Social Security Administration Unified Measurement System
Effective Date: March 3, 2008
73 FR 5619.
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974
Social Security Administration Unified Measurement System/
Managerial Cost Accountability (SUMS/MCAS).
Office of Systems, SSA, 6401 Security Boulevard, Baltimore,
Categories of individuals covered by the system:
SSA employees, individuals who do business with SSA (e.g., Social
Security claimants, beneficiaries, attorney or non-attorney
representatives, and representative payees), the State Disability
Determination Services (DDS) employees and contractors who assist the Agency in administering the Agency's programs.
Categories of records in the system:
We collect records maintained in SUMS/MCAS for management
information (MI) in administering the Agency's programs to improve
customer service and to produce detailed reports that will assist us in
assessing office, unit, and employee performance. Specifically, it will
contain some or all of the following information about individuals who
do business with SSA: Name, Social Security number (SSN), age, address, and date of birth (DOB), along with other claims related processing information. The system will contain some or all of the following information about our employees, DDS employees, and contractor employees: Name; SSN; personal identification number (PIN); position; function and office codes; access and exit times when logging on any SSA system; and names and locations of the systems (log files).
The records will consist of information from SSA's mainframe and
web-based computer usage files (log files); payroll and human resource databases; security files including the Internet verification file and Internet enterprise security interface; and programmatic work
measurement data collected from all SSA processing locations.
Authority for Maintenance of the System:
Section 205(a) of the Social Security Act (42 U.S.C. 405(a)).
Chief Financial Officers (CFO) Act (1990)--Provides for the
integration and modernization of Federal financial systems and requires development of reporting of cost information.
Government Performance and Results Act (GPRA) (1993)--GPRA requires development of Agency strategic plans and performance goals, measurement and reporting on actual performance compared to goals, computation of costs and unit costs as key performance indicators, and comparison of costs with outputs and outcomes.
Government Management Reform Act (GMRA) (1994)--Requires an agency-wide performance and financial statement, an audited statement, and cost information.
Federal Financial Management Improvement Act (FFMIA) (1996)--
Mandates that agencies establish financial management systems that
comply with Federal standards and requirements. It directs auditors to
report on compliance as part of the review of agency financial
Office of Management and Budget (OMB) Standards--Require SSA to implement a modern managerial cost accounting system that satisfies all needs at all managerial decision levels.
SUMS/MCAS includes five interrelated Agency initiatives: (1)
Workload Counts; (2) Performance Measures; (3) Time Allocation; (4)
Customer Service Record; and (5) Managerial Cost Accountability, which will provide a single source for data, collected in a consistent manner to improve the quality, consistency, and accessibility of MI. SUMS/MCAS will enable the Agency to:
-Improve customer service and enhance the Agency's ability
to monitor customer service;
-Create a unified work measurement and work power (i.e.,
the amount of time it takes to do one piece of work) identification
system providing simpler access to information for reporting data;
-Produce detailed reports that will assist us in assessing
office, unit, and employee performance;
-Consolidate the Agency workload structure and provide data
at any office level, down to a specific employee;
-Allocate work-time usage information consistently for all
components, workload activities, and the time that it takes to perform work and calculate productivity;
-Accommodate new workloads in a flexible work-measurement
system by shifting work to locations where capacity exists, improving customer service;
-Ensure an accurate cost allocation of work performed by
-Manage and account for resources through one uniform
source of MI;
-Measure outcomes, determine full costs, control resources,
assess performance and provide timely feedback to managers to enhance the Agency's accountability and customer service; and
- Satisfy government-wide managerial cost accounting
regulations and enable the Agency to link resource expenditures with performance, as required by legislation and other government-wide requirements stated in:
1. CFO Act of 1990;
2. GPRA Act of 1993;
3. GMRA Act of 1994;
4. FFMIA Act of 1996; and
5. OMB Standards.
Routine Uses of Records Maintained in the System, Including Categories of Users and the Purpose of Such Uses:
Disclosure 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 the Department of Justice (DOJ), a court or other tribunal,
or another party before such 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
d. The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any of its components, is a party to 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 such tribunal, is relevant and necessary to the litigation, provided, however, that in each case, SSA determines that such disclosure is compatible with the purpose for which the records were collected.
4. To the Equal Employment Opportunity Commission when requesting information in connection with investigations into alleged or possible discriminatory practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures, or other functions vested in the Commission.
5. To the Federal Labor Relations Authority, the General Counsel,
the Federal Mediation and Conciliation Service, the Federal Service
Impasses Panel, or an arbitrator when information is requested in
connection with the investigations of allegations of unfair practices
or of other matters before an arbitrator or the Federal Impasses Panel.
6. To the Merit Systems Protection Board or the Office of the
Special Counsel in connection with appeals, special studies of the
civil service and other merit systems, review of rules and regulations,
investigation of alleged or possible prohibited personnel practices,
and other such functions promulgated in 5 U.S.C. Chapter 12, or as may be authorized by law.
7. 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.
8. To student volunteers, individuals working under a personal
service contract, and other workers who technically do not have the
status of Federal employees, when they are performing work for the SSA, as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.
9. To General Services Administration and the National Archives and
Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984, information which is not restricted from disclosure by Federal law for the use of those agencies in conducting records management studies.
10. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
-To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace, or the operation of SSA facilities, or
-To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
11. To the Secretary of Health and Human Services or to any State,
we will disclose any record or information requested in writing by the
Secretary for the purpose of administering any program administered by the Secretary, if records or information of such type were so disclosed under applicable rules, regulations, and procedures in effect before the date of enactment of the Social Security Independence and Program Improvements Act of 1994.
12. 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 to prevent, minimize, or remedy such harm. We will use this routine use to respond only to those incidents involving an unintentional release of our records.
Policies and Practices for Storing, Retrieving, Accessing, Retaining and Disposing of Records in the System:
We maintain and store records in SUMS/MCAS in electronic and paper form. We keep paper records in locked cabinets or in otherwise secure areas.
We retrieve records in SUMS/MCAS by the name, SSN, age, address, and DOB of individuals who do business with SSA (e.g., Social Security claimants, beneficiaries, attorney or non-attorney representatives, and representative payees). We retrieve records in SUMS/MCAS by the name, SSN, PIN, position code, function or office location codes of employees, DDS employees and contractors.
Security measures include the use of access codes to enter the
computer system that maintains the data; computerized records will be stored in secured areas that are accessible only to employees who
require the information in performing their official duties. All paper
records will be kept in locked cabinets or in otherwise secure areas.
SSA and DDS employees who have access to the data will be informed of the criminal penalties of the Privacy Act for unauthorized access to or disclosure of information maintained in the system. See 5 U.S.C.
Contractor personnel having access to data in the system of records
will be required to adhere to SSA rules concerning safeguards, access,
and use of the data.
Retention and Disposal:
The project will adhere to NARA record retention standards as
outlined in the SUMS/MCAS Global Requirements document. Specific
retention periods follow NC-47-75-7 as shown below:
(1) Data source extract records housed in the SUMS/MCAS active data warehouse will be retained for 2 full fiscal years plus the current
(2) Active detail records and corresponding summary records housed
in the SUMS/MCAS active data warehouse will be retained for 9 full
fiscal years plus the current fiscal year.
(3) Long term offline archive of summary data housed in the SUMS/
MCAS long term offline archive database will be retained for a total of
50 years or 40 additional years from the time it moves from the active
(4) MI housed in the Operational Data Stores (ODS) will be retained
for a maximum of 5 years.
(5) Reference data housed in reference tables within the active
data warehouse will be maintained in the active data warehouse for 50
System Manager(s) and Address:
SUMS/MCAS Program Manager, Office of Systems, Social Security
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235-
An individual may determine if this system contains a record about
him or her by writing to the systems manager(s) at the above address
and providing his or her name, SSN, or other information that may be in the system of records that will identify him or her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with a
photograph, such as a driver's license, or some other means of
identification. If an individual does not have any identification
documents sufficient to establish his or her identity, the individual
must certify in writing that he or she is the person he or she claims
to be and that he or she understands that the knowing and willful
request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his or her identity by providing identifying information that
parallels the record to which notification is being requested. The
individual will be required to submit a request in writing or in
person, if we determine that the identifying information provided by
telephone is insufficient. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity (his
or her name, SSN, address, date of birth, and place of birth, along
with one other piece of information such as mother's maiden name) and ask for his or her permission to provide the information to the
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his or her identity
or must certify in the request that he or she is the person he or she
claims to be and that he or she understands that the knowing and
willful request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense. These
procedures are in accordance with SSA regulations (20 CFR 401.40).
Record Access Procedure(s):
Same as Notification procedures. Requesters also should reasonably
specify the record contents they are seeking. These procedures are in
accordance with SSA regulations (20 CFR 401.40).
Contesting Record Procedure(s):
Same as Notification procedures. Requesters 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 untimely,
incomplete, inaccurate, or irrelevant. These procedures are in
accordance with SSA Regulations (20 CFR 401.65).
Record Source Categories:
The information that SSA will collect and maintain in SUMS/MCAS
will consist of information from SSA's mainframe customer information
control system, system management facility transaction logs, visitor
intake process data extracts, payroll operations data store, position
codes, report office table, Internet verification file, electronic
disability collect system and related applications, customer help and
information programs, Medicare application processing system, Internet enterprise security interface log files, travel manager, processing center, work measurement transaction database, district office weekly report, SSA web-based applications, programmatic processes, and operational data stores.
Systems Exempt from Certain Provisions of the Privacy Act: