORY:
    None.

[FR Doc. 2018-27665 Filed 12-20-18; 8:45 am]
 BILLING CODE 4191-02-P