[Federal Register Volume 63, Number 206 (Monday, October 26, 1998)]
[Rules and Regulations]
[Pages 57056-57059]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-28525]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Part 422
RIN 0960-AE66
Listening-In to or Recording Telephone Conversations
AGENCY: Social Security Administration (SSA).
ACTION: Final rules.
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SUMMARY: These final rules add regulations relating to the use of SSA's
telephone lines. In the new regulations, we describe the limited
circumstances under which SSA employees may listen-in to or record
telephone conversations and the procedures we will follow in connection
with this activity.
EFFECTIVE DATE: These final regulations are effective November 25,
1998.
FOR FURTHER INFORMATION CONTACT: Lois Berg, Legal Assistant, Office of
Process and Innovation Management, Social Security Administration,
L2109 West Low Rise Building, 6401 Security Boulevard, Baltimore, MD
21235, (410) 965-1713 or TTY (410) 966-5609. For information on
eligibility, claiming benefits, or coverage of earnings, call our
national toll-free number, 1-800-772-1213 or TTY 1-800-325-0778.
SUPPLEMENTARY INFORMATION:
Background
On August 8, 1996, the Federal Information Resources Management
Regulation (FIRMR) was repealed. A provision of the FIRMR, section 201-
21.603, related to listening-in to or recording telephone
conversations. As a result of the repeal of the FIRMR, we are now
promulgating our own regulations describing the limited circumstances
under which SSA employees may listen-in to or record telephone
conversations. These circumstances include law enforcement/national
security, public safety, public service monitoring, and all-party
consent situations. We also describe in these final regulations the
procedures we will follow in determining the circumstances in which we
will permit listening-in to or recording telephone conversations, who
will listen-in to or record the conversations, and other policies and
procedures which we will follow in connection with this activity.
SSA is committed to providing the public with the highest level of
service by ensuring that information provided by SSA employees is
delivered accurately and courteously. To ensure that commitment, we
conduct monitoring of telephone calls over various designated SSA
telecommunications lines as a training and mentoring tool.
We believe service observation is necessary to effectively perform
SSA's mission. Therefore, we also conduct monitoring of telephone
conversations to provide an objective assessment of SSA's telephone
accuracy and courtesy. Data obtained through service observation are
also used to comply with a congressional request that SSA provide
Congress with information regarding teleservice center service levels
on a continuing basis. This is done in the agency's Annual Financial
Statement of Major Performance Measures. SSA's service observation
activities are valuable to the public, not only because the data
obtained are used to evaluate the accuracy of SSA's teleservice, but
also because the service observation findings are used to make
recommendations for improving teleservice procedures and processes.
Data obtained through service observation are also used to respond to
other oversight groups on how well SSA serves the public, for
corrective action recommendation purposes, and for assisting in agency
planning and decisionmaking.
Finally, SSA currently conducts recording of incoming calls on the
emergency telephone lines assigned to SSA headquarters. We believe the
recording of emergency calls is in the best interest of public safety
and agency emergency service.
The main purpose of these final regulations is to inform the public
and SSA employees of the circumstances under which SSA will listen-in
to or record telephone conversations. The final regulations also
contain language which differs from the repealed FIRMR which prohibited
the annotating, e.g., writing down, of personal information such as a
beneficiary's name, Social Security number, etc., when monitoring
telephone calls. Because SSA has the responsibility to pay benefits
correctly and to provide the public with accurate information, as well
as to safeguard the trust funds, the final regulations will allow
authorized employees to write down personal information obtained when
listening-in to telephone calls. Annotated information obtained from
public service monitoring will be used for programmatic or policy
purposes; e.g., for recontacting individuals to correct or supplement
information relating to benefits, for assessment of current/proposed
policies and procedures, or to correct SSA records, etc.
Explanation of Final Regulations
We are adding a new subpart H to part 422 of our rules which will
contain regulations relating to the use of SSA's telephone lines. This
new subpart H contains three sections. In Sec. 422.701, we
[[Page 57057]]
explain the scope and purpose of subpart H. In Sec. 422.705, we explain
when SSA employees may listen-in to or record telephone conversations.
Finally, in Sec. 422.710, we describe the procedures we will follow
when we plan to listen-in to or record telephone calls, who will do it,
and other policies and procedures which we will follow.
Comments on Notice of Proposed Rulemaking (NPRM)
On March 11, 1998, we published proposed rules in the Federal
Register at 63 FR 11856 and provided a 60-day period for interested
individuals and organizations to comment. We received two letters from
organizations with comments. Following are summaries of the comments
and our responses to them.
Comment: One commenter was of the opinion that the proposed
regulations would have a chilling effect on the ability of SSA to
effectively carry out its purpose of serving the public, especially in
the matter of disability claims.
Response: SSA has conducted an ongoing evaluation of SSA's 800
number service since 1989. This evaluation involves the monitoring of
800 number telephone calls in order to ensure that the public is
receiving accurate and courteous service. These data are reported to
Congress each year in the Agency's Annual Financial Statement of Major
Performance Measures and for training purposes.
Comment: One of the commenters indicated the use of a recording
advising claimants that their conversations may be monitored could
seriously undermine the confidence of the public in the entire system.
However, the other commenter was pleased that the regulations contained
language that the Agency will provide notice to the public about SSA
telephone monitoring.
Response: To our knowledge, there has been no negative impact
resulting from SSA's use of an upfront service observation message to
let 800 number callers know that their calls may be monitored for
quality assurance purposes.
Comment: One commenter indicated the regulations presume consent
when there is none and provide absolutely no protection for employees.
Response: All callers whose telephone calls have the possibility of
being monitored for quality assurance purposes receive a message before
speaking with an SSA representative. If a caller does not wish to
consent to monitoring, the caller can choose to terminate the call or
request that the call not be monitored.
SSA and the American Federation of Government Employees have
bargained and reached agreement on telephone monitoring practices which
take place in the Agency. Affected employees are also aware of SSA
telephone monitoring practices.
Comment: One commenter questioned the need for regulations that
permit virtual total discretion in monitoring SSA telephone calls,
which includes the use of unannounced service observation.
Response: The anonymity and lack of notice to employees when
unannounced monitoring is employed provides SSA with an unbiased
measurement of telephone service. Unannounced monitoring currently
allows the Agency to provide an objective assessment of SSA's 800
number accuracy and courtesy which is submitted to Congress in the
Agency's Annual Financial Statement of Major Performance Measures.
These data are also used to respond to other oversight groups on how
well SSA serves the public, for corrective action recommendations
purposes and to assist in Agency planning and decisionmaking.
Comment: One commenter indicated the regulations should limit the
number of people who can monitor telephone calls.
Response: The number of people assigned to monitor SSA telephone
calls is a management decision based upon SSA's needs at any given
time.
Comment: One commenter was of the opinion that unannounced
listening to speaker phone conversations is not acceptable.
Response: SSA agrees that failing to identify all persons listening
to a speaker phone conversation is discourteous, but courtesy issues
are not an appropriate subject for these regulations. Moreover, there
are times when discretion would be used, e.g., on whether to disrupt a
speaker simply to notify all parties to the conversation that an
individual who could overhear the conversation entered the area.
Comment: One commenter indicated SSA should use annotated
information obtained from service observation only for programmatic and
policy purposes.
Response: The regulation language on the use of annotated
information is appropriate as most annotated information obtained from
service observation will be used for programmatic or policy purposes.
Comment: One commenter indicated SSA should commit to taking
corrective action and eliminate the phrase ``when possible''.
Response: It is not possible for SSA to commit to taking corrective
action every time an incorrect action is taken or incorrect information
is provided which could affect the payment of or eligibility to SSA
benefits. This is because monitored calls do not always contain
sufficient identifying information, such as a caller's name, address,
telephone number and/or Social Security number, to allow corrective
action to be taken.
For the reasons given in our responses to the comments on the
proposed rules, we have not changed the text of the proposed rules.
Therefore, we are publishing the proposed regulations unchanged as
final regulations.
Regulatory Procedures
Executive Order 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these final rules do not meet the criteria for a
significant regulatory action under Executive Order 12866. Thus, they
were not subject to OMB review.
Regulatory Flexibility Act
We certify that these final regulations will not have a significant
economic impact on a substantial number of small entities because they
affect only individuals. Therefore, a regulatory flexibility analysis
as provided in the Regulatory Flexibility Act, as amended, is not
required.
Paperwork Reduction Act
These final regulations impose no additional reporting or
recordkeeping requirements necessitating clearance by OMB.
(Catalog of Federal Domestic Assistance Program Nos. 93.773
Medicare-Hospital Insurance; 93.774 Medicare-Supplementary Medical
Insurance; 96.001 Social Security-Disability Insurance; 96.002
Social Security-Retirement Insurance; 96.003 Special Benefits for
Persons Aged 72 and Over; 96.004 Social Security-Survivors
Insurance; 96.005 Special Benefits for Disabled Coal Miners; and
96.006 Supplemental Security Income)
List of Subjects in 20 CFR Part 422
Administrative practice and procedure, Freedom of information,
Organization and functions (Government agencies), Reporting and
recordkeeping requirements, Social security.
Approved: October 13, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
For the reasons set out in the preamble, we are amending part 422
of chapter III of title 20 of the Code of Federal Regulations as
follows:
[[Page 57058]]
PART 422--ORGANIZATION AND PROCEDURES
1. Subpart H is added to Part 422 to read as follows:
Subpart H--Use of SSA Telephone Lines
Sec.
422.701 Scope and purpose.
422.705 When SSA employees may listen-in to or record telephone
conversations.
422.710 Procedures SSA will follow.
Subpart H--Use of SSA Telephone Lines
Authority: Secs. 205(a) and 702(a)(5) of the Social Security Act
(42 U.S.C. 405 and 902(a)(5)).
Sec. 422.701 Scope and purpose.
The regulations in this subpart describe the limited circumstances
under which SSA is authorized to listen-in to or record telephone
conversations. The purpose of this subpart is to inform the public and
SSA employees of those circumstances and the procedures that SSA will
follow when conducting telephone service observation activities.
Sec. 422.705 When SSA employees may listen-in to or record telephone
conversations.
SSA employees may listen-in to or record telephone conversations on
SSA telephone lines under the following conditions:
(a) Law enforcement/national security. When performed for law
enforcement, foreign intelligence, counterintelligence or
communications security purposes when determined necessary by the
Commissioner of Social Security or designee. Such determinations shall
be in writing and shall be made in accordance with applicable laws,
regulations and Executive Orders governing such activities.
Communications security monitoring shall be conducted in accordance
with procedures approved by the Attorney General. Line identification
equipment may be installed on SSA telephone lines to assist Federal law
enforcement officials in investigating threatening telephone calls,
bomb threats and other criminal activities.
(b) Public safety. When performed by an SSA employee for public
safety purposes and when documented by a written determination by the
Commissioner of Social Security or designee citing the public safety
needs. The determination shall identify the segment of the public
needing protection and cite examples of the possible harm from which
the public requires protection. Use of SSA telephone lines identified
for reporting emergency and other public safety-related situations will
be deemed as consent to public safety monitoring and recording. (See
Sec. 422.710(a)(1))
(c) Public service monitoring. When performed by an SSA employee
after the Commissioner of Social Security or designee determines in
writing that monitoring of such lines is necessary for the purposes of
measuring or monitoring SSA's performance in the delivery of service to
the public; or monitoring and improving the integrity, quality and
utility of service provided to the public. Such monitoring will occur
only on telephone lines used by employees to provide SSA-related
information and services to the public. Use of such telephone lines
will be deemed as consent to public service monitoring. (See
Sec. 422.710(a)(2) and (c)).
(d) All-party consent. When performed by an SSA employee with the
prior consent of all parties for a specific instance. This includes
telephone conferences, secretarial recordings and other administrative
practices. The failure to identify all individuals listening to a
conversation by speaker phone is not prohibited by this or any other
section.
Sec. 422.710 Procedures SSA will follow.
SSA component(s) that plan to listen-in to or record telephone
conversations under Sec. 422.705(b) or (c) shall comply with the
following procedures.
(a) Prepare a written certification of need to the Commissioner of
Social Security or designee at least 30 days before the planned
operational date. A certification as used in this section means a
written justification signed by the Deputy Commissioner of the
requesting SSA component or designee, that specifies general
information on the following: the operational need for listening-in to
or recording telephone conversations; the telephone lines and locations
where monitoring is to be performed; the position titles (or a
statement about the types) of SSA employees involved in the listening-
in to or recording of telephone conversations; the general operating
times and an expiration date for the monitoring. This certification of
need must identify the telephone lines which will be subject to
monitoring, e.g., SSA 800 number voice and text telephone lines, and
include current copies of any documentation, analyses, determinations,
policies and procedures supporting the application, and the name and
telephone number of a contact person in the SSA component which is
requesting authority to listen-in to or record telephone conversations.
(1) When the request involves listening-in to or recording
telephone conversations for public safety purposes, the requesting
component head or designee must identify the segment of the public
needing protection and cite examples of the possible harm from which
the public requires protection.
(2) When the request involves listening-in to or recording
telephone conversations for public service monitoring purposes, the
requesting component head or designee must provide a statement in
writing why such monitoring is necessary for measuring or monitoring
the performance in the delivery of SSA service to the public; or
monitoring and improving the integrity, quality and utility of service
provided to the public.
(b) At least every 5 years, SSA will review the need for each
determination authorizing listening-in or recording activities in the
agency. SSA components or authorized agents involved in conducting
listening-in or recording activities must submit documentation as
described in Sec. 422.710(a) to the Commissioner of Social Security or
a designee to continue or terminate telephone service observation
activities.
(c) SSA will comply with the following controls, policies and
procedures when listening-in or recording is associated with public
service monitoring.
(1) SSA will provide a message on SSA telephone lines subject to
public service monitoring that will inform callers that calls on those
lines may be monitored for quality assurance purposes. SSA will also
continue to include information about telephone monitoring activities
in SSA brochures and/or pamphlets as notification that some incoming
and outgoing SSA telephone calls are monitored to ensure SSA's clients
are receiving accurate and courteous service.
(2) SSA employees authorized to listen-in to or record telephone
calls are permitted to annotate personal identifying information about
the calls, such as a person's name, Social Security number, address
and/or telephone number. When this information is obtained from public
service monitoring as defined in Sec. 422.705(c), it will be used for
programmatic or policy purposes; e.g., recontacting individuals to
correct or supplement information relating to benefits, for assessment
of current/proposed policies and procedures, or to correct SSA records.
Privacy Act requirements must be
[[Page 57059]]
followed if data are retrievable by personal identifying information.
(3) SSA will take appropriate corrective action, when possible, if
information obtained from monitoring indicates SSA may have taken an
incorrect action which could affect the payment of or eligibility to
SSA benefits.
(4) Telephone instruments subject to public service monitoring will
be conspicuously labeled.
(5) Consent from both parties is needed to tape record SSA calls
for public service monitoring purposes.
(d) The recordings and records pertaining to the listening-in to or
recording of any conversations covered by this subpart shall be used,
safeguarded and destroyed in accordance with SSA records management
program.
[FR Doc. 98-28525 Filed 10-23-98; 8:45 am]
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