[Federal Register Volume 60, Number 48 (Monday, March 13, 1995)]
[Notices]
[Pages 13442-13445]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-6104]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Privacy Act of 1974; Report of New Routine Use

AGENCY: Social Security Administration (SSA), Department of Health and 
Human Services (HHS).

ACTION: Amended routine use.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and 
(11)), we are issuing public notice of our intent to amend a routine 
use applicable to SSA's system of records entitled ``Master Files of 
Social Security Number (SSN) Holders and SSN Applications, HHS/SSA/OSR, 
09-60-0058.'' The proposed routine use would provide for disclosure 
from the system of records to the Department of the Treasury, United 
States Secret Service (USSS), for purposes of investigating crimes 
(within the jurisdiction of the USSS) involving violations of the 
Social Security Act. The disclosure under the relevant routine use is 
currently limited to the Department of Justice (the Federal Bureau of 
Investigation and United States Attorneys Offices).
    We invite public comment on this publication.

DATES: We have filed a report of a new routine use with the Chairman, 
Committee on Government Reform and Oversight of the House of 
Representatives, the Chairman, Committee on Governmental Affairs of the 
Senate, and the Administrator, Office of Information and Regulatory 
Affairs, Office of Management and Budget on March 3, 1995. The routine 
use will become effective, as proposed, without further notice April 
14, 1995, unless we receive comments on or before that date that would 
result in a contrary determination.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 
Room 3-A-6 Operations Building, 6401 Security Boulevard, Baltimore, 
Maryland 21235. All comments received will be available for public 
inspection at that address.

FOR FURTHER INFORMATION CONTACT: Mr. John Kattler, Social Insurance 
Specialist, Standards and Compliance Branch, Office of Disclosure 
Policy, Social Security Administration, 3-D-1 Operations Building, 6401 
Security Boulevard, Baltimore, Maryland 21235, telephone 410-965-1738.

SUPPLEMENTARY INFORMATION:

I. Discussion of the Proposed Routine Use

 A. Background

    We propose to add a routine use to the system of records entitled 
``Master Files of Social Security Number (SSN) Holders and SSN 
Applications, HHS/SSA/OSR, 09-60-0058.'' The proposed routine use is 
necessary for the USSS to carry out its responsibilities to investigate 
various crimes involving violations of the Social Security Act.

 B. Disclosures to Law Enforcement and Security Agencies

    SSA discloses information from this system of records to certain 
entities that use the information for a purpose that is compatible with 
the purpose for which SSA collects it. One such category of disclosures 
is to the Department of Justice (the Federal Bureau of Investigation 
(FBI) and United States Attorneys Offices) for purposes of 
investigating or prosecuting violations of the Social Security Act. 
Disclosures are most often made from the system to investigate or 
prosecute those violations of section 208 of the Social Security Act 
(42 U.S.C. 408) involving criminal misuse of the SSN.
    SSA proposes to alter the system by amending an existing routine 
use to authorize disclosure of SSN information to the USSS for use in 
investigating crimes involving violations of the Social Security Act. 
We are doing this because the investigative jurisdiction of the USSS 
includes various offenses which often involve violations of the Social 
Security Act. These offenses include fraud associated with electronic 
fund transfers; crimes involving financial institutions; the 
counterfeiting or fraudulent use of identification documents; the 
fraudulent use of ``access devices'' such as credit and debit cards; 
and certain crimes involving computer fraud (18 U.S.C. 1029, 1030, 
3056; Pub.L. 101-509, Title [[Page 13443]] V, section 528, November 5, 
1990, 104 S. 1427). In many such cases, violators utilize SSNs which 
are not their own to obtain credit or apply for goods or services. 
Because the misuse of the SSN is an integral part of the criminal 
activities investigated by the USSS, that agency is in a position to 
pursue the investigation of violations and to recommend prosecution 
under 42 U.S.C. 408. Without information from SSA, USSS cannot pursue 
the issue of SSN misuse when it arises during the course of an 
investigation.
    In circumstances involving investigations under the jurisdiction of 
the USSS, SSA proposes to provide the same SSN information to the USSS 
that it now provides to the FBI and United States Attorneys Offices 
when those entities are investigating violations of the Social Security 
Act.

 II. Compatibility of the Proposed Routine Use

    We are proposing the changes discussed above in accordance with the 
Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), and (e)(11)) and our 
disclosure regulations (20 CFR part 401).
    The Privacy Act permits us to disclose information about 
individuals without their consent for a routine use, i.e., where the 
information will be used for a purpose that is compatible with the 
purpose for which we collected the information. The disclosures that 
will be made under the proposed routine use will facilitate the 
investigation and prosecution of violations of the Social Security Act 
which may potentially interfere with effective use of the relevant 
system of records, thereby adversely affecting Social Security programs 
dependent upon these records. The disclosures contemplated under this 
routine use therefore are compatible with the purpose of the accurate 
and effective administration of Social Security programs, for which the 
records were collected, and meet the compatibility requirement for 
routine uses under the Privacy Act.

III. Effect of the Proposed Routine Use on Individuals

    As with previous disclosures for similar purposes under the 
existing routine use, SSA will follow all statutory and regulatory 
requirements for disclosure. Therefore, we do not anticipate that the 
proposed disclosures will have any unwarranted effect on the privacy or 
other rights of individuals.

IV. Other Changes

    We are also making some minor corrections for purposes of accuracy.

    Dated: March 3, 1995.
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 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 Compensation Act and section 218 of the Act.
    2. To State welfare agencies, upon written request, of the SSNs of 
Aid to [[Page 13444]] Families with Dependent Children applicants or 
recipients.
    3. To the Department of Justice (DOJ), Federal Bureau of 
Investigation and United States Attorneys Offices, and to the 
Department of the Treasury, United States Secret Service, for 
investigating and prosecuting violations of the Social Security Act.
    4. To the 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 (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 the Department of Veterans Affairs (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 VA 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 the General Services 
Administration and the National Archives and Records Administration 
(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 VA 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).
    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 to personally 
identifiable information in SSA records in order to perform their 
assigned Agency functions. [[Page 13445]] 
    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 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, 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 and address'' 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. 95-6104 Filed 3-10-95; 8:45 am]
BILLING CODE 4190-29