[Federal Register Volume 75, Number 133 (Tuesday, July 13, 2010)]
[Notices]
[Pages 40014-40019]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-17021]
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SOCIAL SECURITY ADMINISTRATION
Privacy Act of 1974, as Amended; Proposed System of Records and
Routine Use Disclosures
AGENCY: Social Security Administration (SSA).
ACTION: Proposed System of Records and 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
system of records and routine use disclosures. The system of records is
the Economic Recovery List (ERL) Database (60-0372), hereinafter
referred to as the ERL Database. We will use information covered by the
system of records to:
Determine persons eligible for the one-time payment under
provisions of the American Recovery and Reinvestment Act of 2009 (ARRA)
or any similar subsequent payments authorized under the ARRA or other
legislation;
Prevent duplicate payments to those who qualify under more
than one criterion;
Record post-payment actions for Title II and Title XVI of
the Social Security Act Economic Recovery Payments (ERP); and
Provide management information (MI) for the Title II and
Title XVI ERPs.
We discuss the system of records and routine use disclosures in the
Supplementary Information section below. We invite public comments on
this proposal.
[[Page 40015]]
DATES: We filed a report of the system of records and routine use
disclosures with the Chairman of the Senate Committee on Homeland
Security and Governmental Affairs, the Chairman of the House Committee
on Oversight and Government Reform, and the Administrator, Office of
Information and Regulatory Affairs, Office of Management and Budget
(OMB) on June 30, 2010. The system of records and routine uses will
become effective on August 8, 2010, unless we receive comments before
that date that would result in a contrary determination.
ADDRESSES: Interested persons may comment on this publication by
writing to the Executive Director, Office of Privacy and Disclosure,
Office of the General Counsel, Social Security Administration, 3-A-6
Operations Building, 6401 Security Boulevard, Baltimore, Maryland
21235-6401, or through the Federal e-Rulemaking Portal at http://www.regulations.gov. All comments we receive will be available for
public inspection at the above address and will be posted to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Matthew Olsen, Senior Analyst,
Disclosure Policy Development and Services Division I, Office of
Privacy and Disclosure, Office of the General Counsel, Social Security
Administration, 3-A-6 Operations Building, 6401 Security Boulevard,
Baltimore, Maryland 21235-6401, telephone: (410) 965-6213, e-mail:
[email protected].
SUPPLEMENTARY INFORMATION:
I. Background and Purpose of the ERL Database System of Records
A. General Background
A provision of the ARRA of 2009 authorizes a one-time ERP of $250
to persons receiving benefits under Title II or Title XVI of the Social
Security Act, as well as persons receiving benefits from the Railroad
Retirement Board (RRB) or the Department of Veterans Affairs, Veterans
Benefits Administration (VBA). Persons entitled under multiple programs
may receive only one payment.
The ERL Database will create a list of persons eligible for an ERP
under Title II or Title XVI, eliminating any duplicate payments. We
will then receive data from RRB on potential persons eligible in their
system, and match these to the ERL Database based on the Clients' Own
Social Security Number (COSSN) file.
Based on the match of the RRB-eligible COSSN file, we will identify
the person as eligible for a unique RRB payment, or as duplicating a
payment made by either Title II or Title XVI. We will update the ERL
Database identifying the additional subset of those receiving RRB
benefits.
We will use the updated ERL Database in subsequent matching
processes for persons eligible from the VBA. We will send a one-for-one
response back to the RRB identifying each RRB eligible person as
already paid by Title II/Title XVI, or a person eligible for whom RRB
should submit to the Department of the Treasury (DOT), for payment. We
will repeat this process with data provided by the VBA.
The ERL Database will contain a record for each Title II, Title
XVI, RRB, and VBA person eligible for the ERP, including the agency
under which each person qualified. SSA, RRB, and VBA will each submit
its own subset(s) of persons eligible to DOT to issue the ERP. If,
between when a person is determined eligible and issuance of the
payment that person has died, the ERL Database may contain information
identifying a reissuance was made in care of the estate of the
deceased.
B. Collection and Maintenance of the Data Covered by the ERL Database
System of Records
We will collect and maintain information that will be housed in the
ERL Database from existing internal systems that maintain information
on persons receiving benefits under Title II and Title XVI of the
Social Security Act. We will add additional information from RRB and
VBA systems which similarly maintain information on persons receiving
those respective benefits. We will maintain the information in this
system of records in electronic format.
We will collect information for Title II and Title XVI
beneficiaries such as: SSN; claim account number; beneficiary
identification code; reason for non-payment; and post-payment
information such as DOT Offset Payment (TOP), returned payment, non-
receipt claims, reclamation claims, limited payability data, and the
name of an executor or other person qualified to receive payment, tax
identification number, and mailing address for reissuance of payment to
the estate of the deceased if, between the determination that a person
is eligible and the issuance of payment that person has died. For
payments made by RRB or VBA, we will collect the SSN in the system. For
all payments we will collect in the system the agency that qualified
the person to receive the payment. We will retrieve information covered
by the system of records by using the beneficiary's SSN, claim account
number, or beneficiary identification code. As a result, the ERL
Database information collection is a system of records as defined by
the Privacy Act.
II. Routine Use Disclosures of Data Covered by the ERL Database System
of Records
A. Routine Use Disclosures
We propose to establish the following routine uses of information
that will be covered by the ERL Database system of records.
1. To the Department of the Treasury (DOT) To Prepare Checks or
Payments It Will Send to Those Persons Eligible for the One-Time
Payment, or Similar Payments Subsequently Authorized Under the ARRA or
Other Legislation
We will disclose information under this routine use to allow DOT to
prepare the checks and payments to those persons receiving an ERP.
2. To the DOT To Allow the Department To Recover Debts to the Federal
Government Under the Treasury Offset Program
We will disclose information under this routine use to allow for
the recovery of debt to the Federal government under the Treasury
Offset Program, as mandated in the ARRA
3. To the Internal Revenue Service (IRS) To Allow for the
Administration of the Make Work Pay Credit
We will disclose information under this routine use to the IRS to
allow the Service to administer the Make Work Pay credit, specifically
to ensure proper offset of the credit when a person also receives an
ERP, as mandated by the ARRA
4. To the Office of the President in Response to an Inquiry From That
Office Made at the Request of the Subject of the Record or a Third
Party on That Person's Behalf
We will disclose information under this routine use only when the
Office of the President makes an inquiry relating to information
contained in this system of records and indicates that it is requesting
the record on behalf of the person
5. To a Congressional Office in Response to an Inquiry From That Office
Made at the Request of the Subject of a Record or a Third Party on That
Person's Behalf
We will disclose information under this routine use only when a
member of Congress, or member of his or her staff,
[[Page 40016]]
makes an inquiry relating to information contained in this system of
records and indicates that it is requesting the record on behalf of the
person.
6. To the Department of Justice (DOJ), a Court, Other Tribunal, or
Another Party Before Such Court or Tribunal When:
(a) The agency or any of our components; or
(b) Any agency employee in his or her official capacity; or
(c) Any agency employee in his or her individual capacity when DOJ
(or the agency when we are authorized to do so) has agreed to represent
the employee; or
(d) The United States or any agency thereof when we determine that
the litigation is likely to affect our operations or any of its
components, is party to the litigation or has an interest in such
litigation, and we determine that the use of such records by DOJ, a
court, other tribunal, or another party before such court or tribunal
is relevant and necessary to the litigation. In each case, however, we
must determine that such disclosure is compatible with the purpose for
which we collected the records.
We will disclose information under this routine use only as
necessary to enable DOJ to defend us, our components, or our employees
in litigation when the use of information covered by this system of
records is relevant and necessary to the litigation and compatible with
the purpose of the information collection. We will also disclose
information to ensure that courts, other tribunals, and parties before
such courts or tribunals, have appropriate information when relevant
and necessary.
7. To Contractors and Other Federal Agencies, as Necessary, To Assist
Us in Efficiently Administering Our Programs
We will disclose information under this routine use only in
situations where we enter into a contractual agreement or similar
agreement with a third party to assist in accomplishing an agency
function relating to information covered by the ERL Database system of
records.
8. To Student Volunteers, Persons Working Under a Personal Services
Contract, and Others Who Are Not Technically Federal Employees, When
They Are Performing Work for Us as Authorized by Law, and They Need
Access to Information in Our Records in order To Perform Their Assigned
Agency Duties
We will disclose information under this routine use only when we
use the services of student volunteers and participants in certain
educational, training, employment, and community service programs when
they need access to information covered by this system of records to
perform their assigned agency duties.
9. To the Railroad Retirement Board (RRB) and the Department of
Veterans Affairs, Veterans Benefits Administration (VBA), To Identify
Persons Who Qualify for a Payment as a Beneficiary From More Than One
Agency
We will disclose information under this routine use to the RRB and
VBA so that they have a list of those persons eligible for a payment,
and who have not already qualified as a beneficiary of another agency's
programs.
10. To the Appropriate Federal, State, and Local Agencies, Entities,
and Persons When:
(a) We suspect or confirm that the security or confidentiality of
information in this system of records has been compromised;
(b) We determine that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests,
risk of identity theft or fraud, or harm to the security or integrity
of this system or our other systems or programs that rely upon the
compromised information; and
(c) We determine that disclosing the information to such agencies,
entities, and persons is necessary to assist in our efforts to respond
to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm. We will use this routine use to respond only to those
incidents involving an unintentional release of our records.
We will disclose information under this routine use specifically in
connection with response and remediation efforts in the event of an
unintentional release of agency information, otherwise known as a
``data security breach.'' This routine use will protect the interests
of the people whose information is at risk by allowing us to take
appropriate steps to facilitate a timely and effective response to a
data breach. The routine use will also help us improve our ability to
prevent, minimize, or remedy any harm that may result from a compromise
of data covered by this system of records.
11. To Federal, State, and Local Law Enforcement Agencies and Private
Security Contractors, as Appropriate, Information Necessary:
(a) To enable them to ensure the safety of our employees and
customers, the security of our workplace, and the operation of our
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 our facilities.
We will disclose information under this routine use to law
enforcement agencies and private security contractors when information
is needed to respond to, investigate, or prevent activities that
jeopardize the security and safety of the public, employees, or
workplaces, or that otherwise disrupt the operation of our facilities.
Information will also be disclosed to assist in the prosecution of
persons charged with violating a Federal, State, or local law in
connection with such activities.
12. 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, Information That Is Not Restricted
From Disclosure by Federal Law, for Their Use in Conducting Records
Management Studies
We will disclose information under this routine use only when it is
necessary for GSA and NARA to have access to the information covered by
this system of records. The administrator of GSA and the Archivist of
NARA are authorized by Title 44 U.S.C. 2904, as amended, to promulgate
standards, procedures, and guidelines regarding records management and
to conduct records management studies. Title 44 U.S.C. 2906, as
amended, provides that GSA and NARA are authorized to inspect Federal
agencies' records for records management purposed and that agencies are
to cooperate with GSA and NARA.
B. Compatibility of Proposed Routine Uses
We can disclose information when the disclosure is required by law
(20 CFR 401.120). We can also disclose information when the purpose is
compatible with the purpose for which we collect the information and
the disclosure is supported by a published routine use (20 CFR
401.150). The disclosures under our routine uses (numbers one through
twelve) will ensure that we efficiently perform our functions relating
to the purpose and administration of the ERL Database system of
records. Federal law requires the disclosures that we make under
routine use numbers ten and eleven. We will disclose information under
these two routine uses to the extent another
[[Page 40017]]
Federal law does not prohibit the disclosure. For example, the Internal
Revenue Code generally prohibits us from disclosing tax return
information that we receive to maintain a person's earnings records.
Therefore, all routine uses are appropriate and meet the relevant
statutory and regulatory criteria.
III. Records Storage Medium and Safeguards for the Information Covered
by the ERL Database System of Records
We will maintain information in the ERL Database system of records
in electronic form. We will safeguard the security of the electronic
information covered by the ERL Database system of records by requiring
the use of access codes to enter the computer system that will house
the data. We will permit only our authorized employees and contractors
who require the information to perform their official duties to access
the information covered by the ERL Database system of records.
We annually provide all our employees and contractors with
appropriate security awareness and training that includes reminders
about the need to protect personally identifiable information and the
criminal penalties that apply to unauthorized access to, or disclosure
of, personally identifiable information. See 5 U.S.C. 552a(i)(1).
Furthermore, employees and contractors with access to databases
maintaining personally identifiable information must sign a sanction
document annually, acknowledging their accountability for
inappropriately accessing or disclosing such information.
IV. Effects of the ERL Database System of Records on the Rights of
Individuals
We will maintain information in the ERL Database only that is
necessary to carry out our official functions under the Social Security
Act and other applicable Federal statutes. We will use security
measures that protect access to, and preclude unauthorized disclosure
of, records in this system of records. Additionally, we will adhere to
all statutory requirements, including those under the Social Security
Act and the Privacy Act, in carrying out our responsibilities. We
employ safeguards to protect all personal information in our possession
as well as the confidentiality of the information. We will disclose
information under the routine uses discussed above only as necessary to
accomplish the stated purposes. Therefore, we do not anticipate that
this system of records and its routine use disclosures will have any
unwarranted adverse effect on the privacy or other rights of persons.
Dated: June 30, 2010.
Michael J. Astrue,
Commissioner.
SYSTEM NUMBER: 60-0372
SYSTEM NAME:
Economic Recovery List (ERL) Database, Social Security
Administration.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
Social Security Administration, Office of Retirement and Survivors
Insurance Systems, 6401 Security Boulevard, Baltimore, Maryland 21235.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons receiving benefits under Title II and XVI of the Social
Security Act, as well as those covered by the Railroad Retirement Board
(RRB) and the Department of Veterans Affairs, Veterans Benefits
Administration (VBA). Executors or other persons qualified to receive a
decedent's payment in the event that, between when a person is
determined eligible and issuance of the payment, that person has died.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system will contain information regarding the payees and
payments made under provisions of the American Recovery and
Reinvestment Act of 2009 (ARRA) or other similar legislation. For Title
II and Title XVI beneficiaries, this system will contain the person's
Social Security number (SSN), claim account number, beneficiary
identification code, reason for non-payment, and post-payment
information such as the Treasury Offset Payment (TOP), returned
payment, non-receipt claims, reclamation claims, limited payability
data, and the name of an executor or other person qualified to receive
payment, tax identification number, and mailing address for reissuance
of payment to the estate of the deceased if, between the determination
that a person is eligible and the issuance of payment that person has
died. For payments made by RRB and VBA, the system will contain the
person's SSN. For all payments the system will contain the agency that
qualified the person to receive the payment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title II, Section 2201, Subtitle C of the ARRA.
PURPOSE(S):
We will use data in this system to determine persons eligible for a
one-time payment under the ARRA, or any subsequent payments authorized
under an amendment to or legislation similar to the ARRA, and to
prevent duplicate payments to those who qualify under more than one
criterion.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Routine use disclosures are as indicated below.
1. To the Department of the Treasury (DOT) to prepare checks or
payments it will send to those persons eligible for the one-time
payment, or similar payments subsequently authorized under the ARRA or
other legislation.
2. To the DOT to allow the Department to recover debts to the
Federal government under the Treasury Offset Program.
3. To the Internal Revenue Service to allow for administration of
the Make Work Pay credit.
4. To the Office of the President in response to an inquiry from
that office made at the request of the subject of the record or a third
party on that person's behalf.
5. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record or a third party
on that person's behalf.
6. To the Department of Justice (DOJ), a court, other tribunal, or
another party before such court or tribunal when:
(a) The agency or any of our components; or
(b) Any agency employee in his or her official capacity; or
(c) Any agency employee in his or her individual capacity when DOJ
(or the agency when we are authorized to do so) has agreed to represent
the employee; or
(d) The United States or any agency thereof when we determine that
the litigation is likely to affect our operations or any of its
components, is party to the litigation or has an interest in such
litigation, and we determine that the use of such records by DOJ, a
court, other tribunal, or another party before such court or tribunal
is relevant and necessary to the litigation. In each case, however, we
must determine that such disclosure is compatible with the purpose for
which we collected the records.
7. To our contractors and other Federal agencies, as necessary, to
assist us in efficiently administering our programs.
8. To student volunteers, persons working under a personal services
[[Page 40018]]
contract, and others who are not technically Federal employees, when
they are performing work for us as authorized by law, and they need
access to information in our records in order to perform their assigned
agency duties.
9. To the Railroad Retirement Board and Department of Veterans
Affairs, Veterans Benefits Administration, to identify persons who
qualify for a payment as a beneficiary from more than one agency.
10. To the appropriate Federal, State, and local agencies,
entities, and persons when:
(a) We suspect or confirm that the security or confidentiality of
information in this system of records has been compromised;
(b) We determine that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests,
risk of identity theft or fraud, or harm to the security or integrity
of this system or our other systems or programs that rely upon the
compromised information; and
(c) We determine that disclosing the information to such agencies,
entities, and persons is necessary to assist in our efforts to respond
to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm. We will use this routine use to respond only to those
incidents involving an unintentional release of our records.
11. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
a. To enable them to ensure the safety of our employees and
customers, the security of our workplace, and the operation of our
facilities; or
b. To assist investigations or prosecutions with respect to
activities that affect such safety, security, or activities that
disrupt the operation of our facilities.
12. To the General Services Administration and the National
Archives and Records Administration (NARA) under 44 U.S.C. 2904 and
2906, as amended by the NARA Act, information that is not restricted
from disclosure by Federal law for their use in conducting records
management studies.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
We maintain and store records in this system in electronic form.
RETRIEVABILITY:
We retrieve records by beneficiary Social Security number, claim
account number, or beneficiary identification code.
SAFEGUARDS:
We retain electronic files with personal identifiers in secure
storage areas accessible only to our authorized employees and
contractors who have a need for the information when performing their
official duties. Security measures include the use of access codes
(personal identification number (PIN) and password) to enter our
computer systems that house the data.
We annually provide all our employees and contractors with
appropriate security awareness and training that includes reminders
about the need to protect personally identifiable information and the
criminal penalties that apply to unauthorized access to, or disclosure
of, personally identifiable information (5 U.S.C. 552a(i)(l)).
Furthermore, employees and contractors with access to databases
maintaining personally identifiable information must sign a sanction
document annually, acknowledging their accountability for
inappropriately accessing or disclosing such information.
RETENTION AND DISPOSAL:
We maintain records in SSA headquarters within the Office of
Retirement and Survivors Insurance Systems. We will maintain these
records for seven years, pending application of an appropriate General
Records Schedule, or approval by NARA, of the proposed retention.
SYSTEM MANAGER(S) AND ADDRESS:
Project Manager, Office of Retirement and Survivors Insurance
Systems, Social Security Administration, 6401 Security Boulevard,
Baltimore, Maryland 21235-6401.
NOTIFICATION PROCEDURES:
Persons can determine if this system contains a record about them
by writing to the system manager at the above address and providing
their name, SSN, or other information in this system of records that
will identify them. Persons requesting notification by mail must
include a notarized statement to us to verify their identity or must
certify in the request that they are the person they claim to be and
that they understand that the knowing and willful request for, or
acquisition of, a record pertaining to another person under false
pretenses is a criminal offense.
Persons requesting notification of records in person must provide
the same information, as well as provide an identity document,
preferably with a photograph, such as a driver's license. Persons
lacking identification documents sufficient to establish their identity
must certify in writing that they are the person they claim to be and
that they understand that the knowing and willful request for, or
acquisition of, a record pertaining to another person under false
pretenses is a criminal offense.
Persons requesting notification by telephone must verify their
identity by providing identifying information that parallels the
information in the record about which they are requesting notification.
If we determine that the identifying information the person provides by
telephone is insufficient, we will require the person to submit a
request in writing or in person. If a person requests information by
telephone on behalf of another person, the subject person must be on
the telephone with the requesting person and us in the same phone call.
We will establish the subject person's identity (his or her name, SSN,
address, date of birth, and place of birth, along with one other piece
of information such as mother's maiden name) and ask for his or her
consent to provide information to the requesting person. These
procedures are in accordance with our regulations at 20 CFR 401.40 and
401.45.
RECORD ACCESS PROCEDURES:
Same as notification procedures. Persons also should reasonably
specify the record contents they are seeking. These procedures are in
accordance with our regulations (20 CFR 401.40(c)).
CONTESTING RECORD PROCEDURES:
Same as notification procedures. Persons also should 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 (20 CFR 401.65(a)).
RECORD SOURCE CATEGORIES:
We obtain data covered by this system of records from information
in our existing systems of records (e.g., the Master Beneficiary
Record, 60-0090 and Supplemental Security Income Record and Special
Veterans Benefits, 60-0103), as well as from systems of records of the
Railroad Retirement Board and Veterans Benefits Administration. We may
also obtain data from an executor or other person qualified to receive
a decedent's payment in the event that, between when a person is
determined eligible
[[Page 40019]]
and the issuance of payment, that person has died.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
None.
[FR Doc. 2010-17021 Filed 7-12-10; 8:45 am]
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