[Federal Register Volume 66, Number 116 (Friday, June 15, 2001)]
[Notices]
[Pages 32656-32660]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-15197]


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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: 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, the Ticket-to-Work Program Manager (PM) Management 
Information System and routine uses applicable to this system.
    The proposed new system of records will maintain information 
collected for use in connection with provisions of section 1148 of the 
Social Security Act (42 U.S.C. 1320(b)(19)) which provides for the 
establishment of a Ticket-to-Work and Self-Sufficiency Program (Ticket 
Program). The information housed in the system will be used for 
management information purposes. We invite public comment on these 
proposals.

DATES: We filed a report of the proposed new system of records and 
routine uses with the Chairman of the Senate Governmental Affairs 
Committee, the Chairman of the House Reform and Oversight Committee, 
and the Acting Director, Office of Information and Regulatory Affairs, 
Office of Management and Budget (OMB) on June 12, 2001. We also 
requested OMB to waive the 40-day advance notice requirements for the 
system. If OMB does not grant the waiver we will not implement the 
proposal before August 6, 2001.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, 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: Ms. Pamela McLaughlin, Social 
Insurance Specialist, Social Security Administration, Room 3-C-2 
Operations Building, 6401 Security

[[Page 32657]]

Boulevard, Baltimore, Maryland 21235-6401, telephone (410) 965-3677.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New System of Records, 
the Ticket-to-Work Program Manager (PM) Management Information 
System, 60-0300

A. General Background

    On December 17, 1999, the President signed into law the Ticket-to-
Work and Work Incentives Improvement Act of 1999, Public Law 106-170. 
Section 101(a) of this law amended title XI of the Social Security Act 
(the Act) by adding section 1148, which provides for the establishment 
of the Ticket Program. The Ticket Program permits eligible title II and 
title XVI Social Security beneficiaries with disabilities to receive a 
Ticket they can use in obtaining rehabilitation and vocational 
services, thereby allowing more beneficiaries with disabilities the 
opportunity to participate in the workforce and lessen their dependence 
on public benefits.
    The Social Security Administration has contracted with a vendor, 
MAXIMUS Inc., to perform the Program Manager (PM) duties of the Ticket 
Program.

B. Collection and Maintenance of Data for the Proposed New System of 
Records, the Ticket-to-Work Program Manager (PM) Management Information 
System

    The PM must collect and maintain relevant information about 
eligible title II and title XVI Social Security beneficiaries with 
disabilities participating in the program that will be used for 
management information and evaluation purposes. This information will 
be housed in a database entitled, the Ticket-to-Work Program Manager 
(PM) Management Information System, 60-0300 and will maintain 
information collected and stored in the system of records entitled, the 
Ticket-to-Work and Self-Sufficiency Program Payment Database. 
Additional information collected will include pertinent information 
concerning the beneficiary's relationship with an EN and status of 
ticket utilization, e.g., the date the Ticket was mailed, the date the 
beneficiary assigned the Ticket to an EN, the name and identifying 
information of the EN and the date of the agreement between the 
beneficiary and EN, Individual Work Plans (IWP) data, Ticket in/out of 
use status, earnings data reported by the EN, and suspension of 
benefits.
    Additional information will be added to the system of records for 
each beneficiary as contact is made between them and the PM. This data 
will include records of telephone and mail requests for information.

II. Proposed Routine Use Disclosures of Data Maintained in the 
Proposed New System of Records, the Ticket-to-Work Program Manager 
(PM) Management Information System

A. Proposed Routine Use Disclosures

    We are proposing to establish routine uses of information that will 
be maintained in the proposed new 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 SSA matter on his or 
her behalf. Information would be disclosed when the Office of the 
President makes an inquiry and presents evidence that the office 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 an SSA matter on his or her behalf. 
Information would be disclosed when the congressional representative 
makes an inquiry and presents evidence that he or she is acting on 
behalf of the individual whose record is requested.
3. 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
    Under certain Federal statutes, SSA is authorized to use the 
services of volunteers and participants in certain educational, 
training, employment and community service programs. Examples of such 
statutes and programs are: 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 duties.
4. Disclosure to Contractors and Other Federal Agencies, as Necessary, 
for the Purpose of Assisting SSA in the Efficient Administration of its 
Programs 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 third parties such as Employment Networks. 
Employment Networks will be directly contacting eligible individuals 
for the purpose of informing those individuals about the availability 
of the Ticket-to-Work Program services to assist in accomplishing an 
Agency function relating to this system of records.
5. 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. Sec. 2904 and Sec. 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 Archiver of NARA are charged by 44 
U.S.C., Section 2904 and promulgating standards, procedures and 
guidelines regarding records management and conducting records 
management studies. Section 2906 of that law, also amended by the NARA 
Act of 1984, 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.
6. To the Department of Justice (DOJ), a Court, or Other Tribunal, or 
Other 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 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

[[Page 32658]]

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 are subject to the disclosure 
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.
    We will disclose information under this routine use only as 
necessary to enable DOJ, a court, or other tribunal, to effectively 
defend SSA, its components or employees in litigation involving the 
proposed system of records.
7. Information May Be Disclosed to State or Employment Networks Having 
an Approved Business Arrangement With SSA To Perform Vocational 
Rehabilitation Services for SSA Disability Beneficiaries and Recipients
    This proposed routine use would permit disclosure of information 
from the proposed system for the purpose of assisting beneficiaries/
recipients to participate in vocational rehabilitation.

B. Compatibility of Proposed Routine Uses

    The Privacy Act (5 U.S.C. 552a(b)(3)) and our disclosure 
regulations (20 CFR 401) permit us to disclose information under a 
published routine use for a purpose which is compatible with the 
purpose for which we collected the information. Section 401.150(c) of 
the regulations permits us to disclose information under a routine use 
where necessary to carry out SSA programs. Section 401.120 of the 
regulations provides that we will disclose information when a law 
specifically requires the disclosure. The proposed routine uses 
numbered 1-7 above will ensure efficient administration of the Ticket-
to-Work Program; the disclosures that would be made under routine use 
number 5 are required by Federal law. Thus, all of the routine uses are 
appropriate and meet the relevant statutory and regulatory criteria.

III. Records Storage Medium and Safeguards for the Proposed New 
System, the Ticket-to-Work Program Manager (PM) Management 
Information System

    We will maintain information about the Ticket Program in the 
proposed new system of records in electronic form, computer data 
systems, and paper form. Only authorized SSA personnel and contractor 
personnel who have a need for the information in the performance of 
their official duties will be permitted access to the information. 
Security measures include the use of access codes to enter the computer 
systems 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 
manually maintained records will be kept in locked cabinets or in 
otherwise secure areas. Also, all entrances and exits to contractor 
Ticket-to-Work project site buildings are controlled by card entry 
(proximity) systems and receptionists.
    Contractor personnel having access to data in the proposed new 
system of records along with contractor personnel involved in the 
evaluation of the Ticket Program will be required to adhere to SSA 
rules concerning safeguards, access and use of the data. Specifically, 
the PM will maintain the data in their data center, access to which is 
restricted to those with electronic proximity cards. Access to the data 
files is further restricted by use of a three-tiered password which 
allows access (1) to the system; (2) to the specific application; and 
(3) to the specific portion where the Ticket-to-Work Program Manager 
(PM) Management Information System is stored. Further, the data will be 
stored on a secure server separate from other health benefit 
information the PM maintains.
    SSA and PM 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, the Ticket-to-
Work Program Manager (PM) Management Information System

    The proposed new system of records will maintain only that 
information that is relevant to the administration and evaluation of 
the Ticket Program which is designed to assist disabled Social Security 
beneficiaries to successfully return to work. The Ticket Program will 
address the barriers that Social Security beneficiaries with 
disabilities currently encounter in returning to work by:
    <bullet> Expanding the availability of health care services and 
coverage;
    <bullet> Eliminating certain work disincentives;
    <bullet> Providing for enhanced benefits planning and assistance 
from other public and private sources; and
    <bullet> Creating the Ticket-to-Work and Self-Sufficiency Program.
    Therefore, we do not anticipate that the proposed new system of 
records will have an unwarranted adverse effect on the rights of 
individuals.

    Dated: June 12, 2001.
Larry G. Massanari,
Acting Commissioner of Social Security.
60-0300

System name:
    Ticket-to-Work Program Manager (PM) Management Information System.

System classification:
    None.

System location:
    Applications Development, 1149 Sunset Hills Road, Reston, Virginia 
20190-5207

Categories of individuals covered by the system:
    All title II and title XVI Social Security beneficiaries with 
disabilities who are eligible to receive or have received a Ticket, who 
are receiving services from Employment Networks (ENs), who have been 
placed on inactive status, or who have had their Tickets terminated.
    Categories of records in the system:
    The information maintained will consist of the title II or title 
XVI beneficiary's name, Social Security number (SSN), date of birth, 
telephone number (if any), addresses (foreign or domestic), sex, 
association with a representative payee or legal guardian, as well as 
the individual's disability type and the period of eligibility to a 
disability benefit.
    Also, information pertinent to the beneficiary's relationship with 
an EN and status of ticket utilization will be maintained, e.g., the 
date the Ticket was mailed, the date the beneficiary assigned the 
Ticket to an EN, the name and identifying information of the EN and the 
date of the agreement between the beneficiary and EN, Individual Work 
Plan (IWP) data, Ticket in/out of use status, employment earnings data 
reported by the EN or by the beneficicary, (the EN will obtain this 
information from the beneficiary), verified earnings data (earnings 
data received by SSA from IRS is excluded under the Internal Revenue 
Code), data on any dispute between the beneficiary and any entity 
serving under the Ticket-to-Work Program, work review data or timely 
progress data, and any data relative to suspension of benefits (this 
information will be received from SSA).
    Additional information will be added to the system of records for 
each beneficiary as contact is made between him/her and the PM. This 
data will include records of telephone and mail requests for 
information.

[[Page 32659]]

Authority for maintenance of the system:
    Section 1148 of the Social Security Act (42 U.S.C. 1320(b)(19)).

Purpose(s):
    Information in this system of records will be used for management 
information purposes associated with implementing, administering and 
evaluating the Ticket Program. The PM will use this information to 
fulfill their duties in assisting SSA in administering the Ticket 
program. Information in this system will also be used to produce, with 
the PM's assistance, management information data, program evaluation 
data, and reports providing such information as:
    <bullet> Number and classification of beneficiaries being served by 
ENs.
    <bullet> Number and classification of beneficiaries with increased 
work activity.
    <bullet> Classifications of ENs providing service.
    <bullet> Status changes relating to the use of the ticket.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses.
    Disclosures may be made for routine uses as indicated below. 
However, disclosure of any information constituting ``returns or return 
information'' within the scope of the Internal Revenue Code (IRC) (26 
U.S.C. 6103) will not be disclosed unless disclosure is authorized by 
that statute.
    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 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.
    4. Disclosure to contractors and other Federal agencies, as 
necessary, for the purpose of assisting SSA in the efficient 
administration of its programs relating to this system of records.
    5. 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 Management 
(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.
    6. To the Department of Justice (DOJ), a court, or other tribunal, 
or other 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 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 are subject to the disclosure 
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.
    7. Information may be disclosed to State or Employment Networks 
having an approved business arrangement with SSA to perform vocational 
rehabilitation services for SSA disability beneficiaries and 
recipients.

Policies and practices for storing, retrieving, accessing, retaining 
and disposing of records in the system.
Storage:
    Data are stored in electronic form, computer data systems and paper 
form.

Retrievability:
    Records in this system are retrieved by name and SSN of the 
beneficiary.

Safeguards:
    Only authorized SSA personnel and contractor personnel who have a 
need for the information in their performance of their official duties 
will be permitted access to the information in this system of records.
    Security measures include the use of access codes to enter the 
computer systems 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 manually maintained records 
will be kept in locked cabinets or in otherwise secure areas. Also, all 
entrances and exits to the contractor Ticket-to-Work Project Site 
buildings are controlled by card entry (proximity) systems and 
receptionists. Contractor personnel having access to data in the system 
of records and contractor personnel involved in the evaluation of the 
Ticket Program will be required to adhere to SSA rules concerning 
safeguards, access and use of the data. SSA and PM 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). 
Further, this data will be stored on a secure server separate from 
other health benefit information the PM contractor maintains.

Retention and disposal:
    Payment and management information maintained in this system are 
retained 10 years or until it is determined that they are no longer 
needed. Means of disposal is appropriate to storage medium (e.g., 
deletion of individual records from the electronic sites when 
appropriate or shredding of paper records that are produced from the 
system).

System manager(s) and address:
    Associate Commissioner, Office of Disability and Income Security 
Programs, Office of Employment Support Programs, 6401 Security 
Boulevard, Baltimore, Maryland 21235

Notification procedure:
    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, such 
as a voter registration card, credit card, etc. 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.
    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

[[Page 32660]]

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.
    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 401.40).

Record access procedure:
    Same as notification procedure. Requesters also should reasonably 
specify the record contents they are seeking. These procedures are in 
accordance with SSA Regulations (20 CFR 401.50).

Contesting record procedure:
    Same as notification procedure. 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 untimely, 
incomplete, inaccurate, or irrelevant. These procedures are in 
accordance with SSA Regulations (20 CFR 401.65).

Record source categories:
    Data contained in the Ticket-to-Work Program Manager (PM) 
Management Information System are obtained from the Ticket-to-Work and 
Self-Sufficiency Program Payment Database, 60-0295, from ENs and Social 
Security beneficiaries with disabilities. Records from this system are 
also derived from the Supplemental Security Income Record and Special 
Veterans Benefits, 60-0103, Master Beneficiary Record, 60-0090, the 
Disability Determination Service Processing File, 60-0044 and the 
Completed Determination Record--Continuing Disability Determinations, 
60-0050.

Systems exempt from certain provisions of the Privacy Act:
    None.
[FR Doc. 01-15197 Filed 6-14-01; 8:45 am]
BILLING CODE 4191-02-P