Privacy Act of 1974; System of Records, 78909-78912 [2020-26794]

Download as PDF Federal Register / Vol. 85, No. 235 / Monday, December 7, 2020 / Notices (f) 24 of Rule 19b–4 thereunder. At any time within 60 days of the filing of the Proposed Rule Change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the Proposed Rule Change is consistent with the Act. Comments may be submitted by any of the following methods: khammond on DSKJM1Z7X2PROD with NOTICES Electronic Comments • Use the Commission’s internet comment form (http://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– FICC–2020–014 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. All submissions should refer to File Number SR–FICC–2020–014. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s internet website (http://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the Proposed Rule Change that are filed with the Commission, and all written communications relating to the Proposed Rule Change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of FICC and on DTCC’s website (http://dtcc.com/legal/sec-rulefilings.aspx). All comments received will be posted without change. Persons submitting comments are cautioned that 24 17 CFR 240.19b–4(f). VerDate Sep<11>2014 18:32 Dec 04, 2020 we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–FICC– 2020–014 and should be submitted on or before December 28, 2020. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.25 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–26786 Filed 12–4–20; 8:45 am] BILLING CODE 8011–01–P SOCIAL SECURITY ADMINISTRATION [Docket No. SSA–2020–0026] Privacy Act of 1974; System of Records Office of the General Counsel and Office of Hearings Operations, Social Security Administration (SSA). ACTION: Notice of a modified system of records. AGENCY: In accordance with the Privacy Act, we are issuing public notice of our intent to modify an existing system of records entitled, Representative Disqualification, Suspension, and Non-Recognition File (60–0219), last published on May 10, 2010. This notice publishes details of the modified system as set forth below under the caption, SUPPLEMENTARY INFORMATION. SUMMARY: 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 January 6, 2021. 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), we are providing the public a 30-day period in which to submit comments. Therefore, please submit any comments by January 6, 2021. DATES: 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–2020– ADDRESSES: 25 17 Jkt 253001 PO 00000 CFR 200.30–3(a)(12). Frm 00089 Fmt 4703 Sfmt 4703 78909 0026. 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: 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) 966–5855, email: tristin.dorsey@ssa.gov. SUPPLEMENTARY INFORMATION: We are modifying the system manager and location to clarify the offices responsible for maintaining the system and the locations of the records within the system. We are clarifying that only the Office of the General Counsel (OGC) may make disclosures to the agencies and entities listed in routine uses Nos. 2, 3, and 4. In addition, we are expanding routine use No. 4 to include that OGC may make disclosures to the subject of an investigation or his or her legal counsel, for the purposes of identifying the representative of record, explaining the purpose of the request, and identifying and requesting information SSA needs to facilitate the investigation of, or litigation against, a representative. We are clarifying the language in routine use Nos. 8 and 17 for easier reading. We are also clarifying that we will retrieve records by claimant identification number and other claimant information that is relevant to the investigation. 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. We are republishing the entire notice for ease of reference. In accordance with 5 U.S.C. 552a(r), we have provided a report to OMB and Congress on this modified system of records. Matthew Ramsey, Executive Director, Office of Privacy and Disclosure, Office of the General Counsel. SYSTEM NAME AND NUMBER: Representative Disqualification, Suspension, and Non-Recognition Information File, 60–0219. SECURITY CLASSIFICATION: Unclassified. SYSTEM LOCATION: Social Security Administration, Office of the General Counsel, Office of General Law, 6401 Security Boulevard, E:\FR\FM\07DEN1.SGM 07DEN1 78910 Federal Register / Vol. 85, No. 235 / Monday, December 7, 2020 / Notices Room 617 Altmeyer Building, Baltimore, Maryland 21235–6401. Office of the Regional Chief Counsels (see Appendix C, #5 for address information) Social Security Administration, Office of Hearings Operations, Office of the Chief Administrative Law Judge, Suite 1608, One Skyline Tower, 5107 Leesburg Pike, Falls Church, VA 22041. Office of Hearing Operations regional offices (see Appendix F for address information) SYSTEM MANAGER(S): Social Security Administration, Associate General Counsel for General Law, Office of the General Counsel, Office of General Law, 6401 Security Boulevard, Room 617 Altmeyer Building, Baltimore, MD 21235–6401, (410) 966–5855. Social Security Administration, Regional Chief Counsels (see Appendix C, #5 for address information), (410) 966–5855. Social Security Administration, Office of Hearings Operations, Chief Administrative Law Judge, Suite 1608, One Skyline Tower, 5107 Leesburg Pike, Falls Church, VA 22041, (410) 966– 5855. Social Security Administration, Regional Chief Administrative Law Judges (see Appendix F for address information), (410) 966–5855. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Sections 206(a) and 1631(d)(2) of the Social Security Act, as amended, and SSA Regulations (20 CFR part 404, subpart R and Part 416, Subpart O). khammond on DSKJM1Z7X2PROD with NOTICES PURPOSE(S) OF THE SYSTEM: The information in this system provides real-time access to information key to the Office of Hearings Operations’ business process for referring a representative to the Office of the General Counsel (OGC) for investigation of alleged misconduct or lack of qualification. The information in this system also includes information related to OGC’s business process for seeking the disqualification or suspension of representatives. For example, the records provide timely access to information we need to make decisions about whether persons meet our qualifications to serve as representatives and whether violations of the provisions of the Social Security Act or regulations relating to representation have occurred. Information in this system also enables us to more efficiently investigate alleged administrative or criminal violations; take action against representatives; respond to the Appeals Council when a representative has VerDate Sep<11>2014 18:32 Dec 04, 2020 Jkt 253001 requested reinstatement; provide detailed notice of, and information in cases in which we have disqualified or suspended a representative; and assist the Department of Justice in Federal court litigation, including that which relates to our decision to disqualify or suspend a representative or not recognize an individual as a representative. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system maintains information about individuals who allegedly fail to meet our qualifications to serve as representatives before us, as provided by the Social Security Act or regulations relating to representation of claimants and beneficiaries. This system also maintains information about representatives alleged to have violated the provisions of the Social Security Act or our regulations relating to representation of claimants and beneficiaries; representatives whom we have found to have committed such violations and we have disqualified or suspended; and representatives whom we have investigated, but have not disqualified or suspended, because we resolved the matter without an action to disqualify or suspend the representative, or because we found that no violations occurred. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of records pertaining to individuals providing representational services to our claimants, as well as, representatives who have represented claimants and beneficiaries before us. For example, we collect the representative’s name; date of birth; Social Security number (SSN); representative identification number; home or business address(es); telephone and fax numbers; email address; and type of representative (i.e., attorney or non-attorney). This system also consists of records regarding the representative’s legal standing and business affiliations. For example, we collect the representative’s status (e.g., suspended or disqualified to act as a representative before SSA); bar, court, and Federal program or agency admission information (e.g., year admitted, license number, present standing, and disciplinary history); copies of all documentation resulting from our investigation and actions taken due to violations of the Social Security Act and our regulations relating to the representative; employer identification number; and relevant claimant and beneficiary information. The following are examples of information covered in this system PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 relating to the representation of beneficiaries and claimants: • Documentation resulting from our investigation or actions taken due to violations of the Social Security Act or our regulations; • Documentation relating to any request for recognition or reinstatement that a non-recognized person or disqualified or suspended representative files with us; • Documentation pertaining to hearings on charges of alleged violations of the Social Security Act or our regulations; and • Information collected on our paper and electronic forms. The system also consists of records pertaining to Appeal Council reviews of the decisions rendered in hearings, on charges of violations of the Social Security Act or our regulations, or requests for reinstatement to practice as a representative before us; copies of notifications of a representative’s disqualification or suspension or a person’s non-recognition; and documentation pertaining to any legal or administrative action that a disqualified or suspended representative, or non-recognized person brings against us. RECORD SOURCE CATEGORIES: We obtain information in this system of records from existing SSA systems of records such as the Claims Folders System, (60–0089) Master Beneficiary Record (60–0090); Supplemental Security Income Record and Special Veterans Benefits (60–0103); Electronic Disability Claim File (60–0320), and Appointed Representative File (60– 0325). ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND 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 a statute, the Internal Revenue Service (IRS), or IRS regulations. 1. To applicants for benefits or payments, claimants, and beneficiaries to inform them that we have disqualified or suspended the representative from further representation before us or that the person was not recognized as a representative, and the basis for our action. 2. OGC may make disclosures to a Federal or State court, administrative tribunal, or bar disciplinary authority or E:\FR\FM\07DEN1.SGM 07DEN1 khammond on DSKJM1Z7X2PROD with NOTICES Federal Register / Vol. 85, No. 235 / Monday, December 7, 2020 / Notices other authority in the Federal jurisdiction(s) or State(s) in which an attorney is admitted to practice to the extent necessary to inform them that we have disqualified or suspended the attorney from representing claimants or beneficiaries before us and the basis for our action. 3. OGC may make disclosures to an official or employee of a Federal, State, or local agency to the extent necessary to inform him or her that we have disqualified or suspended a representative from representing claimants or beneficiaries before us, and the basis for our action, to permit that agency to perform its official duties related to representation of parties before that agency. 4. To any person or entity, including legal counsel for a representative, from which OGC needs information for investigation or litigation of any action against a representative about whom the record is maintained; to inform the individual or entity of the purpose(s) of the request; and to identify the type of information needed, and if it is in the possession of the person or entity, to request it. OGC will disclose information under this routine use to any person, entity, or representative, and his or her legal counsel, for the purpose of, and to the extent necessary, to identify the representative of record, explain the purpose of our request, and identify and request information we need to facilitate our investigation of, or litigation against, the representative. 5. To the Department of Justice (DOJ), a court or other tribunal, or another party before such court or tribunal, when (a) 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 we determine the litigation is likely to affect 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 the tribunal, is relevant and necessary to the litigation, provided, however, that in each case, we determine that such disclosure is compatible with the purpose for which the records were collected. 6. To DOJ, the Federal Bureau of Investigation, Offices of United States Attorneys, and other Federal law enforcement agencies as necessary, for VerDate Sep<11>2014 18:32 Dec 04, 2020 Jkt 253001 investigation and potential prosecution of violations of the Social Security Act. 7. 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 a third party acting on the subject’s behalf. 8. To the public, via our website at www.ssa.gov, to advise that we have disqualified or suspended an individual from representing claimants before us, or have not recognized an individual as a representative. 9. To individuals, groups, organizations, or government entities that routinely refer potential claimants or beneficiaries to attorneys or individuals other than attorneys for the purpose of putting such individuals, groups, organizations, or government entities on notice that we have disqualified or suspended a representative from representation before us, or not recognized that individual as a representative. 10. To any individual or entity with whom the representative is affiliated or has indicated that he or she wants to be affiliated in representing claimants before us, notice that we have disqualified or suspended the affiliated or potentially affiliated representative from representation before us, or not recognized that individual as a representative. 11. To the National Archives and Records Administration (NARA) under 44 U.S.C. 2904 and 2906. 12. 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 connection with SSA’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm. 13. To the Office of the President, in response to an inquiry received from that office made on behalf of, and at the request of, the subject of record or a third party acting on the subject’s behalf. 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 us, as authorized PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 78911 by law, and they need access to personally identifiable information (PII) in our records to perform their assigned agency functions. 15. 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 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. 16. To contractors and other Federal agencies, as necessary, for the purpose of assisting us in the efficient administration of its programs. We will disclose information under this routine use only in situations in which we may enter into a contractual or similar agreement to obtain assistance in accomplishing an SSA function relating to this system of records. 17. OGC may make disclosures to a Federal or State court, administrative tribunal, bar disciplinary authority or other authority as necessary, to permit these authorities to investigate and conduct proceedings relating to potential professional disciplinary actions or other measures relating to the authorities’ regulation of professional conduct. 18. To another Federal agency or Federal entity, when we determine 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 will maintain records in this system in paper and in electronic form. POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: We will retrieve records in this system by name, SSN, claimant or representative identification number, or other claimant information that is relevant to the investigation. POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: In accordance with NARA rules codified at 36 CFR 1225.16, we maintain E:\FR\FM\07DEN1.SGM 07DEN1 78912 Federal Register / Vol. 85, No. 235 / Monday, December 7, 2020 / Notices records in accordance with agencyspecific records schedule N1–047–10– 004/I.E. ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: We retain electronic and paper files containing personal identifiers in secure storage areas accessible only by our authorized employees and contractors 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 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 annually provide our employees and contractors 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 (5 U.S.C. 552a(i)(1)). Furthermore, employees and contractors with access to databases maintaining PII must annually sign a sanctions document that acknowledges their accountability for inappropriately accessing or disclosing such information. khammond on DSKJM1Z7X2PROD with NOTICES 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 VerDate Sep<11>2014 18:32 Dec 04, 2020 Jkt 253001 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 records 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: 75 FR 25904, Representative Disqualification, Suspension, and NonRecognition Information File. 80 FR 919, Representative Disqualification, Suspension, and NonRecognition Information File. 83 FR 54969, Representative Disqualification, Suspension, and NonRecognition Information File. [FR Doc. 2020–26794 Filed 12–4–20; 8:45 am] BILLING CODE 4191–02–P SOCIAL SECURITY ADMINISTRATION [Docket No. SSA–2020–0059] Rate for Assessment on Direct Payment of Fees to Representatives in 2021 AGENCY: Social Security Administration (SSA). ACTION: Jeffrey C. Blair, Associate General Counsel for Program Law, Office of the General Counsel, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235–6401. Phone: (410) 965–3157, email Jeff.Blair@ ssa.gov. A claimant may appoint a qualified individual as a representative to act on his or her behalf in matters before the Social Security Administration (SSA). If the claimant is entitled to past-due benefits and was represented either by an attorney or by a non-attorney representative who has met certain prerequisites, we withhold up to 25 percent of the past-due benefits and use that money to pay the representative’s approved fee directly to the representative. SUPPLEMENTARY INFORMATION: When we pay the representative’s fee directly to the representative, we must collect from that fee payment an assessment to recover the costs we incur in determining and paying representatives’ fees. The Act provides that the assessment we collect will be the lesser of two amounts: A specified dollar limit; or the amount determined by multiplying the fee we are paying by the assessment percentage rate.1 The Act initially set the dollar limit at $75 in 2004 and provides that the limit will be adjusted annually based on changes in the cost-of-living.2 Currently, the maximum dollar limit for the assessment is $98, as we announced in the Federal Register on October 22, 2020 (85 FR 67413). The Act requires us each year to set the assessment percentage rate at the lesser of 6.3 percent or the percentage rate necessary to achieve full recovery of the costs we incur to determine and pay representatives’ fees.3 Based on the best available data, we have determined that the current rate of 6.3 percent will continue for 2021. We will continue to review our costs for these services on a yearly basis. Michelle King, Deputy Commissioner for Budget, Finance, and Management. [FR Doc. 2020–26795 Filed 12–4–20; 8:45 am] BILLING CODE 4191–02–P Notice. We are announcing that the assessment percentage rate under the Social Security Act (Act) is 6.3 percent for 2021. SUMMARY: PO 00000 FOR FURTHER INFORMATION CONTACT: Frm 00092 Fmt 4703 Sfmt 4703 1 42 U.S.C. 406(d), 406(e), and 1383(d)(2). U.S.C. 406(d)(2) and 1383(d)(2)(C)(ii)(I). 3 42 U.S.C. 406(d)(2)(B)(ii) and 1383(d)(2)(C)(ii)(II). 2 42 E:\FR\FM\07DEN1.SGM 07DEN1

Agencies

[Federal Register Volume 85, Number 235 (Monday, December 7, 2020)]
[Notices]
[Pages 78909-78912]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-26794]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2020-0026]


Privacy Act of 1974; System of Records

AGENCY: Office of the General Counsel and Office of Hearings 
Operations, Social Security Administration (SSA).

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act, we are issuing public 
notice of our intent to modify an existing system of records entitled, 
Representative Disqualification, Suspension, and Non-Recognition File 
(60-0219), last published on May 10, 2010. This notice publishes 
details of the modified system as set forth below 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 January 6, 2021. 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), we are providing the 
public a 30-day period in which to submit comments. Therefore, please 
submit any comments by January 6, 2021.

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-2020-0026. 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: 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) 966-5855, email: [email protected].

SUPPLEMENTARY INFORMATION: We are modifying the system manager and 
location to clarify the offices responsible for maintaining the system 
and the locations of the records within the system. We are clarifying 
that only the Office of the General Counsel (OGC) may make disclosures 
to the agencies and entities listed in routine uses Nos. 2, 3, and 4.
    In addition, we are expanding routine use No. 4 to include that OGC 
may make disclosures to the subject of an investigation or his or her 
legal counsel, for the purposes of identifying the representative of 
record, explaining the purpose of the request, and identifying and 
requesting information SSA needs to facilitate the investigation of, or 
litigation against, a representative. We are clarifying the language in 
routine use Nos. 8 and 17 for easier reading. We are also clarifying 
that we will retrieve records by claimant identification number and 
other claimant information that is relevant to the investigation.
    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. We are republishing the entire 
notice for ease of reference.
    In accordance with 5 U.S.C. 552a(r), we have provided a report to 
OMB and Congress on this modified system of records.

Matthew Ramsey,
Executive Director, Office of Privacy and Disclosure, Office of the 
General Counsel.

SYSTEM NAME AND NUMBER:
    Representative Disqualification, Suspension, and Non-Recognition 
Information File, 60-0219.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Social Security Administration, Office of the General Counsel, 
Office of General Law, 6401 Security Boulevard,

[[Page 78910]]

Room 617 Altmeyer Building, Baltimore, Maryland 21235-6401.
    Office of the Regional Chief Counsels (see Appendix C, #5 for 
address information)
    Social Security Administration, Office of Hearings Operations, 
Office of the Chief Administrative Law Judge, Suite 1608, One Skyline 
Tower, 5107 Leesburg Pike, Falls Church, VA 22041.
    Office of Hearing Operations regional offices (see Appendix F for 
address information)

SYSTEM MANAGER(S):
    Social Security Administration, Associate General Counsel for 
General Law, Office of the General Counsel, Office of General Law, 6401 
Security Boulevard, Room 617 Altmeyer Building, Baltimore, MD 21235-
6401, (410) 966-5855.
    Social Security Administration, Regional Chief Counsels (see 
Appendix C, #5 for address information), (410) 966-5855.
    Social Security Administration, Office of Hearings Operations, 
Chief Administrative Law Judge, Suite 1608, One Skyline Tower, 5107 
Leesburg Pike, Falls Church, VA 22041, (410) 966-5855.
    Social Security Administration, Regional Chief Administrative Law 
Judges (see Appendix F for address information), (410) 966-5855.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 206(a) and 1631(d)(2) of the Social Security Act, as 
amended, and SSA Regulations (20 CFR part 404, subpart R and Part 416, 
Subpart O).

PURPOSE(S) OF THE SYSTEM:
    The information in this system provides real-time access to 
information key to the Office of Hearings Operations' business process 
for referring a representative to the Office of the General Counsel 
(OGC) for investigation of alleged misconduct or lack of qualification. 
The information in this system also includes information related to 
OGC's business process for seeking the disqualification or suspension 
of representatives. For example, the records provide timely access to 
information we need to make decisions about whether persons meet our 
qualifications to serve as representatives and whether violations of 
the provisions of the Social Security Act or regulations relating to 
representation have occurred.
    Information in this system also enables us to more efficiently 
investigate alleged administrative or criminal violations; take action 
against representatives; respond to the Appeals Council when a 
representative has requested reinstatement; provide detailed notice of, 
and information in cases in which we have disqualified or suspended a 
representative; and assist the Department of Justice in Federal court 
litigation, including that which relates to our decision to disqualify 
or suspend a representative or not recognize an individual as a 
representative.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system maintains information about individuals who allegedly 
fail to meet our qualifications to serve as representatives before us, 
as provided by the Social Security Act or regulations relating to 
representation of claimants and beneficiaries. This system also 
maintains information about representatives alleged to have violated 
the provisions of the Social Security Act or our regulations relating 
to representation of claimants and beneficiaries; representatives whom 
we have found to have committed such violations and we have 
disqualified or suspended; and representatives whom we have 
investigated, but have not disqualified or suspended, because we 
resolved the matter without an action to disqualify or suspend the 
representative, or because we found that no violations occurred.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system consists of records pertaining to individuals providing 
representational services to our claimants, as well as, representatives 
who have represented claimants and beneficiaries before us. For 
example, we collect the representative's name; date of birth; Social 
Security number (SSN); representative identification number; home or 
business address(es); telephone and fax numbers; email address; and 
type of representative (i.e., attorney or non-attorney).
    This system also consists of records regarding the representative's 
legal standing and business affiliations. For example, we collect the 
representative's status (e.g., suspended or disqualified to act as a 
representative before SSA); bar, court, and Federal program or agency 
admission information (e.g., year admitted, license number, present 
standing, and disciplinary history); copies of all documentation 
resulting from our investigation and actions taken due to violations of 
the Social Security Act and our regulations relating to the 
representative; employer identification number; and relevant claimant 
and beneficiary information.
    The following are examples of information covered in this system 
relating to the representation of beneficiaries and claimants:
     Documentation resulting from our investigation or actions 
taken due to violations of the Social Security Act or our regulations;
     Documentation relating to any request for recognition or 
reinstatement that a non-recognized person or disqualified or suspended 
representative files with us;
     Documentation pertaining to hearings on charges of alleged 
violations of the Social Security Act or our regulations; and
     Information collected on our paper and electronic forms.
    The system also consists of records pertaining to Appeal Council 
reviews of the decisions rendered in hearings, on charges of violations 
of the Social Security Act or our regulations, or requests for 
reinstatement to practice as a representative before us; copies of 
notifications of a representative's disqualification or suspension or a 
person's non-recognition; and documentation pertaining to any legal or 
administrative action that a disqualified or suspended representative, 
or non-recognized person brings against us.

RECORD SOURCE CATEGORIES:
    We obtain information in this system of records from existing SSA 
systems of records such as the Claims Folders System, (60-0089) Master 
Beneficiary Record (60-0090); Supplemental Security Income Record and 
Special Veterans Benefits (60-0103); Electronic Disability Claim File 
(60-0320), and Appointed Representative File (60-0325).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 a statute, the Internal Revenue Service 
(IRS), or IRS regulations.
    1. To applicants for benefits or payments, claimants, and 
beneficiaries to inform them that we have disqualified or suspended the 
representative from further representation before us or that the person 
was not recognized as a representative, and the basis for our action.
    2. OGC may make disclosures to a Federal or State court, 
administrative tribunal, or bar disciplinary authority or

[[Page 78911]]

other authority in the Federal jurisdiction(s) or State(s) in which an 
attorney is admitted to practice to the extent necessary to inform them 
that we have disqualified or suspended the attorney from representing 
claimants or beneficiaries before us and the basis for our action.
    3. OGC may make disclosures to an official or employee of a 
Federal, State, or local agency to the extent necessary to inform him 
or her that we have disqualified or suspended a representative from 
representing claimants or beneficiaries before us, and the basis for 
our action, to permit that agency to perform its official duties 
related to representation of parties before that agency.
    4. To any person or entity, including legal counsel for a 
representative, from which OGC needs information for investigation or 
litigation of any action against a representative about whom the record 
is maintained; to inform the individual or entity of the purpose(s) of 
the request; and to identify the type of information needed, and if it 
is in the possession of the person or entity, to request it. OGC will 
disclose information under this routine use to any person, entity, or 
representative, and his or her legal counsel, for the purpose of, and 
to the extent necessary, to identify the representative of record, 
explain the purpose of our request, and identify and request 
information we need to facilitate our investigation of, or litigation 
against, the representative.
    5. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such court or tribunal, when
    (a) 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 we determine the 
litigation is likely to affect 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 the tribunal, is relevant and 
necessary to the litigation, provided, however, that in each case, we 
determine that such disclosure is compatible with the purpose for which 
the records were collected.
    6. To DOJ, the Federal Bureau of Investigation, Offices of United 
States Attorneys, and other Federal law enforcement agencies as 
necessary, for investigation and potential prosecution of violations of 
the Social Security Act.
    7. 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 a third party acting on the subject's behalf.
    8. To the public, via our website at www.ssa.gov, to advise that we 
have disqualified or suspended an individual from representing 
claimants before us, or have not recognized an individual as a 
representative.
    9. To individuals, groups, organizations, or government entities 
that routinely refer potential claimants or beneficiaries to attorneys 
or individuals other than attorneys for the purpose of putting such 
individuals, groups, organizations, or government entities on notice 
that we have disqualified or suspended a representative from 
representation before us, or not recognized that individual as a 
representative.
    10. To any individual or entity with whom the representative is 
affiliated or has indicated that he or she wants to be affiliated in 
representing claimants before us, notice that we have disqualified or 
suspended the affiliated or potentially affiliated representative from 
representation before us, or not recognized that individual as a 
representative.
    11. To the National Archives and Records Administration (NARA) 
under 44 U.S.C. 2904 and 2906.
    12. 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 connection with SSA's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    13. To the Office of the President, in response to an inquiry 
received from that office made on behalf of, and at the request of, the 
subject of record or a third party acting on the subject's behalf.
    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 us, as 
authorized by law, and they need access to personally identifiable 
information (PII) in our records to perform their assigned agency 
functions.
    15. 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 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.
    16. To contractors and other Federal agencies, as necessary, for 
the purpose of assisting us in the efficient administration of its 
programs. We will disclose information under this routine use only in 
situations in which we may enter into a contractual or similar 
agreement to obtain assistance in accomplishing an SSA function 
relating to this system of records.
    17. OGC may make disclosures to a Federal or State court, 
administrative tribunal, bar disciplinary authority or other authority 
as necessary, to permit these authorities to investigate and conduct 
proceedings relating to potential professional disciplinary actions or 
other measures relating to the authorities' regulation of professional 
conduct.
    18. To another Federal agency or Federal entity, when we determine 
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 will maintain records in this system in paper and in electronic 
form.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    We will retrieve records in this system by name, SSN, claimant or 
representative identification number, or other claimant information 
that is relevant to the investigation.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    In accordance with NARA rules codified at 36 CFR 1225.16, we 
maintain

[[Page 78912]]

records in accordance with agency-specific records schedule N1-047-10-
004/I.E.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    We retain electronic and paper files containing personal 
identifiers in secure storage areas accessible only by our authorized 
employees and contractors 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 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 annually provide our employees and contractors 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 (5 U.S.C. 552a(i)(1)). Furthermore, 
employees and contractors with access to databases maintaining PII must 
annually sign a sanctions document that acknowledges their 
accountability for inappropriately accessing or disclosing such 
information.

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 records 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:
    75 FR 25904, Representative Disqualification, Suspension, and Non-
Recognition Information File.
    80 FR 919, Representative Disqualification, Suspension, and Non-
Recognition Information File.
    83 FR 54969, Representative Disqualification, Suspension, and Non-
Recognition Information File.
[FR Doc. 2020-26794 Filed 12-4-20; 8:45 am]
BILLING CODE 4191-02-P