[Federal Register Volume 68, Number 245 (Monday, December 22, 2003)]
[Notices]
[Pages 71210-71217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-31432]


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SOCIAL SECURITY ADMINISTRATION


Privacy Act of 1974, as Amended; New System of Records and New 
Routine Use Disclosures

AGENCY: Social Security Administration (SSA).

ACTION: Proposed new system of records and proposed routine uses.

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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 establish a new 
system of records entitled Electronic Disability Claim File, 60-0320, 
hereinafter referred to as the eDib Claim File, and routine uses 
applicable to the system of records. We also are issuing notice that we 
may disclose personally identifiable information from the eDib Claim 
File to consumer reporting agencies in accordance with 5 U.S.C. 
552a(b)(12) and 31 U.S.C. 3711(e). We invite public comment on this 
proposal.

DATES: We filed a report of the proposed eDib Claim File and the 
applicable routine uses with the Chairwoman of the Senate Committee on 
Governmental Affairs, the Chairman of the House Committee on Government 
Reform, and the Director, Office of Information and Regulatory Affairs, 
Office of Management and Budget (OMB) on December 16, 2003. The 
proposed eDib Claim File system of records and the proposed routine 
uses will become effective on January 25, 2004, unless we receive 
comments warranting that they not be effective.

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, Room 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. Christine W. Johnson, Strategic 
Issues Team, Office of Public Disclosure, Office of the General 
Counsel, Social Security Administration, Room 3-C-1 Operations 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, e-
mail address at [email protected], or by telephone at (410) 965-
8563.

SUPPLEMENTARY INFORMATION:

I. Background and Purpose of the Proposed New eDib Claim File System of 
Records

A. General Background

    The Agency currently receives the application and supporting claims 
information via a number of means (i.e., field offices, teleclaims, and 
Internet application) and converts submitted information into paper-
based records. SSA and the State Disability Determination Services 
(DDS) receive, review and transfer the paper folders between offices 
responsible for developing and adjudicating the claim. Claims 
representatives, disability examiners, quality assurance reviewers, 
hearing clerks, judges, etc., work through the paper file while 
reviewing the evidence. More paper is added at each review stage. After 
the Agency reaches a decision on a person's entitlement to benefits, 
the folder is mailed to a component responsible for storing and 
retrieving folders for subsequent actions. In the paper process, SSA 
incurs significant costs from maintaining, handling, moving, housing 
and reconstructing paper files. This paper bound process includes 
initial adjudication, the administrative appeals process and continuing 
eligibility to benefits.
    The proposed eDib Claim File will allow the electronic collection, 
transfer, access and processing of disability claims information in a 
more efficient and less costly manner through improved hardware/
software systems and automated programs such as:
    [sbull] Internet applications that allow the collection of 
disability claims medical information from the public via the Internet;
    [sbull] Electronic disability collect system (EDCS) that allows SSA 
field personnel to electronically collect information and transfer data 
to the electronic folder;
    [sbull] Electronic folder infrastructure and document management 
architecture (DMA) that stores electronic versions of all information 
previously housed in the paper folder (e.g., data, images, work 
documents, hearing recordings, etc.) and shares those items 
electronically among all components in the disability process;
    [sbull] Automated case processing and management system that builds 
upon existing products and projects within the Office of Hearings and 
Appeals including interface with the electronic folder; and
    [sbull] Systems migration from current Disability Determination 
Services case processing systems to technology that is better able to 
handle eDib activities.
    To this end, the eDib Claim File will encompass all disability 
cases from the initial intake process through the administrative 
appeals process and include the continuing disability review process. 
All materials from the disability folder will be created, maintained 
and stored electronically and case processing systems throughout SSA 
and the state DDSs will interface with the eDib Claim File to support 
the paperless process.
    Because SSA will maintain and retrieve information from the 
proposed eDib Claim File using Social Security numbers (SSN) and/or 
names, the proposed eDib Claim File will constitute a ``system of 
records'' under the Privacy Act.

B. Collection and Maintenance of Data in the eDib Claim File System of 
Records

    The eDib Claim File will include identifying information about 
claimants, applicants, beneficiaries and potential claimants for 
disability benefits and payments administered by the Social Security 
Administration. See the ``Categories of Records'' section of the

[[Page 71211]]

notice below for a full description of the data that will be maintained 
in the system of records.

II. Proposed Routine Use Disclosures of Data Maintained in the Proposed 
eDib Claim File System of Records

A. Proposed Routine Use Disclosures

    We are proposing to establish the following routine use disclosures 
of information that will be maintained in the proposed new eDib Claim 
File system of records:
    1. 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 a matter relating to the 
eDib Claim File. Information will be disclosed when the Office of the 
President makes an inquiry and indicates that it is acting on behalf of 
the individual whose record is requested.
    2. 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 or her congressional 
representative to intercede in a matter relating to the eDib Claim 
File. Information will be disclosed when the congressional 
representative makes an inquiry and indicates that he or she is acting 
on behalf of the individual whose record is requested.
    3. 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 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.
    We will disclose information under this routine use only as 
necessary to enable DOJ to effectively defend SSA, its components or 
employees in litigation involving the proposed system of records or 
when the United States is a party to litigation and SSA has an interest 
in the litigation.
    4. 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 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 or management of benefits under 
the Social Security program.
    5. To third party contacts, where necessary, to establish or verify 
information provided by representative payees or payee applicants.
    We will disclose information under this routine use only as 
necessary to assist SSA in the administration of the Representative 
Payee program provisions of section 205(j) and 1631(a) of the Social 
Security Act (Act).
    6. 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 interest of each party in a claim.
    We will disclose information under this routine use to a person(s) 
on the rolls only in situations involving the subsequent filing of a 
claim that negatively affects the benefit status of the person already 
on the rolls.
    7. To employers or former employers for correcting or 
reconstructing earnings records and for Social Security tax purposes 
only.
    We will disclose information under this routine use only for the 
purpose of assisting in the correction and reconstruction of earning 
records for Social Security tax purposes only.
    8. To the Department of 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.
    We will disclose information under this routine use only for the 
purpose of assisting the Department of Treasury in the collection of 
Social Security taxes and for investigating the unlawful receipt and/or 
negotiation of Social Security checks.
    9. To the United States Postal Services for investigating the 
alleged forgery, theft or unlawful negotiation of Social Security 
checks.
    We will disclose information under this routine use only to the 
extent necessary to assist SSA in the investigation of unlawful receipt 
and negotiation of Social Security checks.
    10. Information may be disclosed to 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.
    We will disclose information under this routine use, only as 
necessary, to enable DOJ to represent SSA in matters concerning 
violations of the Act, to represent the Commissioner of Social

[[Page 71212]]

Security and to investigate issues of fraud by SSA officers or 
employees or violation of civil rights.
    11. To the Department of State and its agents for administering the 
Act in foreign countries through facilities and services 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 the Social Security 
program for individuals residing in foreign countries.
    12. To the American Institute of Taiwan and its agents for 
administering the Act in Taiwan through facilities and services of that 
organization.
    The American Institute of Taiwan acts as SSA's agent in 
administering Social Security affairs in Taiwan. We contemplate 
disclosing to the American Institute of Taiwan, as necessary, to 
administer the Social Security program for individuals residing in 
Taiwan.
    13. 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.
    The Department of Veterans Affairs, Philippines Regional Office, 
acts as SSA's agent in administering Social Security affairs in the 
Philippines. We contemplate disclosing to that agency as necessary to 
administer benefits for individuals residing in the Philippines.
    14. To the Department of Interior and its agents for administering 
the Act in the Northern Mariana Islands through facilities and services 
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 
the Social Security program for individuals residing in the Northern 
Mariana Islands.
    15. To State Social Security Administrators for administration of 
agreements pursuant to section 218 of the Act.
    We will disclose information under this routine use only for the 
purpose of administering agreements pursuant to section 218 of the Act.
    16. 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.
    We will disclose information under this routine use only for the 
purpose of evaluating the results of consultative medical examinations 
or vocational assessments to assist SSA in the development of 
disability determinations pursuant to sections 221 or 1633 of the Act.
    17. 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.
    We will disclose information under this routine use only for the 
purpose of assisting SSA in the verification of information necessary 
for the effective and efficient administration of SSA programs pursuant 
to section 1631(e) of the Act.
    18. 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.
    We will disclose information under this routine use only for the 
purpose of verifying eligibility for payment as authorized by section 
1611(e)(3) of the Act and regulations issued by the Special Action 
Office for Drug Abuse Prevention.
    19. 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.
    We will disclose information under this routine use, only to the 
extent necessary, to pursue Social Security claims and assist SSA in 
administration of the representative payee program.
    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 460 of the Act.
    We will disclose information under this routine use only in 
accordance with the child support and alimony obligations set out in 
sections 459 and 460 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) The Railroad Retirement Board 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; United 
States
    (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 agencies for making determinations of Medicaid 
eligibility; and
    (e) State agencies for making determinations of food stamp 
eligibility under the food stamp program;
    (f) To State audit agencies for auditing State supplementation 
payments and Medicaid eligibility considerations; and expenditures of 
Federal funds by the State in support of the DDSs;
    (g) To State welfare departments pursuant to agreements with SSA 
for administration of State supplementation payments; for enrollment of 
welfare recipients for medical insurance under section 1843 of the Act; 
and 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; and
    (h) 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 and 1615 of the Act.
    We will disclose information under this routine use only for the 
purpose of supporting other government agencies that administer 
programs which have the same compatible purposes as SSA programs, e.g., 
eligibility, benefit amounts, or other matters of benefit status in a 
social security program and is relevant to determining the same matters 
in the other program.
    22. 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.

[[Page 71213]]

    We will disclose information under this routine use where 
information from SSA's records is needed by a foreign Social Security 
agency to implement a provision of an agreement other than adjudicating 
a claim for benefits.
    23. To the Internal Revenue Service (IRS), Department of the 
Treasury, for the purpose of auditing SSA's compliance with the 
safeguard provisions of the Internal Revenue Code (IRC) of 1986, as 
amended.
    This proposed routine use would allow the IRS to audit SSA's 
maintenance of earnings and wage information in the eDib Claim File to 
ensure that SSA complies with the safeguard requirements of the IRC.
    24. 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 Social Security program.
    25. To the Department of Homeland Security (Bureau of Citizenship 
and Immigration Services (BCIS)), 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)).
    We will disclose information under this routine use only for the 
purpose of identifying and locating illegal aliens pursuant to section 
290(b) of the Immigration and Nationality Act (8 U.S.C. 1360(b)).
    26. 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.
    SSA occasionally contracts out certain of its functions when this 
would contribute to effective and efficient operations. SSA must be 
able to give a contractor whatever information the Agency can legally 
provide in order for the contractor to fulfill its duties. In these 
situations, safeguards are provided in the contract prohibiting the 
contractor from using or disclosing the information for any purpose 
other than that described in the contract.
    27. 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.
    Under this routine use we will disclose address only information to 
the Secretary of Education for the purpose of locating beneficiaries 
that are obligated on loans held by the Secretary.
    28. 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 
service of volunteers and participants in certain educational, 
training, employment and community service programs. An example of such 
statutes and programs includes: 5 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 agency duties.
    29. To Federal, State and local law enforcement agencies and 
private security contractors as appropriate, information necessary:
    [sbull] To enable them to protect the safety of SSA employees and 
customers, the security of SSA workplace and the operation of SSA 
facilities, or
    [sbull] To assist investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupts the operation of SSA facilities.
    We will disclose information under this routine use to law 
enforcement agencies and private security contractors when information 
is needed to respond to, investigate or prevent activities that 
jeopardize the security and safety of SSA customers, employees or 
workplaces or that otherwise disrupt the operation of SSA facilities. 
Information would also be disclosed to assist in the prosecution of 
persons charged with violating Federal or local law in connection with 
such activities.
    30. Non-tax return information which is not restricted from 
disclosure by Federal law to the General Services Administration (GSA) 
and the National Archives Records Administration (NARA) under 44 U.S.C. 
2904 and 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. 2904, as amended, with promulgating standards, procedures and 
guidelines regarding record management and conducting records 
management studies. 44 U.S.C. 2906, as amended, 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.

B. Compatibility of Proposed Routine Uses

    The Privacy Act (5 U.S.C. 552a(b)(3)) and SSA's disclosure 
regulation (20 CFR part 401) permit us to disclose information under a 
published routine use for a purpose that is compatible with the purpose 
for which we collected the information. SSA's Regulations at 20 CFR 
401.150(c) permits us to disclose information under a routine use where 
necessary to carry out SSA programs. SSA's Regulations at 20 CFR 
401.120 provide that we will disclose information when a law 
specifically requires the disclosure. The proposed routine uses 
numbered 1 through 24, 26, 28 and 29 above will ensure efficient 
administration of SSA programs administered through the proposed eDib 
Claim File; the disclosures that would be made under routine uses 
number 25, 27, and 30 are required by law. The proposed routine uses 
are appropriate and meet the relevant statutory and regulatory 
criteria.

III. Disclosure to Consumer Reporting Agencies

    The Privacy Act of 1974, as amended (5 U.S.C. 552a(b)(12)) permits 
Federal agencies to disclose certain information to consumer reporting 
agencies in accordance with 31 U.S.C. 3711(e) without the consent of 
the individuals to whom the information pertains. The purpose of this 
disclosure is to provide an incentive for individuals to pay any 
outstanding debts they owe to the Federal government by including 
information about these debts in the records relating to those persons 
maintained by consumer reporting agencies. This is a practice commonly 
used by the private sector. The information disclosed will be limited 
to that which is needed to establish the identity of the individual 
debtor, the amount, status, and history of the debt, and the agency or 
program under which the debt arose.
    We have added the following statement at the end of the routine 
uses section of the proposed system of records:

[[Page 71214]]

    Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 
U.S.C. 3701, et seq.) as amended. The disclosure will be made in 
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f), 
808(e), or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f), 
1008(e), or 1383(b)(4)). The purpose of this disclosure is to aid in 
the collection of outstanding debts owed to the Federal government, 
typically, to provide an incentive for debtors to repay delinquent 
Federal government debts by making these debts part of their credit 
records. The information to be disclosed is limited to the individual's 
name, address, SSN, and other information necessary to establish the 
individual's identity, the amount, status, and history of the debt and 
the agency or program under which the debt arose.

IV. Records Storage Medium and Safeguards for the Proposed eDib Claim 
File System of Records

    The eDib Claim File is a repository. 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. We will 
safeguard the security of the information by requiring the use of 
access codes to enter the computer systems that will maintain the data 
and will store computerized records in secured areas that are 
accessible only to employees who require the information to perform 
their official duties. Any manually maintained records will be kept in 
locked cabinets or in otherwise secure areas. Furthermore, SSA 
employees having access to SSA databases maintaining personal 
information must sign a sanction document annually, acknowledging their 
accountability for making unauthorized access to or disclosure of such 
information.
    Contractor personnel having access to data in the eDib Claim File 
will be required to adhere to SSA rules concerning safeguards, access 
and use of the data.
    SSA personnel having access to the data on this system will be 
informed of the criminal penalties of the Privacy Act for unauthorized 
access to or disclosure of information maintained in this system. See 5 
U.S.C. 552a(i)(1).

V. Effect of the Proposed eDib Claim File System of Records on the 
Rights of Individuals

    The proposed new eDib Claim File system of records will maintain 
only that information that is necessary for the efficient and effective 
control and processing of disability applications from the initial 
phase through the appeals process and includes the CDR process. 
Security measures will be employed that protect access to and preclude 
unauthorized disclosure of records in the proposed system of records. 
Therefore, we do not anticipate that the proposed system of records 
will have an unwarranted adverse effect on the rights of individuals.

    Dated: December 16, 2003.
Jo Anne B. Barnhart,
Commissioner.

System name:
    Electronic Disability (eDib) Claim File, Social Security 
Administration, Deputy Commissioner for Disability and Income Security 
Programs.

Security classification:
    None.

System location:
    The eDib claim files are virtually established in Social Security 
field offices when claims for benefits are filed, or a lead is expected 
to result in a claim, and maintained in the National Computer Center at 
SSA Headquarters. The computerized records and database are maintained 
at Social Security Administration, Office of Systems, 6401 Security 
Boulevard, Baltimore, Maryland 21235.
    Other authorized Federal and State agencies that have access to the 
current paper disability folder will also have electronic access as 
needed to the eDib claim file. State agencies process 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 
disability benefits and payments administered by the Social Security 
Administration (e.g., Title II and XVI disability claims).

Categories of records in the system:
    The eDib Claim File contains the name and Social Security number 
(SSN) of the claimant or potential claimant and may contain the 
application for benefits; supporting evidence and documentation for 
initial and continuing entitlement; 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, Internal Revenue 
Service, Veterans Administration and mental institutions.
    The eDib claim file 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 electronic 
processes. These relate to reports of changes of address, work status, 
and other post-adjudicative reports. Separate abstracts also are 
maintained for statistical purposes i.e., 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 
of the Social Security Act (42 U.S.C. 402-405, 423, 426, 428, 1382, 
1383, 1395i-2, 1395o and 1395s

Purpose(s):
    The electronic disability claim file contains material related to 
the request for or continuation of benefit payments under Titles II and 
XVI of the Social Security Act. eDib claim file information is used 
throughout SSA for purposes of pursuing claims; collecting, 
documenting, organizing and maintaining information and documents for 
making determinations of eligibility for disability 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.
    eDib claim files may be referred to State Disability Determination 
Service (DDS) agencies or vocational rehabilitation agencies. 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.

[[Page 71215]]

    1. 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.
    2. To a congressional office in response to an inquiry from that 
office made at the request of the subject of a record.
    3. 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 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.
    4. 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 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.
    5. To third party contacts where necessary to establish or verify 
information provided by representative payees or payee applicants.
    6. 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 interest of each party in a claim.
    7. To employers or former employers for correcting or 
reconstructing earnings records and for Social Security tax purposes 
only.
    8. To the Department of 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.
    9. To the United States Postal Services for investigating the 
alleged forgery, theft or unlawful negotiation of Social Security 
checks.
    10. Information may be disclosed to 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.
    11. To the Department of State and its agents for administering the 
Act in foreign countries through facilities and services of that 
agency.
    12. To the American Institute of Taiwan and its agents for 
administering the Act in Taiwan through facilities and services of that 
organization.
    13. 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.
    14. To the Department of Interior and its agents for administering 
the Act in the Northern Mariana Islands through facilities and services 
of that agency.
    15. To State Social Security Administrators for administration of 
agreements pursuant to section 218 of the Act.
    16. 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.
    17. 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.
    18. 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.
    19. 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.
    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 460 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) The Railroad Retirement Board 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;

[[Page 71216]]

    (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 agencies for making determinations of Medicaid 
eligibility; and
    (e) State agencies for making determinations of food stamp 
eligibility under the food stamp program;
    (f) To State audit agencies for auditing State supplementation 
payments and Medicaid eligibility considerations; and expenditures of 
Federal funds by the State in support of the Disability Determination 
Services (DDS);
    (g) To State welfare departments pursuant to agreements with SSA 
for administration of State supplementation payments; for enrollment of 
welfare recipients for medical insurance under section 1843 of the Act; 
and 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; and
    (h) 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 and 1615 of the Act.
    22. 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.
    23. To the IRS, Department of the Treasury, for the purpose of 
auditing SSA's compliance with the safeguard provisions of the IRC of 
1986, as amended.
    24. To third party contacts (including private collection agencies 
under contract with SSA) for the purpose of their assisting SSA in 
recovering overpayments.
    25. To the Department of Homeland Security (Bureau of Citizenship 
and Immigration Services (BCIS)), 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)).
    26. 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.
    27. 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.
    28. 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.
    29. To Federal, State and local law enforcement agencies and 
private security contractors, as appropriate, information necessary:
    [sbull] To enable them to protect the safety of SSA employees and 
customers, the security of SSA workplace and the operation of SSA 
facilities, or
    [sbull] To assist investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupts the operation of SSA facilities.
    30. Non-tax return information which is not restricted from 
disclosure by Federal law to the General Services Administration (GSA) 
and the National Archives Records Administration (NARA) under 44 U.S.C. 
2904 and Sec.  2906, as amended by NARA Act of 1984, for the use of 
those agencies in conducting records management studies.

Disclosure to Consumer Reporting Agencies:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 
U.S.C. 3701, et seq.) as amended. The disclosure will be made in 
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f), 
808(e), or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f), 
1008(e), or 1383(b)(4)). The purpose of this disclosure is to aid in 
the collection of outstanding debts owed to the Federal government, 
typically, to provide an incentive for debtors to repay delinquent 
Federal government debts by making these debts part of their credit 
records. The information to be disclosed is limited to the individual's 
name, address, SSN, and other information necessary to establish the 
individual's identity, the amount, status, and history of the debt and 
the agency or program under which the debt arose.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained electronically.

Retrievability:
    eDib claim files are retrieved electronically by SSN and 
alphabetically by name.

Safeguards:
    eDib claim files 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. 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 schedule for the new eDib Claim File will be 
incorporated in the Social Security media neutral claim file retention 
schedule. The schedule includes authoritative instructions for the 
retention or destruction of existing and future disability claim file 
records under Title II and Title XVI of the Social Security Act.
    The retention periods for disability claim file records are as 
follows:

A. Title II Domestic Disability Insurance (DI) Claim Files

    Files for Title II claims based on disability will be deleted/
destroyed 7 years after the date of adjudication of the most recently 
awarded claim if: (1) The person has attained full retirement age; or 
(2) the medical reexamination date is scheduled to occur after 
attainment of full retirement age.
    Files for Title II DI claims denied or terminated for medical 
reasons will be deleted/destroyed 5 years after the Agency's final 
denial or termination decision. Title II DI files denied or terminated 
for non-medical reasons, including death, will be deleted/destroyed 2 
years after the Agency's final denial or termination decision.

[[Page 71217]]

B. Title II International DI Claim Files

    Files for Title II DI claims based on disability for persons 
receiving payments will be retained until the claim is terminated. 
Title II DI files for persons not receiving payments (denied or 
terminated) will be deleted/destroyed (including underpayment records) 
5 years after the Agency's final denial or termination decision.
    Files for Title II DI claims not based on disability for persons 
receiving payments will be retained until the claim is terminated. 
Title II DI files for persons not receiving payments (denied or 
terminated) will be deleted/destroyed (including underpayment records) 
5 years after the Agency's final denial or termination decision.

C. Supplemental Security Income Claim Files

    Files for SSI disability claims will be deleted/destroyed 7 years 
after the adjudication date of the most recently awarded claim if: (1) 
The person attains age 65; or (2) the medical reexamination date is 
scheduled to occur after attainment of age 65.
    Files for claims denied or terminated for medical reasons will be 
deleted/destroyed 5 years after the Agency's final denial or 
termination decision. Files for claims denied or terminated for non-
medical reasons will be deleted/destroyed 2 years after the Agency's 
final denial or termination decision.
    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:
    Deputy Commissioner, Disability and Income Security Programs, 
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 (DI and/or SSI). 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 system 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 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. 03-31432 Filed 12-19-03; 8:45 am]
BILLING CODE 4191-02-P