[Federal Register Volume 70, Number 199 (Monday, October 17, 2005)]
[Notices]
[Pages 60383-60388]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-20696]


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SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974; as Amended


Alteration to Existing Systems of Records

AGENCY: Social Security Administration (SSA)

ACTION: Altered systems of records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a (e)(4)), we 
are issuing public notice of our intent to alter and make minor 
housekeeping changes to two existing systems of records, the Working 
File of the Appeals Council, HHS/SSA/OHA, 09-60-0004, and the 
Administrative Law Judge Working File on Claimant Cases System, HHS/
SSA/OHA, 09-60-0005, hereinafter referred to as the ALJ Working File, 
as follows:
    <bullet> Expansion of the record storage medium in each system of 
records to include the maintenance of records in electronic form;
    <bullet> Housekeeping changes that will result in corrections in 
the systems of records reference number;
    <bullet> System name;
    <bullet> Notification procedures;
    <bullet> Record access procedures; and
    <bullet> Contesting records procedures.
    We also propose to make housekeeping changes to the SSA Litigation 
Tracking System, HHS/SSA/LS, 09-60-0186 system of records to more 
accurately reflect the current functions of that system. The proposed 
changes will include corrections to the following sections of the 
notice of the SSA Litigation Tracking system of records:
    <bullet> Systems of records reference number;
    <bullet> System name;
    <bullet> Notification procedures;
    <bullet> Record access procedures;
    <bullet> Contesting record procedures; and
    <bullet> System manager.
    The proposed alteration and housekeeping changes are discussed in 
the Supplementary Information section below. We invite public comments 
on this proposal.

DATES: We filed a report of the proposed altered systems of records 
with the Chairman of the Senate Committee on Homeland Security and 
Governmental Affairs, the Chairman of the House Committee on Government 
Reform, and the Director, Office of Information and Regulatory Affairs, 
Office of Management and Budget (OMB) on October 5, 2005. The proposed 
altered systems of records will become effective on November 14, 2005 
unless we receive comments that would result in a contrary 
determination.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the Executive Director, Office of Public Disclosure, Office 
of the General Counsel, Social Security Administration, 3-A-6 
Operations Building, 6401 Security Boulevard, Baltimore, Maryland 
21235-6401. All comments received will be available for public 
inspection at the above address.

FOR FURTHER INFORMATION CONTACT: Ms. Christine W. Johnson, Lead Social 
Insurance Specialist, Strategic Issues Team, Office of Public 
Disclosure, Office of the General Counsel, Social Security 
Administration, Room 3-A-6 Operations Building, 6401 Security 
Boulevard, Baltimore, Maryland 21235-6401, telephone at (410) 965-8563, 
e-mail: <a href="/cdn-cgi/l/email-protection#294a415b405a075e07434641475a4647695a5a48074e465f"><span class="__cf_email__" data-cfemail="76151e041f055801581c191e180519183605051758111900">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of Proposed Alteration to the ALJ Working 
File and Working File of the Appeals Council Systems of Records

A. General Background

    Under Titles II and XVI of the Social Security Act, an individual 
who has received a partly or wholly unfavorable determination on a 
claim for benefits has a right to a hearing before an Administrative 
Law Judge (ALJ). An individual also has a right to an Appeals Council 
(AC) review of the ALJ's decision.
    During the course of adjudicating the claim at the hearing level, 
ALJs and their staffs may make notes regarding the evidence, testimony, 
legal theories, merits of the case, and opinions and advice regarding 
other factors involved in the case. ALJs also generally prepare written 
instructions to the staff attorney and other personnel regarding case 
decisions and amendments. These notes are maintained in the ALJ Working 
File. The notes are used by ALJs and their staffs during the process of 
disposing of cases on administrative appeal.
    In the course of a review at the AC level, communications between 
the Administrative Appeals Judges (AAJ) and their staffs may include 
written instructions and opinions, memoranda, case analyses, physician 
opinions from the AC's Medical Support Staff, draft decisions or 
orders, and communications prepared by SSA attorneys in the Office of 
the General Counsel and attorneys in the Department of Justice. These 
notes are maintained in the Working File of the Appeals Council and are 
used by the AAJs and their staffs to dispose of cases at the AC review 
level.

B. Discussion of Proposed Alteration to the ALJ Working File and 
Working File of the Appeals Council Systems of Records

    Currently, the records in these systems of records are maintained 
in paper form. The purpose of the alteration is to expand the record 
storage medium to include records in electronic form. The proposed 
alteration will align these systems with SSA's E-Government initiative 
to transition paper-based, program functions into the electronic 
environment.

II. Records Storage Medium and Safeguards for the Information 
Maintained in the Proposed Altered ALJ Working File and Working File of 
the Appeals Council Systems of Records

    The ALJ Working File and Working File of the Appeals Council 
systems of records will maintain information in paper and electronic 
form. Only authorized hearing office and Appeals Council personnel that 
have a need for the information in the performance of their official 
duties are permitted access to the information. Security measures 
include the use of access codes to enter

[[Page 60384]]

the computer system that will maintain the data, and storage of the 
computerized records in secured areas that are accessible only to 
employees who require the information in performing their official 
duties. Manually maintained records are kept in locked cabinets or in 
otherwise secure areas.

III. Effect of the Proposed Alteration to the ALJ Working File and 
Working File of the Appeals Council Systems of Records on the Rights of 
Individuals

    The proposed alteration to the ALJ Working File and the Working 
File of the Appeals Council systems of records pertains to SSA's 
responsibilities in expanding the record storage medium to accommodate 
the maintenance of records in electronic form. We will adhere to all 
applicable statutory requirements, including those under the Social 
Security Act and the Privacy Act, in carrying out our responsibilities. 
Therefore, we do not anticipate that the proposed alteration to these 
systems will have an unwarranted adverse effect on the rights of 
individuals.

IV. Minor Housekeeping Changes in the ALJ Working File, Working File of 
the Appeals Council, and SSA Litigation Tracking Systems of Records

    When these systems of records were last published, SSA was a part 
of the Department of Health and Human Services (DHHS). The Social 
Security Administration became an independent agency in August 1994; 
therefore, the following changes concerning DHHS are in compliance with 
legislative changes. (See Pub. L. 103-296).
1. ALJ Working File and Working File of the Appeals Council Systems of 
Records
    (a) We have revised the numbering system of the ALJ Working File 
and Working File of the Appeals Council systems of records by changing 
the identification reference numbers from ``09-60-0004,'' and ``09-60-
0005,'' to ``60-0004,'' and ``60-0005,'' respectively. The ``09'' 
digits referenced these systems of records as HHS systems of records.
    (b) System name--we have revised this section in the ALJ Working 
File, Working File of the Appeals Council systems of records by 
deleting any reference to the DHHS.
    (c) Notification procedures, Record access procedures, and 
Contesting records procedures--we have revised these sections in the 
ALJ Working File and Working File of the Appeals Council systems of 
records by deleting any reference to DHHS regulations.
2. SSA Litigation Tracking System of Records
    (a) We have revised the numbering system of the SSA Litigation 
Tracking system of records by changing the identification reference 
number from ``09-60-0186,'' to ``60-0186''. The ``09'' digits 
referenced the system of records as an HHS system of records.
    (b) System name--we have revised this section in the SSA Litigation 
Tracking system of records by deleting any reference to the DHHS and 
``SSA/LS'' due to changes in the legislation and organizational changes 
within SSA. We have also corrected the system name to the Civil Action 
Tracking System to appropriately reflect current system functions. (See 
the System name in the Notice below).
    (c) Notification procedures, Record access procedures, and 
Contesting records procedures--we have revised these sections in the 
SSA Litigation Tracking systems of records by deleting any reference to 
DHHS regulations.
    (d) System manager--we have revised this section in the SSA 
Litigation Tracking system of record to reflect the name of the SSA 
component having substantive responsibility for the system of records. 
(See the System manager name section in the notice below).

    Dated: October 5, 2005.
Jo Anne B. Barnhart,
Commissioner.
SYSTEM NUMBER: 60-0004

System Name:
    Working File of the Appeals Council, Social Security 
Administration, Office of Hearings and Appeals.

Security Classification:
    None.

System Location:
    Social Security Administration, Office of Hearings and Appeals, 
5107 Leesburg Pike, Falls Church, Va. 22041.

Categories of Individuals Covered by the System:
    Claimants-Title II (Retirement and Survivors Insurance (RSI) and 
Disability Insurance (DI); Title VIII (Special Veterans Benefits); 
Title XI (claimants subject to Professional Standards Review); Title 
XVI (Supplemental Security Income (SSI); and Title XVIII (Hospital 
Insurance (HI). Effective October 1, 2005, SSA only has jurisdiction to 
determine eligibility for Title XVIII benefits, not the benefit amount.

Categories of Records in the System:
    This file generally contains: Hearing and Appeals analyst's 
recommendation to the Appeals Council (AC); a copy of the 
Administrative Law Judge (ALJ) decision or dismissal; a copy of the 
Request for Review by the AC form; requests to Medical Support Staff 
for comments and their responses, if not entered into the record; 
copies of AC actions on the case; notice of denial of request for 
review, notice of granting review, AC decisions; and copies of 
transcripts when available.

Authority for Maintenance of the System:
    Sections 205 and 1631(d)(1) of the Social Security Act, as amended.

Purpose(s):
    This system of records is established to be an internal working 
file used in connection with a recommendation to, or action by, the AC 
in an individual case. Members of the AC and their support staff use 
the file when working on cases on appeal. Where a favorable AC decision 
is issued, the records are used to process representative fees.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses: Disclosure may be made for 
routine uses as indicated below:
    1. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    2. To DOJ, a court or other tribunal, or another party before such 
tribunal when:
    (a) SSA, 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, the 
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.
    However, any other information defined as ``return or return 
information'' under 26 U.S.C. Sec.  6103 of the Internal Revenue Code 
(IRC) will not be made unless authorized by the IRC, the Internal 
Revenue Service (IRS), or IRS regulations.
    3. To IRS, as necessary, for the purpose of auditing SSA's 
compliance

[[Page 60385]]

with safeguard provisions of the IRC of 1986, as amended.
    4. 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 with a third party 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. 2904 and 2906, as amended by the 
NARA Act of 1984, for the use of those agencies in conducting records 
management studies.
    6. To student volunteers and other workers, who technically do not 
have the status of Federal employees, when they are performing work for 
SSA as authorized by law, and they need access to personally 
identifiable information in SSA records in order to perform their 
assigned Agency functions.

Policies and Practices for Storing, Retrieving, Accessing, Retaining 
and Disposing of Records in the System:
Storage:
    Records are maintained in paper and electronic form (e.g., paper 
folder files on filing shelves or electronically on disc).

Retrievability:
    Records are retrieved by Social Security number (SSN) or name.

Safeguards:
    System security is maintained in accordance with the Systems 
Security Handbook. Access to and use of both paper and electronic 
records is limited to those persons whose official duties require such 
access. All employees are instructed in SSA confidentiality rules as 
part of their initial orientation training.
    Records maintained in paper form are kept in locked file cabinets 
or in otherwise secure areas. In many cases records are selected for 
the employees needing access to them by other employees who are 
specifically charged with the maintenance of the records. This 
safeguard restricts the number of persons authorized to be in the 
storage areas and facilitates control over the access to the 
information contained in the records to those who need it.
    For computerized records, electronically transmitted between SSA's 
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. Access http://www.ssa.gov/foia/bluebook/app_g.htm for additional information 
regarding the safeguards SSA employs to protect its paper and automated 
records.

Retention and Disposal:
    One year after final AC action, paper and electronic records will 
be shredded and/or deleted as appropriate.

System Manager(s) and Address:
    Associate Commissioner, Office of Hearings and Appeals, Social 
Security Administration, 5107 Leesburg Pike, Falls Church, Va. 22041.

Notification Procedures:
    An individual can determine if this system contains a record about 
him/her by writing to the system 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 or credit card. If an individual does not 
have any identification documents sufficient to establish his/her 
identify, 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 
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 Procedures:
    Same as Notification procedures. Requesters should also reasonably 
specify the record contents being sought. These procedures are in 
accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting Record Procedures:
    Same as Notification procedures. Requesters should also reasonably 
identify the record, specify the information they are contesting and 
state the corrective action sought and the reasons for the correction 
with supporting justification showing how the record is incomplete, 
untimely, inaccurate or irrelevant. These procedures are in accordance 
with SSA Regulations (20 CFR 401.65(a)).

Record Source Categories:
    Claimants, their representatives, appropriate members of the 
public, SSA and other Federal, State and local agencies.
    Systems Exempted from Certain Provisions of the Privacy Act:
    None.
SYSTEM NUMBER: 60-0005

System Name:
    ALJ Working File, Social Security Administration, Office of 
Hearings and Appeals.

Security Classification:
    None.

System Location:
    Local hearing offices. Access http://www.ssa.gov/foia/bluebook/app_f.htm for address information.

Categories of Individuals Covered by the System:
    Claimants--Title II (Retirement and Survivors Insurance (RS) and 
Disability Insurance (DI)); Title VIII (Special Veterans Benefits); 
Title XI (claimants subject to Professional Standards Review); Title 
XVI (Supplemental Security Insurance (SSI)); and Title XVIII (Hospital 
Insurance (HI)). Effective October 1, 2005 SSA only has jurisdiction to 
determine eligibility for

[[Page 60386]]

Title XVIII benefits, not the benefit amount.

Categories of Records in the System:
    These files are established in the hearing office as a record of 
actions taken on each particular case. The file may contain copies of 
the Notice of Hearing, Decision on Dismissal, and the Exhibit List when 
one is prepared, a copy of congressional inquiries and responses 
thereto as well as copies of post-adjudicative material received and 
any responses made, but not official copies, which are placed in claim 
folders. These files also usually contain working papers such as notes 
taken during the hearing by the Administrative Law Judge (ALJ); case 
analyses prepared by hearing office employees; case file cover sheets 
and other developmental and/or instructional sheets.

Authority for Maintenance of the System:
    Sections 205 and 1631(d)(1) of the Social Security Act, as amended.

Purpose(s):
    This system is used to reference the actions taken in a particular 
case at the hearing level. The ALJ or hearing office staff uses the 
information to reply to future correspondence.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Disclosure may be made for routine uses as indicated below:
    1. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    2. To DOJ, a court or other tribunal, or another party before such 
tribunal when:
    (a) SSA, 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, the 
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.
    However, any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) 
will not be made unless authorized by the IRC, the Internal Revenue 
Service (IRS), or IRS regulations.
    3. To IRS, as necessary, for the purpose of auditing SSA's 
compliance with safeguard provisions of the IRC of 1986, as amended.
    4. 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 with a third party 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. 2904 and 2906, as amended by the 
NARA Act of 1984, for the use of those agencies in conducting records 
management studies.
    6. To student volunteers and other workers, who technically do not 
have the status of Federal employees, when they are performing work for 
SSA as authorized by law, and they need access to personally 
identifiable information in SSA records in order to perform their 
assigned Agency functions.
    7. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, if information is 
necessary--
    (a) To enable them to protect the safety of SSA employees and 
customers, the security of the SSA workplace and the operation of SSA 
facilities, or
    (b) To assist investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupt the operation of SSA facilities.

Policies and Practices for Storing, Retrieving, Accessing, Retaining 
and Disposing of Records in the System:
Storage:
    Records in this system are maintained in paper and electronic form 
(e.g., paper folder files on filing shelves or electronically on disc).

Retrievability:
    Records are indexed and retrieved alphabetically by claimants' 
names in paper form and may be retrieved by claimant name and social 
security number (SSN) electronically.

Safeguards:
    System security is maintained in accordance with the Systems 
Security Handbook. Access to and use of both paper and electronic 
records are limited to those persons whose official duties require such 
access. All employees are instructed in SSA confidentiality rules as 
part of their initial orientation training.
    Records maintained in paper form are kept in locked file cabinets 
or in otherwise secure areas. In many cases records are selected for 
the employees needing access to them by other employees who are 
specifically charged with the maintenance of the records. This 
safeguard restricts the number of persons authorized to be in the 
storage areas and facilitates control over the access to the 
information contained in the records to those who need it.
    For computerized records, electronically transmitted between SSA's 
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. Access http://www.ssa.gov/foia/bluebook/app_g.htm for additional information 
regarding the safeguards SSA employs to protect its paper and automated 
records.

Retention and Disposal:
    Paper records are destroyed by shredding 2 years after the final 
action is taken. Electronic records are destroyed by deletion 2 years 
after the final action is taken.

System Manager(s) and Address:
    Associate Commissioner, Office of Hearings and Appeals, Social 
Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification Procedures:
    An individual can determine if this system contains a record about 
him/her by writing to the hearing office (access http://www.ssa.gov/foia/bluebook/app_f.htm for address information).
    An individual can also determine if this system contains a record 
about him/her by writing to the system 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 voter registration card, credit card, etc. If an individual does not 
have any

[[Page 60387]]

identification documents sufficient to establish his/her identify, 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 
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 procedures:
    Same as Notification procedures. Requesters should also reasonably 
specify the record contents being sought. These procedures are in 
accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting Record Procedures:
    Same as Notification procedures. Requesters should also reasonably 
identify the record, specify the information they are contesting and 
state the corrective action sought and the reasons for the correction 
with supporting justification showing how the record is incomplete, 
untimely, inaccurate or irrelevant. These procedures are in accordance 
with SSA Regulations (20 CFR 401.65(a)).

Record Source Categories:
    Claimants, their representatives, appropriate members of the 
public, SSA and other Federal, State and local agencies.

Systems Exempted From Certain Provisions of the Privacy Act:
    None.
SYSTEM NUMBER: 60-0186

System Name:
    Civil Action Tracking System.

Security Classification:
    None.

System Location:
    Social Security Administration, Office of the General Counsel, 6401 
Security Blvd., Baltimore, MD 21235.

Categories of Individuals Covered by the System:
    Individuals who are involved, as plaintiffs, in class action 
litigation concerning one or more of the programs administered by the 
Social Security Administration (SSA), who are affected by an 
Acquiescence Ruling (AR). When SSA determines that a holding in a 
Circuit Court decision conflicts with our interpretation of a provision 
of the Social Security Act or regulation, SSA issues an AR. When we 
publish an AR, we send notices to those individuals whose claims may be 
affected. The notice tells the claimant that an AR may affect a prior 
decision. In this regard, the Civil Action Tracking System (CATS) 
contains a given claimant's Social Security number (SSN), name and 
address, and maintains a list of those claimants possibly affected by 
the AR.

Categories of Records in the System:
    Records for individuals involved in the class action contain 
beneficiary and claims-related information from SSA's Master 
Beneficiary Record (MBR) and/or the Supplemental Security Income Record 
(SSR). During the lifetime of the implementation of the court order, 
the records will also contain information about notices sent, reply 
forms received, alerts generated, class membership screenings and 
decisions. With respect to an AR, as mentioned above, CATS contains 
basic information (e.g., SSN, name and address) that came from one of 
SSA's master files or was typed into CATS in the case of a walk-in.

Authority for Maintenance of the System:
    Section 205(a) of the Social Security Act (42 U.S.C. 405(a)).

Purpose(s):
    Records in this system are used by staff in various SSA offices to 
implement court orders and settlement agreements related to class 
actions.
    From an AR standpoint, we use CATS to store addresses to send 
notices to claimants affected by an AR.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Disclosure may be made for routine uses as indicated below:
    1. To a congressional office in response to an inquiry from that 
office about an individual claimant made at the request of the subject 
of a record.
    2. To DOJ, a court or other tribunal, or another party before such 
tribunal when:
    (a) SSA, or any component thereof; or
    (b) any SSA employee in his/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, the 
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.
    However, any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) 
will not be made unless authorized by the IRC, the Internal Revenue 
Service (IRS), or IRS regulations.
    3. To IRS, as necessary, for the purpose of auditing SSA's 
compliance with the safeguard provisions of the Internal Revenue Code 
(IRC) of 1986, as amended.
    4. 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 Archive and Records 
Administration (NARA) for the purpose of conducting records management 
studies with respect to their duties and responsibilities under 44 
U.S.C. 2904 and 2906, as amended by NARA Act of 1984.
    5. 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 to perform their assigned 
Agency functions.

[[Page 60388]]

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are maintained on mainframe computer disk and cartridges. 
Occasionally, there may be paper copies of small amounts of data.

Retrievability:
    The records are retrieved by the Beneficiary's SSN, last name, and 
date of birth.

Safeguards:
    Files in this system are maintained in SSA's secure computer center 
and occasionally in paper form in desks or file cabinets that lock. 
Access to the files is limited to employees who require the files to 
perform their duties. All personnel having access to the records have 
been informed of criminal sanctions for unauthorized disclosure of 
information relating to individuals. Access http://www.ssa.gov/foia/bluebook/app_g.htm for additional information regarding the safeguards 
SSA employs to protect its paper and automated.

Retention and Disposal:
    Records are archived on mainframe computer cartridges when the 
implementation of the court order is completed. The cartridges are 
stored indefinitely in a secured location.

System Manager(s) and Address:
    Director, Management Information and Process Analysis Staff, Office 
of the General Counsel, Social Security Administration, 6401 Security 
Boulevard, Baltimore, MD 21235.

Notification Procedures:
    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 
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 Procedures:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. These procedures are in 
accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting Record Procedures:
    Same as notification procedures. Requesters should also reasonably 
identify the record, specify the information being contested 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(a)).

Record Source Categories:
    Systems of records maintained by SSA such as the Claims Folders 
System, 60-0089; Master Beneficiary Record, 60-0090; Supplement 
Security Income Record and Special Veterans Benefits 60-0103.

Systems Exempted From Certain Provisions of the Privacy Act:
    None.

[FR Doc. 05-20696 Filed 10-14-05; 8:45 am]
BILLING CODE 4191-02-P


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