SSA Administrative Sanctions Database

Effective Date: September 8, 2000

(65 F.R. 54595)

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974

System number: 60-0280

System name:

SSA Administrative Sanctions Database

Security classification:

None.

System location:

Social Security Administration (SSA)

New York Regional Office

Administrative Sanctions Coordinator

Room 4032, Federal Building

26 Federal Plaza

New York, New York 10278

Categories of individuals covered by the system:

All individuals for Title II and Title XVI benefits who may have knowingly provided false or misleading statements for use in determining eligibility for or the amount of benefits under Title II and Title XVI.

Categories of records in the system:

The following types of records are maintained in this system of records:

Information about the initial record setup:

Identification of the SSA regional office (RO) and field office (FO) that initiated the record; identifying information about the suspect such as name, Social Security number (SSN), date of birth, and address; SSA program involved—Title II or title XVI, or both; type of claim event—postentitlement or initial claim; information indicating whether the case is a sanctions case; date case referred to the SSA Office of the Inspector General (OIG);

Information about the initial level sanctions determinations:

The following data will be input by FOs and ROs: (through intranet screens)—information indicating whether sanctions will be imposed or deferred, whether the FO is subject to early information system review (EIS) or FO is no longer subject to EIS review;

Information about immediate sanctions proposed:

Data such as the following will be input by the FO or RO—information indicating whether a reconsideration was filed by the individual, the date of the reconsideration and the date a reconsideration decision was sent to the individual; if benefits were withheld, the amount withheld, date of suspension, iteration (1^st, 2^nd, 3^rd or 3^rd +) the dates sanctions began and ended, date sent for End-of-Line review, if appropriate, and the results of End-of-Line review; if the individual requests a hearing, the date of the hearing, the hearing decision, date the hearing decision sent to the individual; if a decision is made to reinstate benefits, the date 60 day notice received in FO for EIS review, the date of input to end sanctions and the date sanctions are removed. If there is Appeals Council (AC) action, the date of the AC decision, the AC decision (“A” for affirmed, “R” for reversed), and date the AC decision was sent to individual.

Management information:

Data identifying savings to the trust fund, general revenue and the state, realized through the imposition of administrative sanctions and the amount of overpayments incurred by individuals who gave false or misleading statements for use in determining eligibility or benefit amount under Title II or Title XVI.

Deferred sanctions proposed:

Data such as the following will be input by the FO when deferred sanctions have been proposed. The data gathered is similar to but less extensive than cases where immediate sanctions are proposed. Most notably, we will gather appeals data but will not gather data on benefit withholding since that action will take place at a later date. The data gathered will indicate whether a reconsideration was filed, the date the reconsideration was filed, the date reconsideration decision; whether a hearing request was filed, the date the hearing decision was sent to the beneficiary, the hearing decision; the date sanctions removed. If there is Appeals Council (AC) action, the date of the AC decision, the AC decision (“A” for affirmed, “R” for reversed), and the date the AC decision was sent to the individual.

Information developed by the SSA OIG:

OIG case number; date referred for administrative prosecution, whether such prosecution was declined or accepted (“Y/N” indicator), and date such prosecution declined or accepted; date referred for civil prosection,, whether civil prosecution was declined or accepted (“Y/N” indicator), and date civil prosecution declined or accepted; date referred for civil monetary penalty (CMP), whether CMP declined (“Y/N” indicator), and date CMP declined/CMP imposed; date returned to the SSA FO.

Authority for maintenance of the system:

Section 1129A of the Social Security Act (42 U.S.C. § 1320a-8).

Purpose(s):

Information in this system of records will be used by SSA to investigate and take appropriate action against individuals suspected of knowingly providing false or misleading information for use in determining their right to benefits under Social Security Title II Old-Age, Survivors or Disability Insurance or Title XVI Supplemental Security Income benefits. Instances where individuals are suspected of making false or misleading statements will be referred to the SSA Office of the Inspector General (OIG) for investigations and disposition. Information in the system of records will also be used to produce management information data and reports providing information such as:

-Number of potential sanctions cases.

-Average time from referral to return by OIG.

-Number of cases found to be not sanctionable.

-Number of cases prosecuted criminally.

-Number of cases prosecuted civilly.

-Number of cases where CMP was imposed.

-Number of cases sanctioned (available by Region and FO code).

-Number of reconsiderations filed.

-Number of reconsideration affirmations.

-Number of reconsideration reversals.

-Number sent for consistency review.

-Number of hearings filed.

-Number of hearing affirmations.

-Number of hearing reversals.

-Amount of benefits withheld—Title II and Title XVI.

-Amount of overpayments incurred—Title II and Title XVI.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Disclosures may be made for routine uses as indicated below.

1. To the Office of the President for the purpose of responding to an individual pursuant to an inquiry received from that individual or from a third party on his or her behalf.

2. To a congressional office in response to an inquiry from that office made at the request of the subject of a record.

3. To student volunteers 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 personally identifiable information in SSA records in order to perform their assigned Agency functions.

4. To contractors and other Federal agencies, as necessary, for the purpose of assisting SSA in the efficient administration of its programs. We contemplate disclosing 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.

5. Non-tax return information which is not restricted from disclosure by federal law may be disclosed to the General Services Administration (GSA) and the National Archives and Records Administration (NARA) under 44 U.S.C. § 2904 and § 2906, as amended by NARA Act of 1984, for the use of those agencies in conducting records management studies.

6. 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:

Data are stored in electronic and paper form.

Retrievability:

Records in this system are retrieved by SSN and name of the individual.

Safeguards:

This system of records is a database that is accessible via an SSA intranet website. Security measures include the use of access codes to enter the database, and storage of the electronic records in secured areas, which are accessible only to employees who require the information in performing their official duties. The paper records that result from the electronic site are kept in locked cabinets or in otherwise secure areas. All SSA employees, including contractor personnel, having access to data in the system of records are required to adhere to SSA rules concerning safeguards, access, and use of the data. They also are informed of the criminal penalties of the Privacy Act for unauthorized access to or disclosure of information maintained in this system of records.

Retention and disposal:

Claims development and tracking and management information maintained in this system are retained indefinitely or when it is determined that they are no longer needed. Means of disposal is appropriate to storage medium (e.g., deletion of individual records from the electronic site when appropriate or shredding of paper records that are produced from the system).

System manager(s) and address:

Regional Commissioner

Social Security Administration

New York Regional Office, Room 4032

Federal Building

26 Federal Plaza

New York, New York 10278

Notification procedures:

Per 5 U.S.C. § 552a(k)(2) the Agency is exempt from publishing procedures whereby an individual can be notified at his/her request if the system of records contains a record pertaining to him/her. These procedures are in accordance with SSA Regulations (20 C.F.R. 401.85).

Record access procedure(s):

Contesting record procedure(s):

Per 5 U.S.C. § 552a(k)(2), records in this system are exempt from access by the individual named in this system of records. These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.85).

Record source categories:

Per 5 U.S.C. § 552a(k)(2), the Agency is exempt from publishing the record sources. These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.85).

Systems exempted from certain provisions of the Act:

Exemption of this system to the access provisions is claimed under 5 U.S.C. § 552a(k)(2) inasmuch as these records are investigatory materials compiled for law enforcement purposes in anticipation of a administrative proceeding. These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.85).