83 FR 55228 - Privacy Act of 1974; System of Records

SOCIAL SECURITY ADMINISTRATION

Federal Register Volume 83, Issue 213 (November 2, 2018)

In accordance with the Privacy Act, we are issuing public notice of our intent to modify an existing system of records, entitled Master Representative Payee File (60-0222), last published in full on April 22, 2013. This notice publishes details of the modified system as set forth under the caption, SUPPLEMENTARY INFORMATION.

[Federal Register Volume 83, Number 213 (Friday, November 2, 2018)]
[Notices]
[Pages 55228-55232]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-23941]


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

SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2018-0060]


Privacy Act of 1974; System of Records

AGENCY: Office of Retirement and Disability Policy, Office of Income 
Security Programs, Social Security Administration (SSA).

ACTION: Notice of a modified system of records.

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

SUMMARY: In accordance with the Privacy Act, we are issuing public 
notice of our intent to modify an existing system of records, entitled 
Master Representative Payee File (60-0222), last published in full on 
April 22, 2013. This notice publishes details of the modified system as 
set forth under the caption, SUPPLEMENTARY INFORMATION.

DATES: The system of records notice (SORN) is applicable upon its 
publication in today's Federal Register, with the exception of the new 
routine uses, which are effective December 3, 2018. We invite public 
comment on the routine uses or other aspects of this SORN. In 
accordance with 5 U.S.C. 552a(e)(4) and (e)(11), the public is given a 
30-day period in which to submit comments. Therefore, please submit any 
comments by December 3, 2018.

ADDRESSES: The public, Office of Management and Budget (OMB), and 
Congress may comment on this publication by writing to the Executive 
Director, Office of Privacy and Disclosure, Office of the General 
Counsel, SSA, Room G-401 West High Rise, 6401 Security Boulevard, 
Baltimore, Maryland 21235-6401, or through the Federal e-Rulemaking 
Portal at http://www.regulations.gov, please reference docket number 
SSA-2018-0060. All comments we receive will be available for public 
inspection at the above address and we will post them to http://www.regulations.gov.

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

SUPPLEMENTARY INFORMATION: Social Security's representative payee 
program provides financial management for Social Security 
beneficiaries, Supplemental Security Income (SSI) recipients, and 
Special Veterans Benefits recipients who are incapable of managing 
their benefits or payments. The representative payee's primary 
responsibility is to use the beneficiary's benefits or recipient's 
payments for the beneficiary's or recipient's current and foreseeable 
needs. The Strengthening Protections for Social Security Beneficiaries 
Act of 2018 (H.R. 4547, Pub. L. 115-165, hereafter referred to as Pub. 
L. 115-165) directs SSA to conduct background investigations on certain 
representative payees at least once every five years. Routine use #19 
currently allows for the disclosure of representative payee information 
to third parties to obtain criminal history information. As of 2013, 
SSA's policy was to make such disclosures via routine use #19 at the 
time a representative payee applied to become a representative payee. 
We are notifying all current representative payees and future 
representative payee applicants (with some exceptions, discussed below) 
that SSA will begin, in accordance with Public Law 115-165, making such 
disclosures under routine use #19 both at the time of application and 
on a continuing basis at least once every five years. Beginning in 2019 
for all current representative payees, SSA will make disclosures under 
routine use #19, and will do so at least once every five years. We may, 
however, exempt certain close family members serving as representative 
payees (including but not limited to the custodial parent of a minor 
beneficiary/recipient, spouse of a

[[Page 55229]]

beneficiary/recipient, and custodial court appointed guardian of a 
beneficiary/recipient) from the background investigation process. Any 
representative payee who does not want his or her information disclosed 
to a third party for background investigation purposes should terminate 
his or her representative payee appointment in accordance with agency 
policy.
    We are modifying the authority for maintenance of the system to 
include Public Law 115-165. We are revising the category of records to 
specify that we will maintain records in support of representative 
payee reviews, including educational visits, in this system and to 
clarify that criminal history information may include records 
addressing inaccuracies (e.g., records a representative payee provides 
to disprove criminal background information obtained from a third 
party). We are clarifying when and on whom we will conduct background 
checks and that we may retrieve records by beneficiary, recipient, or 
claimant personally identifying information (PII), in addition to, that 
of the representative payee. We are expanding the record source 
categories to include grantees, as a result of Public Law 115-165, and 
to local and state government agencies. We are also adding new routine 
use #24 to permit disclosures to other Federal agencies and entities, 
for the purpose of assisting in breach responses. Lastly, we are 
modifying the notice throughout to correct miscellaneous stylistic 
formatting and typographical errors of the previously published notice, 
and to ensure the language reads consistently across multiple systems. 
The entire notice is being republished for ease of reference.
    In accordance with 5 U.S.C. 552a(r), we provided a report to OMB 
and Congress on this revised system of records.

    Dated: October 24, 2018.
Mary Zimmerman,
Acting Executive Director, Office of Privacy and Disclosure, Office of 
the General Counsel.
SYSTEM NAME AND NUMBER
    Master Representative Payee File, 60-0222.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Social Security Administration, Office of Retirement and Disability 
Policy, 6401 Security Boulevard, Baltimore, MD 21235.

SYSTEM MANAGER(S):
    Social Security Administration, Deputy Commissioner for the Office 
of Retirement and Disability Policy, 6401 Security Boulevard, 
Baltimore, MD 21235, [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 205(a), 205(j), 208, 807, 811, 1631(a), and 1632 of the 
Social Security Act, as amended, the Social Security Protection Act of 
2004 (Pub. L. 108-203), and the Strengthening Protections for Social 
Security Beneficiaries Act of 2018 (Pub. L. 115-165).

PURPOSE(S) OF THE SYSTEM:
    We will use the information in this system to assist us in the 
selection process of a representative payee by enabling Social Security 
field offices to better screen applicants to determine their 
suitability to become and remain representative payees. We will also 
use the data for management information and workload projection 
purposes, and to prepare annual reports to Congress on representative 
payee activities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system maintains information about all representative payees 
and representative payee applicants, including persons whose 
certifications as representative payees have been revoked or terminated 
on or after January 1, 1991; persons who have been convicted of a 
violation of sections 208, 811, and 1632 of the Social Security Act, as 
amended; persons convicted under other statutes in connection with 
services as a representative payee, and others whose certification as a 
representative payee SSA has revoked due to misuse of funds paid under 
Title II, Title VIII, and Title XVI of the Social Security Act; persons 
who are acting or have acted as representative payees; representative 
payee applicants who were not selected to serve as representative 
payees; representative payee applicants who have been convicted of an 
offense resulting in more than one (1) year imprisonment; 
representative payees and representative payee applicants who have an 
outstanding felony warrant; organizational payees who have been 
authorized to collect a fee for their service; and beneficiaries, 
recipients, or claimants who are or may be served by representative 
payees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system maintains records that consist of the following:
    1. Names and Social Security numbers (SSNs) (or employer 
identification numbers (EINs)) of representative payees whose 
certifications for payment of benefits as representative payees have 
been revoked or terminated on or after January 1, 1991, because of 
misuse of benefits under Title II, Title VIII, or Title XVI of the 
Social Security Act;
    2. Names and SSNs (or EINs) of all persons convicted of violations 
of sections 208, 811, and 1632 of the Social Security Act, as amended;
    3. Names, addresses, and SSNs (or EINs) of persons convicted of 
violations of statutes other than sections 208, 811, and 1632 of the 
Social Security Act, when such violations were committed in connection 
with the individual's service as a Social Security representative 
payee;
    4. Names, addresses, SSNs, and information about representative 
payee or representative payee applicant self-reported crimes, 
outstanding felony warrants, or imprisonment for a period exceeding one 
(1) year (an indicator will be used in the system to identify persons 
identified as having an outstanding felony warrant);
    5. Names, addresses, and SSNs (or EINs) of representative payees 
who are receiving benefit payments pursuant to sections 205(j), 807, or 
1631(a)(2) of the Social Security Act;
    6. Names, addresses, and SSNs of persons for whom representative 
payees are reported to be providing representative payee services under 
sections 205(j), 807, or 1631(a)(2) of the Social Security Act;
    7. Names, addresses, and SSNs of representative payee applicants 
who were not selected as representative payees;
    8. Names, addresses, and SSNs of persons who were terminated as 
representative payees for reasons other than misuse of benefits paid to 
them on behalf of beneficiaries or recipients;
    9. Information concerning the representative payee's relationship 
to the beneficiaries or recipients they serve;
    10. Names, addresses, EINs, and qualifying information of 
organizations authorized to charge a fee for providing representative 
payee services;
    11. Codes which indicate the relationship (other than familial) 
between the beneficiaries or recipients and the persons who have 
custody of the beneficiaries or recipients;
    12. Dates and reasons for representative payee terminations (e.g., 
performance not acceptable, death of payee, beneficiary in direct 
payment, etc.) and revocations;

[[Page 55230]]

    13. Codes indicating whether representative payee applicants were 
selected or not selected;
    14. Dates and reasons representative payee applicants were not 
selected to serve as payees, dates and reasons for changes of payees 
(e.g., beneficiary in direct payment, a criminal history etc.);
    15. Amount of benefits misused;
    16. Identification number assigned to the claim on which the misuse 
occurred;
    17. Date of the determination of misuse;
    18. Information about a felony conviction reported by the 
representative payee;
    19. Criminal history information obtained from SSA databases, 
representative payees, third parties, contractors, and other Federal 
agencies, including records that dispute criminal history information 
provided by third parties;
    20. Annual payee accounting reports; and,
    21. Records of representative payee reviews, including educational 
visits.

RECORD SOURCE CATEGORIES:
    We obtain information in this system from representative payee 
applicants and representative payees; third parties, contractors, 
grantees and local, state, and Federal government agencies; the SSA 
Office of Inspector General; and existing SSA systems of records such 
as the Master Files of SSN Holders and SSN Applications, 60-0058; 
Claims Folders System, 60-0089; Master Beneficiary Record, 60-0090; SSI 
Record and Special Veterans Benefits, 60-0103; Recovery of 
Overpayments, Accounting and Reporting/Debt Management System, 60-0094; 
and Prisoner Update Processing System, 60-0269.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    We will disclose records pursuant to the following routine uses; 
however, we will not disclose any information defined as ``return or 
return information'' under 26 U.S.C. 6103 of the Internal Revenue Code 
(IRC), unless authorized by statute, the Internal Revenue Service 
(IRS), or IRS regulations.
    1. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such court or tribunal, when:
    (a) The Social Security Administration (SSA), or any component 
thereof; or
    (b) any SSA employee in his or her official capacity; or
    (c) any SSA employee in his or her individual capacity where DOJ 
(or SSA, where it is authorized to do so) has agreed to represent the 
employee; or
    (d) the United States or any agency thereof where SSA determines 
that the litigation is likely to affect SSA or any of its components, 
is a party to litigation or has an interest in such litigation, and SSA 
determines that the use of such records by DOJ, a court or other 
tribunal, or another party before the tribunal, is relevant and 
necessary to the litigation, provided, however, that in each case, SSA 
determines that such disclosure is compatible with the purpose for 
which the records were collected.
    2. To a congressional office in response to an inquiry from that 
office made on behalf of, and at the request of, the subject of the 
record or third party acting on the subject's behalf.
    3. To the National Archives and Records Administration (NARA) under 
44 U.S.C. 2904 and 2906.
    4. To the Department of Veterans Affairs (VA), Regional Office, 
Manila, Philippines, for the administration of the Social Security Act 
in the Philippines and other parts of the Asia-Pacific region through 
services and facilities of that agency.
    5. To the Department of State, for administration of the Social 
Security Act in foreign countries rough services and facilities of that 
agency.
    6. To the American Institute, a private corporation under contract 
to the Department of State, for administering the Social Security Act 
in Taiwan through facilities and services of that agency.
    7. To DOJ for:
    (a) Investigating and prosecuting violations of the Social Security 
Act to which criminal penalties attach;
    (b) representing the Commissioner of Social Security; and,
    (c) investigating issues of fraud or violations of civil rights by 
officers or employees of the SSA.
    8. To the Office of the President in response to an inquiry from 
that office made on behalf of, and at the request of, the subject of 
the record or a third party acting on the subject's behalf.
    9. To the VA, for the shared administration of the VA's and SSA's 
representative payee programs.
    10. To contractors and other Federal Agencies, as necessary, for 
the purpose of assisting the SSA in the efficient administration of its 
programs. We will disclose information under this routine use only in 
situations in which SSA may enter into a contractual or similar 
agreement to obtain assistance in accomplishing an SSA function 
relating to this system of records.
    11. To a third party such as a physician, social worker, or 
community service worker, who has, or is expected to have, information, 
which is needed to evaluate one or both of the following:
    (a) The claimant's capability to manage or direct the management of 
his or her benefits; or
    (b) any case in which disclosure aids investigation of suspected 
misuse of benefits, abuse or fraud, or is necessary for program 
integrity, or quality appraisal activities.
    12. To a third party, where necessary, information pertaining to 
the identity of a representative payee or representative payee 
applicant, the fact of the person's application for or service as a 
representative payee, and, as necessary, the identity of the 
beneficiary, to obtain information on employment, sources of income, 
criminal justice records, stability of residence, and other information 
relating to the qualifications and suitability of representative payees 
or representative payee applicants to serve as representative payees, 
or their use of the benefits paid to them under sections 205(j), 807, 
or 1631(a) of the Social Security Act.
    13. To a claimant, or other individual authorized to act on his or 
her behalf, information concerning the status of his or her 
representative payee or the status of the application of a person 
applying to be his or her representative payee, and information 
pertaining to the address of a representative payee applicant or a 
selected representative payee, when this information is needed to 
pursue a claim for recovery of misapplied or misused benefits.
    14. To the Railroad Retirement Board (RRB), for the administration 
of RRB's representative payment program.
    15. To student volunteers, individuals working under a personal 
services contract, and other workers who technically do not have the 
status of Federal employees, when they are performing work for SSA, as 
authorized by law, and they need access to PII in SSA records in order 
to perform their assigned agency functions.
    16. To the Office of Personnel Management (OPM), for the 
administration of OPM's representative payee programs.
    17. To the Secretary of Health and Human Services or to any State, 
any record or information requested in writing by the Secretary for the 
purpose of administering any program administered by the Secretary, if 
records or information of such type were so disclosed under applicable 
rules, regulations and procedures in effect

[[Page 55231]]

before the date of enactment of the Social Security Independence and 
Program Improvements Act of 1994.
    18. To appropriate agencies, entities, and persons when:
    (a) SSA suspects or has confirmed that there has been a breach of 
the system of records;
    (b) SSA has determined that as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals, SSA 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and
    (c) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connections with SSA's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    19. To third parties, contractors, or other Federal agencies, as 
necessary, to conduct criminal background checks and to obtain criminal 
history information on representative payees and representative payee 
applicants.
    20. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, information necessary:
    (a) To enable them to protect the safety of SSA employees and 
customers, the security of the SSA workplace and the operation of SSA 
facilities; or
    (b) to assist investigations or prosecutions with respect to 
activities that affect such safety and security, or activities that 
disrupt the operation of SSA facilities.
    21. To agencies or entities who have a written agreement with SSA, 
to perform representative payee reviews for SSA and to provide 
training, administrative oversight, technical assistance, and other 
support for those reviews.
    22. To state protection and advocacy systems, that have a written 
agreement with SSA to conduct reviews of representative payees, for the 
purpose of conducting additional reviews that the protection and 
advocacy systems have reason to believe are warranted.
    23. To agencies or entities with responsibility for investigating 
or addressing possible financial exploitation of, an immediate health 
or safety threat to, or other serious risk to the well-being of the 
beneficiary, for referral, when these issues are identified during a 
representative payee review
    24. To another Federal agency or Federal entity, when SSA 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in:
    (a) Responding to a suspected or confirmed breach; or
    (b) preventing, minimizing, or remedying the risk of harm to 
individuals, the recipient agency or entity (including its information 
systems, programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    We maintain records in this system in paper and electronic form.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    We will retrieve records by the representative payee's, 
beneficiary's, recipient's, or claimant's SSN, EIN or name.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    In accordance with NARA rules codified at 36 CFR 1225.16, we 
maintain records in accordance with the NARA approved Agency-Specific 
Records Schedules N1-47-09-04 and N1-47-09-5.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    We retain electronic and paper files containing personal 
identifiers in secure areas and systems accessible only by our 
authorized employees who have a need for the information when 
performing their official duties. Security measures include, but are 
not limited to, the use of codes and profiles, personal identification 
number and password, and personal identification verification cards. We 
restrict access to specific correspondence within the system based on 
assigned roles and authorized users. We maintain electronic files with 
personal identifiers in secure storage areas. We will use audit 
mechanisms to record sensitive transactions as an additional measure to 
protect information from unauthorized disclosure or modification. We 
keep paper records in cabinets within secure areas, with access limited 
to only those employees who have an official need for access in order 
to perform their duties. We require agencies and entities performing 
work for SSA who require access to information from this system to 
impose equivalent safeguards.
    We annually provide our employees, contractors, and others 
performing work for us with appropriate security awareness training 
that includes reminders about the need to protect PII and the criminal 
penalties that apply to unauthorized access to, or disclosure of PII. 
See 5 U.S.C. 552a(i)(1). Furthermore, those with access to databases 
maintaining PII are informed of the penalties for improper access and 
disclosure of PII.

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

CONTESTING RECORD PROCEDURES:
    Same as record access procedures. Individuals should also 
reasonably identify the record, specify the information they are 
contesting, and state the corrective action sought and the reasons for 
the correction with supporting justification showing how the record is 
incomplete, untimely, inaccurate, or irrelevant. These procedures are 
in accordance with our regulations at 20 CFR 401.65(a).

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    78 FR 23811, Master Representative Payee File.

[[Page 55232]]

    83 FR 31250, Master Representative Payee File.
    83 FR 31251, Master Representative Payee File.

[FR Doc. 2018-23941 Filed 11-1-18; 8:45 am]
 BILLING CODE P