Privacy Act of 1974; Report of Revised System of Records

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Social Security Administration

Privacy Act of 1974; Report of Revised System of Records

AGENCY: Social Security Administration (SSA), Department of Health and

Human Services (HHS).

ACTION: Revision to a system of records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e) (11)), we

are issuing public notice of our intent to revise the name and

description of a system of records entitled ``Master Files of Social

Security Number Holders, HHS/SSA/OSR, 09-60-0058'' (last published at

58 FR 35025, June 30, 1993).

DATES: The proposed changes will become effective as proposed, without

further notice on August 30, 1994, unless we receive comments on or

before that date which would warrant our preventing the changes from

taking effect.

ADDRESSES: Interested individuals may comment on this publication by

writing to the SSA Privacy Officer, Social Security Administration,

room 3-D-1 Operations Building, 6401 Security Boulevard, Baltimore, MD

21235. All comments received will be available for public inspection at

that address.

FOR FURTHER INFORMATION CONTACT: Mr. Stanley Hanna, Social Insurance

Specialist, 3-D-1 Operations Building, 6401 Security Boulevard,

Baltimore, MD 21235, telephone (410) 966-7077.

SUPPLEMENTARY INFORMATION:

I. Discussion of Proposed Revision

We are changing the name of the system of records and the

description of its purpose to clarify the fact that it includes

applications for Social Security numbers (SSNs) submitted with

suspicious or fraudulent evidence, as well as the records of

individuals who have applied for and been assigned SSNs. The vast

majority of SSN applications with complete evidence are soon approved

and SSNs are assigned to the applicants in a few days. In some cases,

however, an application may be held and a record maintained for up to

120 days while SSA determines whether the evidence of identity, age or

citizenship/alien status is proper and authentic. SSA disallows

applications which are supported by fraudulent documents, and maintains

records of such applications. These records prevent individuals whose

applications are supported by fraudulent or suspicious documents from

obtaining SSNs by visiting other SSA offices which might unwittingly

accept these documents.

Besides changing the name of the system and showing that its

purpose includes protecting against SSN applications supported by

suspicious or fraudulent evidence, we have changed some of the other

language:

To show that the system covers paper applications for SSNs

as well as electronic records, and

To explain how a record is retrieved when it does not

include an SSN.

II. Effect of the Proposed Changes on Individual Rights

The proposed changes will clarify the types of information which

SSA maintains about persons who apply for SSNs. They will have no

effect on individuals' rights.

Dated: July 12, 1994.

Shirley S. Chater,

Commissioner of Social Security.

09-60-0058

Master Files of Social Security Number (SSN) Holders and SSN

Applications, HHS/SSA/OSR.

None.

Social Security Administration, Office of Systems Operations, 6401

Security Boulevard, Baltimore, MD 21235

Social Security Administration, Office of Central Records Operations,

Metro West Building, 300 N. Greene Street, Baltimore, MD 21201.

Records may also be maintained at contractor sites (contact the

system manager at the address below to obtain contractor addresses).

This system contains a record of each individual who has applied

for and obtained a Social Security number (SSN) and of each individual

whose 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.

This system contains all of the information received on original

applications for SSNs (e.g., name, date and place of birth, sex, both

parents' names, and race/ethnic data), and any changes in the

information on the applications that are submitted by the SSN holders.

It also contains 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 which they submitted. Cross-references may be noted where

multiple numbers have been issued to the same individual and an

indication may be shown that a benefit claim has been made under a

particular SSN(s).

Sections 205(a) and 205(c)(2) of the Social Security Act.

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 title II, XVI, and XVIII

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 Department of Health and Human Services (HHS),

Office of Inspector General, Office of Audit Services, for auditing

benefit payments under Social Security programs;

By the HHS 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 SSA Office of Refugee Resettlement for

administering Cuban refugee assistance payments; and

By the HHS Health Care Financing Administration for

administering Title XVIII claims.

Information in this system is also used 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 in case an applicant

attempting to obtain an SSN might visit other offices and might attempt

to find one which would unwittingly accept fraudulent documentation.

Disclosure may be made for routine uses as indicated below:

1. Employers are notified of the SSNs of employees 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 State welfare agencies, upon written request, of the SSNs of

Aid to Families with Dependent Children applicants or recipients.

3. To the Department of Justice (DOJ), Federal Bureau of

Investigation and United States Attorneys, for investigating and

prosecuting violations of the Social Security Act.

4. To the DOJ, Immigration and Naturalization Service, for the

identification and location of aliens in the United States pursuant to

requests received under section 290(c) of the Immigration and

Nationality Act (8 U.S.C. 1360(c)).

5. To a contractor for the purpose of collating, evaluating,

analyzing, aggregating or otherwise refining records when SSA 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 Acts relating to railroad employment; and

(b) Administering the Railroad Unemployment Insurance Act.

7. To the Department of Energy for its study of the long-term

effects of low-level radiation exposure.

8. To the Department of the Treasury for:

(a) Tax administration as defined in section 6103 of the Internal

Revenue Code (26 U.S.C. 6103); and

(b) Investigating the alleged theft, forgery, or unlawful

negotiation of Social Security checks.

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 of Taiwan for administering the

Social Security Act on Taiwan through facilities and services of that

agency.

12. To the Department of Veterans Affairs (DVA), Philippines

Regional Office, for administering the Social Security Act in the

Philippines through facilities and services of that agency.

13. To the Department of the Interior for administering the Social

Security Act in the Trust Territory of the Pacific Islands through

facilities and services of that agency.

14. To the Department of Labor for:

(a) Administering provisions of the Federal Coal Mine Health and

Safety Act; and

(b) Conducting studies of the effectiveness of training programs to

combat poverty.

15. To DVA for the following purposes:

(a) For the purpose of validating SSNs of compensation recipients/

pensioners in order to provide the release of accurate pension/

compensation data by DVA to SSA 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.

16. To Federal agencies which use the SSN as a numerical identifier

in their recordkeeping systems, for the purpose of validating SSNs.

17. To DOJ, to a court, to another tribunal, or to another party

before such tribunal, when:

(a) 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, the tribunal, or other

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

disclosed.

Wage and other information that is subject to disclosure provisions

of the Internal Revenue Code (IRC) will not be disclosed under this

routine use unless disclosure is expressly permitted by the IRC.

18. To State audit agencies for auditing State supplementation

payments and Medicaid eligibility considerations.

19. Information necessary to adjudicate claims filed under an

international Social Security agreement that the United States has

entered into pursuant to section 233 of the Social Security Act may be

disclosed to a foreign country which is a party to that agreement.

20. To Federal, State, or local agencies (or agents on their

behalf) for the purpose of validating SSNs used in administering cash

or noncash income maintenance programs or health maintenance programs

(including programs under the Social Security Act).

21. To third party contacts when the party to be contacted has, or

is expected to have, information which will verify documents when SSA

is unable to determine if such documents are authentic.

22. Upon request, information on the identity and location of

aliens may be disclosed to the DOJ, Criminal Division, Office of

Special Investigations, for the purpose of detecting, investigating,

and, when appropriate, taking legal action against suspected Nazi war

criminals in the United States.

23. 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).

24. To contractors and other Federal agencies, as necessary, for

the purpose of assisting SSA in the efficient administration of its

programs. We contemplate disclosing information under this routine used

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.

25. Validated SSN information may be disclosed to organizations or

agencies such as prison systems that are required by law to furnish SSA

with SSN information.

26. Nontax return information that is not restricted from

disclosure by Federal law may be disclosed to the General Services

Administration and the National Archives and Records Administration for

the purpose of conducting records management studies with respect to

their duties and responsibilities under 44 U.S.C. 2904 and 2906, as

amended by the National Archives and Records Administration Act of

1984.

27. Disclosure of SSNs and dates of birth may be made to the DVA or

third parties under contract to that agency for the purpose of

conducting DVA medical research and epidemiological studies.

28. SSN information may be disclosed 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), when OPM needs the information in

administering its pension program for retired Federal Civil Service

employees.

29. Upon request by the Department of Education, SSNs which are

provided by students to postsecondary educational institutions may be

verified as required by Title IV of the Higher Education Act of 1965

(20 U.S.C. 1091).

Records in this system are maintained in paper form (e.g., paper

lists, punch cards, Forms SS-5 (Application for an SSN), and systems

generated forms); magnetic media (e.g., magnetic tape and disk with on-

line access); and in microfilm and microfiche form.

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 for automated records have been established in

accordance with the HHS Automated Data Processing Manual, ``Part 6, ADP

Systems Security.'' This includes maintaining the magnetic tapes and

disks 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's 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.

All paper forms are retained for 5 years after they have been

filmed or entered on tape and the accuracy has been verified. They then

are destroyed by shredding. All tape, disks, microfilm, and microfiche

files are updated periodically. Out-of-date magnetic tapes and disks

are erased. Out-of-date microfiches are disposed of by applying heat.

Director, Division of Data Support and Enumeration, Office of Systems

Requirements, Social Security Administration, 6401 Security Boulevard,

Baltimore, MD 21235.

An individual can determine if this system contains a record

pertaining to him/her by providing his/her name, signature, and SSN to

the address shown under ``System Manager'' above. (Furnishing the SSN

is voluntary, but it makes searching for an individual's record easier

and avoids delay.) If the SSN is unknown or no SSN has been assigned

because the evidence presented with the application is being verified

or has been determined to be fraudulent, the individual should provide

name, signature, date and place of birth, sex, mother's birth name, and

father's name, and evidence of identity. These procedures are in

accordance with HHS Regulations 45 CFR part 5b.

Same as notification procedures. Also, requesters should reasonably

specify the record contents which they are seeking. These procedures

are in accordance with HHS Regulations 45 CFR part 5b.

Same as notification procedures above. Also, requesters should

reasonably identify the record, specify the information which they are

contesting, and state 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 HHS Regulations 45 CFR part 5b.

Information in this system is obtained from SSN applicants (or

individuals acting on their behalf). The SSN itself is assigned to the

individual as a result of internal processes of this system.

None.

[FR Doc. 94-17771 Filed 7-20-94; 8:45 am]

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