[Federal Register Volume 63, Number 47 (Wednesday, March 11, 1998)]
[Proposed Rules]
[Pages 11856-11858]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-6211]
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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: Proposed rule.
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SUMMARY: We are proposing to add regulations relating to the use of
SSA's telephone lines. In the new regulations, we propose to 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.
DATES: Your comments will be considered if we receive them no later
than May 11, 1998.
ADDRESSES: Comments should be submitted in writing to the Commissioner
of Social Security, P.O. Box 1585, Baltimore, MD 21235, sent by telefax
to (410) 966-2830, sent by E-mail to regulations@ssa.gov,'' or
delivered to the Office of Process and Innovation Management, Social
Security Administration, L2109 West Low Rise Building, 6401 Security
Boulevard, Baltimore, MD 21235, between 8:00 a.m. and 4:30 p.m. on
regular business days. Comments received may be inspected during these
same hours by making arrangements with the contact person shown below.
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.
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Regulation (FIRMR) was repealed.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
proposing to promulgate 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 the proposed 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
[[Page 11857]]
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 proposed regulations is to inform the
public and SSA employees of the circumstances under which SSA will
listen-in to or record telephone conversations. The proposed
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. Since 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 proposed
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 Proposed Regulations
We are proposing to add a new subpart H to part 422 of our rules
which will contain regulations relating to the use of SSA's telephone
lines. We propose three sections for this new subpart H. In
Sec. 422.701, we propose to explain the scope and purpose of subpart H.
In Sec. 422.705, we propose to explain when SSA employees may listen-in
to or record telephone conversations. Finally, in Sec. 422.710, we
propose to 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.
Electronic Versions
The electronic file of this document is available on the Federal
Bulletin Board (FBB) at 9:00 a.m. on the date of the publication in the
Federal Register. To download the file, modem dial (202) 512-1387. The
FBB instructions will explain how to download the file and the fee.
This file is in WordPerfect and will remain on the FBB during the
comment period.
Regulatory Procedures
Executive Order 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these proposed 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 proposed 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 proposed 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.
Dated: February 27, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
For the reasons set out in the preamble, we are proposing to amend
part 422 of chapter III of title 20 of the Code of Federal Regulations
as follows:
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
[[Page 11858]]
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 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 regulation shall be
used, safeguarded and destroyed in accordance with SSA records
management program.
[FR Doc. 98-6211 Filed 3-10-98; 8:45 am]
BILLING CODE 4190-29-P
