Privacy Act of 1974 Report of New Routine Use

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Social Security Administration

Privacy Act of 1974 Report of New Routine Use

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

Human Services (HHS).

ACTION: New Routine Use.

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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 establish a new routine use

of information maintained in the systems of records entitled ``Master

Files of Social Security Number Holders, HHS/SSA/OSR, 09-60-0058,''

``Master Beneficiary Record, HHS/SSA/OSR, 09-60-0090,'' and

``Supplemental Security Income Record, HHS/SSA/OSR, 09-60-0103.''

The proposed routine use will permit SSA to disclose to the public

corrected data concerning the life status of individuals previously

incorrectly identified as deceased on one or more of the systems of

record cited above and made available to the public with information

extracted from these systems through SSA's Death Master File (DMF).

This is consistent with the requirements of the Privacy Act (5 U.S.C.

552a) to maintain all records with accuracy, relevance, timeliness, and

completeness (5 U.S.C. 552a(e)(5)), and to establish safeguards to

insure the integrity of records against substantial harm,

embarrassment, inconvenience, or unfairness that might result to any

individual on whom information is maintained (5 U.S.C. 552a(e)(10)).

We invite public comments on this publication.

DATES: The proposed routine use will become effective as proposed

without further notice on January 23, 1995, unless we receive comments

on or before that date which would warrant our preventing the routine

use from taking effect.

ADDRESSES: Interested individuals may comment on this proposal by

writing to the SSA Privacy Officer, Social Security Administration, 3-

A-6 Operations Building, 6401 Security Boulevard, Baltimore, Maryland

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

the above address.

FOR FURTHER INFORMATION CONTACT: Mr. John Kattler, Social Insurance

Specialist, 3-D-1 Operations Building, Standards and Compliance Branch,

Office of Disclosure Policy, 6401 Security Boulevard, Baltimore,

Maryland 21235, telephone 410-965-1738.

SUPPLEMENTARY INFORMATION:

I. Discussion of the Proposed Routine Use

SSA discloses information on deceased individuals in various SSA

systems of records from a consolidated ``Death Master File'' (DMF),

created to provide a means of servicing requests made under the Freedom

of Information Act (5 U.S.C. 552) for a list of all deceased

individuals in SSA records. The records of deceased individuals are

[[Page 2145]] not protected from disclosure by the Privacy Act (20 CFR

401.350). The DMF contains the following information on each decedent,

if the data are available to SSA:

Social Security Number

Last Name

First Name

Date of Death

Date of Birth

State/County Code of Residence

Zip Code--Last Residence

Zip Code--Lump Sum Payment

Occasionally, living individuals are erroneously included in the

DMF (e.g., due to inaccurate death reports or inaccurate data input).

DMF customers are warned that not all of the information is verified

and SSA does not guarantee the accuracy of the DMF. Nonetheless, living

individuals have complained to SSA that they were erroneously reported

as deceased to DMF customers, such as insurance companies, financial

institutions and credit agencies. This has resulted in insurance

termination, denial of credit, embarrassment, inconvenience and other

harm, both tangible and intangible to the individuals involved. The

proposed routine use would allow SSA to routinely issue timely notices

of correction to DMF customers if and when SSA corrects its own

records. Such notices would not be dependent upon or require the

consent of affected individuals.

II. Compatibility of the Proposed Routine Use

We are proposing this routine use in accordance with the Privacy

Act (5 U.S.C. 552a(b)(3)) and our disclosure regulation (20 CFR part

401). We disclose information for routine uses where necessary to carry

out SSA's programs. Inherent in this is the responsibility of

maintaining the records for SSA's programs with accuracy, relevance,

and timeliness and to ensure against harm and embarrassment to

individuals resulting from any inaccuracies in SSA's records as

required by 5 U.S.C. 552a(e) (5) and (10). We believe this

responsibility for accuracy outweighs any concern that the correction

of a record that was disclosed because it was incorrectly believed that

the individual was deceased might constitute an improper disclosure

concerning a living individual. The greater potential harm to the

individual would result if the initial error were allowed to continue.

III. Effect of the Proposed Routine Use on Individuals

We will disclose information under the proposed routine use only to

recipients of the DMF to correct erroneous inclusion of individuals in

the DMF. The intention is to expedite notification of DMF corrections

and to minimize any harm to affected individuals that might result from

action of DMF recipients that is based on erroneous inclusion in the

DMF (e.g., termination of insurance, denial of credit). We do not

believe that the routine use will have any unwarranted effects on the

rights or privacy interests of individuals.

IV. Minor Revisions to the System of Records

We are also correcting a few self-evident errors for purposes of

accuracy.

Dated: December 6, 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 an 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 Act.

Information in this system is used by 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 HHS, Office of Inspector General, Office of Audit

Services, for auditing benefit payments under Social Security programs;

By the HHS OCSE 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 HCFA 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.

[[Page 2146]]

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 FICA

and section 218 of the Act.

2. To State welfare agencies, upon written request, of the SSNs of

AFDC applicants or recipients.

3. To the DOJ, Federal Bureau of Investigation and United States

Attorneys, for investigating and prosecuting violations of the 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 PA

safeguards with respect to such records.)

6. To RRB 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 IRC (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 Act in foreign

countries through facilities and services of that agency.

11. To the American Institute of Taiwan for administering the Act

on Taiwan through facilities and services of that agency.

12. To VA, Philippines Regional Office, for administering the Act

in the Philippines through facilities and services of that agency.

13. To the Department of the Interior for administering the 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 Black Lung Benefits 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 VA to SSA for Social Security program purposes;

and

(b) Upon request, for purposes of determining eligibility for or

amount of VA 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 the 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

collected.

Wage and other information that is subject to disclosure provisions

of the 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. 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 Act.

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 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 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.

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 GSA and NARA 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 NARA Act of 1984.

27. Disclosure of SSNs and dates of birth may be made to VA 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 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).

30. To student volunteers and other workers, who technically do not

have the status of Federal employees, when they are performing work for

SSA as authorized by law, and they need access [[Page 2147]] to

personally identifiable information in SSA records in order to perform

their assigned Agency functions.

31. 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 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.

32. Corrections to information that resulted in erroneous inclusion

of individuals in the Death Master File (DMF) may be disclosed to

recipients of erroneous DMF information.

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 disc 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 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 CO and

FO 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, 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 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.

09-60-0090

Master Beneficiary Record (MBR), HHS/SSA/OSR.

None.

Social Security Administration, Office of System Operations, 6401

Security Boulevard, Baltimore, MD 21235.

All Social Security beneficiaries who are or were entitled to

receive Retirement and Survivors Insurance (RSI), or Disability

Insurance (DI) benefits, including individuals who have received a RSI

or DI payment since November 1978 even if their payment is not part of

an ongoing award of benefits; individuals (nonclaimants) on whose

earnings records former spouses apply for RSI or DI benefits; persons

who are only enrolled in the Hospital and/or Supplementary Medical

Insurance (SMI) programs; and claimants whose benefits have been denied

or disallowed.

The system also contains short references to records for persons

entitled to Supplemental Security Income payments, Black Lung benefits

or Railroad Retirement Board (RRB) benefits.

The MBR contains information about each claimant who has applied

for RSI or DI benefits, or to be enrolled in the Hospital or SMI

programs; a record of the amount of Federal tax withheld on benefits

paid to nonresident aliens; and the aggregate amount of benefit

payments, repayments and reductions with respect to an individual in a

calendar year. A record is maintained under each individual's Social

Security Number (SSN). However, if the individual has filed on another

person's SSN, only a short ``pointer'' record is maintained. Personal

and general data about the claim is maintained under the SSN of that

claim. Data about the claimant can be accessed using the

[[Page 2148]] claimant's SSN or the SSN on which benefits have been

awarded or claimed (claim account number (CAN)).

There are three types of data in each CAN:

Account data. This includes the primary insurance amount, insured

status of the SSN-holder (if no monthly benefits are payable), data

relating to the computation (use of military service credits, railroad

retirement credits, or coverage credits earned under the social

security system of a foreign country when the claim is based on a

totalization agreement), and, if only survivor's benefits have been

paid, identifying data about the SSN holder (full name, date of birth,

date of death and verification of date of death).

Payment data. This includes the payee's name and address, data

about a financial institution (if benefits are sent directly to the

institution for deposit), the monthly payment amount, the amount and

date of a one-time payment of past due benefits, and, where

appropriate, a scheduled future payment. Payment data can refer to one

beneficiary or several beneficiaries in a combined payment.

Beneficiary data. This includes personal information (name, date of

birth, sex, date of filing, relationship to the SSN holder, other

SSN's, benefit amount and payment status), and, if applicable,

information about a representative payee, data about disability

entitlement, worker's compensation offset data, estimates and report of

earnings, or student entitlement information.

Sections 202-205, 223, 226, 228, 1818, 1836, and 1840 of the Social

Security Act (the Act).

Data in this system are used by a broad range of Social Security

employees for responding to inquiries, generating followups on

beneficiary reporting events, computer exception processing,

statistical studies, conversion of benefits, and generating records for

the Department of the Treasury to pay the correct benefit amount.

Data in this system also are available to the Department of Health

and Human Services' (HHS') Office of Inspector General for use in the

performance of the duties of that office.

Disclosure may be made for routine uses as indicated below:

1. To applicants or claimants, prospective applicants or claimants

(other than the data subject), their authorized representatives or

representative payees to the extent necessary to pursue Social Security

claims and to representative payees, when the information pertains to

individuals for whom they serve as representative payees, for the

purpose of assisting SSA in administering its representative payment

responsibilities under the Act and assisting the representative payees

in performing their duties as payees, including receiving and

accounting for benefits for individuals for whom they serve as payees.

2. To third party contacts in situations where the party to be

contacted has, or is expected to have, information relating to the

individual's capability to manage his/her affairs or his/her

eligibility for, or entitlement to, benefits under the Social Security

program when:

(a) The individual is unable to provide information being sought.

An individual is considered to be unable to provide certain types of

information when:

(1) He/she is incapable or of questionable mental capability;

(2) He/she cannot read or write;

(3) He/she cannot afford the cost of obtaining the information;

(4) He/she has a hearing impairment, and is contacting SSA by

telephone through a telecommunications relay system operator;

(5) A language barrier exists; or

(6) The custodian of the information will not, as a matter of

policy, provide it to the individual; or

(b) The data are needed to establish the validity of evidence or to

verify the accuracy of information presented by the individual, and it

concerns one or more of the following:

(1) His/her eligibility for benefits under the Social Security

program;

(2) The amount of his/her benefit payment; or

(3) Any case in which the evidence is being reviewed as a result of

suspected fraud, concern for program integrity, quality appraisal, or

evaluation and measurement activities.

3. To third party contacts where necessary to establish or verify

information provided by representative payees or payee applicants.

4. To a person (or persons) on the rolls when a claim is filed by

another individual which is adverse to the person on the rolls:

(a) An award of benefits to a new claimant precludes an award to a

prior claimant; or

(b) An award of benefits to a new claimant will reduce the benefit

payments to the individual(s) on the rolls; but only for information

concerning the facts relevant to the interests of each party in a

claim.

5. To the Department of the Treasury for:

(a) Collecting Social Security taxes or as otherwise pertinent to

tax and benefit payment provisions of the Act (including SSN

verification services);

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

negotiation of Social Security checks;

(c) Determining the Federal tax liability on Social Security

benefits pursuant to 26 U.S.C. 6050F. The information disclosed will

consist of the following:

(1) The aggregate amount of Social Security benefits paid with

respect to any individual during any calendar year;

(2) The aggregate amount of Social Security benefits repaid by such

individual during such calendar year;

(3) The aggregate reductions under section 224 of the Act in

benefits which would otherwise have been paid to such individual during

the calendar year on account of amounts received under a worker's

compensation act; and

(4) The name and address of such individual; and

(d) Depositing the tax withheld on benefits paid to nonresident

aliens in the Treasury (Social Security Trust Funds) pursuant to 26

U.S.C. 871.

6. To the United States Postal Service for investigating the

alleged theft or forgery of Social Security checks.

7. To the Department of Justice (DOJ) for:

(a) Investigating and prosecuting violations of the Act to which

criminal penalties attach;

(b) Representing the Secretary of HHS; and

(c) Investigating issues of fraud by agency officers or employees,

or violation of civil rights.

8. To the Department of State for administering the Act in foreign

countries through services and facilities of that agency.

9. To the American Institute of Taiwan for administering the Act in

Taiwan through services and facilities of that agency.

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

Regional Office, for administering the Act in the Philippines through

the services and facilities of that agency.

11. To the Department of Interior for administering the Act in the

Trust Territory of the Pacific Islands through services and facilities

of that agency.

12. Information necessary to adjudicate claims filed under an

[[Page 2149]] international Social Security agreement that the United

States has entered into pursuant to section 233 of the Act may be

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

13. 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.

14. To the Department of Education for determining eligibility of

applicants for basic educational opportunity grants.

15. To the Bureau of the Census when it performs as a collecting

agent or data processor for research and statistical purposes directly

relating to this system of records.

16. To the Department of the Treasury, Office of Tax Analysis, for

studying the effects of income taxes and taxes on earnings.

17. To the Office of Personnel Management for the study of the

relationship of civil service annuities to minimum Social Security

benefits, and the effects on the Social Security Trust Fund.

18. To State Social Security Administrators for administering

agreements pursuant to section 218 of the Act.

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

effects of low-level radiation exposure.

20. To contractors under contract to the Social Security

Administration (SSA) (or under contract to another agency with funds

provided by SSA) for the performance of research and statistical

activities directly relating to this system of records.

21. To a congressional office in response to an inquiry from that

office made at the request of the subject of a record.

22. To the Department of Labor for conducting statistical studies

of the relationship of private pensions and Social Security benefits to

prior earnings.

23. In response to legal process or interrogatories relating to the

enforcement of an individual's child support or alimony obligations, as

required by sections 459 and 461 of the Act.

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

behalf) for administering income maintenance or health maintenance

programs (including programs under the Act). Such disclosures include,

but are not limited to, release of information to:

(a) RRB for administering provisions of the Railroad Retirement Act

relating to railroad employment; for administering the Railroad

Unemployment Insurance Act and for administering provisions of the

Social Security Act relating to railroad employment;

(b) DVA for administering 38 U.S.C. 412, and upon request, for

determining eligibility for, or amount of, veterans benefits or

verifying other information with respect thereto;

(c) State welfare departments for administering sections

205(c)(2)(B)(i)(II) and 402(a)(25) of the Act requiring information

about assigned SSN's for Aid to Families with Dependent Children (AFDC)

program purposes and for determining a recipient's eligibility under

the AFDC program; and

(d) State agencies for administering the Medicaid program.

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

aliens may be disclosed to 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.

26. To third party contacts (including private collection agencies

under contract with SSA) for the purpose of their assisting SSA in

recovering overpayments.

27. Information may be disclosed 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 the 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.

28. Nontax return information which 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.

29. Information may be disclosed to the Federal Reserve Bank of New

York for the purpose of making direct deposit/electronic funds transfer

of Social Security benefits to foreign-resident beneficiaries.

30. To DOJ, a court or other tribunal, or another party before such

tribunal when:

(a) SSA, 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 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.

Wage and other information which are subject to the disclosure

provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will not

be disclosed under this routine use unless disclosure is expressly

permitted by the IRC.

31. To the Rehabilitation Services Administration (RSA) for use in

its program studies of, and development of enhancements for, State

vocational rehabilitation programs. These are programs to which

applicants or beneficiaries under titles II and or XVI of the Act may

be referred. Data released to RSA will not include any personally

identifying information (such as names or SSNs).

32. Addresses of beneficiaries who are obligated on loans held by

the Secretary of Education or a loan made in accordance with 20 U.S.C.

1071, et seq. (the Robert T. Stafford Student Loan Program) may be

disclosed to the Department of Education as authorized by section 489A

of the Higher Education Act of 1965.

33. To student volunteers and other workers, who technically do not

have the status of Federal employees, when they are performing work for

SSA as authorized by law, and they need access to personally

identifiable information in SSA records in order to perform their

assigned Agency functions.

34. 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 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.

35. Corrections to information that resulted in erroneous inclusion

of individuals in the Death Master File (DMF) may be disclosed to

recipients of the erroneous DMF information. [[Page 2150]]

Records are stored in magnetic media (e.g., magnetic tape and

magnetic disc) and in microform and paper form.

Records in this system are indexed and retrieved by SSN.

Safeguards for automated records have been established in

accordance with the HHS Information Resources Management Manual, ``Part

6, Automated Information Systems Security Program Handbook.'' All

magnetic tapes and discs are within an enclosure attended by security

guards. Anyone entering or leaving this enclosure must have special

badges which are issued only to authorized personnel. All microform and

paper files are accessible only by authorized personnel and are locked

after working hours.

For computerized records, electronically transmitted between SSA's

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.

Primary data storage is on magnetic disc. A new version of the disk

file is generated each month based on changes to the beneficiary's

record (adjustment in benefit amount, termination, or new

entitlements). The prior version is written to tape and retained for 90

days in SSA's main data processing facility and is then sent to a

secured storage facility for indefinite retention.

Selected records also are retained on magnetic disc for on-line

query purposes. The query files are updated monthly and retained

indefinitely. Microform records are disposed of by shredding or the

application of heat after periodic replacement of a complete file.

Paper records are usually destroyed after use, by shredding, except

where needed for documentation of the claims folder. (See the notice

for the Claims Folders System (09-60-0089) for retention periods and

method of disposal for these records).

Director, Office of Claims and Payment Requirements, Office of

System Requirements, Social Security Administration, 6401 Security

Boulevard, Baltimore, MD 21235.

An individual can determine if this system contains a record about

him/her by contacting the most convenient Social Security field office

and providing his/her name, Social Security claim number (SSN plus

alphabetic symbols), address, and proper identification. (Furnishing

the SSN is voluntary, but it will make searching for an individual's

record easier and prevent delay.)

An individual requesting notification of records in person need not

furnish any special documents of identity. Documents he/she would

normally carry on his/her person would be sufficient (e.g., credit

cards, driver's license, or voter registration card). An individual

requesting notification via mail or telephone must furnish a minimum of

his/her name, date of birth and address in order to establish identity,

plus any additional information specified in this section.

These procedures are in accordance with HHS Regulations 45 CFR part

5b.

Same as notification procedures. Requesters should also reasonably

specify the record contents being sought. These procedures are in

accordance with HHS Regulations 45 CFR part 5b.

Same as notification procedures. Requesters should also reasonably

identify the record, specify the information they are contesting and

state the corrective action sought and the reasons for the correction

with supporting justification showing how the record is untimely,

incomplete, inaccurate or irrelevant. These procedures are in

accordance with HHS Regulations 45 CFR part 5b.

Data for the MBR come primarily from the Claims Folders System (09-

60-0089) and/or are furnished by the claimant/beneficiary at the time

of filing for benefits, via the application form and necessary proofs,

and during the period of entitlement when notices of events such as

changes of address, work, marriage, are given to SSA by the

beneficiary; and from States regarding HI third party premium payment/

buy-in cases.

None.

Supplemental Security Income Record, HHS/SSA/OSR.

None.

Social Security Administration, Office of Systems Operations, 6401

Security Boulevard, Baltimore, MD 21235.

Records also may be located in Social Security Administration (SSA)

Regional and field offices (individuals should consult their local

telephone directories for address information).

This file contains a record for each individual who has applied for

supplemental security income (SSI) payments, including individuals who

have requested an advance payment; SSI recipients who have been

overpaid; and each essential person associated with an SSI recipient.

This file contains data regarding SSI eligibility; citizenship;

residence; Medicaid eligibility; eligibility for other benefits;

alcoholism or drug addiction data, if applicable (disclosure of this

information may be restricted by 21 U.S.C. 1175 and 42 U.S.C. 290dd-3

and ee-3); income data; resources; payment amounts, including

overpayment amounts and date and amount of advance payments; living

arrangements; case folder location data; appellate decisions, if

applicable; Social Security numbers (SSN's) used to identify a

particular individual, if applicable; information about representative

payees, if applicable; and a history of changes to any of the persons

who have applied for SSI payments. For eligible individuals, the file

contains basic identifying information, income and resources (if any)

and, in conversion cases, the State welfare number.

Sections 1602, 1611, 1612, 1613, 1614, 1615, 1616, 1631, 1633, and

1634 of title XVI of the Social Security Act (the Act).

SSI records begin in Social Security field offices where an

individual or couple files an application for SSI payments. The

application contains data which may be used to prove the identity of

the applicant, to determine his/her eligibility for SSI payments and,

in cases where eligibility is determined, to compute the amount of the

payment. Information from the application, in [[Page 2151]] addition to

data used internally to control and process SSI cases, is used to

create the SSR. The SSR also is used as a means of providing a

historical record of all activity on a particular individual's or

couple's record.

In addition, statistical data are derived from the SSR for

actuarial and management information purposes.

Disclosure may be made for routine uses as indicated below:

1. To the Department of the Treasury to prepare SSI and Energy

Assistance checks.

2. To the States to establish the minimum income level for

computation of State supplements.

3. To the following Federal and State agencies to prepare

information for verification of benefit eligibility under section

1631(e) of the Act: Bureau of Indian Affairs; Office of Personnel

Management; Department of Agriculture; Department of Labor; Immigration

and Naturalization Service; Internal Revenue Service (IRS); Railroad

Retirement Board (RRB); State Pension Funds; State Welfare Offices;

State Worker's Compensation; Department of Defense; United States Coast

Guard; and the Department of Veterans Affairs (DVA).

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 State crippled children's agencies (or other agencies

providing services to disabled children) to identify title XVI

eligibles under the age of 16 for the consideration of rehabilitation

services in accordance with section 1615 of the Act.

6. To contractors under contract to SSA or under contract to

another agency with funds provided by SSA for the performance of

research and statistical activities directly relating to this system of

records.

7. To State audit agencies for auditing State supplementation

payments and Medicaid eligibility consideration.

8. To State agencies to effect and report the fact of Medicaid

eligibility of title XVI recipients in the jurisdiction of those States

which have elected Federal determinations of Medicaid eligibility of

title XVI eligibles and to assist the States in administering the

Medicaid program.

9. To State agencies to identify title XVI eligibles in the

jurisdiction of those States which have not elected Federal

determinations of Medicaid eligibility in order to assist those States

in establishing and maintaining Medicaid rolls and in administering the

Medicaid program.

10. To State agencies to enable those which have elected Federal

administration of their supplementation programs to monitor changes in

applicant/recipient income, special needs, and circumstances.

11. To State agencies to enable those which have elected to

administer their own supplementation programs to identify SSI eligibles

in order to determine the amount of their monthly supplementary

payments.

12. To State agencies to enable them to assist in the effective and

efficient administration of the SSI program.

13. To State agencies to enable those which have an agreement with

the Secretary of Health and Human Services (HHS) to carry out their

functions with respect to Interim Assistance Reimbursement pursuant to

section 1631(g) of the Act.

14. To State agencies to enable them to locate potentially eligible

individuals and to make eligibility determinations for extensions of

social services under the provisions of title XX of the Act.

15. To State agencies to assist them in determining initial and

continuing eligibility in their income maintenance programs and for

investigating and prosecution of conduct subject to criminal sanctions

under these programs.

16. To the United States Postal Service for investigating the

alleged theft, forgery or unlawful negotiation of SSI checks.

17. To the Department of the Treasury for investigating the alleged

theft, forgery or unlawful negotiation of SSI checks.

18. To the Department of Education for determining the eligibility

of applicants for Basic Educational Opportunity Grants.

19. To Federal, State or local agencies (or agents on their behalf)

for administering cash or noncash income maintenance or health

maintenance programs (including programs under the Act). Such

disclosures include, but are not limited to, release of information to:

(a) The DVA upon request for determining eligibility for, or amount

of, VA benefits or verifying other information with respect thereto;

(b) The RRB for administering the Railroad Unemployment Insurance

Act;

(c) State agencies to determine eligibility for Medicaid;

(d) State agencies to locate potentially eligible individuals and

to make determinations of eligibility for the food stamp program; and

(e) State agencies to administer energy assistance to low income

groups under programs for which the States are responsible.

20. To IRS, Department of the Treasury, as necessary, for the

purpose of auditing SSA's compliance with safeguard provisions of the

Internal Revenue Code of 1986, as amended.

21. To the Office of the President for the purpose of responding to

an individual pursuant to an inquiry received from that individual or a

third party on his/her behalf.

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 third party contacts (including private collection agencies

under contract with SSA) for the purpose of their assisting SSA in

recovering overpayments.

24. Information may be disclosed to contractors and other Federal

agencies, as necessary, for the purpose of assisting SSA in the

efficient administration of its programs. We contemplate disclosing

information under this routine use only in situations in which SSA may

enter a contractual or similar agreement with a third party to assist

in accomplishing an agency function relating to this system of records.

25. Nontax return information which 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.

26. To the DOJ, a court or other tribunal, or another party before

such tribunal when:

(a) SSA, 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, is relevant and necessary to the litigation, provided,

however, that in each case, SSA determines that such disclosure is

[[Page 2152]] compatible with the purpose for which the records were

collected.

Wage and other information which are subject to the disclosure

provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will not

be disclosed under this routine use unless disclosure is expressly

permitted by the IRC.

27. To representative payees, when the information pertains to

individuals for whom they serve as representative payees, for the

purpose of assisting SSA in administering its representative payment

responsibilities under the Act and assisting the representative payees

in performing their duties as payees, including receiving and

accounting for benefits for individuals for whom they serve as payees.

28. To third party contacts in situations where the party to be

contacted has, or is expected to have, information relating to the

individual's capability to manage his/her affairs or his/her

eligibility for, or entitlement to, benefits under the Social Security

program when:

(a) The individual is unable to provide information being sought.

An individual is considered to be unable to provide certain types of

information when:

(1) He/she is incapable or of questionable mental capability;

(2) He/she cannot read or write;

(3) He/she cannot afford the cost of obtaining the information;

(4) He/she has a hearing impairment, and is contacting SSA by

telephone through a telecommunications relay system operator;

(5) A language barrier exists; or

(6) The custodian of the information will not, as a matter of

policy, provide it to the individual; or

(b) The data are needed to establish the validity of evidence or to

verify the accuracy of information presented by the individual, and it

concerns one or more of the following:

(1) His/her eligibility for benefits under the Social Security

program;

(2) The amount of his/her benefit payment; or

(3) Any case in which the evidence is being reviewed as a result of

suspected fraud, concern for program integrity, quality appraisal, or

evaluation and measurement activities.

29. To the Rehabilitation Services Administration (RSA) for use in

its program studies of, and development of enhancements for, State

vocational rehabilitation programs. These are programs to which

applicants or beneficiaries under titles II and or XVI of the Act may

be referred. Data released to RSA will not include any personally

identifying information (such as names or SSNs).

30. Addresses of beneficiaries who are obligated on loans held by

the Secretary of Education or a loan made in accordance with 20 USC

1071, et seq. (the Robert T. Stafford Student Loan Program) may be

disclosed to the Department of Education as authorized by section 489A

of the Higher Education Act of 1965.

31. To student volunteers and other workers, who technically do not

have the status of Federal employees, when they are performing work for

SSA as authorized by law, and they need access to personally

identifiable information in SSA records in order to perform their

assigned Agency functions.

32. 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 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.

33. Corrections to information that resulted in erroneous inclusion

of individuals in the Death Master File (DMF) may be disclosed to

recipients of the erroneous DMF information.

Records are maintained in magnetic media (e.g., magnetic tape) and

in microform and microfiche form.

Records are indexed and retrieved by SSN.

System security for automated records has been established in

accordance with the HHS Information Resources Management Manual, Part

6, Automated Information System Security Program Handbook. This

includes maintaining all magnetic tapes and magnetic discs within an

enclosure attended by security guards. Anyone entering or leaving that

enclosure must have special badges which are only issued to authorized

personnel. All authorized personnel having access to the magnetic

records are subject to the penalties of the Privacy Act. The microfiche

are stored in locked cabinets, and are accessible to employees only on

a need-to-know basis. All SSR State Data Exchange records are protected

in accordance with agreements between SSA and the respective States

regarding confidentiality, use, and redisclosure.

Original input transaction tapes received which contain initial

claims and posteligibility actions are retained indefinitely although

these are processed as received and incorporated into processing tapes

which are updated to the master SSR tape file on a monthly basis. All

magnetic tapes appropriate to SSI information furnished to specified

Federal, State, and local agencies for verification of eligibility for

benefits and under section 1631(e) are retained, in accordance with the

Privacy Act accounting requirements, for at least 5 years or the life

of the record, whichever is longer.

Director, Office of Claims and Payment Requirements, Office of

Systems Requirements, Social Security Administration, 6401 Security

Boulevard, Baltimore, MD 21235.

An individual can determine if this system contains a record about

him/her by writing to or visiting any Social Security field office and

providing his or her name and SSN. (Individuals should consult their

local telephone directories for Social Security office address and

telephone information.) (Furnishing the SSN is voluntary, but it will

make searching for an individual's record easier and prevent delay.)

An individual requesting notification of records in person need not

furnish any special documents of identity. Documents he/she would

normally carry on his/her person would be sufficient (e.g., credit

cards, driver's license, or voter registration card). An individual

requesting notification via mail or telephone must furnish a minimum of

his/her name, date of birth and address in order to establish identity,

plus any additional information specified in this section.

These procedures are in accordance with HHS regulations 45 CFR part

5b.

Same as notification procedures. Requesters should also reasonably

specify the record contents being sought. An individual who requests

notification of, or access to, a medical record shall, at the time he

or she makes the request, designate in writing a responsible

representative who will be willing to review the record and inform the

subject individual of its contents. [[Page 2153]]

A parent or guardian who requests notification of, or access to, a

minor's medical record shall at the time he or she makes the request

designate a physician or other health professional (other than a family

member) who will be willing to review the record and inform the parent

or guardian of its contents at the physician's or health professional's

discretion. These procedures are in accordance with HHS regulations 45

CFR part 5b.

Same as notification procedures. Requesters should also reasonably

identify the record, specify the information they are contesting and

state the corrective action sought and the reasons for the correction

with supporting justification showing how the record is incomplete,

untimely, inaccurate or irrelevant. These procedures are in accordance

with HHS regulations 45 CFR part 5b.

Data contained in the SSR are obtained for the most part from the

applicant for SSI payments and are derived from the Claims Folders

System (09-60-0089). The States also provide data affecting the SSR

(State Data Exchange Files).

None.

[FR Doc. 95-333 Filed 1-5-95; 8:45 am]

BILLING CODE 4190-29-P