[Federal Register Volume 65, Number 50 (Tuesday, March 14, 2000)]
[Notices]
[Pages 13803-13814]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-6229]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974, as Amended; New System of Records; New 
Routine Use Disclosures; and Alterations to Existing Systems of Records

AGENCY: Social Security Administration (SSA).

ACTION: New System of Records, Proposed Routine Uses and Alterations to 
Existing Systems of Records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4)) and 
(e)(11)), we are issuing public notice of our intent to:
    (1) Establish a new system of records, the Social Security Title 
VIII Special Veterans Benefits Claims Development and Management 
Information System, and routine uses applicable to this system, and
    (2) Alter two existing systems of records entitled the Claims 
Folders System and the Supplemental Security Income Record.
    The proposed new system of records and the two altered systems of 
records will maintain information collected for use in connection with 
SSA's implementation of title VIII of the Social Security Act (the 
Act), Special Veterans Benefits (SVB). We invite public comment on 
these proposals.

DATES: We filed a report of the proposed new system of records and 
proposed altered systems of records with the President of the Senate, 
the Speaker of the House of Representatives, and the Director, Office 
of Information and Regulatory Affairs, Office of Management and Budget 
on February 18, 2000. We also requested a waiver of the OMB 40-day 
advance notice requirements. If OMB does not grant the waiver we will 
not implement the proposal before March 29, 2000.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the SSA Privacy Officer, Social Security Administration, 3-
F-1 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: Ms. Joan Peddicord (new system of 
records) or Ms. Hazel Brodie (alterations to the existing systems), 
Social Insurance Policy Specialists, Social Security Administration, 
Room 3-C-3 Operations Building, 6401 Security Boulevard, Baltimore, 
Maryland 21235, telephone (410) 966-6491 or (410) 965-1744, 
respectively.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New System of Records, 
the Social Security Title VIII Special Veterans Benefits Claims 
Development and Management Information System and Proposed 
Alterations to Existing Systems of Records, the Claims Folders 
System and the Supplemental Security Income Record

A. General Background

    On December 14, 1999, Public Law 106-169, the Foster Care 
Independence Act of 1999, was enacted into law. Section 251 of this law 
added title VIII to the Act, providing a new benefit program, Special 
Benefits for Certain World War II Veterans. Under this title, veterans 
of the U.S. military and the organized military forces of the 
Philippines (while in the service of the U.S. Armed Forces) during 
World War II, who are age 65 or older on or before December 14, 1999, 
and who are eligible for supplemental security income (SSI) benefits in 
both the month of enactment and the month of application for the 
special benefit, and whose total benefit income is less than the title 
VIII benefit amount are entitled to a title VIII benefit for each month 
the individual resides outside the United States.
    SSA is responsible for the administration of the SVB to eligible 
veterans under title VIII of the Act. In order to administer this 
program SSA must collect and maintain personally identifiable 
information about applicants for title VIII SVB and be able to retrieve 
specific information about each applicant's claim. Thus, SSA's 
maintenance of this information requires it to modify existing systems 
of records and to create a new system of records under the Privacy Act. 
Information about the applicants for SVB will be maintained in a new 
system of records, the Social Security Title VIII Special Veterans 
Benefits Claims Development and Management Information System, and in 
two existing systems of records, the Claims Folders System and the 
Supplemental Security Income Record.

B. Proposed New System of Record, the Social Security Title VIII 
Special Veterans Benefits Claims Development and Management Information 
System

1. Purpose
    All information in this system of records will be maintained under 
the claimant/beneficiary's name and SSN. The system of records will be 
designed to permit electronic entry and retrieval of claims development 
and tracking and management information about title VIII SVB claims. 
This electronic record will

[[Page 13804]]

contain data applicable to the special veterans' eligibility to title 
VIII SVB and facilitate efforts to control and track this workload from 
the initial inquiry and application to further development. The system 
of records will also maintain information about the implementation of 
title VIII to permit allocation of resources, budget projection and 
workload management. The information contained in this system of 
records will be centralized on a website allowing access by the 
regional and field offices to nationally consolidated data.
2. Collection and Maintenance of Data for the Proposed New System of 
Records, the Social Security Title VIII Special Veterans Benefits 
Claims Development and Management Information System
    The information maintained in this system of records will be 
collected from the applicants for title VIII SVB, and other systems of 
records maintained by SSA. The information maintained will include: 
Identifying information such as the applicant's name, Social Security 
number (SSN) and date of birth (DOB); telephone number (if any); 
foreign and domestic addresses; the applicant's sex; and other 
information provided by the applicant relative to his or her 
entitlement for SVB.
    In cases where an applicant's claim for SVB is denied, this system 
of records will include the denial reason and date and information 
relative to the appellate process.
    There will also be a number of data elements in the proposed system 
pertinent to the beneficiary's continued eligibility. These include 
payment, foreign residence information and other elements that will 
help regional and local offices maintain the tracking and management 
information required to administer the title VIII program efficiently.
    If the beneficiary has a representative payee, this system of 
records will include data about the representative payee such as the 
payee's SSN; employer identification number, if applicable; mailing 
address/residence address; DOB; and place of birth.
3. Proposed Routine Use Disclosure of Data Maintained in the Proposed 
New System of Records, the Social Security Title VIII Special Veterans 
Benefits Claims Development and Management Information System
    We are proposing to establish routine uses of information that will 
be maintained in the proposed system as discussed below.
    1. 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:
    (i) He/she is incapable or of questionable mental capability;
    (ii) He/she cannot read or write;
    (iii) He/she cannot afford the cost of obtaining the information;
    (iv) He/she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (v) A language barrier exists; or
    (vi) 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:
    (i) His/her eligibility for benefits under the Social Security 
program;
    (ii) The amount of his/her benefit payment; or
    (iii) Any case in which the evidence is being reviewed as a result 
of suspected abuse or fraud, concern for program integrity, or for 
quality appraisal, or evaluation and measurement activities.
    We will disclose information under this routine use only as 
necessary to enable SSA to obtain information that will assist in 
determining individuals' entitlement to title VIII SVB.
    2. Disclosure 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 or her behalf.
    We will disclose information under this routine use only in 
situations in which an individual may contact the Office of the 
President, seeking that office's assistance in an SSA matter on his or 
her behalf. Information would be disclosed when the Office of the 
President makes an inquiry and presents evidence that the office is 
acting on behalf of the individual whose record is requested.
    3. Disclosure to a congressional office in response to an inquiry 
from that office made at the request of the subject of a record.
    We will disclose information under this routine use only in 
situations in which an individual may ask his her congressional 
representative to intercede in an SSA matter on his or her behalf. 
Information would be disclosed when the congressional representative 
makes an inquiry and presents evidence that he or she is acting on 
behalf of the individual whose record is requested.
    4. To DOJ, a court, or other tribunal (either foreign or domestic), 
or 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 where DOJ (or 
SSA where it is authorized to do so) has agreed to represent the 
employee; or
    (d) The United States or any agency thereof where SSA determines 
that the litigation is likely to affect the operations of SSA or any of 
its components, is a party to the litigation or has an interest in such 
litigation, and SSA determines that the use of such records by DOJ, 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.
    We will disclose information under this routine use only as 
necessary to enable DOJ, a court, or other tribunal, to effectively 
defend SSA, its components or employees in litigation involving the 
proposed system of records.
    5. Information may be disclosed 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.
    Under certain Federal statutes, SSA is authorized to use the 
services of volunteers and participants in certain educational, 
training, employment and community service programs. Examples of such 
statutes and programs are: 5 U.S.C. 3111 regarding student volunteers; 
and 42 U.S.C. 2753 regarding the College Work Study Program.
    We contemplate disclosing information under this routine use only 
when SSA uses the services of these individuals and they need access to 
information in this system to perform their assigned duties.
    6. Disclosure to Federal, State, local, or foreign agencies (or 
agents acting on their behalf) for administrating Social Security 
affairs under the Act, including but not limited to the title VIII SVB.
    We may disclose information under this routine use to Federal, 
State, local or foreign agencies where these agencies may provide 
assistance to SSA in the

[[Page 13805]]

administration of programs under the Social Security Act.
    7. Disclosure to the Department of Veterans Affairs (DVA), 
Philippines Regional Office and its agents, for administering Social 
Security title VIII SVB for applicants residing in the Philippines.
    The DVA, Philippines Regional Office, acts as SSA's agent in 
administering Social Security affairs on the Philippines. We 
contemplate disclosing to that agency as necessary to administer SVB 
benefits for individuals residing in the Philippines.
    8. To the Department of State and its agents for administering the 
Act in foreign countries through services and facilities of that 
agency.
    The Department of State acts as SSA's agent in administering Social 
Security affairs in foreign countries. We contemplate disclosing to the 
Department of State as necessary to administer SVB for individuals 
residing in foreign countries.
    9. To the American Institute of Taiwan and its agents for 
administering the Act in Taiwan through services and facilities of that 
agency.
    The American Institute of Taiwan acts as SSA's agent in 
administering Social Security affairs on Taiwan. We contemplate 
disclosing to the American Institute of Taiwan as necessary to 
administer SVB for individuals residing in Taiwan.
    10. To the Department of Interior and its agents for administering 
the Act in the Northern Mariana Islands through services and facilities 
of that agency.
    The Department of Interior acts as SSA's agent in administering 
Social Security affairs in the Northern Mariana Islands. We contemplate 
disclosing to the Department of Interior as necessary to administer SVB 
for individuals residing in the Northern Mariana Islands.
    11. Disclosure 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 title VIII 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.
    Generally, a representative payee is appointed if SSA determines 
that the beneficiary is not able to manage or direct the management of 
benefit payments in his or her interest. We will disclose information 
from this system to representative payees appointed to title VIII 
beneficiaries only to the extent necessary to administer the program 
and to assist the representative payee in performing their duties.
    12. Disclosure to contractors and other Federal agencies, as 
necessary, for the purpose of assisting SSA in the efficient 
administration of its programs.
    We will disclose information under this routine use only in 
situations in which SSA may enter into a contractual agreement or 
similar agreement with a third party to assist in accomplishing an 
agency function relating to this system of records.
    13. Nontax return information which is not restricted from 
disclosure by federal law may be disclosed to the General Services 
Administration (GSA) and the National Archives and Records 
Administration (NARA) under 44 U.S.C. Sec. 2904 and Sec. 2906, as 
amended by NARA Act of 1984, for the use of those agencies in 
conducting records management studies.
    The Administrator of GSA and the Archivist of NARA are charged by 
44 U.S.C. Sec. 2904 with promulgating standards, procedures and 
guidelines regarding records management and conducting records 
management studies. Section 2906 of that law, also amended by the NARA 
Act of 1984, provides that GSA and NARA are to have access to federal 
agencies' records and that agencies are to cooperate with GSA and NARA. 
In carrying out these responsibilities, it may be necessary for GSA and 
NARA to have access to this proposed system of records. In such 
instances, the routine use will facilitate disclosure.
    14. To third party contacts (including private collection agencies 
under contract with SSA) for the purpose of their assisting SSA in 
recovering overpayments.
    We will disclose information under this routine use only in 
situations in which SSA requires third party assistance to collect 
overpayments material to the title VII SVB program.
4. Compatibility of Proposed Routine Uses
    The Privacy Act (5 U.S.C. 552a(b)(3) and our disclosure regulations 
(20 CFR part 401) permit us to disclose information under a published 
routine use for a purpose which is compatible with the purpose for 
which we collected the information. Section 401.150(c) of the 
regulations permits us to disclose information under a routine use 
where necessary to assist in carrying out SSA programs. Section 401.120 
of the regulations provides that we will disclose information when a 
law specifically requires the disclosure. The proposed routine uses 
numbered 1-14 above will ensure efficient administration of the title 
VIII program; the disclosures that would be made under routine use 
``13'' are required by Federal law. Thus, all of the routine uses are 
appropriate and meet the relevant statutory and regulatory criteria.

C. Proposed Alterations to the Existing Systems of Records, the Claims 
Folders System and the Supplemental Security Income Record

1. Purpose of Proposed Alterations
    The Claims Folders System contains information that constitutes the 
basic record for payments and determinations made for title II 
Retirement, Survivors and Disability Insurance benefits and title XVI 
Supplemental Security Income (SSI) payments under the Social Security 
Act. Data from the Claims Folders System is used to produce and 
maintain various Social Security program benefit systems. The 
Supplemental Security Income Record is one of these specific systems 
and maintains data that are used internally to control and process SSI 
cases. Both systems of records also provide a historical record of 
information concerning the basis for payments and determinations as 
well as related activity on an individual's record. Since the title 
VIII provision is an additional entitlement that will be administered 
by SSA under its benefit programs and is directly related to the 
individual's SSI eligibility, we will maintain information about 
applicants for the title VIII SVB in both of these systems of records.
    Specifically, we are altering the Claims Folders System and the 
Supplemental Security Income Record as follows:
     Expanding the categories of individuals covered by the 
systems of records to reflect that the systems cover applicants for 
Social Security title VIII SVB;
     Expanding the categories of records maintained in the 
systems of records to indicate that records about SVB payments are 
maintained in these systems;
     Expanding the ``Purposes'' of the systems of records to 
indicate that the data in the systems are used to process SVB claims; 
and *
     Making other corresponding changes throughout the Federal 
Register notices of these systems of records relative to our 
implementation of title VIII of the Act.

[[Page 13806]]

2. Collection And Maintenance Of Title VIII Data In The Claims Folders 
System and the Supplemental Security Income Record Systems of Records
    We will collect the additional information that will be maintained 
in these systems of records from applicants for the Social Security 
title VIII SVB and from other government agencies and third party 
sources that maintain information pertinent to the applicant's claim 
for SVB. The information will consist of entitlement and payment 
information.
3. Routine Use Disclosure of Title VIII Information from the Claims 
Folders System and Supplemental Security Income Record Systems of 
Records
    As necessary we will disclose information to other government 
agencies and other third party sources in order to obtain information 
we need to determine eligibility and continuing eligibility for SVB. We 
will make the disclosures under the authority of existing routine uses 
applicable to the Supplemental Security Income Record.

II. Records Storage Medium and Safeguards for the Proposed New 
System, the Social Security Title VIII Special Veterans Benefits 
Claims Development and Management Information System and Proposed 
Alterations to Existing Systems of Records, the Claims Folders 
System and the Supplemental Security Income Record

    We will maintain information about the title VIII SVB in the 
proposed new system of records and the altered systems of records in 
electronic form, computer data systems, and paper form. Only authorized 
SSA personnel who have a need for the information in the performance of 
their official duties will be permitted access to the information. Some 
authorized personnel in the VA Philippines Regional Office and foreign 
service posts will have limited access to the new system to assist SSA 
in administering the title VIII program. Access by authorized foreign 
site personnel will require strict adherence to systems security 
safeguards, access and use of the data and be monitored closely by the 
SSA systems support staff in the San Francisco regional office.
    Security measures include the use of access codes to enter the 
computer systems that will maintain the data, and storage of the 
computerized records in secured areas that are accessible only to 
employees who require the information in performing their official 
duties. Any manually maintained records will be kept in locked cabinets 
or in otherwise secure areas. Also, all entrances and exits to SSA 
buildings and related foreign facilities are patrolled by security 
guards. Contractor personnel having access to data in the proposed and 
altered systems of records will be required to adhere to SSA rules 
concerning safeguards, access and use of the data. SSA and foreign 
personnel having access to the data on these systems will be informed 
of the criminal penalties of the Privacy Act for unauthorized access to 
or disclosure of information maintained in these systems. See 5 U.S.C. 
A7 552a(i)(1).

III. Effect of the Proposed New System of Records, the Social 
Security Title VIII Special Veterans Benefits Claims Development 
and Management Information System and Proposed Alterations to 
Existing Systems of Records, the Claims Folders System and the 
Supplemental Security Income Record

    The proposed new system and altered systems will maintain 
information to determine individuals' entitlement to SVB and their 
continued eligibility. The proposed new system will also maintain 
management information that will facilitate the efficient 
administration of the title VIII program. There are existing security 
standards that protect access to and disclosure of records in the 
existing systems as well as to the proposed new system. Thus, we do not 
anticipate that the proposed system of records and the alterations to 
the two existing systems will have any unwarranted adverse effect on 
individuals.

IV. General Housekeeping Changes to the Federal Notices of the 
Claims Folders System and Supplemental Security Income Systems of 
Records

    We have made a number of editorial and general housekeeping changes 
throughout the notices of these two systems of records to make them 
accurate and up to date.

    Dated: February 18, 2000.
Kenneth S. Apfel,
Commissioner of Social Security.
60-0273

SYSTEM NAME:
    Social Security Title VIII Special Veterans Benefits Claims 
Development and Management Information System, SSA/RO/San Francisco.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
     Social Security Administration, San Francisco Regional Office, 
Center for Infrastructure, Systems Support Staff, Frank Hagel Federal 
Building, 1221 Nevin Ave., Richmond, California 94801.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All applicants and beneficiaries for SVB under title VIII of the 
Social Security Act (Act). Records also contain information on 
applicants whose claims have been denied.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The information maintained in this system of records is collected 
from the applicants for title VIII SVB and other systems of records 
maintained by SSA. The information maintained includes: identifying 
information such as the applicant's name, Social Security number (SSN) 
and date of birth (DOB); telephone number (if any); foreign and 
domestic addresses; the applicant's sex; and other information provided 
by the applicant relative to his or her entitlement for SVB.
    In cases where an applicant's claim for SVB is denied, this system 
of records includes the denial reason and date and information relative 
to the appellate process.
    There are also a number of data elements in the proposed system 
pertinent to the beneficiary's continued eligibility. These include 
payment, foreign residence information and other elements that help 
regional and local offices maintain the tracking and management 
information required to administer the title VIII program efficiently.
    If the beneficiary has a representative payee, this system of 
records includes data about the representative payee such as the 
payee's SSN; employer identification number, if applicable; mailing 
address/residence address; DOB; and place of birth.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title VIII of the Social Security Act, Special Benefits for Certain 
World War II Veterans.

PURPOSE(S):
    All information in this system of records is maintained under the 
claimant/beneficiary's name and SSN. The system of records is designed 
to permit electronic entry and retrieval of claims development and 
tracking and management information about title VIII SVB claims. This 
electronic record contains data applicable to the special veterans' 
eligibility to title VIII SVB and facilitates efforts to control and 
track this workload from the initial inquiry and application to further 
development. The system of records also maintains

[[Page 13807]]

information about the implementation of title VIII to permit allocation 
of resources, budget projection and workload management. The 
information contained in this system of records will be centralized on 
a website allowing access by the regional and field offices to 
nationally consolidated data.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Disclosure may be made for routine uses as indicated below:
    1. To 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:
    (i) He/she is incapable or of questionable mental capability;
    (ii) He/she cannot read or write;
    (iii) He/she cannot afford the cost of obtaining the information;
    (iv) He/she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (v) A language barrier exists; or
    (vi) 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:
    (i) His/her eligibility for benefits under the Social Security 
program;
    (ii) the amount of his/her benefit payment; or
    (iii) any case in which the evidence is being reviewed as a result 
of suspected abuse or fraud, concern for program integrity, or for 
quality appraisal, or evaluation and measurement activities.
    2. To the Office of the President for the purpose of responding to 
an individual pursuant to an inquiry received from that individual or 
from a third party on his or her behalf.
    3. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    4. To DOJ, a court, or other tribunal (either foreign or domestic), 
or 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 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.
    5. 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.
    6. Disclosure to Federal, State, local, or foreign agencies (or 
agents acting on their behalf) for administrating Social Security 
affairs under the Act, including but not limited to the title VIII SVB.
    7. Disclosure to the Department of Veterans Affairs (DVA), 
Philippines Regional Office and its agents, for administering Social 
Security title VIII SVB for applicants residing in the Philippines.
    8. To the Department of State and its agents for administering the 
Act in foreign countries through services and facilities of that 
agency.
    9. To the American Institute of Taiwan and its agents for 
administering the Act in Taiwan through services and facilities of that 
agency.
    10. To the Department of Interior and its agents for administering 
the Act in the Northern Mariana Islands through services and facilities 
of that agency.
    11. 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 title VIII 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.
    12. Disclosure to contractors, as necessary, for the purpose of 
assisting SSA in the efficient administration of its programs.
    13. Nontax return information which 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 NARA Act of 1984.
    14. To third party contacts (including private collection agencies 
under contract with SSA) for the purpose of their assisting SSA in 
recovering overpayments.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    Data are stored in electronic and paper form.

Retrievability:
    Records in this system are indexed and retrieved both numerically 
by SSN and alphabetically by name.

Safeguards:
    This system of records is a data base that is accessible via an SSA 
intranet website. Security measures include the use of access codes to 
enter the data base, and storage of the electronic records in secured 
areas which are accessible only to employees who require the 
information in performing their official duties. The paper records that 
result from the electronic site are kept in locked cabinets or in 
otherwise secure areas. SSA, foreign site and contractor personnel 
having access to data in the system of records are required to adhere 
to SSA rules concerning safeguards, access, and use of the data. They 
also are informed of the criminal penalties of the Privacy Act for 
unauthorized access to or disclosure of information maintained in this 
system of records.

RETENTION AND DISPOSAL:
    Claims development and tracking and management information 
maintained in this system are retained indefinitely or when it is 
determined that they are no longer needed. Means of disposal is 
appropriate to storage medium (e.g., deletion of individual records 
from the electronic site when appropriate or shredding of paper records 
that are produced from the system).

SYSTEM MANAGER(S) AND ADDRESSES:
    Social Security Administration, San Francisco Regional Office, 
Center for Infrastructure, Manager, Systems Support Staff, Frank Hagel 
Federal Building, 1221 Nevin Ave., Richmond, California 94801.

NOTIFICATION PROCEDURE:
    An individual can determine if this system contains a record about 
him/her by writing to the system manager at the above address and 
providing his/her name, address and SSN. An individual requesting 
notification of records in

[[Page 13808]]

person need not provide any special documents of identity. Documents 
he/she would normally carry on his/her person would be sufficient 
(e.g., credit cards, drivers license, or voter registration card.) If 
an individual does not have identification papers sufficient to 
establish his/her identity, that individual must certify in writing 
that he/she is the person claimed to be and that he/she understands 
that the knowing and willful request for or acquisition of a record 
pertaining to an individual under false pretenses is a criminal 
offense.
    If notification is requested by telephone, an individual must 
verify his/her identity by providing identifying information that 
parallels the record to which notification is being requested. If it is 
determined that the identifying information provided by telephone is 
insufficient, the individual will be required to submit a request in 
writing or in person.
    If a request for notification is submitted by mail, an individual 
must include a notarized request to SSA to verify his/her identity or 
must certify in the request that he/she is the person claimed to be and 
that he/she understands that the knowing and willful request for or 
acquisition of a record pertaining to an individual under false 
pretenses is a criminal offense.
    These procedures are in accordance with SSA Regulations 20 CFR 
401.50.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. These procedures are in 
accordance with SSA Regulations 20 CFR Section 401.50.

CONTESTING RECORD PROCEDURES:
    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 SSA Regulations 20 CFR 401.65.

RECORD SOURCE CATEGORIES:
    Data for the system are obtained primarily from individual 
claimants/beneficiaries (or their representative payees if applicable) 
who claim benefits under title VIII. Records in this system may also be 
derived in part from other SSA systems of records (e.g., Claims Folders 
System, (09-60-0089) and the Supplemental Security Income Record, (09-
60-0103)).

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
60-0089

SYSTEM NAME:
    Claims Folders Systems, HHS/SSA/ODP.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    The claims folders initially are established and maintained in 
Social Security field offices when claims for benefits are filed or a 
lead is expected to result in a claim. Telephone and address 
information for Social Security field offices may be found in local 
telephone directories under Social Security Administration (SSA). The 
claims folders are retained in field offices until all development has 
been completed, and then transferred to the appropriate processing 
center as set out below. In addition, the information provided by 
Social Security claimants on the application for benefits is maintained 
as a computerized record. The computerized records are maintained at 
the following address: Social Security Administration, Office of 
Systems Operations, 6401 Security Boulevard, Baltimore, MD 21235.
    Supplemental Security Income (SSI) claims folders are held in 
Social Security field offices pending establishment of a payment 
record, or until the appeal period in a denied claim situation has 
expired. The folders are then transferred to a folder-staging facility 
(FSF) in Wilkes-Barre, Pennsylvania. The address is: Social Security 
Administration, SSI Folder Staging Operations, Wilkes-Barre Data 
Operations Center, P.O. Box 7000, Wilkes-Barre, PA 18703.
    Retirement and Survivors Insurance (RSI) claims folders are 
maintained primarily in the SSA's PSCs (contact the system manager at 
the address below for PSC address information). If the individual to 
whom the claim pertains resides outside the United States or any of its 
possessions, the folder is maintained in the Office of Central 
Operations (OCO) Rolling Heights Building (Megasite). The address for 
the Megasite is: 2255 Rolling Road, Baltimore, MD 21244.
    Disability Insurance (DI) claims folders for individuals under age 
55 are maintained primarily in the OCO Megasite (see the address 
above).
    DI claims folders for disabled individuals over age 54 are 
maintained in SSA's National Records Center (NRC). The address for the 
NRC is: 601 S. 291 Hwy., 6000 E. Geospace Dr., Independence, MO 64056.
    If the individual resides outside the United States or any of its 
possessions, DI claims folders for individuals under age 55 are 
maintained in the OCO Megasite (see the address above).
    Special Veterans Benefits (SVB) claims folders are held in Social 
Security field offices and the Veterans Affairs Regional Office (VARO), 
Philippines pending establishment of a payment record or until the 
appeal period in a denied claim situation has expired. Contact the 
system manager for address information for SVB claims folders 
maintained in the VARO, Philippines.
    In addition, claims folders are transferred to the General Services 
Administration and on occasion may be temporarily transferred to other 
Federal agencies. The DI claims folders also are transferred to State 
agencies for disability and vocational rehabilitation determinations. 
Contact the system manager for address information.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Claimants, applicants, beneficiaries and potential claimants 
benefits and payments administered by the Social Security 
Administration (e.g., title II RSI and DI benefits; and title VIII SVB 
title XVI SSI payments). Folders also are maintained on claims that 
have been denied.
    Categories of records in the system: The claim folder contains the 
name and Social Security number of the claimant or potential claimant; 
the application for benefits; earnings record information established 
and maintained by SSA; documents supporting findings of fact regarding 
factors of entitlement and continuing eligibility; payment 
documentation; correspondence to and from claimants and/or 
representatives; information about representative payees; and leads 
information from third parties such as social service agencies, IRS, VA 
and mental institutions.
    The claim folder also may contain data collected as a result of 
inquiries or complaints, and evaluation and measurement studies of the 
effectiveness of claims policies. Separate files may be maintained of 
certain actions which are entered directly into the computer processes. 
These relate to reports of changes of address, work status, and other 
post-adjudicative reports. Separate files also temporarily may be 
maintained for the purpose of resolving problem cases. Separate 
abstracts also are maintained for statistical purposes (i.e.,

[[Page 13809]]

disallowances, technical denials, and demographic and statistical 
information relating to disability decisions).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, and 1840 
and title VIII of the Social Security Act.

PURPOSE(S):
    Each claim constitutes a basic record for payments and 
determinations under the Social Security Act. The information in the 
claim folder is used to produce and maintain the Master Beneficiary 
Record (60-0090) which is the automated payment system for RSI and DI 
benefits; the Supplemental Security Income Record (09-60-0103) which is 
the automated payment system for SSI payments for the aged, blind, 
disabled and SVB payments under title VIII of the Act; the Black Lung 
Payment System (09-60-0045) which is the payment system for BL claims; 
and the Health Insurance Billing and Collection Master Record system 
(09-70-0522) which is the payment system for HI and Supplementary 
Medical Insurance (Medicare) benefits.
    Claims folders information is used throughout SSA for purposes of 
pursuing claims; determining, organizing and maintaining documents for 
making determinations of eligibility for benefits, the amount of 
benefits, the appropriate payee for benefits; reviewing continuing 
eligibility; holding hearings or administrative review processes; 
ensuring that proper adjustments are made based on events affecting 
entitlement; and answering inquiries.
    Claims folders may be referred to State disability determination 
services agencies or vocational rehabilitation agencies in disability 
cases. They may also be used for quality review, evaluation, and 
measurement studies, and other statistical and research purposes. 
Extracts may be maintained as interviewing tools, activity logs, 
records of claims clearance, and records of type or nature of actions 
taken.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Disclosure may be made for routine uses as indicated below:
    1. To 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:
    (i) He/she is incapable or of questionable mental capability;
    (ii) He/she cannot read or write;
    (iii) He/she cannot afford the cost of obtaining the information;
    (iv) He/she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (v) A language barrier exists; or
    (vi) 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:
    (i) His/her eligibility for benefits under the Social Security 
program;
    (ii) The amount of his/her benefit payment; or
    (iii) Any case in which the evidence is being reviewed as a result 
of suspected abuse or fraud, concern for program integrity, or for 
quality appraisal, or evaluation and measurement activities.
    2. To third party contacts where necessary to establish or verify 
information provided by representative payees or payee applicants.
    3. To a person (or persons) on the rolls when a claim is filed by 
an individual which is adverse to the person on the rolls; i.e.:
    (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.
    4. To employers or former employers for correcting or 
reconstructing earnings records and for Social Security tax purposes 
only.
    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); or
    (b) Investigating alleged theft, forgery, or unlawful negotiation 
of Social Security checks.
    6. To the United States Postal Service for investigating the 
alleged forgery, theft or unlawful negotiation of Social Security 
checks.
    7. To DOJ for:
    (a) Investigating and prosecuting violations of the Act to which 
criminal penalties attach,
    (b) Representing the Secretary, or
    (c) Investigating issues of fraud by agency officers or employees, 
or violation of civil rights.
    8. To the Department of State and its agents for administering the 
Act in foreign countries through facilities and services of that 
agency.
    9. To the American Institute of Taiwan and its agents for 
administering the Act in Taiwan through facilities and services of that 
organization.
    10. To the Department of Veterans Affairs, Philippines Regional 
Office and its agents for administering the Act in the Philippines 
through facilities and services of that agency.
    11. To the Department of Interior and its agents for administering 
the Act in the Northern Mariana Islands through facilities and services 
of that agency.
    12. To RRB for administering provisions of the Act relating to 
railroad employment.
    13. To State Social Security Administrators for administration of 
agreements pursuant to section 218 of the Act.
    14. To State audit agencies for:
    (a) Auditing State supplementation payments and Medicaid 
eligibility considerations; and
    (b) Expenditures of Federal funds by the State in support of the 
DDS.
    15. To private medical and vocational consultants for use in making 
preparation for, or evaluating the results of, consultative medical 
examinations or vocational assessments which they were engaged to 
perform by SSA or a State agency acting in accord with sections 221 or 
1633 of the Act.
    16. To specified business and other community members and Federal, 
State, and local agencies for verification of eligibility for benefits 
under section 1631(e) of the Act.
    17. To institutions or facilities approved for treatment of drug 
addicts or alcoholics as a condition of the individual's eligibility 
for payment under section 1611(e)(3) of the Act and as authorized by 
regulations issued by the Special Action Office for Drug Abuse 
Prevention.
    18. To applicants, 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

[[Page 13810]]

their duties as payees, including receiving and accounting for benefits 
for individuals for whom they serve as payees.
    19. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    20. 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.
    21. 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) RRB for administering provisions of the Railroad Retirement and 
Social Security Acts relating to railroad employment and for 
administering the Railroad Unemployment Insurance Act;
    (b) The VA for administering 38 U.S.C. 412, and upon request, 
information needed to determine eligibility for or amount of VA 
benefits or verifying other information with respect thereto;
    (c) The Department of Labor for administering provisions of Title 
IV of the Federal Coal Mine Health and Safety Act, as amended by the 
Black Lung Benefits Act;
    (d) State welfare departments for administering sections 
205(c)(B)(i)(II) and 402(a)(25) of the Act requiring information about 
assigned SSNs for AFDC program purposes only;
    (e) State agencies for making determinations of Medicaid 
eligibility; and
    (f) State agencies for making determinations of food stamp 
eligibility under the food stamp program.
    22. To State welfare departments:
    (a) Pursuant to agreements with SSA for administration of State 
supplementation payments;
    (b) For enrollment of welfare recipients for medical insurance 
under section 1843 of the Act; and
    (c) For conducting independent quality assurance reviews of SSI 
recipient records, provided that the agreement for Federal 
administration of the supplementation provides for such an independent 
review.
    23. To State vocational rehabilitation agencies or State crippled 
children's service agencies (or other agencies providing services to 
disabled children) for consideration of rehabilitation services per 
sections 222(a) and 1615 of the Act.
    24. 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.
    25. To IRS, Department of the Treasury, for the purpose of auditing 
SSA's compliance with the safeguard provisions of the IRC of 1986, as 
amended.
    26. To the Office of the President for responding to an individual 
pursuant to an inquiry received from that individual or from a third 
party on his or her behalf.
    27. To third party contacts (including private collection agencies 
under contract with SSA) for the purpose of their assisting SSA in 
recovering overpayments.
    28. To DOJ (Immigration and Naturalization), upon request, to 
identify and locate aliens in the United States pursuant to section 
290(b) of the Immigration and Nationality Act (8 U.S.C. 1360(b)).
    29. 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.
    30. Nontax return information which 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 NARA Act of 1984.
    31. 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 is subject to the disclosure 
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under this 
routine use unless disclosure is expressly permitted by the IRC.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records generally are maintained manually in file folders. However, 
some records may be maintained in magnetic media (e.g., on disk and 
microcomputer).

RETRIEVABILITY:
    Claims folders are retrieved both numerically by SSN and 
alphabetically by name.

SAFEGUARDS:
    Paper claims folders are protected through limited access to SSA 
records. Access to the records is limited to those employees who 
require such access in the performance of their official duties. All 
employees are instructed in SSA confidentiality rules as a part of 
their initial orientation training.
    Safeguards for automated records have been established in 
accordance with the Systems Security Handbook. All magnetic tapes and 
disks are within an enclosure attended by security

[[Page 13811]]

guards. Anyone entering or leaving this enclosure must have special 
badges which are issued only to authorized personnel. All microfilm 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.

RETENTION AND DISPOSAL:
      
    The retention period for claims folders are as follows:
A. RSI Claims Folders
    Folders for disallowed life and death claims, withdrawals, and 
lump-sum claims in which potential entitlements exist are transferred 
to the FRC after being so identified and then destroyed 10 years 
thereafter.
    Folders for awarded claims where the last payment has been made and 
there is no future potential claimant indicated in the record are 
transferred to the FRC and then destroyed 5 years thereafter.
B. DI Claims Folders
    Folders for DI denial claims are transferred to the FRC after 
expiration of the reconsideration period and then destroyed 10 years 
thereafter.
    Folders for terminated DI claims are transferred to the FRC after 
being identified as eligible for transfer and then destroyed 10 years 
thereafter.
C. SSI Claims Folders and SVB Folders
    Folders for SSI and SVB death termination claims are destroyed 2 
years after resolution of possible outstanding overpayments or 
underpayments. Folders for other SSI and SVB terminations are 
transferred to the FRC after termination and destroyed after 6 years, 6 
months.
    When a subsequent claim is filed on the SSN the claim folder is 
recalled from the FRC. Similarly, claims folders may be recalled from 
the FRC at any time by SSA, as necessary, in the administration of 
Social Security programs. When this occurs, the folder will be 
temporarily maintained in a Social Security field, regional or central 
office.
    Separate files of actions entered directly into the computer 
processes are shredded or destroyed by heat after 1 to 6 months. Claims 
leads that do not result in a filing of an application are destroyed 6 
months after the inquirer is invited by letter to file a claim.
    All paper claim files are disposed of by shredding or the 
application of heat when the retention periods have expired.
  

SYSTEM MANAGER(S) AND ADDRESS:
    SSA Privacy Officer, Social Security Administration, 6401 Security 
Boulevard, Baltimore MD 21235.

NOTIFICATION PROCEDURE:
     An individual can determine if this system contains a record about 
him/her by contacting any Social Security field office.
    When requesting notification, the individual should provide his/her 
name, SSN, and the type of claim he or she filed (RSI, DI, HI, BL 
special minimum payments, SSI or SVB). If more than one claim is filed, 
each should be identified, whether he/she is or has been receiving 
benefits, whether payments are being received under his or her own SSN, 
and if not, the name and SSN under which received, if benefits have not 
been received, the approximate date and place the claim was filed, and 
his/her address and/or telephone number. (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 SSA Regulations (20 CFR 401.40(c).
    An individual who requests access to a medical record shall, at the 
time he/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. A parent or guardian who requests 
notification of or access to a minor's medical record shall at the time 
he/she makes the request designate a physician or other health 
professional (other than a family member) who will be willing to review 
the record and inform the parent or guardian of its contents. These 
procedures are in accordance with SSA Regulations (20 CFR 401.55).

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the information they are seeking. These procedures are in 
accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).

CONTESTING RECORD PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
identify the record, specify the information they are contesting and 
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 SSA Regulations (20 CFR 401.65).

RECORD SOURCE CATEGORIES:
    Information in this system is obtained from claimants, 
beneficiaries, applicants and recipients; accumulated by SSA from 
reports of employers or self-employed individuals; various local, 
State, and Federal agencies; claimant representatives and other sources 
to support factors of entitlement and continuing eligibility or to 
provide leads information.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
60-0103

System name:
    Supplemental Security Income Record and Special Veterans Benefits, 
SSA/OSR.

Security classification:
    None.

System location:
    Social Security Administration, Office of Telecommunications and 
Systems Operations, 6401 Security Boulevard, Baltimore, MD 21235
    Records also may be located in the Social Security Administration 
(SSA) Regional and field offices (individuals should consult their 
local telephone directories for address information).

Categories of individuals covered by the system:
    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 ineligible persons associated with an SSI recipient. This 
file also covers those individuals who have applied for and who are 
entitled to the Special Veterans Benefits (SVB) under title VIII

[[Page 13812]]

of the Social Security Act. (This file does not cover applicants who do 
not have a Social Security number (SSN).)

Categories of records in the system:
    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; SSN 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.
    This file also contains information about applicants for SVB. The 
information maintained in this system of records is collected from the 
applicants for title VIII SVB, and other systems of records maintained 
by SSA. The information maintained includes a data element indicating 
this is a title VIII SVB claim. It will also include: identifying 
information such as the applicant's name, Social Security number (SSN) 
and date of birth (DOB); telephone number (if any); foreign and 
domestic addresses; the applicant's sex; income data, payment amounts 
(including overpayment amounts); and other information provided by the 
applicant relative to his or her entitlement for SVB.
    If the beneficiary has a representative payee, this system of 
records includes data about the representative payee such as the 
payee's SSN; employer identification number, if applicable; and mailing 
address.

Authority for maintenance of the system:
    Sections 1602, 1611, 1612, 1613, 1614, 1615, 1616, 1631, 1633, 1634 
of title XVI and title VIII of the Social Security Act (the Act).

Purpose(s):
    SSI records begin in Social Security field offices where an 
individual or couple files an application for SSI payments. SVB records 
begin in Social Security field offices and Veterans Affairs Regional 
Office (VARO) where an individual files an application for SVB 
payments. The SSI and SVB applications contain data which may be used 
to prove the identity of the applicant, to determine his/her 
eligibility for SSI or SVB payments and, in cases where eligibility is 
determined, to compute the amount of the payment. Information from the 
application, in addition to data used internally to control and process 
SSI and SVB cases, is used to create the Supplemental Security Income 
Record (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.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Disclosure may be made for routine uses as indicated below:
    (1) To the Department of the Treasury to prepare SSI, Energy 
Assistance, and SVB checks to be sent to claimants or beneficiaries.
    (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; Railroad 
Retirement Board; State Pension Funds; State Welfare Offices; State 
Worker's Compensation; Department of Defense; United States Coast 
Guard; and Department of Veterans Affairs.
    (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 the appropriate State 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, 42 U.S.C. 1382d.
    (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 agencies 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 agencies 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 
SSA 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 
investigation 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 and SVB checks.
    (17) To the Department of the Treasury for investigating the 
alleged theft, forgery or unlawful negotiation of SSI and SVB 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 non-cash 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 Department of Veterans Affairs (DVA) upon request for 
determining eligibility for, or amount of, DVA benefits or verifying 
other information with respect thereto in accordance with 38 U.S.C. 
5106;

[[Page 13813]]

    (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;
    (e) State agencies to administer energy assistance to low income 
groups under programs for which the States are responsible; and
    (f) Department of State and its agents to assist SSA in 
administering the Social Security Act in foreign countries, the 
American Institute on Taiwan and its agents to assist in administering 
the Social Security Act in Taiwan, the VA, Philippines Regional Office 
and its agents to assist in administering the Social Security Act in 
the Philippines, and the Department of Interior and its agents to 
assist in administering the Social Security Act in the Northern Mariana 
Islands.
    (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 (IRC) 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, where necessary, taking legal action against suspected Nazi war 
criminals in the United States.
    (23) To third party contacts such as private collection agencies 
and credit reporting agencies under contract with SSA and State motor 
vehicle agencies 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) Non-tax return information which is not restricted from 
disclosure by Federal law may be disclosed to General Services 
Administration and 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 NARA Act of 1984.
    (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 compatible with the purpose for which the records were 
collected.
    Wage and other information which are subject to the disclosure 
provisions of the 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 (e.g., employers and private pension 
plans) 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:
    (i) he/she is incapable or of questionable mental capability;
    (ii) he/she cannot read or write;
    (iii) he/she cannot afford the cost of obtaining the information;
    (iv) he/she has a hearing impairment, and is contacting SSA by 
telephone through a telecommunications relay system operator;
    (v) a language barrier exists; or
    (vi) 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:
    (i) His/her eligibility for benefits under the Social Security 
program;
    (ii) The amount of his/her benefit payment; or
    (iii) 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 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 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.
    (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, if information is 
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 erroneous DMF information.
    (34) Information as to whether an individual is alive or deceased 
may be disclosed pursuant to section 1106(d) of the Social Security Act 
(42 U.S.C. 1306(d)), upon request, for purposes of

[[Page 13814]]

an epidemiological or similar research project, provided that:
    (a) SSA determines in consultation with the Department of Health 
and Human Services, that the research may reasonably be expected to 
contribute to a national health interest; and
    (b) The requester agrees to reimburse SSA for the costs of 
providing the information; and
    (c) The requester agrees to comply with any safeguards and 
limitations specified by SSA regarding rerelease or redisclosure of the 
information.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in magnetic media (e.g., magnetic tape) and 
in microform and microfiche form.

RETRIEVABILITY:
    Records are indexed and retrieved by SSN.

SAFEGUARDS:
    System security for automated records has been established in 
accordance with the Systems Security Handbook. This includes 
maintaining all magnetic tapes and magnetic disks 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.

RETENTION AND DISPOSAL:
    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 
PA accounting requirements, for at least 5 years or the life of the 
record, whichever is longer.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Supplemental Security Income Systems, Office 
of Systems Requirements, Social Security Administration, 6401 Security 
Boulevard, Baltimore, Maryland 21235.

NOTIFICATION PROCEDURE:
    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.) Applicants for SVB who reside in the 
Philippines should contact VARO, Philippines. (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 SSA Regulations (20 CFR 401.40(c)).

RECORD ACCESS PROCEDURES:
    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 at the representative's discretion. 
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 SSA Regulations (20 
CFR 401.40(c) and 401.55).

CONTESTING RECORD PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
identify the record, specify the information they are contesting and 
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 SSA Regulations (20 CFR 401.65).

RECORD SOURCE CATEGORIES:
    Data contained in the SSR are obtained for the most part from the 
applicant for SSI and SVB payments and are derived from the Claims 
Folders System (60-0089) and the Modernized Supplemental Security 
Income Claims System. The States and other Federal agencies such as the 
Department of Veterans Affairs also provide data affecting the SSR.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. 00-6229 Filed 3-13-00; 8:45 am]
BILLING CODE 4190-29-U