[Federal Register Volume 61, Number 100 (Wednesday, May 22, 1996)]
[Notices]
[Pages 25723-25727]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: X96-30522]



=======================================================================
-----------------------------------------------------------------------

[[Page 25724]]


SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; Report of Altered System of Records and New 
Routine Use

AGENCY: Social Security Administration (SSA).

ACTION: Altered system of records and new routine use.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a), we are 
issuing public notice of our intent to alter an existing system of 
records entitled ``Master Representative Payee File (MRPF).'' We are 
proposing to alter the MRPF by expanding the categories of records 
maintained to include an additional type of record. The proposed 
alteration will expand the categories of records maintained to include 
information about persons convicted of statutory violations where a 
violation was committed in connection with the individual's service as 
a Social Security representative payee. We also are proposing to 
establish a new routine use of the information that is maintained in 
the system. We invite public comment on this publication.

DATES: We filed a report of the proposed altered system and new routine 
use with the Chairman, Committee on Government Reform and Oversight of 
the House of Representatives, the Chairman, Committee on Governmental 
Affairs of the Senate, and the Administrator, Office of Information and 
Regulatory Affairs, Office of Management and Budget on May 3, 1996. The 
proposed alteration will become effective on July 1, 1996, unless we 
receive comments on or before that date which would result in a 
contrary determination.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 
Room 3-A-6 Operations Building, 6401 Security Boulevard, Baltimore, 
Maryland 21235. Comments may be faxed to (410) 966-0869. All comments 
received will be available for public inspection at the above address.

FOR FURTHER INFORMATION CONTACT: Mr. Ron Martorana, Social Insurance 
Specialist, Confidentiality and Disclosure Branch, Office of Disclosure 
Policy, Social Security Administration, 3-D-1 Operations Building, 6401 
Security Boulevard, Baltimore, Maryland 21235, telephone 410-965-1745.

SUPPLEMENTARY INFORMATION:

I. Discussion of the Proposed Alteration--Expansion of Categories of 
Records Maintained in the MRPF

    The MRPF maintains information that Social Security field offices 
use when screening applicants to determine suitability as 
representative payees for Social Security claimants and beneficiaries 
who are incapable of handling their Social Security benefits and those 
who are required by law to have payees. The MRPF currently contains 
records about persons who have been convicted under sections 208 or 
1632 of the Social Security Act (the Act), and others whose 
certification as representative payees SSA has revoked due to misuse of 
funds paid under Title II or Title XVI of the Act. The past performance 
of individuals as representative payees is therefore considered 
material to decisions that are made regarding future appointments. In 
order to afford better protection for our beneficiaries, we are now 
proposing that information about convictions of individuals for 
violations of statutes other than sections 208 and 1632 of the Act be 
made available to Social Security personnel, when such violations were 
committed in connection with the individual's service as a Social 
Security representative payee. We will obtain this information from the 
SSA, Office of Inspector General (OIG). The OIG will obtain this 
information as a result of its investigation of alleged payee misuse 
cases. Accordingly, we are proposing to revise the MRPF to include the 
following information as a new category of records:

    Names and Social Security Numbers (SSNs) or Employer 
Identification Numbers (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 an 
individual's service as a Social Security representative payee.

II. Proposed Routine Use Disclosure of Data in the System

    We are proposing to establish the following new routine use of 
information maintained in the MRPF system; the new routine use will be 
#16.

    16. Information may be disclosed to the Office of Personnel 
Management (OPM) for the administration of that Office's 
representative payee programs.

    We contemplate disclosing information to OPM under this routine use 
only in situations in which an applicant has filed to serve on behalf 
of a Social Security beneficiary and also filed to serve for an OPM 
annuitant. Information maintained in this system of records about the 
applicant's qualifications or past performance as a representative 
payee on behalf of SSA will be disclosed for consideration by OPM in 
evaluating the suitability of an applicant to serve as representative 
payee for OPM clients.

III. Compatibility of the Proposed Routine Use

    The Privacy Act (5 U.S.C. 552a(a)(7) and 5 U.S.C. 552a(b)(3)) and 
our disclosure regulation (20 CFR part 401) permit us to disclose data 
for a routine use, i.e., a use serving a purpose which is compatible 
with the purpose for which we collected the information. Section 
401.310 of the regulation permits us to disclose information under a 
routine use for administering our programs or, under certain 
circumstances, for use in similar income-maintenance or health-
maintenance programs of other agencies.
    The proposed routine use will permit SSA to disclose information to 
OPM when an individual who has applied to serve as a representative 
payee on behalf of a Social Security beneficiary applies to serve as a 
representative payee for an OPM annuitant. The relevant OPM program has 
the same income maintenance purpose as SSA programs and the information 
to be disclosed is relevant to identical matters in both programs. 
Thus, the proposed routine use is appropriate and meets the criteria in 
the Privacy Act and SSA's regulations.

IV. Effect of the Proposed Alteration and Routine Use Disclosure on 
Individual Privacy Rights

    The system will maintain additional information about current and 
past representative payees and representative payee applicants to 
ensure that the best applicants are selected as representative payees 
on behalf of incapable beneficiaries. The MRPF system will identify an 
individual convicted under a statute other than sections 208 or 1632 of 
the Act only if the violation was committed in connection with the 
individual's service as a Social Security representative payee. 
Disclosing information to OPM about violations related to payee service 
will result in a more effectively administered pension program. The 
information that will be disclosed to OPM will assist that agency in 
enhancing public service and in protecting the property rights of 
incapable pensioners. Since information will be shared only in tightly 
controlled situations, we do not believe that the proposed changes to 
the MRPF will

[[Page 25725]]

have any unwarranted effect on individual privacy rights.

V. Minor Revisions

    We have made the following minor revisions to the notice of the 
MRPF system:
    <bullet> Changed ``ORSI'' in the system name to ``OPBP,''
    <bullet> Changed ``Office of Retirement and Survivors Insurance'' 
in the system manager section to ``Office of Program Benefits Policy.''
    <bullet> Because SSA is now independent of the Department of Health 
and Human Services we have assigned a new SSA identification number 
(OPPEC-005) to the MRPF and added language to the ``notification 
procedure'' section of the MRPF notice indicating that HHS regulations 
governing notification procedures for the system are still in effect at 
this time.

    Dated: May 3, 1996.
Shirley S. Chater,
Commissioner of Social Security.

09-60-0222

System name:
    Master Representative Payee File, SSA/OPBP.
Security Classification:
    None.
System location:
    The system database will be available by direct electronic access 
by Social Security field offices (FOs). Addresses of FOs can be found 
by calling the number listed in local telephone directories under 
``United States Department of Health and Human Services, Social 
Security Administration'' or under ``Social Security Administration.'' 
The data base is housed at the: National Computer Center, Social 
Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
    This system maintains information about 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 section 208 or section 1632 of the Social Security Act 
(the Act); persons who are acting or have acted as representative 
payees, representative payee applicants who were not selected to serve 
as representative payees, and beneficiaries/applicants who are being 
served by representative payees.
Categories of records in the system:
    Data in this system consist of:
    <bullet> 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 Act;
    <bullet> Names and SSNs (or EINs) of all persons convicted of 
violations of sections 208 or 1632 of the Act;
    <bullet> Names, addresses, and SSNs (or EINs) of persons convicted 
of violations of statutes other than sections 208 and 1632 of the Act, 
when such violations were committed in connection with the individual's 
service as a Social Security representative payee;
    <bullet> 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 Act;
    <bullet> Names, addresses, and SSNs of individuals for whom 
representative payees are reported to be providing representative payee 
services under section 205(j) or section 1631(a)(2) of the Act;
    <bullet> Names, addresses, and SSNs of representative payee 
applicants who were not selected as representative payees;
    <bullet> 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;
    <bullet> Information on the representative payees' relationship to 
the beneficiaries/recipients they serve;
    <bullet> Names, addresses, and EINs of organizations authorized to 
charge a fee for providing representative payee services;
    <bullet> Codes which indicate the relationship (other than 
familial) between the beneficiaries/recipients and the individuals who 
have custody of the beneficiaries/recipients;
    <bullet> Dates and reasons for payee terminations (e.g., 
performance not acceptable, death of payee, beneficiary in direct 
payment, etc.) and revocations;
    <bullet> Codes indicating whether representative payee applicants 
were selected or not selected;
    <bullet> Dates and reasons representative payee applicants were not 
selected to serve as payees and dates and reasons for changes of payees 
(e.g., beneficiary in direct payment, etc.);
    <bullet> Amount of benefits misused;
    <bullet> Identification number assigned to the claim on which the 
misuse occurred;
    <bullet> Date of the determination of misuse; and
    <bullet> Information about a felony conviction reported by the 
representative payee.
Authority for maintenance of the system:
    Sections 205(a), 205(j) and 1631(a) of the Act.
Purpose(s):
    Information maintained in this system will assist SSA in the 
representative payee selection process by enabling Social Security 
field offices to more carefully screen applicants and to determine 
their suitability to become representative payees. SSA also will use 
the data for management information and workload projection purposes 
and to prepare annual reports to Congress on representative payee 
activities.
Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information may be disclosed for routine uses as indicated below.
    1. Information may be disclosed to the Department of Justice (DOJ), 
to a court or other tribunal, or to 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 SSA or any of its components,

is a party to litigation or has an interest in such litigation. 
Disclosure will occur only if SSA determines that the use of such 
records before the tribunal is relevant and necessary to the 
litigation, would help in the effective representation of the 
governmental party, and, in each case, such disclosure is compatible 
with the purpose for which the records were collected.
    2. Information pertaining to an individual may be disclosed to a 
Congressional office in response to an inquiry from that office made at 
the request of the subject of the records.
    3. Information may be disclosed to the General Services 
Administration and the National Archives and Records Administration for 
the purpose of conducting records management studies under 44 U.S.C. 
2904 and 2906, when such disclosure is not prohibited by Federal law.
    4. Information may be disclosed to the Department of Veterans 
Affairs (DVA) Regional Office in the Philippines for

[[Page 25726]]

the administration of the Social Security Act in the Philippines 
through services and facilities of that agency.
    5. Information may be disclosed to the Department of State for 
administration of the Social Security Act in foreign countries through 
services and facilities of that agency.
    6. Information may be disclosed to the Department of Interior for 
administration of the Social Security Act in the Trust Territory of the 
Pacific Islands through services and facilities of that agency.
    7. Information may be disclosed to the American Institute in Taiwan 
for administration of the Social Security Act in Taiwan through 
services and facilities of that agency.
    8. Information may be disclosed to DOJ for:
    (a) Investigating and prosecuting violations of the Act to which 
criminal penalties attach,
    (b) Representing the Secretary, and
    (c) Investigating issues of fraud or violations of civil rights by 
officers or employees of SSA.
    9. Information about an individual may be disclosed to the Office 
of the President for responding to an inquiry received from that 
individual or from a third party acting on that individual's behalf.
    10. Information may be disclosed to DVA for the shared 
administration of that Department's and SSA's representative payee 
programs.
    11. Information may be disclosed 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 to obtain assistance in 
accomplishing an SSA function relating to this system of records.
    12. Information may be disclosed 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/her affairs.
    (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.
    13. 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 identify of the beneficiary, may be 
disclosed to a third party where necessary 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 Act.
    14. Information pertaining to the address of a representative payee 
applicant or a selected representative payee may be disclosed to a 
claimant or other individual authorized to act on his/her behalf when 
this information is needed to pursue a claim for recovery of misapplied 
or misused benefits.
    15. Information may be disclosed to the Railroad Retirement Board 
(RRB) for the administration of RRB's representative payment program.
    16. Information may be disclosed to the Office of Personnel 
Management for the administration of that Office's representative payee 
programs.
Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records will be stored in magnetic media (e.g., magnetic tape and 
disc).
Retrievability:
    Data are retrieved from the system by the name, SSN or EIN, and the 
ZIP code (in a situation where the representative payee is an 
institution) of the representative payee, or the name or SSN of the 
beneficiary/recipient.
Safeguards:
    For computerized records electronically transmitted between Central 
Office and Field Office locations (including organizations 
administering SSA programs under contractual agreements), safeguards 
include a lock/unlock password system, exclusive use of leased 
telephone lines, a terminal-oriented transaction matrix, and an audit 
trail. All microfilm and paper files are accessible only by authorized 
personnel who have a need for the information in performing their 
official duties. Magnetic tapes are in secured storage areas accessible 
only to authorized personnel.
Retention and Disposal:
    The magnetic media are updated periodically. Out-of-date tapes are 
erased.
System Manager(s) and
addresses:
    Associate Commissioner, Office of Program Benefits Policy, Room 760 
Altmeyer Building, 6401 Security Boulevard, Baltimore, MD 21235.
Notification Procedure:
    An individual can determine if this system contains data about him/
her by writing to the system manager at the address shown above and 
providing his/her name, address and SSN or EIN. An individual 
requesting notification via mail must submit sufficient evidence (i.e., 
the individual's notarized signature or a signed statement that he/she 
is the individual to whom the record pertains and that he/she 
understands that there are criminal penalties for making a knowing and 
willful request for access to records concerning another individual 
under false pretenses) to establish identity. An individual requesting 
notification of data in person need not furnish any special documents 
of identity. Documents he/she would normally carry on his/her person 
would be sufficient (e.g., credit cards, driver's license, or voter 
registration card). An individual requesting notification via telephone 
must furnish a minimum of his/her name, SSN or EIN, date of birth and 
address in order to establish identity.
Record Access Procedures:
    Same as notification procedures above. Also, a requester should 
reasonably identify and specify the information he/she is attempting to 
obtain. These procedures are in accordance with HHS Regulations 45 CFR 
part 5b.
Contesting Record Procedures:
    Same as notification procedures above. Also, an individual 
contesting records in the system should identify the record, specify 
the information he/she is contesting, state the corrective action 
sought, and the reasons for the correction with supporting 
justification showing how the record is incomplete, untimely, 
inaccurate, or irrelevant.
Record Source Categories:
    Data in this system are obtained from representative payee 
applicants and representative payees, the SSA Office of Inspector 
General, and other SSA systems of records (e.g., Claims Folder System 
(09-60-0089), Master Beneficiary Record (09-60-0090), Supplemental 
Security Income Record (09-60-0103), Master Files of SSN Holders (09-
60-0058), Recovery, Accounting for Overpayments (09-60-0094)).

[[Page 25727]]

Systems Exempted From Certain Provisions of the Act:
    None.

[FR Doc. 96- 12712 Filed 5-21-96; 8:45 am]
BILLING CODE 4190-29-P