[Federal Register Volume 68, Number 62 (Tuesday, April 1, 2003)]
[Notices]
[Pages 15784-15789]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-7755]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974; Alteration to an Existing System of Records

AGENCY: Social Security Administration (SSA).

ACTION: Notice of alteration to an existing Privacy Act system of 
records.

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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4)) we 
are issuing public notice of our intent to alter an existing system of 
records, the Claims Folders System, 60-0089, by expanding the 
categories of records mentioned in the System. We discuss this proposed 
change in the SUPPLEMENTARY INFORMATION section below.
    We invite public comments on these proposals.

DATES: We filed a report of the proposed alteration with the Chairwoman 
of the Senate Committee on Governmental Affairs, the Chairman of the 
House Government Reform Committee, and the Director, Office of 
Information and Regulatory Affairs, Office of Management and Budget 
(OMB) on March 25, 2003. The proposed alteration will become effective 
on May 8, 2003, unless we receive comments on or before that date that 
would warrant our not implementing the proposed alteration.

ADDRESSES: Interested individuals may comment on this publication by 
writing to the Executive Director, Office of Public Disclosure, Office 
of the General Counsel, Social Security Administration, 3-A-6 
Operations Building, 6401 Security Boulevard, Baltimore, Maryland 
21235-6401. All comments received will be available for public 
inspection at the above address.

FOR FURTHER INFORMATION CONTACT: Ms. Linda Thibodeaux, Social Insurance 
Specialist, Social Security Administration, Room 3-C-2 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, 
telephone (410) 965-9821, e-mail: [email protected].

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed Alteration to Existing 
Privacy Act System of Records, the Claims Folders System, 60-0089

A. General Background

    The Social Security Administration (SSA) plans to conduct several 
pilot projects designed to test and gather information on the use of 
photographic identification to address the issue of complicit 
impersonation in the disability and blindness claims process. The part 
of the disability and blindness determination process used by SSA to 
supplement existing medical evidence from treatment sources when there 
is not enough information to make a disability or blindness 
determination or decision is the consultative examination (CE). 
Complicit impersonation is accomplished when an individual posing as 
the intended claimant, and with the consent of the claimant, responds 
to a CE appointment in order to misrepresent the claimant's true 
medical condition or provides false or misleading information that 
affects eligibility during interviews with SSA field office employees.
    SSA is promulgating temporary regulations that will provide the 
authority for us to require individuals filing for title II or title 
XVI disability and blindness benefits in the pilot sites to have their 
photograph taken. Once these regulations are promulgated, failure to 
comply with the pilot requirements will result in denial of benefits.
    The claimant identification pilot projects will be in effect for a 
six-month period of time that will begin 30 days after final rules 
providing regulatory authority for the pilots are published in the 
Federal Register. The pilot sites include all SSA field offices in the 
States of South Carolina and Kansas; the Augusta, Georgia SSA field 
office; and nine SSA field offices located in New York City: Uptown 
(Manhattan); East Bronx (Bronx); Parkway (Bronx); West Farms (Bronx); 
Bushwick (Brooklyn); East New York (Brooklyn); Avenue X (Brooklyn); 
Flatbush (Brooklyn) and Flushing (Queens).

[[Page 15785]]

B. Pilot Methodology

    Individuals filing for title II and title XVI disability and 
blindness benefits at a Social Security office in the pilot sites will 
be required to participate in the claimant identification pilots. In 
addition, individuals filing via the Internet or by telephone and who 
are later required to undergo CEs will be included in the pilots. Each 
individual will be asked to provide some form of photographic 
identification. This identification will be photocopied and the copy 
will be made part of his/her SSA claims folder. If the individual does 
not have photographic identification available or does not wish to 
provide it, SSA personnel will not require it but will follow 
identification procedures already in place.
    Next, as part of the claimant identification pilots, individuals 
will be required to have a photograph taken by SSA personnel, 
regardless of whether the individual provides photographic 
identification for photocopying. (An exception to the photograph 
requirement will be permitted when an individual has a sincere 
religious objection.) A copy will be made of the image and placed in 
the individual's SSA claims folder. Images also will be stored 
electronically and accessed by authorized SSA and Disability 
Determination Service (DDS) personnel. If DDS personnel request a CE 
for the individual, a hard copy image of the photograph will be made 
available to the person conducting the CE. This will help to determine 
whether the individual appearing for the CE is the same individual who 
presented himself or herself as the individual filing for disability 
benefits. When the CE physician has not been provided with a photograph 
or a copy of a photographic identification previously made by SSA 
personnel, e.g., the claim was filed via the Internet or by telephone, 
the CE physician will copy the individual's photographic identification 
and place it in the claims folder.
    Additionally, this same requirement will be used to verify the 
identity of pilot participants during the duration of the pilots if 
they are required to appear for subsequent interviews including 
Continuing Disability Reviews, SSI Redeterminations, and appeals 
associated with a denial of a claim including any CEs associated with 
those appeals.

II. Impact of the Collection, Maintenance and Use of Pilot Data on SSA 
Privacy Act System of Records: The Claims Folders System

    The Claims Folders System contains information that constitutes the 
basic record for payments and determinations made for program benefits 
under the Social Security Act. Included in claim folder records is 
identifying information about claimants for Social Security benefits.
    We are proposing to revise the description of the categories of 
records maintained in the Claims Folders System. In connection with the 
claimant identification pilot projects SSA is conducting, records 
specifically collected for the pilot projects will be maintained in the 
claims folders of those individuals who file for title II or title XVI 
disability and blindness benefits for the duration of the pilot. The 
records include: photocopies of identification documents, photographs 
taken by field office personnel or a report of contact or other 
documentation explaining why an individual refused to allow SSA to take 
their photograph, flag on the folder indicating the case is part of the 
pilot, and the evaluation forms developed for the pilot.

III. Effect of the Proposed Alteration on the Rights of Individuals

    SSA's implementation of the claimant identification pilots will 
result in the collection and maintenance of information to test the use 
of photograph identification to address the issue of complicit 
impersonation in the disability and blindness claims process. SSA will 
maintain photocopies of identification documents and photographs. We 
will afford individuals suspected of fraudulent activities all due 
process and other rights to which they are entitled. There is potential 
for an adverse effect on those individuals who refuse to be 
photographed for reasons other than a sincere religious objection. 
Failure to comply with the mandatory requirements of the pilot will 
result in denial of benefits.

    Dated: March 25, 2003.
Jo Anne B. Barnhart,
Commissioner.
60-0089

System name:
    Claims Folders System, Social Security Administration, Office of 
the General Counsel, Office of Public Disclosure.

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). This 
information can also be found on the Agency's Web site, Social Security 
Online. 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, 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, PO 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 age 55 and over 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 to whom the claim pertains resides outside the 
United States or any of its possessions, DI claims folders for 
individuals are maintained in the OCO Megasite (see the address above).
    Special Veterans Benefits (SVB) claims folders are held in Social

[[Page 15786]]

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. The VA data file associated with 
SVB claims is located in SSA's San Francisco Regional Office. The 
address is: Center for Infrastructure, Systems Support Staff, Frank 
Hagel Federal Building, 1221 Nevin Avenue, Richmond, California 94801.
    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 for 
benefits and payments administered by the Social Security 
Administration (e.g., title II RSI and DI benefits; and title VIII SVB 
and title XVI SSI payments). Folders also are maintained on claims that 
have been denied.

Categories of records in the system:
    The claims 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. There is also 
a VA data file associated with SVB claims. This data includes potential 
beneficiaries for title VIII SVB and will be used to help determine 
individuals' eligibility.
    The claims 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., 
disallowances, technical denials, and demographic and statistical 
information relating to disability decisions).
    In addition, the claims folder may contain information collected in 
connection with SSA's Claimant Identification Pilot Projects. This 
information includes: photocopies of identification documents, 
photographs taken by field office personnel or a report of contact or 
other documentation explaining why an individual refused to allow SSA 
to take their photograph, flag on the folder indicating the case is 
part of the pilot, and the evaluation forms developed for the pilot.

Authority for maintenance of the system:
    Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, and 1840 
(42 U.S.C. Sections 402-405, 423, 426, 428, 1382, 1383, 1395i-2, 1395o 
and 1395s 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 
claims 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 (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 (60-0045), which is the payment system for BL claims; 
and the Health Insurance Billing and Collection Master Record system 
(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. 
However, disclosure of any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) 
will not be disclosed unless authorized by a statute, the Internal 
Revenue Service (IRS), or IRS regulations.
    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

[[Page 15787]]

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 the Department of Justice (DOJ) for:
    (a) Investigating and prosecuting violations of the Act to which 
criminal penalties attach,
    (b) Representing the Commissioner, 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 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 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) 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. Non-tax return information which is not restricted from 
disclosure by Federal law may be disclosed to the General Services 
Administration (GSA)

[[Page 15788]]

and the National Archive 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.
    31. To the Department of Justice (DOJ), a court or other tribunal, 
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, a 
court or other tribunal, or another 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.
    Disclosure of any information defined as ``return or return 
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC) 
will not be disclosed unless authorized by a statute, the Internal 
Revenue Service (IRS), or IRS regulations.
    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 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 periods 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:
    Executive Director, Office of Public Disclosure, Office of the 
General Counsel, Social Security Administration, 6401 Security 
Boulevard, Baltimore, MD 21235.

Notification procedure:
    When requesting notification, the individual should provide 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 can determine if this system contains a record about 
him/her by writing to the systems manager(s) at the above address and 
providing his/her name, SSN or other information that may be in the 
system of records that will

[[Page 15789]]

identify him/her. An individual requesting notification of records in 
person should provide the same information, as well as provide an 
identity document, preferably with a photograph, such as a driver's 
license or some other means of identification. If an individual does 
not have any identification documents sufficient to establish his/her 
identity, the 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 another 
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 an individual is requesting information by 
telephone on behalf of another individual, the subject individual must 
be connected with SSA and the requesting individual in the same phone 
call. SSA will establish the subject individual's identity (his/her 
name, SSN, address, date of birth and place of birth along with one 
other piece of information such as mother's maiden name) and ask for 
his/her consent in providing information to the requesting individual.
    If a request for notification is submitted by mail, an individual 
must include a notarized statement 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 another individual under false 
pretenses is a criminal offense. These procedures are in accordance 
with SSA Regulations (20 CFR 401.40).
    An individual who requests access to his or her medical records 
shall be given direct access to those records unless SSA determines 
that it is likely that direct access would adversely affect the 
individual. If SSA determines that direct access to the medical 
record(s) would likely adversely affect the individual, he or she must 
designate a responsible representative who is capable of explaining the 
contents of the medical record(s) to him or her and who would be 
willing to provide the entire record(s) to the individual. These 
procedures are in accordance with SSA Regulations (20 CFR 401.55).
    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 is capable of explaining the contents of the medical 
record(s) to him or her and who would be willing to provide the entire 
record(s) to the individual. 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 Privacy Act:
    None.

[FR Doc. 03-7755 Filed 3-31-03; 8:45 am]
BILLING CODE 4191-02-P