Privacy Act of 1974, as Amended; New and Revised Privacy Act Systems of Records and Deletion of Obsolete Systems of Records

Federal RegisterJan 11, 2006

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SOCIAL SECURITY ADMINISTRATION

Privacy Act of 1974, as Amended; New and Revised Privacy Act Systems of Records and Deletion of Obsolete Systems of Records

AGENCY:

Social Security Administration (SSA).

ACTION:

New and altered systems of records, new routine uses, deletion of obsolete systems of records, revisions, and general housekeeping changes to system of records.

SUMMARY:

In accordance with 5 U.S.C. 552a(e)(4) and (e)(11), we are issuing public notice of our intent to:

(a) Establish new and altered systems of records,

(b) Establish new routine use disclosures,

(d) Make general housekeeping and editorial changes to SSA systems of records.

We invite public comment on these proposals.

DATES:

We filed a report of the proposed new and altered systems of records and new routine uses with the Chairman of the Senate Committee on Homeland Security and Governmental Affairs, the Chairman of the House Committee on Government Reform, and the Director, Office of Information and Regulatory Affairs, Office of Management and Budget (OMB) on December 23, 2005. The proposed new and altered systems of records and routine uses will become effective on February 1, 2006, unless we receive comments warranting them not to become effective.

ADDRESSES:

Interested individuals may comment on this publication by writing to the Executive Director, Office of Public Disclosure, Social Security Administration, 3-A-6 Operations Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401. All comments received will be available for public inspection at the above address.

FOR FURTHER INFORMATION CONTACT:

Mr. Willie J. Polk, Lead Social Insurance Specialist, Strategic Issues Team, Office of Public Disclosure, Office of the General Counsel, Social Security Administration, 3-A-2 Operations Building, 6401 Security Boulevard, Baltimore, Maryland 21235, telephone (410) 965-1753; e-mail:

willie.j.polk@ssa.gov.

SUPPLEMENTARY INFORMATION:

I. Proposed New Systems of Records

A. Systems of Records Adopted From the Department of Health and Human Services (HHS)

Under provisions of the Social Security Independence and Program Improvements Act of 1994 (Pub. L. 103-296), the Social Security Administration (SSA) became a separate Agency independent of HHS in 1995. Prior to becoming independent of HHS, SSA operated under a number of Privacy Act systems of records that applied HHS-wide to all HHS components, including SSA. Pursuant to section 106(b) of the legislation, we have continued to operate under those systems of records to date. However, because we have acquired the functions that were covered by some of the HHS systems of records, we have adopted these systems of records as our own. We have made conforming changes to the systems of records to identify them as new SSA systems of records. These notices of systems of records are:

1. Safety Management Information System (SSA Accident Injury and Illness Reporting System), 60-0228 (formerly 09-90-0005, Safety Management Information System (HHS) Accident Injury and Illness Reporting System)

2. SSA Parking Management Record System, 60-0230 (formerly 09-90-0023, Departmental Parking Control Policy and Records System)

3. Financial Transactions of SSA Accounting and Finance Offices, 60-0231 (formerly 09-90-0024, Financial Transactions of HHS Accounting and Finance Offices)

4. Central Registry of Individuals Doing Business with SSA (Vendor File), 60-0232 (formerly 09-90-0025, Central Registry of Individuals Doing Business with HHS (Vendor File))

5. Employee Assistance Program (EAP) Records, 60-0234 (formerly 09-90-0010)

6. Employee Development Program Records, 60-0236 (formerly 09-90-0012, Executive Development Records)

7. Employees' Medical Records, 60-0237 (formerly 09-90-0013, Federal Employee's Occupational Health Program Records)

8. Pay, Leave and Attendance Records, 60-0238 (formerly 09-90-0017, Pay, Leave and Attendance Records)

9. Personnel Records in Operating Offices, 60-0239 (formerly 09-90-0018 Personnel Records in Operating Offices)

10. Employee Suggestion Program Records, 60-0241 (formerly 09-90-0036)

11. Administrative Grievances Filed Under Part 771 of 5 CFR, 60-0244 (formerly 09-90-0014, Grievances filed under part 771 of 5 CFR)

12. Negotiated Grievance Procedures, 60-0245 (formerly 09-90-0015, Grievance Records Filed Under Procedures Established by Labor-Management Negotiations)

13. EEO Counselor and Investigator Personnel Records, 60-0250 (formerly 09-90-0022, Volunteer EEO Support Personnel Records)

14. Claims Under the Federal Tort Claims Act and Military Personnel and Civilian Employees' Claims Act, 60-0259, (formerly 09-90-0062, Administrative Claims)

15. Attorney Applicant Files, 60-0262, (formerly 09-90-0066, OGC Attorney Applicant Files)

16. Litigation Docket and Tracking System, 60-0274 (formerly 09-90-9999, Automated Litigation Tracking System)

17. Civil Rights Complaints Filed by Members of the Public, 60-0275, (formerly 09-90-0051, Complaint Files and Logs)

B. New SSA Privacy Act System of Records

We are combining two separate systems of records, the Administrative Law Judge Docket, 60-0008 and the Hearing Office Master Docket of Claimant Cases, 60-0184, into a single system of records, the Hearing Office Tracking System (HOTS) of Claimant Cases, 60-0010. We will use HOTS for the same purposes for which we used Administrative Law Judge Docket, 60-0008, and Hearing Office Master Docket of Claimant Cases, 60-0184. We are deleting the notices of the two systems of records (see section II.1. below.)

II. Proposed Alterations to Existing SSA Privacy Act Systems of Records

We are making alterations to the following systems of records as discussed below.

Master Files of Social Security Number (SSN) Holders and SSN Applications, 60-0058.

We are expanding the “Categories of records in the system” to indicate that codes pertaining to SSNs assigned under certain conditions are maintained.

Earnings Recording and Self-Employment Income System, 60-0059.

We are making the following changes:

• Expanding the “Categories of records in the system” to include information about individuals who apply for a certificate of coverage exempting them from coverage and taxes under the social security system of a foreign country, as provided in a Social Security agreement between the United States and that foreign country.

• Expanding the “Purpose(s)” section of the notice of this system of records to reflect that in connection with the issuance of certificates of coverage, information in this system of records is used: (1) To determine whether an individual who requests a certificate of coverage, establishing a foreign coverage exemption under a Social Security agreement, has been issued one or more certificates in the past; and (2) to respond to inquiries concerning a worker's Social Security coverage status

from an appropriate agency in a country which has a Social Security agreement with the United States.

• Adding two new routine use disclosures (see discussion in section III.A., items 1. and A.2. below).

Automated Document Control and Retrieval System, 60-0002.

We are changing the “System name” from Automated Document Control and Retrieval System to Optical System for Correspondence Analysis and Response.

III. Proposed New and Revised Routine Use Disclosures

A. Discussion of Proposed Routine Uses

We are proposing to establish new routine use disclosures of information that will be maintained in the systems of records discussed below.

1. To the Department of Housing and Urban Development (HUD) in accordance with 26 U.S.C. 6103(l)(7), upon written request, tax return information (e.g., information with respect to wages, net earnings from self-employment, and payments of retirement income which have been disclosed to the Social Security Administration), for use by HUD in an initial or periodic review of the income of an applicant or participant in any HUD housing assistance program.

This proposed routine use disclosure is applicable to the Earnings Recording and Self-Employment Income System, 60-0059. Section 6103(

)(7) of the Internal Revenue Code requires the Commissioner of Social Security, upon written request, to disclose tax return information to HUD for the purposes stated above. These disclosures will allow HUD to confirm the accuracy of tenant-reported income when determining applicant and participant eligibility for, and level of, housing assistance benefits.

2. To any source that has, or is expected to have, information that SSA needs in order to establish or verify a person's eligibility for a certificate of coverage under a Social Security agreement authorized by section 233 of the Social Security Act.

This proposed routine use disclosure is applicable to the Earnings Recording and Self-Employment Income System, 60-0059. When determining an individual's eligibility for a certificate of coverage under a Social Security agreement authorized by section 233 of the Social Security Act, SSA must be able to contact appropriate sources, as necessary, for information relating to the issuance of certificates of coverage.

3. To contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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.

This proposed routine use disclosure is applicable to the Financial Transactions of SSA Accounting and Finance Offices, 60-0231, and the Central Registry of Individuals Doing Business with SSA (Vendor File), 60-0232. SSA occasionally contracts out certain of its functions when this would contribute to effective and efficient operations. SSA must be able to give a contractor whatever information the Agency can legally provide in order for the contractor to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor from using or disclosing the information for any purpose other than that described in the contract.

4. To Federal, State, and local law enforcement agencies and private security contractors, as appropriate, information necessary:

• To enable them to protect the safety of Social Security Administration (SSA) employees and customers, the security of the SSA workplace and 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.

This proposed routine use disclosure is applicable to the Assignment and Correspondence Tracking (ACT) System, 60-0001. We will disclose information under the routine use to law enforcement agencies and private security contractors when the information is needed to investigate, prevent, or respond to activities that jeopardize the security and safety of SSA customers, employees or workplaces or that otherwise disrupt the operation of SSA facilities. Information would also be disclosed to assist in the prosecution of persons charged with violating Federal or local law in connection with such activities.

5. 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/her behalf.

This proposed routine use disclosure is applicable to the Assignment and Correspondence Tracking (ACT) System, 60-0001. We will disclose information under this routine use only in situations in which an individual may contact the Office of the President, seeking that Office's assistance in a matter relating to the Assignment and Correspondence Tracking (ACT) System. Information will be disclosed when the Office of the President makes an inquiry and indicates that it is acting on behalf of the individual whose record is requested.

6. To the Department of Treasury to:

• Find out whether or not the individual has a delinquent tax account for the purpose of determining the individual's creditworthiness for the loan in question under the Internal Revenue Code (26 U.S.C. 6103(l)(3)(A)-(C)), and

• Assist SSA in recovering the collection of delinquent administrative debts through Administrative Wage Garnishment (AWG) (31 U.S.C. 3720D) via the Treasury Cross Servicing program as authorized by the Debt Collection Improvement Act of 1996.

This proposed routine use is a revision of existing routine use numbered 11 that is applicable to the system of records entitled Financial Transactions of SSA Accounting and Finance Offices, 60-0231. The revised routine use will allow the disclosure of information to the Department of Treasury to assist SSA in collecting delinquent administrative debts from the wages of debtors in the private sector.

7. To the Secretary of Health and Human Services or to any State, the Commissioner shall 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.

This proposed routine use in compliance with section 704(e)(1)(B) of the Social Security Independence and Program Improvements Act of 1994, which mandates certain disclosures to HHS components. This routine use is applicable to the following systems of records:

• Optical System for Correspondence Analysis and Response, 60-0002

• Storage of Hearing Records: Tape Cassettes and Audiograph Discs, 60-0006

• Listing and Alphabetical Name File (Folder) of Vocational Experts, Medical Experts, and Other Health Care Professional and/or Non-Health Care Professional Experts (Medicare), 60-0012

• Records of Usage of Medical Experts, Vocational Experts, and Other

Health Care Professional and/or Non-Health Care Professional Experts (Medicare), 60-0013

• National Disability Determination Services (NDDS) File, 60-0044

• Disability Determination Service Consultants File, 60-0046

• Completed Determination Record—Continuing Disability Determinations, 60-0050

• Master Files of Social Security Number (SSN) Holders and SSN Applications, 60-0058

• Earnings Recording and Self-Employment Income System, 60-0059

• Congressional Inquiry File, 60-0077

• Public Inquiry Correspondence File, 60-0078

• Master Beneficiary Record, 60-0090

• Supplemental Security Income Record and Special Veterans Benefits, 60-0103

• Non-Contributory Military Service Reimbursement System, 60-0118

• Disability Insurance and Supplemental Security Income Demonstration Projects and Experiments System, 60-0218

• Representative Disqualification/Suspension Information System, 60-0219

• Vocational Rehabilitation Reimbursement Case Processing System, 60-0221

• Master Representative Payee File, 60-0222

• Personnel Records in Operating Offices, 60-0239

• Plans for Achieving Self-Support (PASS) Management Information System, 60-0255 (formerly 05-009)

• Social Security Administration's Customer PIN/Password (PPW) Master File System, 60-0290

B. Compatibility of Proposed Routine Uses

The Privacy Act (5 U.S.C. 552a(b)(3)) and our disclosure regulations (20 CFR part 401) permit us to disclose information under a published routine use for a purpose which is compatible with the purpose for which we collected the information. Section 401.150(c) of SSA's regulations permits us to disclose information under a routine use where necessary to assist in carrying out SSA programs or other government programs that have the same purposes as SSA programs. Section 401.120 of SSA's regulations provides that we will disclose information when a law specifically requires the disclosure. The proposed routine uses are appropriate and meet the relevant statutory and regulatory criteria.

IV. Housekeeping Revisions to Systems of Records

Commissioner's Correspondence File, 60-0001.

We are changing the “System name” from Commissioner's Correspondence File to Assignment and Correspondence Tracking System (ACT) and revising the language in the “Categories of individuals covered by the system” to read “Any individual or entity” rather than “person or group.”

Extramural Surveys (Statistics) System, 60-0199 and the Disability Insurance and Supplemental Security Income Demonstration Projects and Experiments System, 60-0218.

We are changing the “System manager(s)” from the Office of Policy, Office of Research, Evaluation and Statistics to the Deputy Commissioner for Disability and Income Security Programs, Office of Program Development and Research.

Listing and Alphabetical Name File (Folder) of Vocational Experts and Medical Advisors, 60-0012.

We are changing the “System name” from Listing and Alphabetical Name File (Folder) of Vocational Experts and Medical Advisors to Listing and Alphabetical Name File (Folder) of Vocational Experts, Medical Experts, and Other Health Care Professional and/or Non-Health Care Professional Experts (Medicare).

Records of Usage of Medical Advisors and Vocational Experts, 60-0013.

We are changing the “System name” from Records of Usage of Medical Advisors and Vocational Experts to Records of Usage of Medical Experts, Vocational Experts, and Other Health Care Professional and/or Non-Health Care Professional Experts (Medicare).

Representative Disqualification/Suspension Information System, 60-0219.

We are changing the “System manager(s)” from the Office of Disability and Income Security Programs, Office of Hearings and Appeals to the Office of the General Counsel.

Disability Determination Service Processing File, 60-0044.

We are making the following changes:

• Changing the “System name” from Disability Determination Service Processing File to National Disability Determination Services (NDDS) File;

• Revising the “System location” to show SSA, Office of Systems as the appropriate address of the system location;

• Deleting the reference and citation to “BL (Black Lung) benefits” from the “Categories of individuals covered by the system,” “Authority for maintenance of the system,” and “Purpose(s)” sections of the notice of the system of records;

• Revising the “Categories of records in the system” to clarify that in addition to the names and titles of persons making or reviewing the determination on a claim, we also maintain the SSNs of the DDS personnel;

• Clarifying the language in the “Purpose(s)” section to read as follows: The records are used primarily for processing Social Security Title II disability insurance (DI) and Title XVI Supplemental Security Income (SSI) disability for detecting and correcting deficiencies and problems involved in case processing, to track case movement through the DDS, to respond to inquiries on case status, and to provide recurring and one-time management information; and

• Updating the “Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system” section to reflect current storage, retention, and disposal practices.

V. General Editorial Changes

In addition to the changes discussed in sections II, III, and IV, we have made editorial revisions throughout the notices appearing in this publication to make them accurate and up-to-date.

VI. Deletion of Obsolete Systems of Records

Effective with this publication, we are deleting notices for the following systems of records for the reasons stated.

Administrative Law Judge Docket of Claimant Cases, 60-0008 (last published in its entirety at 47 FR 45596, October 13, 1982); and Hearing Office Master Docket of Claimant Cases, 60-0184.

We have combined these two systems of records into a single system of records entitled Hearing Office Tracking System of Claimant Cases, 60-0010 (see section I.B. above).

Personnel Research and Merit Promotion Test Records, 60-0017 (last published in its entirety at 47 FR 45601, October 13, 1982).

This system of records is a duplication of the Office of Personnel Management system of records, OPM/GOVT-6, Personnel Research and Test Validation Records. We, therefore, are deleting the notice from publication.

Employee Production and Accuracy Records, 60-0031 (last published in its entirety at 47 FR 45602, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

Employee Indebtedness Counseling System, 60-0032 (last published in its entirety at 47 FR 45603, October 13,

1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

General Criminal Investigations Files, 60-0037 (last published in its entirety at 47 FR 45605, October 13, 1982).

The functions for which this system of records was established are now covered by systems of records maintained by the SSA, Office of the Inspector General. Therefore, we are deleting the notice from publication.

Claims Development Record, 60-0066 (last published in its entirety at 47 FR 45621, October 13, 1982).

The functions for which this system of records was established are now covered under other SSA claims related systems of records; e.g., the Claims Folders System, 60-0089; the Master Beneficiary Record, 60-0090; and Supplemental Security Income Record and Special Veterans Benefits, 60-0103. Therefore, we are deleting the notice from publication.

Health Insurance Overpayment Ledger Cards, 60-0095 (last published in its entirety at 47 FR 45631, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

The National Fraud Case Data Base, 60-0097 (last published in its entirety at 47 FR 45632, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

Double Check Negotiation (DCN) File (SSI), 60-0111 (last published in its entirety at 47 FR 45637, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

10.

Matches of Internal Revenue Service (IRS) and Social Security Administration (SSA) Data (Joint SSA/Treasury Department, Office of Tax Analysis, Statistics Development Project), 60-0149 (last published in its entirety at 47 FR 45642, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

11.

Extramural Research Administrative File, 60-0198, (last published in its entirety at 47 FR 45647, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

12.

Supplemental Security Income Quality Initial Claims Review Process System, 60-0212, (last published in its entirety at 47 FR 45654, October 13, 1982).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

13.

Telephone Call Receipt System, 60-0223, (last published in its entirety at 57 FR 29879, July 7, 1992).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

14.

Vocational Rehabilitation; State Vocational Rehabilitation Agency Information (VR SVRA) File, 60-0253 (formerly 05-007) (last published in its entirety at 63 FR 7034, February 11, 1998).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

15.

Vocational Rehabilitation; SSA Disability Beneficiaries/Recipients Eligible for Re-Referral to an Alternate Vocational Rehabilitation Service Provider (VR Re-Referral) File, 60-0254 (formerly 05-008) (last published in its entirety at 63 FR 7034, February 11, 1998).

This system of records is obsolete. We, therefore, will dispose of the records in the system of records and are deleting the notice from publication.

VII. Effect of the Proposed New and Altered Systems of Records and Proposed Routine Use Disclosures on the Rights of Individuals

We will maintain information in the new and altered systems of records only as necessary to carry out our official functions under the Social Security Act and other applicable Federal statutes. Our maintenance and use of the information are in accordance with the provisions of the Privacy Act (5 U.S.C. 552a) and SSA's disclosure regulations (20 CFR part 401). We employ safeguards to protect all personal information in our possession as well as the confidentiality of the information. We will disclose information under the routine uses discussed above only as necessary to accomplish the stated purpose(s). Thus, we do not anticipate that the new and altered systems of records and the new routine use disclosures will have an unwarranted adverse effect on the rights of the individuals to whom they pertain.

Dated: December 23, 2005.

Jo Anne B. Barnhart,

Commissioner.

Index of SSA Privacy Act Systems of Records Appearing in This Publication

60-0001

Assignment and Correspondence Tracking System (ACT).

60-0002

Optical System for Correspondence Analysis and Response.

60-0003

Attorney Fee File.

60-0006

Storage of Hearing Records: Tape Cassettes and Audiograph Discs.

60-0010

Hearing Office Tracking System of Claimant Cases.

60-0012

Listing and Alphabetical Name File (Folder) of Vocational Experts, Medical Experts, and Other Health Care/Non-Health Care Professionals Experts (Medicare).

60-0013

Records of Usage of Medical Experts, Vocational Experts, and Other Health Care/Non-Health Care Professionals Experts (Medicare).

60-0044

National Disability Determination Services.

60-0046

Disability Determination Service Consultant's File.

60-0050

Completed Determination Record—Continuing Disability Determinations.

60-0058

Master Files of Social Security Number Holders, and SSN Applications.

60-0059

Earnings Recording and Self-Employment Income System.

60-0077

Congressional Inquiry File.

60-0078

Public Inquiry Correspondence File.

60-0090

Master Beneficiary Record.

60-0103

Supplemental Security Income Record.

60-0118

Non-Contributory Military Service Reimbursement System.

60-0199

Extramural Surveys (Statistics).

60-0218

Disability Insurance and Supplemental Security Income Demonstration Projects and Experiments System.

60-0219

Representative Disqualification/Suspension Information System.

60-0221

Vocational Rehabilitation Reimbursement Case Processing System.

60-0222

Master Representative Payee File.

60-0228

Safety Management Information System.

60-0230

Social Security Administration Parking Management Record System.

60-0231

Financial Transactions of SSA Accounting and Finance Offices.

60-0232

Central Registry of Individuals Doing Business with SSA (Vendor File).

60-0234

Employee Assistance Program (EAP) Records.

60-0236

Employee Development Program Records.

60-0237

Employees' Medical Records.

60-0238

Pay, Leave and Attendance Records.

60-0239

Personnel Records in Operating Offices.

60-0241

Employee Suggestion Program Records.

60-0244

Administrative Grievances Filed Under Part 771 of 5 CFR.

60-0245

Negotiated Grievance Procedures.

60-0250

EEO Counselor and Investigator Personnel Records.

60-0255

Plans for Achieving Self-Support (PASS) Management Information System, SSA/OPB.

60-0259

Claims Under the Federal Tort Claims Act and Military Personnel and Civilian Employees' Claims Act.

60-0262

Attorney Applicant File.

60-0274

Litigation Docket and Tracking System.

60-0275

Civil Rights Complaints Filed by Members of the Public.

60-0290

Social Security Administration's Customer PIN/Password (PPW) Master File System.

SYSTEM NUMBER: 60-0001

System name:

Assignment and Correspondence Tracking (ACT) System, Social Security Administration, Office of the Commissioner.

Security classification:

None.

System Location:

Social Security Administration, Office of the Commissioner, 6401 Security Boulevard, Baltimore, MD 21235.

Categories of individuals covered by the system:

Any individual or entity that makes a request or writes to the Commissioner of Social Security and receives a direct response from the Commissioner.

Categories of in the system:

The Commissioner's incoming personal requests and correspondence and responses to such correspondence.

Authority for maintenance of the system:

Section 205 of the Social Security Act (42 U.S.C. 405).

Purpose(s):

This system is established for tracking incoming correspondence and reference when replying to subsequent inquiries.

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

Disclosure may be made for routine uses as indicated below. However, disclosure of any information defined as “return or return information” under 26 U.S.C. 6103 of the Internal Revenue Code will not be disclosed unless authorized by a statute, the Internal Revenue Service (IRS), or IRS regulations.

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

2. 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/her behalf.

3. To the General Services Administration and the National Archives Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

4. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/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 SSA determines that the litigation is likely to affect the operations of 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 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.

5. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

6. 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 Social Security Administration (SSA) employees and customers, the security of the SSA workplace and the operation of SSA 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 SSA facilities.

Policies for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Records in this system are stored in paper form and in magnetic media (

e.g.

, magnetic tape and disc).

Retrievability:

Records in this system are indexed and retrieved by the name of the correspondent.

Safeguards:

Safeguards for automated records have been established in accordance with the Systems Security Handbook. This includes maintaining the records in a secured enclosure attended by security guards. Anyone entering or leaving the enclosure must have a special badge issued only to authorized personnel. Access to specific records in this system is limited to members of the

Office of the Commissioner. Also, employees are periodically briefed on Privacy Act requirements and Social Security Administration (SSA) rules, including the criminal sanctions for unauthorized disclosure of, or access to, personal records. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

General correspondence is archived after 3 years. Paper files are destroyed by shredding when deemed appropriate. Computer files are archived after 3 years.

System manager(s) and address(es):

Director, Office of Executive Operations, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.

Notification procedures:

An individual can determine if this system contains a record about him/her by writing to the system manager(s) at the above address and providing his/her name, SSN or other information that may be in the system of records that will identify him/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/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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/her identity by providing identifying information that parallels information in the record to which notification is being requested. If it is determined that the identifying information provided by telephone is insufficient, the individual will be required to submit a request in writing or in person. 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/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/her consent in providing information to the requesting individual.

If a request for notification is submitted by mail, an individual must include a notarized statement to SSA to verify his/her identity or must certify in the request that he/she is the person claimed to be and that he/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(c)).

Record access procedures:

Same as Notification procedures. Also, requesters should reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Same as Notification procedures. Also, requesters should reasonably identify the record, specify the information they are contesting and 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(a)).

Record source categories:

Incoming correspondence and responses to the correspondence.

System exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0002

System name:

Optical System for Correspondence Analysis and Response, Social Security Administration, Deputy Commissioner for Communications, Office of Public Inquires.

Security classification:

None.

System Location:

Social Security Administration, Office of Public Affairs, Office of Public Inquiries, 6401 Security Boulevard, Baltimore, MD 21235.

Social Security Administration, Office of Central Operations, Metro West Building, 300 North Greene Street, Baltimore, MD 21201.

Social Security Administration, Office of Disability Operations, Security West Building, 1500 Woodlawn Drive, Baltimore, MD 21241.

Social Security Administration, Office of Disability Operations, Metro West Building, 300 North Greene Street, Baltimore, MD 21201.

Social Security Administration, Office of Hearings and Appeals, 5107 Leesburg Pike, Falls Church, VA 22041.

Categories of individuals covered by the system:

Records are maintained on individuals: (1) Who forward a request for information to the Social Security Administration (SSA) (or component thereof); (2) whose requests to members of Congress, the President, etc., are forwarded to SSA for response; (3) who forward a request to the Freedom of Information (FOI) Officer at SSA; and (4) Social Security beneficiaries (or persons inquiring on their behalf) who are reporting failure to receive a check or checks which they believe are due or are inquiring about other matters which have been determined to be of a critical or sensitive nature.

Categories of records in the system:

Information in the records may include the following: name of claimant (if appropriate); name of individual involved (and Social Security number (SSN), if given); name of third party inquirer (if present); type of correspondence; date of correspondence; date received in SSA component; organizational component having initial responsibility for the inquiry; Congressperson name or name code (if a congressional inquiry); any subsequent locations that handle the inquiry before a final action is taken; address-to-code (official to whom inquiry is directed); signature code (official whose name will appear on the reply); computer-generated control number (six or seven alpha-numerics used to update or retrieve a record); subject matter codes (up to three that summarize the contents of the inquiry); and response information (types and dates of SSA's responses).

Authority for maintenance of the system:

Sections 205(a), 1631 and Titles XI and XVIII of the Social Security Act (42 U.S.C. 405(a) and 1383) and section 413(b) of the Federal Coal Mine Health and Safety Act, as amended.

Purpose(s):

Information about the inquiries is maintained in this system solely to aid in the control of correspondence through the various processing steps. The information may include a scanned copy of the inquiry. This system is used to control processing of correspondence within the SSA Central Office complex and the Office of Hearings and Appeals (OHA) headquarters in Falls Church, Virginia and to provide management

information regarding the correspondence process.

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

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

2. To the Department of the Treasury to determine if a social security payment was issued or a check returned for cash.

3. To contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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.

4. To the General Services Administration and the National Archives Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

5. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/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 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.

6. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

The records are maintained in electronic and paper form.

Retrievability:

The data in this system are retrieved by name, SSN or control number.

Safeguards:

Safeguards for automated records have been established in accordance with the Systems Security Handbook. This includes maintaining the records in a secured enclosure. Access to specific records is limited to employees who have a need for them in the performance of their official duties. Paper records are maintained in locked files or in buildings that are secured after normal business hours.

Also, all employees periodically are briefed on Privacy Act requirements and SSA confidentiality rules, including the criminal sanctions for unauthorized disclosure of or access to personal records. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Records are maintained on-line in the system from the time of control until 13 months after the final response is released. Electronic records are maintained offline for an additional five years before being erased. Paper records are disposed of by shredding when deemed no longer needed.

System manager(s) and address(es):

Social Security Administration, Associate Commissioner, Office of Public Inquiries, Office of Public Affairs, 6401 Security Boulevard, Baltimore, MD 21235.

Notification procedures:

An individual can determine if this system contains a record about him/her by writing to the system manager(s) at the above address and providing his/her name, SSN or other information that may be in the system of records that will identify him/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, such as a voter registration card, credit card, etc. If an individual does not have any identification documents sufficient to establish his/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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.

Record access procedures:

Same as Notification procedures. Also, requesters should reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Same as Notification procedures. Also, requesters should reasonably identify the record, specify the information they are contesting and 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 SSA Regulations (20 CFR 401.65(a)).

Record source categories:

Records in this system are derived from inquiries directed to SSA (or component thereof) from members of the public; individuals or someone acting on their behalf; the individual's claims record (maintained in the Claim Folder System, 60-0089); and contacts within and outside SSA.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0003

System name:

Attorney Fee File, Social Security Administration, Office of Hearings and Appeals.

Security classification:

None.

System Location:

Attorney fee information is maintained in Social Security Administration (SSA), Office of Hearings and Appeals hearing offices, regional offices and OHA headquarters, as appropriate (contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for address information).

When the Administrative Law Judge (ALJ) recommends approval of a requested fee amount which exceeds $5,000 or when there is a requested administrative review of fees initially authorized by the ALJ, the files are maintained by the Regional Chief (RC) ALJ in the appropriate regional office (see

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for address information).

Attorney fee files relating to requested administrative review of fees initially authorized by the RC ALJs, as well as those where the Attorney Fee staff has sole jurisdiction, are maintained at:

Social Security Administration, Office of Hearings and Appeals, 5107 Leesburg Pike, Falls Church, VA 22041.

Categories of individuals covered by the system:

Claimants—Title II (Retirement and Survivors Insurance (RSI) and Disability Insurance (DI)); Title VIII (Special Veterans Benefits); Title XI (claimants subject to Professional Standards Review); Title XVI Supplemental Security Income; and Title XVIII (HI). Effective October 1, 2005, the Social Security Administration (SSA) only has jurisdiction to determine eligibility for Title XVIII benefits, not the benefit amount.

Categories of records in the system:

Attorney Fee/Petition; Fee Agreement; Authorization Order; related correspondence and case tracking information; and when appropriate, request for administrative review.

Authority for maintenance of the system:

Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as amended, and section 413(b) of the Black Lung Benefits Act.

Purpose(s):

Attorney fee files are used in processing attorney fee petitions, fee agreements, and requests for administrative review, and to respond to correspondence and other inquiries related to representation of claimants.

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

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/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 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, the 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.

3. To applicants, claimants, beneficiaries (other than the subject individual), authorized representatives, experts, and other participants at a hearing to the extent necessary to pursue a claim or other matter on appeal.

4. To a claimant's representative to the extent necessary to dispose of a fee petition or fee agreement; except for pre-decisional deliberative documents, such as analyses and recommendations prepared for the decision-maker.

5. To the Department of the Treasury, Internal Revenue Service, as necessary, for the purpose of auditing the Social Security Administration's compliance with safeguard provisions of the Internal Revenue Code of 1986, as amended.

6. Information may be disclosed to contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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.

7. To the General Services Administration and the National Archives and Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

8. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system:

Storage:

Records are stored either in paper form (

e.g.

, individual case folders and file control cards) or electronically on disc (the Attorney Fee case tracking system). The records stored in paper and electronic files are duplicates. This is a system in transition.

Retrievability:

Records are retrieved by name and Social Security number (SSN).

Safeguards:

System security is maintained in accordance with the Systems Security Handbook. Access to the Attorney Fee File and electronic case tracking records is limited to those persons whose official duties require such access. Control cards are stored in filing containers. The folders are kept on filing shelves. The paper records are kept in a secured storage area. All employees are instructed in SSA confidentiality rules as part of their initial orientation training. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Attorney fee file folders are destroyed after 2 years. Control cards are shredded after 5 years. Any electronic case tracking records are deleted 5 years after final action was taken.

System manager(s) and address:

Associate Commissioner, Office of Hearings and Appeals, Social Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedure:

An individual can determine if this system contains a record about him/her by writing to the systems manager(s) at the above address and providing his/her name, SSN or other information that may be in the system of records that will identify him/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, such as a voter registration card, credit card, etc. If an individual does not have any identification documents sufficient to establish his/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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.

Record access procedures:

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(c)).

Contesting record procedures:

Same as Notification procedures. Requesters also should reasonably identify the record, specify the information they are contesting and 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 SSA Regulations (20 CFR 401.65(a)).

Record source categories:

Information in this system is derived from the claimant, his or her representative, appropriate members of the public, SSA and other Federal, State, and local agencies.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0006

System name:

Storage of Hearing Records: Tape Cassettes, Social Security Administration, Office of Hearings and Appeals.

Security classification:

None.

System Location:

Social Security Administration, Office of Hearings and Appeals, 5107 Leesburg Pike, Falls Church, Virginia 22041.

Categories of individuals covered by the system:

Categories of records in the system:

Recordings of actual hearings before Administrative Law Judges (ALJ).

Authority for maintenance of the system:

Sections 205, 1631, and 1872 of the Social Security Act (42 U.S.C. 405, 1383, and 1395ii).

Purpose(s):

The tape cassette or other electronic media, such as the compact disc (CD), is the basic record of the hearing conducted in an individual case by the ALJ. It is the source from which the documentary transcript is prepared. Social Security Administration (SSA) employees use the information as a reference to respond to subsequent correspondence and/or further appeal of the claim and to process an attorney fee petition when appropriate.

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

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity where DOJ (or SSA where it is authorized to do so) has agreed to represent the employee; or

3. To the Internal Revenue Service, Department of the Treasury, as necessary, for the purpose of auditing the Social Security Administration's compliance with the safeguard provisions of the Internal Revenue Code of 1986, as amended.

4. To contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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. To the General Services Administration and the National Archives and Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System:

Storage:

Records in this system may be stored either on cassette tapes, CDs, or other electronic format.

Retrievability:

Records in this system are indexed by claimant name, Social Security number (SSN), and date of hearing.

Safeguards:

System security is maintained in accordance with the Systems Security Handbook. Access to, and use of, both the cassettes and electronic digital records are limited to those persons whose official duties require such access. All employees are instructed in SSA confidentiality rules as part of their initial orientation training. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Tape cassettes and CDs are transferred to the Washington Nation Records Center (WNRC) immediately after separation from the claim file. The cassettes and CDs are destroyed (erased) after 10 years in the WNRC. Electronic records are deleted when no longer needed.

System manager(s) and address(es):

Associate Commissioner, Office of Hearings and Appeals, Social Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedures:

An individual who requests access to his or her medical record must also name a representative in writing. The representative may be a physician, other health professional, or other responsible individual who would be willing to explain the contents of the medical record(s) before giving the entire medical record(s) to the individual. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

A parent or guardian who requests notification of, or access to, a minor's medical record shall, at the time he/she makes the request, designate a physician or other health professional (other than a family member) who will be willing to explain the contents of the medical record(s) before giving the entire medical record(s) to the parent or guardian. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

Record access procedures:

Same as Notification procedures. Requesters should also reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

Contesting record procedures:

Same as Notification procedures. Requesters should also reasonably identify the record, specify the information they are contesting and 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 SSA Regulations (20 CFR 401.65(a)).

Record source categories:

The records are derived from claimants, representatives, witnesses, ALJs and staff persons.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0010

System name:

Hearing Office Tracking System of Claimant Cases, Social Security Administration, Office of Hearings and Appeals.

Security classification:

None.

System Location:

All Hearing Offices: contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for Social Security Administration (SSA), Office of Hearings and Appeals hearing office address information. Program Service Centers (PSC): contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_a.htm

for PSC address information.

Categories of individuals covered by the system:

Claimants—Title II (Retirement and Survivors Insurance (RSI) and Disability Insurance (DI)); Title VIII (Special Veterans Benefits); Title XI (claimants subject to Professional Standards Review); Title XVI Supplemental Security Income; and Title XVIII (HI). Effective October 1, 2005, SSA only has jurisdiction to determine eligibility for Title XVIII benefits, not the benefit amount.

Categories of in the system:

Social Security number (SSN), claimant name, type of claim, hearing request receipt date, last action date, location of case within hearings process (Assigned to name/date: pre-hearing, scheduling, hearing, post-hearing, disposition date, routing and transfer).

Authority for maintenance of the system:

Sections 205, 1631(d)(1) and 1872 of the Social Security Act.

Purpose:

The purpose of this system is to track hearing office workload from the receipt of a request for hearing until the final hearing level disposition (decision or dismissal).

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

Disclosure may be made for routine uses as indicated below:

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity where DOJ (or SSA where it is authorized to do so) has agreed to represent the employee; or

3. To the General Services Administration and the National Archives and Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

4. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

5. To the Secretary of Health and Human Services or to any State, the Commissioner shall 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining and Disposing of Records in the System:

Storage:

The records are maintained electronically or in paper format.

Retrievability:

Records are retrieved by SSN.

Safeguards:

Access to, and use of, the records is limited to those employees whose official duties require access and use. System security for automated records has been established in accordance with the Systems Security Handbook. All employees are instructed in SSA confidentiality rules as part of their initial orientation training. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

As each case is completed, the electronic record is transferred to an archive. It is retained in the archive file for two years and then erased. Paper records are disposed of by shredding when no longer needed.

System manager(s) and address:

Associate Commissioner, Office of Hearings and Appeals, Social Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedure:

An individual can determine if this system contains a record about him/her by writing to the appropriate hearing office (contact the system manager at the above address or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for hearing office address information).

An individual can determine if this system contains a record about him/her by writing to the system manager(s) at the above address and providing his/her

name, SSN or other information that may be in the system of records that will identify him/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/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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.

Record access procedures:

Same as Notification procedures. Requesters should also reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Same as Notification procedures. Requesters should also reasonably identify the record, specify the information they are contesting and 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(a)).

Record source categories:

Records in the system are derived from hearing office personnel and from information on incoming cases.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0012

System name:

Listing and Alphabetical Name File (Folder) of Vocational Experts, Medical Experts, and Other Health Care Professional and/or Non-Health Care Professional Experts (Medicare), Social Security Administration, Office of Hearings and Appeals.

Security classification:

None.

System Location:

Medical, vocational, and other health care professional and/or non-health care professional experts for Medicare are prepared and updated by the appropriate Social Security Administration (SSA) Office of Hearings and Appeals (OHA) regional office for each hearing office in their jurisdiction (contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for hearing office address information). The listing is maintained and used by each hearing office to facilitate the selection of expert witnesses.

Social Security Administration, Office of Hearings and Appeals, Division of Field Practices and Procedures, 5107 Leesburg Pike, Falls Church, VA 22041.

Records also are maintained at each hearing office (contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for hearing office address information).

Categories of individuals covered by the system:

Medical, vocational, and other health care professional and/or non-health care professional experts for Medicare employed under a Blanket Purchase Agreement (BPA) with OHA to provide expert witness services to OHA.

Categories of in the system:

A list of all medical, vocational, and other health care professional and/or non-health care professional experts for Medicare under BPA, who are within the area serviced by the hearing office, and their usage. In addition, a folder is kept for each expert which may contain name, Social Security number (SSN), a copy of the BPA, qualifications, travel orders, invoices, and correspondence and other written records such as reports of contact by telephone or letter.

Authority for maintenance of the system:

Sections 205, 1631(d)(1) (42 U.S.C. 405 and 1383), Titles XI and XVIII of the Social Security Act, and Section 413(b) of the Federal Coal Mine Health and Safety Act (the Coal Act), as amended.

Purpose(s):

The purposes of this system are as follows: The listing alphabetically by name of medical, vocational, and other health care professional and/or non-health care professional experts for Medicare is used to select the expert on a rotational basis for use in a hearing case. Records maintained in expert witness files are used for carrying out administrative management responsibilities. These may be used in connection with budgetary planning, assessing services and usage, renewal of contracts, and preparing statistical or summary reports.

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

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity where DOJ (or SSA where it is authorized to do so) has agreed to represent the employee; or

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.

6. To the Secretary of Health and Human Services or to any State, the Commissioner shall 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.

Policies and practices for storing, retrieving, access, retaining, and disposing of records in the system:

Storage:

Records are stored in electronic and/or paper format.

Retrievability:

Records are retrieved alphabetically by name and by hearing office.

Safeguards:

System security for electronic records has been established in accordance with the Systems Security Handbook. Access to, and use of, the records is limited to those persons whose official duties require such access. Paper folders are maintained in locked filing cabinets. Access to, and use, is limited to those persons whose official duties require such access. All employees are instructed in SSA confidentiality rules as part of their initial training. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Paper and electronic records are retained for at least 2 years after expiration of contract at which time they are disposed of by shredding.

System manager(s) and address(es):

Social Security Administration, Associate Commissioner, Office of Hearings and Appeals, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedures:

An individual can determine if this system contains a record pertaining to him/her by writing to the applicable hearing office (contact the system manager at the above address or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for hearing office address information).

Record access procedures:

Same as Notification procedures. Requesters should also reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Record source categories:

These records are derived from information supplied by the individual or information provided by SSA officials.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0013

System name:

Records of Usage of Medical Experts, Vocational Experts, and Other Health Care Professional and/or Non-Health Care Professional Experts (Medicare), Social Security Administration, Office of Hearings and Appeals.

Security classification:

None.

System Location:

Records of medical, vocational, and other health care professional and/or

non-health care professional experts for Medicare are prepared and maintained in the appropriate hearing office. Usage records are also maintained at the appropriate Social Security Administration (SSA), Office of Hearings and Appeals (OHA) regional office (contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_f.htm

for regional office address information).

Social Security Administration, Office of Hearings and Appeals, Division of Field Practices and Procedures, 5107 Leesburg Pike, Falls Church, VA 22041.

Categories of individuals covered by the system:

Medical, vocational, and other health care professional and/or non-health care professional experts for Medicare employed under the Blanket Purchase Agreement (BPA) with OHA to provide expert witness services to OHA.

Categories in the system:

Records contain information about the usage of medical, vocational, and other health care professional and/or non-health care professional experts for Medicare, such as the occasions on which each expert supplied services to OHA.

Authority for maintenance of the system:

Sections 205, 1631(d)(1) of the Social Security Act (42 U.S.C. 405 and 1383), Titles XI and XVIII of the Social Security Act, and Section 413(b) of the Federal Coal Mine Health and Safety Act, as amended.

Purpose(s):

The purpose of this system is to provide information to enable OHA to measure the usage of expert witnesses and to make its determinations on contract and BPA renewals. The system provides information for statistical and summary reports.

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

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity where DOJ (or SSA where it is authorized to do so) has agreed to represent the employee; or

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Records are maintained in paper form (

e.g.

, folders and loose-leaf binders) and/or in electronic form.

Retrievability:

Records are retrieved alphabetically by name or by BPA number.

Safeguards:

System security for automated records has been established in accordance with the Systems Security Handbook. Access to paper and electronic records is limited to those persons whose official duties require such access. Paper folders are kept in file cabinets in secured areas. All employees are instructed in SSA confidentiality rules as part of their initial training. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Records of usage are maintained for two years. Paper records are disposed of by shredding and automated records are disposed of by erasure when no longer needed.

System manager(s) and address(es):

Social Security Administration, Associate Commissioner, Office of Hearings and Appeals, 5107 Leesburg Pike, Falls Church, VA 22041.

Notification procedures:

If notification is requested by telephone, an individual must verify his/her identity by providing identifying information that parallels information in the record to which notification is being

requested. If it is determined that the identifying information provided by telephone is insufficient, the individual will be required to submit a request in writing or in person. 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/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/her consent in providing information to the requesting individual.

Record access procedures:

Same as Notification procedures. Requesters should also reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Record source categories:

The records are obtained from the medical and vocational experts and from the administrative law judges and support staffs.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0044

System name:

National Disability Determination Services (NDDS) File, Social Security Administration, Office of Disability Determinations.

Security classification:

None.

System Location:

Each State Disability Determination Services (DDS) office and the Federal Disability Determination Service (FDDS) (contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_b.htm

for the name and address of each State DDS and the FDDS).

Categories of individuals covered by the system:

Claimants for Social Security Disability Insurance (DI) and Black Lung (BL) benefits, and Supplemental Security Income (SSI) payments alleging a disability for which the DDS processes claims.

Categories of records in the system:

Name and Social Security number (SSN) of wage earner, claimant's name and address, date of birth, diagnosis, beginning and ending dates of disability, basis for determination, work history information, educational level, reexamination date (if applicable), date of application, names and titles of persons making or reviewing the determination and certain administrative data. Also included could be data relative to the location of the file and the status of the claim, copies of medical reports, and data relating to the evaluation and measurement of the effectiveness of claims policies.

Authority for maintenance of the system:

5 U.S.C. 301, 30 U.S.C. 923(b), and sections 221 and 1633 of the Social Security Act (42 U.S.C. 421 and 1383b).

Purpose(s):

The records are used primarily for processing Social Security Title II disability (DI), Title XVI SSI disability, and BL claims, for detection and correction of deficiencies and problems involved in this processing, and for case control purposes.

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

Disclosure may be for routine uses as indicated below:

1. To State vocational rehabilitation agencies or the appropriate State agency (or agencies providing services to disabled children) for the consideration of rehabilitation services per sections 222 and 1615 of the Social Security Act.

2. To State audit agencies utilizing this information for verifying proper expenditure of Federal funds by the State in support of the DDS.

3. To the Department of Veterans Affairs (DVA) for information requested for purposes of determining eligibility for or amount of veterans benefits, or verifying other information with respect thereto in accordance with 38 U.S.C. 5106.

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

5. To a party named in an order, process, or interrogatory, in accordance with section 459 of the Social Security Act if a designee of the Agency is served with any such order, process, or interrogatory with respect to an individual's child support or alimony payment obligations.

6. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/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 SSA determines that the litigation is likely to affect the operations of 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 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.

7. To contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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 the General Services Administration and the National Archives Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

9. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

10. To the Secretary of Health and Human Services or to any State, the Commissioner shall 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.

Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system:

Storage:

Records are maintained in paper form, on magnetic tape or disc packs. The method of storage may vary from State to State and within the FDDS.

Retrievability:

The records are filed by a combination of name and SSN depending on the DDS's preference.

Safeguards:

Automated records are maintained in accordance with the Systems Security Handbook. The records are accessible only to DDS personnel and subject to the restrictions on disclosures under 5 U.S.C. 552(b)(6), 21 U.S.C. 1175, and 42 U.S.C. 1306. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

May vary from State to State and within the FDDS according to the preference, but generally each office destroys its files over a period varying from 6 months to 36 months unless held in an inactive storage under security measures for a longer period.

System manager(s) and address(es):

Social Security Administration, Associate Commissioner, Office of Disability Determinations, 6401 Security Boulevard, Baltimore, Maryland 21235.

Notification procedures:

An individual can determine if this system contains a record about him/her by providing his/her name and SSN to the DDS Administrator, Disability Determination Services, c/o State in which he or she resides and/or information is likely to be maintained. Contact the system manager at the address below or access (

http://www.socialsecurity.gov/foia/bluebook/app_b.htm.

(Furnishing the SSN is voluntary, but it will make searching for an individual's record easier and avoid delay.)

Record access procedures:

Same as Notification procedures. Requesters should also reasonably specify the record contents being sought. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

Contesting record procedures:

Record source categories:

The information to support factors of entitlement and/or continuing eligibility originates from claimants or those acting on their behalf, physicians, hospitals, and other appropriate sources. Also, information is received from control data that monitors the location and status of the claim.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0046

System name:

Disability Determination Services Consultant File, Social Security Administration, Office of Disability Determinations.

Security classification:

None.

System Location:

Offices of State Disability Determination Services (DDS) may

currently maintain this type of file. Contact the system manager at the address below or access

http://www.socialsecurity.gov/foia/bluebook/app_b.htm

for the name and address of each State DDS and the Federal Disability Determination Services (FDDS).

Categories of individuals covered by the system:

Physicians who have expressed a willingness to conduct consultative examinations for the DDS and, in some instances, other physicians with whom the DDS has contact. The latter are usually treating physicians. This file also includes, but is not limited to, psychologists, social workers, nurses, audiologists and vocational consultants who express a willingness to conduct some type of consultative service for the DDS.

Categories of records in the system:

Information relative to a consultant's specialty, past experience as to the promptness with which reports are submitted, general thoroughness of reports, fees received, etc., and perhaps comments on the consultant's own preferences (such as appointment hours, etc.).

Authority for maintenance of the system:

5 U.S.C. 301, 30 U.S.C. 923(b), and sections 221 and 1633 of the Social Security Act (42 U.S.C. 421 and 1383b).

Purpose(s):

DDS personnel use this information in the selection of a consultant when additional medical or vocational evidence is needed for claims under Titles II and XVI of the Social Security Act.

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

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

2. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/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 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.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Each DDS maintains its own records and the method of storage may vary from State to State and within the FDDS. Generally, the information is on a file card maintained in a standard card file cabinet. However, some States may use an automated format.

Retrievability:

Records are retrieved by consultant's surname.

Safeguards:

Only authorized SSA and DDS personnel have access to these records. Personal information other than the name of the consultant is subject to the disclosure restrictions of 5 U.S.C. 552(b)(6), 21 U.S.C. 1175, and 42 U.S.C. 1306. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

DDS policy as to retention and disposal varies from State to State and within the FDDS, but generally, the file is destroyed upon death, retirement or relocation of the consultant.

System manager(s) and address(es):

Social Security Administration, Associate Commissioner, Office of Disability Determinations, 6401 Security Boulevard, Baltimore, Maryland 21235.

Notification procedures:

An individual can determine if this system contains a record about him/her by providing name and address to the DDS Administrator, c/o the State in which he or she resides and/or information is likely to be maintained (contact the system manager at the address above or access

http://www.socialsecurity.gov/foia/bluebook/app_b.htm

for address information).

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/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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/her identity by providing identifying information that parallels information in the record to which notification is being requested. If it is determined that the identifying information provided by telephone is insufficient, the individual will be required to submit a request in writing or in person. If an individual is requesting information by telephone on behalf of another individual, the subject individual must be connected with the Social Security Administration (SSA) and the requesting individual in the same phone call. SSA will establish the subject individual's identity (his/her name, Social Security number, 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/her consent in providing information to the requesting individual.

Record access procedures:

Same as Notification procedures. Requesters also should reasonably specify the record contents being sought. These access procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Record source categories:

Information is obtained mostly from the consultant. Observations of DDS personnel about the consultant, such as the individual's general promptness in filing reports, may occasionally be found in a consultant's file.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0050

System name:

Completed Determination Record—Continuing Disability Determinations, Social Security Administration, Office of Disability Determinations.

Security classification:

None.

System Location:

Social Security Administration, Office of Systems, 6401 Security Boulevard, Baltimore, MD 21235.

Categories of individuals covered by the system:

This file contains a record on allowed disability claimants on which a continuing disability issue has occurred and a decision of continuance or cessation has been approved. This file also covers Title II and Title XVI disability beneficiaries who have been selected to receive a Ticket-to-Work as part of the Ticket-to-Work and Self-Sufficiency Program.

Categories of records in the system:

Name and Social Security number (SSN) of the individual and other data such as date of birth, district office and State agency code, date disability began, type of claim, reason for reopening, continuance or cessation code, date of termination (if applicable), date of completion, etc. In addition, data related to the Ticket-to-Work program, such as Ticket eligibility, receipt, assignment and use, alleged and verified earnings and suspension of continuing disability determinations.

Authority for maintenance of the system:

Sections 221 and 1148 of the Social Security Act (42 U.S.C. 421 and 1320b-19).

Purpose(s):

This system is used by the Social Security Administration (SSA) to (1) record the result of continuing disability investigations, and (2) record information related to the administration of the Ticket-to-Work and Self-Sufficiency Program.

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

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

2. To the Internal Revenue Service, Department of the Treasury, as necessary, for the purpose of auditing the Social Security Administration's compliance with the safeguard provisions of the Internal Revenue Code of 1986, as amended.

5. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity where DOJ (or SSA where it is authorized to do so) has agreed to represent the employee; or

7. To the Secretary of Health and Human Services or to any State, the

Commissioner shall 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.

8. To contractors for the purpose of assisting SSA in the efficient administration of the Ticket-to-Work and Self-Sufficiency Program. (These contractors would be limited to the Program Manager, which is directly assisting the Social Security Administration (SSA) in administering the Ticket program, and to Employment Networks, which are providing services to SSA beneficiaries under the Ticket program.)

9. To a Federal, State, or congressional support agency (

e.g.

, Congressional Budget Office and the Congressional Research Staff in the Library of Congress) for research, evaluation, or statistical studies. Such disclosures include, but are not limited to, release of information in assessing the extent to which one can predict eligibility for Supplemental Security Income (SSI) payments or Social Security disability insurance benefits; examining the distribution of Social Security benefits by economic and demographic groups and how these differences might be affected by possible changes in policy; analyzing the interaction of economic and non-economic variables affecting entry and exit events and duration in the Title II Old Age, Survivors, and Disability Insurance and the Title XVI SSI disability programs; and, analyzing retirement decisions focusing on the role of Social Security benefit amounts, automatic benefit recomputation, the delayed retirement credit, and the retirement test, if the Social Security Administration (SSA):

(a) Determines that the routine use does not violate legal limitations under which the record was provided, collected, or obtained;

(b) Determines that the purpose for which the proposed use is to be made:

(i) Cannot reasonably be accomplished unless the record is provided in a form that identifies individuals;

(ii) Is of sufficient importance to warrant the effect on, or risk to, the privacy of the individual which such limited additional exposure of the record might bring;

(iii) Has reasonable probability that the objective of the use would be accomplished;

(iv) Is of importance to the Social Security program or the Social Security beneficiaries or is for an epidemiological research project that relates to the Social Security program or beneficiaries;

(i) Establish appropriate administrative, technical, and physical safeguards to prevent unauthorized use or disclosure of the record and agree to on-site inspection by SSA's personnel, its agents, or by independent agents of the recipient agency of those safeguards;

(ii) Remove or destroy the information that enables the individual to be identified at the earliest time at which removal or destruction can be accomplished consistent with the purpose of the project, unless the recipient receives written authorization from SSA that it is justified, based on research objectives, for retaining such information;

(iii) Make no further use of the records except:

(1) Under emergency circumstances affecting the health and safety of any individual, following written authorization from SSA;

(2) For disclosure to an identified person, approved by SSA, for the purpose of auditing the research project;

(iv) Keep the data as a system of statistical records. A statistical record is one which is maintained only for statistical and research purposes and which is not used to make any determination about an individual;

(d) Secures a written statement by the recipient of the information attesting to the recipient's understanding of, and willingness to abide by, these provisions.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Records are maintained in magnetic media (

e.g.

, magnetic tapes).

Retrievability:

The records are retrieved by the SSN.

Safeguards:

Only authorized personnel having a need for this information in the performance of their official duties have access to this data under stringent security measures involving guards, building passes and photographs, etc. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

The records are maintained indefinitely.

System manager(s) and address(es):

Social Security Administration, Office of Disability Determinations, 6401 Security Boulevard, Baltimore, Maryland 21235.

Notification procedures:

An individual can determine if this system contains a record about him/her by contacting the system manager at the address shown above and furnishing his or her name, SSN, approximate date and place claim was filed, type of claim (DI, BL, or SSI), and return address. (Furnishing the SSN is voluntary, but it will make searching for an individual's record easier and avoid delay.)

offense. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Record access procedures:

Same as Notification procedures. Requesters also should reasonably specify the record contents being sought. These access procedures are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

Contesting record procedures:

Same as Notification procedures. Also, requesters should reasonably identify the record, specify the information they are contesting and 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 SSA Regulations (20 CFR 401.65(a)).

Record source categories:

These records summarize information contained in the claims folder which was obtained from the individual or someone acting on the individual's behalf and from this individual's physician or a physician performing a consultative examination or from hospitals and other treatment sources.

Systems exempted from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0058

System name:

Master Files of Social Security Number (SSN) Holders and SSN Applications, Social Security Administration, Office of Systems.

Security classification:

None.

System Location:

Social Security Administration, Office of Telecommunications and Systems Operations, 6401 Security Boulevard, Baltimore, Maryland 21235.

Social Security Administration, Office of Central Operations, Metro West Building, 300 N. Greene Street, Baltimore, Maryland 21201.

Records may also be maintained at contractor sites (contact the system manager at the address below to obtain contractor addresses).

Categories of individuals covered by the system:

This system contains a record of each individual who has applied for and been assigned a Social Security number (SSN). Also, each individual who applied for an SSN, but was not assigned one due to the following:

• His/her application was supported by documents which are suspected to be fraudulent and are being verified with the issuing agency, or have been determined to be fraudulent, or

• Fraud is not suspected, but further verification of information on his/her application or additional supporting documents are needed, or

• None of the above applies, but processing of the application has not yet been completed.

Categories of in the system:

This system contains:

• All of the information received on applications for SSNs (e.g., name, date and place of birth, sex, both parents' names, and race/ethnic data) (in the case of an application for an SSN for an individual who has not attained the age of 18, the SSNs of the parents are maintained), and any changes in the information on the applications that are submitted by the SSN holders;

• Information from applications supported by evidence suspected or determined to be fraudulent, along with the mailing addresses of the individuals who filed such applications and descriptions of the documentation they submitted;

• Cross-references where multiple numbers have been issued to the same individual;

• Form code that identifies the form SS-5 (Application for a Social Security Number) as the application for the initial issuance of an SSN, or for changing the identifying information (e.g., a code indicating original issuance of the SSN, or that the application was enumeration at birth);

• Citizenship code that identifies the number holder status as a U.S. citizen or the work authorization of a noncitizen;

• Special indicator code that identifies type or questionable data or special circumstance concerning an application for an SSN (

e.g.

, false identity; illegal alien; scrambled earnings; SSN assigned based on harassment, abuse or life endangerment); and

• An indication that a benefit claim has been made under a particular SSN(s).

Authority for maintenance of the system:

Sections 205(a) and 205(c)(2) of the Social Security Act (42 U.S.C. 405(a) and 405(c)(2)).

Purpose(s):

Information in this system is used by the Social Security Administration (SSA) to assign SSNs. The information also is used for a number of administrative purposes, such as:

• By SSA components for various Old Age, Survivors and Disability Insurance, Supplemental Security Income, and Medicare/Medicaid claims purposes including usage of the SSN itself as a case control number and a secondary beneficiary cross-reference control number for enforcement purposes and use of the SSN record data for verification of claimant identity factors and for other claims purposes related to establishing benefit entitlement;

• By SSA as a basic control for retained earnings information;

• By SSA as a basic control and data source to prevent issuance of multiple SSNs;

• As the means to identify reported names or SSNs on earnings reports;

• For resolution of earnings discrepancy cases;

• For statistical studies;

• By the Office of the Inspector General, Office of Audit, for auditing benefit payments under Social Security programs;

• By the Department of Health and Human Services (DHHS), Office of Child Support Enforcement for locating parents who owe child support;

• By the National Institute of Occupational Safety and Health for epidemiological research studies required by the Occupational Safety and Health Act of 1974;

• By the DHHS Office of Refugee Resettlement for administering Cuban refugee assistance payments;

• By the DHHS Centers for Medicare and Medicaid Services (CMS) for administering Titles XVIII and XIX claims.

• By the Secretary of the Treasury for use in administering those sections of

the Internal Revenue Code of 1986 which grant tax benefits based on support or residence of children. (Applies specifically to SSNs of parents provided on applications for SSNs for individuals who have not attained the age of 18); and

• By SSA to prevent the processing of an SSN card application for an individual whose application is identified as having been supported by evidence that either:

—Is suspect and being verified, or

—Has been determined to be fraudulent.

With this system in place, clerical investigation and intervention is required. Social Security offices are alerted when an applicant attempting to obtain an SSN card visits other offices in an attempt to find one which might unwittingly accept fraudulent documentation.

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

Disclosure may be made for routine uses as indicated below. However, disclosure of any information defined as “return or return information” under 26 U.S.C. 6103 of the Internal Revenue Code will not be disclosed unless authorized by statute, the Internal Revenue Service IRS, or IRS regulations.

1. To employers in order to complete their records for reporting wages to SSA pursuant to the Federal Insurance Contributions Act and section 218 of the Social Security Act.

2. To Federal, State and local entities for the purpose of administering income-maintenance and health-maintenance programs, where such use of the Social Security number is authorized by Federal statute.

3. To the Department of Justice, Federal Bureau of Investigation and United States Attorneys Offices, and to the Department of the Treasury, United States Secret Service, for investigating and prosecuting violations of the Social Security Act.

4. To the Department of Homeland Security, United States Citizenship and Immigration Services, for identifying and locating aliens in the United States pursuant to requests received under section 290(b) of the Immigration and Nationality Act (8 U.S.C. 1360(b)).

5. To a contractor for the purpose of collating, evaluating, analyzing, aggregating or otherwise refining records when the Social Security Administration contracts with a private firm. (The contractor shall be required to maintain Privacy Act safeguards with respect to such records.)

6. To the Railroad Retirement Board for:

(a) Administering provisions of the Railroad Retirement and Social Security Act relating to railroad employment; and

(b) Administering the Railroad Unemployment Insurance Act.

7. To the Department of Energy for its epidemiological research study of the long-term effects of low-level radiation exposure, as permitted by Social Security Administration Regulations 20 CFR 401.150(c).

8. To the Department of the Treasury for:

(a) Tax administration as defined in section 6103 of the Internal Revenue Code (IRC) (26 U.S.C. 6103);

(b) Investigating the alleged theft, forgery, or unlawful negotiation of Social Security checks; and

(c) Administering those sections of the IRC which grants tax benefits based on support or residence of children. (As required by section 1090(b) of the Taxpayer Relief Act of 1997, Pub. L. 105-34, this routine use applies specifically to the Social Security numbers (SSN) of parents shown on an application for an SSN for an individual who has not attained the age of 18.

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

10. To the Department of State for administering the Social Security Act in foreign countries through facilities and services of that agency.

11. To the American Institute, a private corporation under contract to the Department of State, for administering the Social Security Act on Taiwan through facilities and services of that agency.

12. To the Department of Veterans Affairs, Regional Office, Manila, Philippines, for administering the Social Security Act in the Philippines and other parts of the Asia-Pacific region through facilities and services of that agency.

13. To the Department of Labor for:

(a) Administering provisions of the Black Lung Benefits Act; and

(b) Conducting studies of the effectiveness of training programs to combat poverty.

14. To Department of Veterans Affairs (DVA) for the following purposes:

(a) For the purpose of validating Social Security numbers of compensation recipients/pensioners in order to provide the release of accurate pension/compensation data by DVA to the Social Security Administration for Social Security program purposes; and

(b) Upon request, for purposes of determining eligibility for or amount of DVA benefits, or verifying other information with respect thereto.

15. To Federal agencies which use the Social Security number (SSN) as a numerical identifier in their record-keeping systems, for the purpose of validating SSNs.

16. To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:

(a) The Social Security Administration (SSA), or any component thereof; or

(b) Any SSA employee in his/her official capacity; or

(c) Any SSA employee in his/her individual capacity when DOJ (or SSA when it is authorized to do so) has agreed to represent the employee; or

(d) The United States or any agency thereof when 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.

17. To State audit agencies for auditing State supplementation payments and Medicaid eligibility considerations.

18. To the Social Security agency of a foreign country to carry out the purpose of an international Social Security agreement entered into between the United States and the other country, pursuant to section 233 of the Social Security Act.

19. To Federal, State, or local agencies (or agents on their behalf) for the purpose of validating Social Security numbers used in administering cash or non-cash income maintenance programs or health maintenance programs (including programs under the Social Security Act).

20. To third party contacts (

e.g.

, State bureaus of vital statistics and the Department of Homeland Security that issue documents to individuals) when the party to be contacted has, or is expected to have, information which will verify documents when the Social Security Administration is unable to determine if such documents are authentic.

21. To the Department of Justice, Criminal Division, Office of Special Investigations, upon receipt of a request for information pertaining to the identity and location of aliens for the

purpose of detecting, investigating, and, when appropriate, taking legal action against suspected Nazi war criminals in the United States.

22. To the Selective Service System for the purpose of enforcing draft registration pursuant to the provisions of the Military Selective Service Act (50 U.S.C. App. 462, as amended by section 916 of Pub. L. 97-86).

23. To contractors and other Federal agencies, as necessary, for the purpose of assisting the Social Security Administration (SSA) in the efficient administration of its programs. We will disclose 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.

24. To organizations or agencies such as prison systems that are required by law to furnish Social Security Administration with validated Social Security number information.

25. To the General Services Administration and the National Archives and Records Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by the 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.

26. To Department of Veterans Affairs (DVA) or third parties under contract to that agency Social Security numbers and dates of birth may be disclosed for the purpose of conducting DVA medical research and epidemiological studies.

27. To the Office of Personnel Management (OPM) upon receipt of a request from that agency in accordance with 5 U.S.C. 8347(m)(3), Social Security number information when OPM needs the information to administer its pension program for retired Federal Civil Service employees.

28. To the Department of Education, upon request, verification of Social Security numbers which are provided by students to postsecondary educational institutions, as required by Title IV of the Higher Education Act of 1965 (20 U.S.C. 1091).

29. 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 the Social Security Administration (SSA), as authorized by law, and they need access to personally identifiable information in SSA records in order to perform their assigned Agency functions.

30. 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 Social Security Administration (SSA) employees and customers, the security of the SSA workplace and the operation of SSA 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 SSA facilities.

31. To recipients of erroneous Death Master File (DMF) information, corrections to information that resulted in erroneous inclusion of individuals in the DMF.

32. To State vital records and statistics agencies, the Social Security numbers of newborn children for administering public health and income maintenance programs, including conducting statistical studies and evaluation projects.

33. To State motor vehicle agencies (MVA), verification of personal identification data (i.e., name, Social Security number, and date of birth) concerning individuals who apply for, or are issued, drivers' licenses or other identification documents. In performing such “verification,” the Social Security Administration (SSA) may indicate whether the identifying data furnished by a State MVA concerning an individual match, or do not match, data maintained in this system of records, and SSA may identify the particular data elements that do not match. SSA will not disclose information from this system of records which does not match the information furnished by the State MVA.

34. To entities conducting epidemiological or similar research projects, upon request, information as to whether an individual is alive or deceased pursuant to section 1106(d) of the Social Security Act (42 U.S.C. 1306(d)), provided that:

(a) The Social Security Administration (SSA) determines, in consultation with the Department of Health and Human Services, that the research may reasonably be expected to contribute to a national health interest; and

(b) The requester agrees to reimburse SSA for the costs of providing the information; and

(c) The requester agrees to comply with any safeguards and limitations specified by SSA regarding re-release or re-disclosure of the information.

35. To employers in connection with a pilot program, conducted with the Department of Homeland Security under 8 U.S.C. 1324a(d)(4) to test methods of verifying that individuals are authorized to work in the United States, the Social Security Administration will inform an employer participating in such pilot program that the identifying data (Social Security number, name and date of birth) furnished by an employer concerning a particular employee match, or do not match, the data maintained in this system of records, and when there is such a match, that information in this system of records indicates that the employee is, or is not, a citizen of the United States.

36. To a State bureau of vital statistics (BVS) that is authorized by States to issue electronic death reports when the State BVS requests the Social Security Administration to verify the Social Security number (SSN) of an individual on whom an electronic death report will be filed after SSN verification.

37. To the Department of Defense (DOD) validated Social Security number information and citizenship status information for the purpose of assisting DOD in identifying those members of the Armed Forces and military enrollees who are aliens or noncitizen nationals that may qualify for expedited naturalization or citizenship processing. These disclosures will be made pursuant to requests made under section 329 of the Immigration and Nationality Act, 8 U.S.C. 1440, as executed by Executive Order 13269.

38. To a Federal, State, or congressional support agency (e.g., Congressional Budget Office and the Congressional Research Staff in the Library of Congress) for research, evaluation, or statistical studies. Such disclosures include, but are not limited to, release of information in assessing the extent to which one can predict eligibility for Supplemental Security Income (SSI) payments or Social Security disability insurance benefits; examining the distribution of Social Security benefits by economic and demographic groups and how these differences might be affected by possible changes in policy; analyzing the interaction of economic and non-economic variables affecting entry and exit events and duration in the Title II Old Age, Survivors, and Disability Insurance and the Title XVI SSI disability programs; and, analyzing retirement decisions focusing on the role of Social Security benefit amounts, automatic benefit recomputation, the delayed retirement credit, and the retirement test, if the Social Security Administration (SSA):

(a) Determines that the routine use does not violate legal limitations under which the record was provided, collected, or obtained;

(b) Determines that the purpose for which the proposed use is to be made:

(i) Cannot reasonably be accomplished unless the record is provided in a form that identifies individuals;

(ii) Is of sufficient importance to warrant the effect on, or risk to, the privacy of the individual which such limited additional exposure of the record might bring;

(iii) Has reasonable probability that the objective of the use would be accomplished;

(iv) Is of importance to the Social Security program or the Social Security beneficiaries or is for an epidemiological research project that relates to the Social Security program or beneficiaries;

(iii) Make no further use of the records except:

(1) Under emergency circumstances affecting the health and safety of any individual, following written authorization from SSA;

(2) For disclosure to an identified person approved by SSA for the purpose of auditing the research project;

(d) Secures a written statement by the recipient of the information attesting to the recipient's understanding of, and willingness to abide by, these provisions.

39. To State and Territory Motor Vehicle Administration officials (or agents or contractors on their behalf) and State and Territory chief election officials to verify the accuracy of information provided by the State agency with respect to applications for voter registration, for whom the last four digits of the Social Security number are provided instead of a driver's license number.

40. To State and Territory Motor Vehicle Administration officials (or agents or contractors on their behalf) and State and Territory chief election officials, under the provisions of section 205(r)(8) of the Social Security Act (42 U.S.C. 408(r)(8)), to verify the accuracy of information provided by the State agency with respect to applications for voter registration for those individuals who do not have a driver's license number:

(a) For whom the last four digits of the Social Security number (SSN) are provided, or

(b) For whom the full SSN is provided in accordance with section 7 of the Privacy Act (5 U.S.C. 552a note), as described in section 303(a)(5)(D) of the Help America Vote Act of 2002 (42 U.S.C. 15483(a)(5)(D).

41. To the Secretary of Health and Human Services or to any State, the Commissioner shall 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.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Records in this system are maintained in paper form (e.g., Forms SS-5 (Application for an SSN card), and system generated forms); magnetic media (e.g., magnetic tape and disc with on-line access); in microfilm and microfiche form and on electronic files (e.g., NUMIDENT and Alpha-Index).

Retrievability:

Records of SSN holders are indexed by both SSN and name. Records of applications that have been denied because the applicant submitted fraudulent evidence, or that are being verified because the evidence is suspected to be fraudulent, are indexed either by the applicant's name plus month and year of birth, or by the applicant's name plus the eleven-digit reference number of the disallowed application.

Safeguards:

Safeguards for automated records have been established in accordance with the Systems Security Handbook. This includes maintaining the magnetic tapes and discs within a secured enclosure attended by security guards. Anyone entering or leaving this enclosure must have a special badge issued only to authorized personnel.

For computerized records electronically transmitted between Central Office and Field Office locations (including organizations administering SSA programs under contractual agreements), safeguards include a lock/unlock password system, exclusive use of leased telephone lines, a terminal-oriented transaction matrix, and an audit trail. All microfilm, microfiche, and paper files are accessible only by authorized personnel who have a need for the records in the performance of their official duties.

Expansion and improvement of SSA telecommunications systems has resulted in the acquisition of terminals equipped with physical key locks. The terminals also are fitted with adapters to permit the future installation of data encryption devices and devices to permit the identification of terminal users. Access

http://www.socialsecurity.gov/foia/bluebook/app_g.htm

for additional information relating to SSA data security measures.

Retention and disposal:

Most paper forms are retained only until they have been filmed and verified for accuracy. They then are destroyed by shredding. Electronic, as well as updated microfilm and microfiche records, are retained indefinitely. All tape, discs, microfilm and microfiche files are updated periodically. Out-of-date magnetic tapes and discs are erased. Out-of-date microfiches are disposed of by shredding.

System manager(s) and address(es):

Director, Division of Enumeration Verification and Death Alerts, Office of Earnings, Enumeration and Administrative Systems, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.

Notification procedures:

establish his/her identity, the individual must certify in writing that he/she is the person claimed to be and that he/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.

Record access procedures:

Same as Notification procedures. Also, requesters should reasonably specify the record contents they are seeking. These procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).

Contesting record procedures:

Same as Notification procedures. Requesters should also reasonably identify the record, specify the information they are contesting and 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(a)).

Record source categories:

Information in this system is obtained from SSN applicants (or individuals acting on their behalf) and generated internally by SSA. The SSN itself is assigned to the individual as a result of internal processes of this system.

System exemptions from certain provisions of the Privacy Act:

None.

SYSTEM NUMBER: 60-0059

System Name:

Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems.

Security classification:

None.

System Location:

Social Security Administration, Office of Systems, 6401 Security Boulevard, Baltimore, Maryland 21235.

Social Security Administration, Office of Earnings, Enumerations and Administrative Systems, 6401 Security Boulevard, Baltimore, Maryland 21235.

Social Security Administration, Office of Central Operations, Metro West Building, 300 North Greene Street, Baltimore, Maryland 21201.

Records also may be located at contractor sites and in Social Security Administration (SSA) program service centers (PSC) (contact the system manager at the address below for contractor and PSC addresses).

Categories of individuals covered by the system:

This system contains information about individuals who have been issued a Social Security number (SSN) and who may or may not have earnings under Social Security; or any person requesting, reporting, changing and/or inquiring about earnings information; or any person affected by the Coal Industry Retiree Health Benefit Act of 1992; or any person having a vested interest in a private pension fund.

Categories of in the system:

This system contains records of every SSN holder, his/her name, date of birth, sex, and race/ethnic data and a summary of his/her yearly earnings and quarters of coverage; special employment codes (i.e., self-employment, military, agriculture, and railroad); benefit status information; employer identification (i.e., employer identification numbers and pension plan numbers); minister waiver forms (i.e., forms filed by the clergy for the election or waiver of cove

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