[Federal Register Volume 59, Number 139 (Thursday, July 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-17771]


[[Page Unknown]]

[Federal Register: July 21, 1994]


-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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]
BILLING CODE 4190-29-P