Effective Date: January 11, 2006
(71 F.R. 1859)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY
THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0239
System name:
Personnel
Records in Operating Offices, Social Security Administration, Deputy
Commissioner for Human Resources, Office of Personnel.
Security classification:
None.
System Location:
These records
are located within the servicing personnel offices that service specific Social
Security Administration (SSA) organizational components and/or at a site closer
to where the employee works; e.g., in an administrative office or in an
employee record extension file maintained by the immediate supervisor.
Note: In the case of some personnel
records, SSA has determined that duplicates need to be located in a second
office closer to where the employee works (e.g., in an administrative office or
in an employee record extension file maintained by the immediate supervisor).
Any of these personnel records that are derived from OPM/GOVT 1 also are
covered by that system notice.
Categories of individuals covered by the system:
Current
employees of SSA and former or current Federal employees submitting
applications for employment with SSA.
Categories of records in the system:
This system
consists of a variety of records relating to personnel actions and
determinations made about an individual while employed. These records may
contain information about an individual relating to name, birth date; emergency
contact information; e.g., mailing address and telephone number; Social
Security number (SSN); veterans preference; tenure;
employment history; employment qualifications; past
and present
salaries, grades and position titles; training; awards and other recognition;
approved suggestions; performance plan and rating of record; performance
improvement plan; conduct; and data documenting reasons for personnel actions,
decisions or recommendations made about an employee; and background data
documentation leading to an adverse action or other personnel action being
taken against an employee.
Authority for maintenance of the system:
5
U.S.C. 3101, Chapter 33, Chapter 41, Chapter 43, Chapter 45, Chapter 55 and
Chapter 75.
Purpose(s):
These records are used by operating
officials in carrying out their personnel management responsibilities. They may
be used in recommending or taking personnel actions such as appointments,
promotions, separations (e.g., retirements, resignations), reassignments,
within-grade increases, adverse actions; as a basis for employee training,
recognition, or
disciplinary actions; and as a basis for staffing and budgetary planning and
control, organizational planning, and manpower utilization purposes.
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 Office of Personnel Management,
the Merit Systems Protection Board (MSPB), or the Office of the Special Counsel
when information is requested in connection with appeals, special studies of
the civil service and other merit systems, review of those agencies' rules and
regulations, investigation of alleged or possible prohibited personnel
practices, and for such other function of these agencies as may be authorized
by law, e.g., 5 U.S.C. 1205 and 1206.
2. To the Equal Employment Opportunity
Commission when requested in connection with investigations into alleged or
possible discriminatory practices in the Federal sector, examination of Federal
affirmative employment programs, compliance by Federal agencies with the
Uniform Guidelines on Employee Selection Procedures, or other functions vested
in the Commission.
3. To the Federal Labor Relations
Authority, its General Counsel, the Federal Mediation
and Conciliation Service, the Federal Service Impasses Panel, or an arbitrator
when information is requested in connection with investigations of allegations
of unfair practices,
matters before an
arbitrator or the Federal Service Impasses Panel.
4. To the appropriate agency in the event
an appeal is made outside Social Security Administration records, which are
relevant when that agency is charged with rendering a decision on the appeal.
5. To Federal, State and local law
enforcement agencies in the event that this system of records indicates a
violation or potential violation of law, whether civil, criminal or regulatory
in nature.
6. To the Department of Justice for the
purpose of obtaining its advice in the event the Social Security Administration
deems it desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act.
7. 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, grant or other benefit.
8. 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, grant 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.
9. 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.
10. 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.
11. To contractors for the purpose of
collating, analyzing, aggregating or otherwise refining records in this system.
The contractor shall be required to maintain Privacy Act safeguards with
respect to such records.
12. To a congressional office from the
record of an individual in response to an inquiry from the congressional office
made at the request of that individual.
13. To the Department of Justice (DOJ), a
court or other tribunal, or 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 of DOJ, a
court or other tribunal, or another party before such 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.
14. 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.
15. 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.
16. To the Secretary of Health and Human
Services or to any State, the Commissioner shall disclose 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 before the date of enactment of the Social Security
Independence and Program Improvements Act of 1994.
17. 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.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are
maintained in automated form (e.g., hard drives, floppy disks, CD-ROM, magnetic
tapes) and in paper form (e.g., file folders, index cards).
Retrievability:
Records are
retrieved by any combination of name, SSN, or identification number.
Retention and disposal:
Records in this system are retained for
varying lengths of time, ranging from a few months to 5 years. Most records are
retained for a period of 1 to 2 years. Some records, such as individual
applications, become part of the person's permanent official records when
hired, while some records are destroyed 45 days after the individual leaves the
jurisdiction of the operating office or, if appropriate, are combined with the
Official Personnel Folder (OPF), which is forwarded to the hiring Federal
agency or, if the employee is leaving Federal service, to the National
Personnel Records Center. Some records are destroyed by shredding or burning
while magnetic tapes or disks are erased.
System manager(s) and address(es):
For paper files
In Headquarters:
Director
Center for Personnel Policy and
Staffing
Office of Personnel
In the Field:
Director
Center for Human Resources
Social Security Administration
Office
of Central Operations
Center for Management Support
Room 7030
Office of the Regional Commissioners:
In the
Social
Security Administration
In the
Social
Security Administration
26 Federal Plaza
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
In the
Social
Security Administration
For magnetic media files:
Director
Center for Personnel Management
Information Systems and Payroll
Office
of Personnel
Social Security Administration
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 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. Also, requesters should reasonably
identify the record, specify the information they are contesting and the
corrective action sought, and the reasons for the correction, with supporting
justification showing how the record is incomplete, untimely, inaccurate or
irrelevant. This procedure is in accordance with SSA Regulations (20 CFR
401.65(a)).
Record source categories:
Information in this system of records
either comes from the individual to whom it applies, is derived from
information supplied by the individual, or is provided by SSA officials.
Systems exempted from certain provisions of the Privacy Act:
None.
Note: When supervisors/managers retain
personal "supervisory'' notes (i.e., information on employees that the
Agency exercises no control and does not require or specifically describe in
its performance appraisal system, which remain solely for the personal use of
the author and are not provided to any other person, and which are retained or
discarded at the author's sole discretion), such notes are not subject to the
Privacy Act and are, therefore, not considered part of this system. If any of
the above conditions are violated, these notes are no longer merely personal
notes serving as an aid to the supervisor's memory, but become records subject
to the Privacy Act.