Effective Date: January 11, 2006
(71 F.R. 1847)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY
THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0231
System name:
Financial
Transactions of SSA Accounting and Finance Offices, Social Security
Administration, Deputy Commissioner for Finance, Assessment and Management,
Office of Financial Policy and Operations.
System classification:
None.
System Location:
Deputy Commissioner for Finance
Assessment
and Management
800 Altmeyer
Building
Travel vouchers submitted for reimbursement
of travel and other expenditures while on official business may also be
maintained at the administrative office of the Social Security Administration
(SSA) employee's unit of work. Records concerning delinquent debts may also be
maintained at the program office or by designated claims officers apart from
the finance office.
Categories of individuals covered by the system:
All persons who receive a
payment from SSA finance offices and all persons owing monies to these offices.
Persons receiving payments include, but are not limited to, travelers on
official business, contractors, grantees and consultants. Persons owing monies
include, but are not limited to, persons who have been overpaid and who owe SSA
a refund and persons who have received from SSA goods or services for which
there is a charge or fee (e.g., Freedom of Information Act requesters).
Categories of Records in the system:
Name, Social
Security number (SSN), address, employer identification numbers (EINs), purpose of payment, accounting classification and
amount paid. Also, in the event of an overpayment, and for
delinquent grants, the amount of the indebtedness, the repayment status and the
amount to be collected.
Authority for maintenance of the system:
Budget and
Accounting Act of 1950 (Pub. L. 81-784), Debt Collection Act
of 1982 (Pub. L. 97-365).
Purpose(s):
These records
are an integral part of SSA's accounting system. The
records are used to track payments to individuals, exclusive of salaries and
wages, based upon prior entry into the systems of the official commitment and
obligation of government funds. When an individual is to repay funds advanced, the
records will be used to establish a receivable record and to track repayment
status. In the event of an overpayment to an individual, the record is used to
establish a receivable record for recovery of the amount claimed. The records
are also used internally to develop reports to the Internal Revenue Service and
applicable State and local taxing officials of taxable income. This is an
Agency-wide notice of payment and collection activities at all locations.
Intra-Agency uses and transfers concern the validation and certification for
payment, and for SSA internal audits.
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 the Department of the Treasury for
check preparation.
2. To members of
Congress concerning a Federal financial assistance program.
3. To a congressional office from an
individual's record in response to an inquiry from the congressional office made
at the request of that individual.
4. To the Department of Justice in the
event SSA deems it desirable, or necessary, in determining whether particular
records are required to be disclosed under the Freedom of Information Act.
5. To a Federal, State or local agency
maintaining civil, criminal or other relevant enforcement records or other
pertinent records, such as current licenses, if necessary to obtain a record
relevant to an Agency decision concerning the hiring or retention of an employee,
the issuance of a security clearance, the letting of a contract or the issuance
of a license or other benefit.
6. To a Federal agency, in response to its
request, in connection with the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license or other
benefit by the requesting agency, to the extent that the record is relevant and
necessary to the requesting agency's decision on the matter.
7. To a Federal agency having the power to
subpoena records, for example, the Internal Revenue Service or the Civil Rights
Commission, in response to a subpoena for information contained in this system
of records.
8. To officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting conditions of employment.
9. To the Department of Justice (DOJ), a
court or other tribunal, or to another party before such tribunal, when:
(a) The Social Security Administration
(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 the 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 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.
10. To credit
reporting agencies to obtain a credit report about a potential contractor or
grantee in order to determine the potential contractor's or grantee's
creditworthiness.
11. To the
Department of the Treasury:
(a) To find out whether or not the
individual has a delinquent tax account for the purpose of determining the
individual's creditworthiness for the loan in question under the Internal
Revenue Code (26 U.S.C. 6103(1)(3)(A)-(C)); and
(b) To assist SSA in recovering the
collection of delinquent administrative debts through Administrative Wage
Garnishment (AWG) (31 U.S.C. 3720D) via the Treasury Crossing Servicing program
as authorized by the Debt Collection Improvement Act of 1996.
12. To the following entities in order to
help collect a debt owed the
(a) To another Federal agency so that
agency can effect a salary offset;
(b)
To another Federal agency so that agency can effect an administrative offset
under common law or under 31 U.S.C. 3716 (withholding from money payable to, or
held on behalf of, the individual);
(c) To the Department of the Treasury to
request the mailing address of an individual under the Internal Revenue Code
(26 U.S.C. 6103(m)(2)(A)) for the purpose of locating the individual to collect
or compromise a Federal claim against the individual in accordance with 31
U.S.C. 3711, 3717 and 3718;
(d) To an agent of the Social Security
Administration (SSA) that is a consumer reporting agency within the meaning of
15 U.S.C. 1681a(f), the mailing address of an
individual may be disclosed to such agent for the purpose of allowing such
agent to prepare a commercial credit report on the individual for use by SSA in
accordance with 31 U.S.C. 3711, 3717 and 3718;
(e) To debt collection agents under 31
U.S.C. 3718 or under common law to help collect a debt; and
(f) To the Department of Justice for litigation
or for further administrative action. In accordance with 31 U.S.C.
3711(e)(1)(F), disclosure under parts (a)-(c) and (e) is limited to information
necessary to establish the identity of the person, including name, address and
taxpayer identification or Social Security number; the amount, status, and
history of the claim; the agency or program under which the claim arose.
13. To another Federal agency that has
asked the Social Security Administration to effect an administrative offset
under common law or under 31 U.S.C. 3716 to help
collect a debt owed the
14. To the Internal Revenue Service and
State and local tax authorities when income and payments are reported to them
concerning employees, contractors, and when amounts are written-off as legally
or administratively uncollectible, in whole or in part.
15. To banks
enrolled in the treasury credit card network to collect a payment or debt when
the individual has given his/her credit card number for this purpose.
16. 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
the Social Security Administration (SSA), as authorized by law, and they need
access to personally identifiable information in SSA records in order to
perform their assigned Agency functions.
17. To the General Services Administration
and the National Archives Records Administration (NARA) under 44 U.S.C. 2904
and 2906, as amended by the NARA Act of 1984, information which is not
restricted from disclosure by Federal law for the use of those agencies in
conducting records management studies.
18. To contractors and other Federal
agencies, as necessary, for the purpose of assisting the Social Security
Administration (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 with a third party to assist in
accomplishing an agency
function relating to this system of records.
19. We
may disclose information to appropriate Federal, State, and local agencies,
entities, and persons when (1) we suspect or confirm that the security or
confidentiality of information in this system of records has been compromised;
(2) we determine that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or
programs of SSA that rely upon the compromised information; and (3) 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. SSA will use
this routine use to respond only to those incidents involving an unintentional
release of its records.
Disclosure to
Consumer Reporting Agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer reporting agencies as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701, et seq.) as amended. The
disclosure will be made in accordance with 31 U.S.C. 3711(e) when authorized by
sections 204(f), 808(e) or 1631(b)(4) of the Social Security Act (42 U.S.C.
404(f), 1008(e) or 1383(b)(4)). The purpose of this disclosure is to aid in the
collection of outstanding debts owed to the Federal government, typically, to
provide an incentive for debtors to repay delinquent Federal government debts
by making these debts part of their credit records. The information to be
disclosed is limited to the individual's name, address, SSN, and other
information necessary to establish the individual's identity; the amount,
status, and history of the debt and the agency or program under which the debt
arose.
Policies and Practices for Storing, Retrieving, Accessing, Retaining
and Disposing of Records in the System:
Storage:
Records are
maintained in automated form (e.g., disc packs and magnetic tapes).
Retrievability:
Records are
retrieved by name, SSN, and voucher number.
Safeguards:
1. Only authorized users have access to
these records: Employees and officials directly responsible for programmatic or
fiscal activity, including administrative and staff personnel, financial
management personnel, computer personnel, and managers who have responsibilities
for implementing SSA programs.
2. Physical Safeguards: File folders,
reports and other forms of personnel data, and electronic diskettes are stored
in areas where fire codes are strictly enforced. All documents and diskettes
are protected during lunch hours and non-working hours in locked file cabinets
or locked storage areas. Magnetic tapes, disks, etc., and computer matching
tapes are locked in a computer room and tape vault.
3. Procedural Safeguards: Password
protection of automated records is provided. All authorized users protect
information from public view and from unauthorized personnel entering an
office. The safeguards are now maintained in accordance with SSA's Systems Security guides.
Access http://www.socialsecurity.gov/foia/bluebook/app_g.htm for additional
information relating to SSA data security measures.
Retention and disposal:
Records are purged from automated files
once the accounting purpose has been served. Printed copies and manual
documents are retained and disposed of in accord with General Accounting Office
principles and standards, as authorized by the National Archives and Records
Administration.
System manager(s) and address(es):
Deputy Commissioner for Finance
Assessment
and Management
800
Altmeyer Building
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. 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 information in 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(c)).
Record access procedures:
Same
as Notification procedures. Requesters should also clearly specify the
record contents being sought, and may include an accounting of disclosures that
have been made of their records, if any. These procedures are in accordance
with SSA Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same
as Notification procedures. Also, requesters should reasonably identify
the record, specify the information they are contesting and the corrective
action sought, and the reasons for requesting the correction, with supporting
justification showing how the record is inaccurate, incomplete, untimely or
irrelevant. These procedures are in accordance with SSA Regulations (20 CFR
401.65(a)).
Record source categories:
Individual
travel vouchers, grants, contract and purchase order award documents;
delinquent grant records, invoices of services rendered; and/or goods received,
and applications for travel and/or salary advances.
Systems exempted from certain provisions of the Privacy Act:
None.