[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
SOCIAL SECURITY ADMINISTRATION
Table of Contents
09-60-0001 Commissioner's Correspondence File, HHS/SSA/OC.
09-60-0002 Automated Controlled Correspondence Extraction System,
HHS/SSA/OGA.
09-60-0003 Hearing File and Attorney Fee File, HHS/SSA/OHA.
09-60-0004 Working Files of the Appeals Council, HHS/SSA/OHA.
09-60-0005 Hearing Office File, HHS/SSA/OHA.
09-60-0006 Storage of Hearing Records: Tape Cassettes and
Audiograph Discs, HHS/SSA/OHA.
09-60-0008 Administrative Law Judge's Docket, HHS/SSA/OHA.
09-60-0009 Hearings and Appeals Case Control System, HHS/SSA/OHA.
09-60-0012 Listing and Alphabetical Name File (Folder) of
Vocational Experts, Medical Advisors and Medical Consultants, HHS/
SSA/OHA.
09-60-0013 Records of Usage of Medical Advisors, Medical
Consultants, and Vocational Experts, HHS/SSA/OHA.
09-60-0014 Curriculum Vitae and Professional Qualifications of
Medical Officers, Medical Advisors, Medical Consultants and Resume
of Vocational Experts, HHS/SSA/OHA.
09-60-0015 List of Physicians Utilized as Readers of Black Lung X-
Ray Films, HHS/SSA/OHA.
09-60-0017 Personnel Research and Merit Promotion Test Records,
HHS/SSA/OMBP.
09-60-0031 Employee Production and Accuracy Records, HHS/SSA/OMBP.
8
09-60-0032 Employee Indebtedness Counseling System, HHS/SSA/OMBP.
09-60-0033 Requests for Review of Proposed Contracts with Experts
and Consultants, HHS/SSA/OMBP.
09-60-0037 General Criminal Investigations Files, HHS/SSA/OMBP.
09-60-0038 Employee Building Pass Files, HHS/SSA/OMBP.
09-60-0040 Quality Review System, HHS/SSA/OA.
09-60-0042 Quality Review Case File, HHS/SSA/OA.
09-60-0044 Disability Determination Service Processing File, HHS/
SSA/ODP.
09-60-0045 Black Lung Payment System, HHS/SSA/OURV.
09-60-0046 Disability Determination Service Consultant`s File, HHS/
SSA/OD.
09-60-0047 Critical Case Processing Time, HHS/SSA/OOPP.
09-60-0050 Completed Determination Record--Continuing Disability
Determinations, HHS/SSA/OOPP.
09-60-0052 Disposition of Vocational Rehabilitation Report to
Social Security Administration, HHS/SSA/ODP.
09-60-0053 Reimbursement From Trust Fund for Vocational
Rehabilitation Services, HHS/SSA/ODP.
09-60-0056 Vocational Rehabilitation Savings Calculations, HHS/SSA/
ODP.
09-90-0057 Quality Evaluation Data Records, HHS/SSA/OA.
09-60-0058 Master Files of Social Security Number Holders, HHS/SSA/
OSR.
09-60-0059 Earnings Recording and Self-Employment Income System,
HHS/SSA/OSR.
09-60-0063 Resource Accounting and Project Management System, HHS/
SSA/OS.
09-60-0066 Claims Development Record, HHS/SSA/OFO.
09-60-0075 Congressional Bills Tracking System, HHS/SSA/OLRP.
09-60-0077 Congressional Inquiry File, HHS/SSA/OFO.
09-60-0078 Public Inquiry Correspondence File, HHS/SSA/OFO.
09-60-0089 Claims Folders System, HHS/SSA/OP.
09-60-0090 Master Beneficiary Record (MBR), HHS/SSA/OSR.
09-60-0091 Social Security Administration Claims Control System,
HHS/SSA/OURV.
09-60-0092 Automated Control System For Case Folders, HHS/SSA/OSR.
09-60-0094 Recovery Accounting for Overpayments, HHS/SSA/OSR.
09-60-0095 Health Insurance Overpayment Ledger Cards, HHS/SSA/OSR.
09-60-0097 Program Integrity Case Files, HHS/SSA/OA.
09-60-0102 Fee Ledger System for Representatives, HHS/SSA/OIP.
09-60-0103 Supplemental Security Income Record (SSR), HHS/SSA/OSR.
09-60-0110 Supplemental Security Income File of Refunds, HHS/SSA/
OURV.
09-60-0111 Debit Voucher File (Supplemental Security Income), HHS/
SSA/OURV.
09-60-0117 Age at First Payment of Retirement Insurance Benefits,
HHS/SSA/OACT.
09-60-0118 Non-Contributory Military Service Reimbursement System,
HHS/SSA/OACT.
09-60-0119 Special Age 72 Benefit Trust Fund Transfer Project, HHS/
SSA/OACT.
09-60-0128 Retirement, Survivors and Disability Insurance Claims
Study, HHS/SSA/OA.
09-60-0129 Adjudication of Supplemental Security Income Policy
Analysis Review, HHS/SSA/OA.
09-60-0148 Matches of Internal Revenue Service and Social Security
Administration Data with Census Survey Data (Joint Social Security
Administration/Census Statistics Development Project), HHS/SSA/OP.
09-60-0149 Matches of Internal Revenue Service and Social Security
Administration Data (Joint Social Security Administration/Treasury
Department Statistics Development Project), HHS/SSA/OP.
09-60-0159 Continuous Work History Sample (Statistics), HHS/SSA/OP.
09-60-0184 Hearing Office Master Calendar, HHS/SSA/OHA.
09-60-0186 SSA Litigation Tracking System, HHS/SSA/OR.
09-60-0196 Disability Studies, Surveys, Records and Extracts
(Statistics), HHS/SSA/OP.
09-60-0198 Extramural Research Administrative File, HHS/SSA/OP.
09-60-0199 Extramural Survey (Statistics), HHS/SSA/OP.
09-60-0200 Retirement and Survivors Studies, Surveys, Records and
Extracts (Statistics), HHS/SSA/OP.
09-60-0202 Old Age, Survivors and Disability Beneficiary and Worker
Records and Extracts (Statistics), HHS/SSA/OP.
09-60-0203 Supplemental Security Income Studies, Records and
Extracts (Statistics), HHS/SSA/OP.
09-60-0206 Repatriate Records System, HHS/SSA/OFA.
09-60-0209 Readership Surveys of the Office of Research and
Statistics, HHS/SSA/OP.
09-60-0210 Record of Individuals Authorized Entry to Secured
Automated Data Processing (ADP) Area, HHS/SSA/OS.
09-60-0211 Beneficiary, Family, and Household Surveys, Records and
Extracts System (Statistics), HHS/SSA/OP.
09-60-0212 Supplemental Security Income Quality Initial Claims
Review Process System, HHS/SSA/OA.
09-60-0213 Quality Review of Hearing/Appellate Process, HHS/SSA/
OHA.
09-60-0214 Personal Identification Number File, (PINFile), HHS/SSA/
OPIR.
09-60-0216 Indochina Refugee Data System, HHS/SSA/ORR.
09-60-0217 Cuban Refugee Registration Records, HHS/SSA/ORR.
09-60-0218 Disability Insurance and Supplemental Security Income
Demonstration Projects and Experiments System, HHS/SSA/ORS.
09-90-0219 Representative Disqualification/Suspension Information
System, HHS/SSA/ORSI.
09-60-0220 Kentucky Birth Records System, HHS/SSA/DO(KY).
09-60-0221 Vocational Rehabilitation Reimbursement Case Processing
System, HHS/SSA/OD..
09-60-0222 Master Representative Payee File, HHS/SSA/ORSI.
09-60-0223 Telephone Call Receipt System, HHS/SSA/DCO.
09-60-0224 SSA-Initiated Personal Earnings and Benefit Estimate
Statement (SIPEBES) History File, HHS/SSA/OSR.
09-60-0225 SSA-Initiated Personal Earnings and Benefit Estimate
Statement Address System for Certain Territories, HHS/SSA/OSR.
Appendix A Retirement and Survivors Insurance Claims.
Appendix B Disability Insurance Claims.
Appendix C Regional Offices Addresses.
Appendix D Supplementary Security Income Claims.
Appendix E Federal Coal Mine Health and Safety Act Claims (Black
Lungs).
Appendix F Social Security Administration Field Operations
Addresses.
Appendix G Office of Hearings and Appeals Addresses.
Appendix H Office of Central Operations Electronic Data Operations
Centers.
Appendix I Availability of Records, Manuals, Etc.
Appendix J Social Security Administration Data Security Measures.
Appendix K Obtaining Access to Records.
Appendix L Field Assessment Offices.
Appendix M Field Assessment Offices and Central Supplemental
Security Income Analysis Components.
90-60-0001
System name:
Commissioner's Correspondence File, HHS/SSA/OC.
Security classification:
None.
System location:
Social Security Administration, Room 922, Altmeyer Building, 6401
Security Boulevard, Baltimore, Maryland 21235 and Social Security
Administration, Room 656G Hubert H. Humphrey Building, 200
Independence Avenue, SW, Washington, DC 20201.
Categories of individuals covered by the system:
Any person or group who writes directly to the Commissioner of Social
Security.
Categories of records in the system:
The Commissioner's incoming personnel correspondence and responses to
such correspondence.
Authority for maintenance of the system:
Section 205 of the Social Security Act.
Purpose(s):
This system is established solely for reference when applying to
subsequent inquiries.
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:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form and in magnetic media (e.g., magnetic
tape and disk).
Retrievability:
Records in this system are indexed and retrieved by the name of the
correspondent.
Safeguards:
Safeguards for automated records have been established in accordance
with the Department of Health and Human Services' Automated Data
Processing Manual, ``Part 6, ADP System Security.'' This includes
maintaining the records in a secured enclosure attended by security
guards. Anyone entering or leaving the enclosure must have a special
badge issued only to authorized personnel. Access to specific records
in this system is limited to members of the Executive Secretariat's
staff. Also, employees are periodically briefed on Privacy Act
requirements and SSA confidentiality rules, including the criminal
sanctions for unauthorized disclosure of or access to personal
records. (See Appendix J to this publication for additional
information relating to safeguards the Social Security Administration
employs to protect personnel records.)
Retention and disposal:
General correspondence is held 2 years. Paper files are destroyed by
shredding when deemed appropriate. Computer files are archived after
12 months.
System manager(s) and address:
Chief, Baltimore Branch, Executive Secretariat, 922 Altmeyer Building,
6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the following address: Office of the
Commissioner, 922 Altmeyer Building, 6401 Security Boulevard,
Baltimore, Maryland 21235.
When requesting notification or access to a record in this system, the
individual should refer to this system and provide his or her name and
return address. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requestors should reasonably
identify the record, specify the information they are contesting and
the corrective action sought and the reasons for the correction with
supporting justification. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record source categories:
Incoming correspondence and responses to the correspondence.
Systems exempted from certain provisions of the act:
None.
09-60-0002
System name: Automated Controlled Correspondence Extraction
System, HHS/SSA/OGA.
Security classification:
None.
System location:
Social Security Administration, Office of Public Inquiries, 6401
Security Boulevard, Baltimore, Maryland 21235
Social Security Administration, Office of Disability Operations,
Dickenson Tower Building, 1500 Woodlawn Drive, Baltimore, MD 21241
Social Security Administration, Office of Hearings and Appeals,
Ballston Center, Tower 2, 800 Randolph Road, Arlington, VA 22204
and Health Care Financing Administration, Medicare Bureau, 6401
Security Boulevard, Baltimore, Maryland 21235
Categories of individuals covered by the system:
Records are maintained for individuals who forward a request for
information to the Commissioner of Social Security and for individuals
whose requests to members of Congress, the President, etc., are
forwarded to the Commissioner for response.
This system also contains records on Social Security beneficiaries (or
persons inquiring on their behalf) who are reporting failure to
receive a check or checks which they believe are due or are inquiring
about other matters which have been determined to be of critical or
sensitive nature.
Categories of records in the system:
Information in the records includes the following: Name of individual
involved (and Social Security number if given); name of third party
inquirer (if present); type of correspondence; organizational
component having initial responsibility for the inquiry; Congressman's
name (if a congressional inquiry); inquiry source code (indicates
which congressman's office referred an inquiry to the Social Security
Administration (SSA)); address-to code (official to whom inquiry is
directed); signature code (official whose name will appear on the
reply); computer identification code (10-digit code cross-referred to
the name of the individual); subject matter code; location of
information (component and date of receipt); and response information
(type and date of Social Security Administration response).
Authority for maintenance of the system:
Section 205(a) and 1631 of the Social Security Act (42 U.S.C. sections
405(a) and 1383) and section 413 of the Federal Coal Mine Health and
Safety Act (Black Lung Act).
Purpose(s):
Information is maintained in this system solely to aid in the control
of correspondence through the various processing steps. This system is
used to control processing of correspondence within the SSA Central
Office complex and the SSA Office of Hearings and Appeals in
Arlington, Virginia, and to provide management information regarding
the correspondence process.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of the Treasury to determine if payment was
issued or check returned for cash.
3.Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in magnetic media (e.g., magnetic tape and
computer discs and in paper form.
Retrievability:
The data in this system are retrieved by both name and computer
identification number, which are cross-referred.
Safeguards:
Safeguards for automated records have been establish in accordance
with the HHS Automatic Data Processing Manual, ``Part 6, ADP System
Security.'' This includes maintaining the records in secured
enclosures attended by security guards. Anyone entering or leaving the
enclosures must have a special badge issued only to authorized
personnel. Access to specific records is limited to employees who have
a need for them in the performance of their official duties. Paper
records are maintained in locked files or in buildings which are
secured after normal business hours. Also, all employees periodically
are briefed on Privacy Act requirements and SSA confidentiality rules,
including the criminal sanctions for unauthorized disclosure of or
access to personal records. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal records.)
Retention and disposal:
Records are maintained on-line in the system from the time of control
until 13 months after the final response is released. Magnetic tape
records are maintained for an additional 24 months before being
erased. Paper records are disposed of by shredding when deemed no
longer needed.
System manager(s) and address:
Director, Office of Public Inquiries, Social Security Administration,
6401 Security Boulevard, Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the following address: Chief, Correspondence
Systems and Analysis Branch, Office of Public Inquiries, Social
Security Administration, 6401, Security Boulevard, Baltimore, MD
21235.
When requesting notification of or access to records, the individual
should provide his or her name, the person to whom the inquiry was
sent, and the date of the inquiry. These procedures are in accordance
with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from inquiries directed to the
Commissioner of Social Security from members of the public;
individuals or someone acting on their behalf; the individual's claims
record (maintained in the system 09-60-0089); and contacts within and
outside SSA.
Systems exempted from certain provisions of the act:
None.
09-60-0003
System name: Hearing File and Attorney Fee File, HHS/SSA/OHA.
Security classification:
None.
System location:
Hearing File: Preparation of new hearing files was discontinued as of
May 30, 1975. Files prepared prior to that date are still used, when
available, by Office of Hearings and Appeals (OHA) employees at
appropriate work stations. Existing files are maintained at: Social
Security Administration, Office of Hearings and Appeals, 801 North
Randolph Street, Arlington, Virginia 22203.
Attorney fee information is maintained primarily in the appropriate
hearing offices (see Appendix G for address information).
When the Administrative Law Judge recommends approval of a requested
fee amount which exceeds 3,000 or when there is a requested
administrative review of fees initially authorized by the
Administrative law Judge, the files are maintained by the regional
chief Administrative Law Judge in the appropriate regional office (see
Appendix G for Address information).
Attorney fee files relating to requested administrative review of fees
initially authorized by the regional chief Administrative law Judges,
as well as those where the Attorney Fee staff has sole jurisdiction,
are maintained at: Social Security Administration, Office of Hearings
and Appeals, 200 Glebe Road, Arlington, Virginia 22203.
Categories of individuals covered by the system:
Claimants Title II (Retirement, Survivors and Disability Insurance),
Title IX (claimants subject to professional standards review), Title
XVI (Supplemental Security Income), Title XVIII (Health Insurance),
and claimants for Black Lung Benefits under provisions of the Federal
Coal Mine Health and Safety Act; and attorneys representing claimants
in Social Security Administration proceedings.
Categories of records in the system:
When present, the hearing file generally contains: Request for
hearing, notice of hearing, ``Appearance at Hearing'' Card signed by
claimant, correspondence to and from claimant, representative, or
other source of evidence, cassette recordings of hearing, HA-503 card
(case control device), decision (or dismissal order) and any material
otherwise in an Appeals File. The hearing file (when present) may also
contain the following information which is otherwise maintained as the
Attorney Fee File: Attorney Fee Petition; Fee Authorization Order;
related correspondence and control card; and when appropriate, request
for administrative review and Attorney Fee Analyst recommendation.
Authority for maintenance of the system:
Sections 205,1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The Hearing File contains information used in processing the
claimant's Request for Hearing; information for the conduct of the
hearing, if any; and information the Administrative law Judge uses to
reach a decision. Attorney Fee Files are used in processing attorney
fee petitions and to respond to correspondence and other inquiries
related to representation of claimants.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be make for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components: or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To applicants, claimants, beneficiaries, other than the subject
individual, authorized representatives, experts, and other
participants at a hearing to the extent necessary to pursue a claim or
other matter on appeal.
4. To an attorney to the extent necessary to dispose of an attorney
fee petition.
5. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
6. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
7. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
8. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form (e.g., individual case folders and
file control cards).
Retrievability:
Records are indexed and retrieved by name and Social Security number.
Safeguards:
Hearing File folders are stored in filing cabinets. Attorney Fee File
control cards are stored in filing containers. The folders are kept on
filing shelves. The records are kept in a secured storage area with
access to and use of these records limited to those persons whose
official duties require such access. All employees are instructed in
Social Security Administration confidentiality rules as part of their
initial orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal records.)
Retention and disposal:
After all actions are completed, hearing files are forwarded to the
Federal Archives Records Center. Attorney fee file folders are
destroyed after 2 years, control card after 5 years, by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the system manager at the
address shown below: Social Security Administration, Office of
Hearings and Appeals, PO Box 2518, Washington, DC 20013.
When requesting notification of or access to records, the individual
should provide his/her name and Social Security number. (Furnishing
the Social Security number is voluntary, but it will make searching
for an individual's record easier and avoid delay.) These procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the record contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Requesters also should reasonably
identify the record, specify the information they are contesting and
state the correction action sought and the reasons for the correction
with supporting justification. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is derived from the claimant, his or her
representative, appropriate members of the public, the Social Security
Administration and other Federal, State and local agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0004
System name: Working File of the Appeals Council, HHS/SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearing and Appeals, 801
North Randolph Street, Arlington, Virginia 22203.
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability Insurance);
Title VI (Supplemental Security Income); Title XVIII (Health
Insurance); Title XI (Claimants subject to Professional Standards
Review) and claimants for Black Lung benefits under provisions of the
Federal Coal Mine Health and Safety Act.
Categories of records in the system:
This file generally contains: Hearings and Appeals analyst's
recommendation to the Appeals Council; a copy of the Administrative
Law Judge decision or dismissal; a copy of the Request for Review by
the Appeals Council form; copies of correspondence and replies
relating to the case; requests to Medical Support Staff and their
comments, if not entered into the record; copies of Appeals Council
actions on the case; notice of denial of request for review, order of
remand, notice of granting review, Appeals Council decisions; copies
of all post-adjudicative actions or correspondence; copies of
transcripts when available.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The Appeals File is established to be an internal working file used in
connection with a recommendation to, or action by, the Appeals Council
in an individual case. The Office of Hearings and Appeals creates the
file when there is no hearing file. Members of the Appeals Council and
their support staff use the Appeals File when working on cases on
appeal and when handling post-adjudicative actions and correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in paper form (e.g., paper folder files on
filing shelves).
Retrievability:
The records are indexed and retrieved by use of the Social Security
number.
Safeguards:
Access to and use of these records limited to those persons whose
official duties require such access. All employees are instructed in
Social Security Administration confidentiality rules as part of their
initial orientation. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
The records are destroyed 12 calendar months after the Appeals
Council's final action where no court action is initiated. In active
court cases, the records are destroyed 4 calendar months after final
court action. All files are destroyed by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the following address and providing his or her
name and Social Security number (or the name and Social Security
number under which the claim was filed). (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.)
Social Security Administration, Office of Hearings and Appeals, 801
North Randolph Street, Arlington, Virginia 22203.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Requesters should also reasonably
identify the record, specify the record contents they are contesting
and state the corrective action sought and the reasons for the
correction with supporting justification. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Claimants, his/her representative, appropriate members of the public,
the Social Security Administration and other Federal, State and local
agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0005
System name: Hearing Office File, HHS/SSA/OHA.
Security classification:
None.
System location:
Local hearing offices (See Appendix G for address information).
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability Insurance);
Title XI (Claimants subject to Professional Standards Review); Title
XVI (Supplemental Security Income); Title XVIII (Health Insurance);
and claimants for Black Lung benefits under provisions of the Federal
Coal Mine Health and Safety Act.
Categories of records in the system:
The Hearing Office File is established in the hearing office of
hearing actions taken on each particular case. The file may contain
copies of the Notice of Hearing, Decision on Dismissal, and the
Exhibit List when one is prepared, a copy of congressional inquiries
and responses thereto as well as copies of post-adjudicative material
received and any responses made, but not official copies, which are
placed in claims folders.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
This system is used to reference the actions taken in a particular
case at the hearing level. The Administrative Law Judge or hearing
office staff uses the information to reply to future correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
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 in this system are maintained in paper form.
Retrievability:
The records are indexed and retrieved alphabetically by claimants'
names.
Safeguards:
Access to and use of the records are limited to those persons whose
official duties require such access. All employees are instructed in
Social Security Administration confidentiality rules as part of their
initial orientation training. (See Appendix J to this publication for
additional
Retention and disposal:
The records are destroyed by shredding, 2 years after final action was
taken.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing the hearing office (see Appendix G
for address information).
When requesting notification, the individual should provide his or her
name, address, and Social Security number. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations, 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations, 45 CFR part 5b.
Record source categories:
Claimants, their representatives, appropriate members of the public,
the Social Security Administration and other Federal, State and local
agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0006
System name: Storage of Hearing Records: Tape Cassettes and
Audiograph Discs, HHS/SSA/OHA.
System location:
Social Security Administration, Office of Hearings and Appeals, 801
North Randolph Street, Arlington, Virginia 22203.
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability Insurance);
Title XI (Claimants subject Professional Standards Review); Title XVI
(Supplemental Security Income); Title XVIII (Health Insurance) and
claimants for Black Lung benefits pursuant to provisions of the
Federal Coal Mine Health and Safety Act.
Categories of records in the system:
Recording of actual hearing before an Administrative Law Judge.
Hearing cassettes are recorded on reel tapes. Each reel tape contains
a consolidation of approximately 940 cassettes.
Authority for maintenance of the system:
Sections 205, 1631, and 1872 of the Social Security Act, as amended,
and section 413(b) of the Federal Coal Mine Health and Safety Act, as
amended.
Purpose(s):
The tape cassettes and audiograph discs system is the basic record of
the hearing conducted in an individual case by the Administrative Law
Judge. It is the source from which the document transcript is
prepared. Social Security employees use the information as a reference
to respond to subsequent correspondence and/or further appeal of the
claim and to process an attorney fee petition when appropriate.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored on cassette tapes, master tape reels, and in
disc storage containers.
Retrievability:
The records are indexed by name and Social Security number.
Safeguards:
The containers are housed on racks in a secure storage area with
access to the records limited to employees with a job related need to
know. All employees are instructed in Social Security Administration
confidentiality rules as part of their initial orientation training.
(See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Tape cassettes dated prior to 1981 are transferred to the Washington
National Records Center (WNRC) 12 months after the last action on the
case. The cassettes are destroyed (erased) after 10 years in the WNRC.
Tape cassettes dated 1981 and after, after recording on reels, are
erased and returned to blank stock after 6 months. Master reels are
transferred to the WNRC when 3 years old and then erased after 10
years. Disks are erased when 3 years old.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the address below and providing
his or her name and Social Security number. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) The date the hearing was
held would be helpful, but is not mandatory.
Social Security Administration, Office of Hearings and Appeals, PO Box
2518, Washington, DC 20013.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The records are derived from claimants, representative, witnesses and
the Administrative Law Judge and staff persons.
Systems exempted from certain provisions of the act:
None.
09-60-0008
System name: Administrative Law Judge's Docket, HHS/SSA/OHA.
Security classification:
None.
System location:
All hearing offices (See Appendix G for address information).
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability Insurance);
Title XI (Claimants subject to Professional Standards Review); Title
XVI (Supplemental Security Income); Title XVIII (Health Insurance) and
claimants for Black Lung benefits pursuant to provisions of the
Federal Coal Mine Health and Safety Act.
Categories of records in the system:
Information in this system consists of a list of the cases pending
before the Administrative Law Judge. When a Request for Hearing is
received, a case control card is prepared. Case control cards serve as
a docket of assigned cases for the Administrative Law Judges.
Authority for maintenance of the system:
Sections 205, 1631(d), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
This system enables the Administrative Law Judges to maintain control
of his or her caseload.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in paper form.
Retrievability:
The records are indexed and retrieved by use of the Social Security
number.
Safeguards:
Access to and use limited to those persons whose official duties
require such access. All employees are instructed in Social Security
Administration confidentiality rules as part of their initial
orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
As each case is disposed of, copy 1 remains in a central
locator file and is shredded after 2 years; copy 2 is filed
in the Hearing Office File and is destroyed at the time the Hearing
Office File is destroyed; copies 3 and 4 are placed in the
Claims Folder and remains there until that file is destroyed.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing the hearing office (see Appendix G
for address information).
When requesting notification, the individual should provide his or her
name, Social Security number and address. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Administrative law judge, from information on incoming cases.
Systems exempted from certain provisions of the act:
None.
09-60-0009
System name: Hearings and Appeals Case Control System, HHS/SSA/
OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals, 801
North Randolph Street, Arlington, Virginia 22203 and each
Hearing Office (see Appendix G for address information).
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability Insurance);
Title XI (Claimants subject to Professional Standards Review); Title
XVI (Supplemental Security Income); Title XVIII (Health Insurance) and
claimants for Black Lung benefits pursuant to provisions of the
Federal Coal Mine Health and Safety Act.
Categories of records in the system:
Social Security number, name, type of claim, last action on case/date,
location of case (office), date of receipt, hearing request (date/
type/ schedule date/request for review date), administrative law
judge, cross reference number.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The SSA Office of Hearings and Appeals uses this system to ascertain
case location and status.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form, on microfilm and in magnetic
media (e.g., magnetic tape and magnetic disk).
Retrievability:
The records are indexed and retrieved by use of the Social Security
number.
Safeguards:
Access to and use of the records are limited to those employees whose
official duties require such access. System security for the automated
records has been established in accordance with the HHS Automated Data
Processing Manual, ``Part 6, ADP System Security.'' This includes
maintaining the records in secured enclosure attended by armed
marshals. (See Appendix J to this publication for additional
information relating to safeguards the Social Security Administration
employs to protect personal information.)
Retention and disposal:
The records are retained until they are retired to a Federal Archives
Records Center; magnetic tape records then are erased and returned to
stock. Paper records are disposed of by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by following the instructions below:
For cases at the Appeals Council write to: Social Security
Administration, Office of Hearings and Appeals, PO Box 2518,
Washington, DC 20013.
For cases at the Hearing Office write to the Hearing Office at the
appropriate address in Appendix G.
When requesting notification, the individual should provide his or her
name, address and Social Security number. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is obtained from claimants,
representatives, appropriate members of the public, the Social
Security Administration and other Federal, State and local agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0012
System name: Listing and Alphabetical Name File (Folder) of
Vocational Experts, Medical Advisors, and Medical Consultants,
HHS/SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals,
Vocational Consultant Program Staff, 801 North Randolph Street,
Arlington, Virginia 22203
Social Security Administration, Office of Hearings and Appeals,
Appeals Council, Office of Hearings and Appeals, 801 North Randolph
Street, Arlington, Virginia 22203 and each hearing office (see
Appendix G for address information)
Categories of individuals covered by the system:
Individuals under contract to provide expert or consultative services
to the Office of Hearings and Appeals.
Categories of records in the system:
A list of all Vocational Experts and Medical Advisors under contract,
who are within the area serviced by the hearing office, and their
usage. A list of all Medical Consultants under contract for services
in Central Office. In addition, a folder is kept for each expert
containing name, Social Security Number, a copy of the contract,
qualifications, travel orders, invoices, and correspondence and other
written records concerning usage as a expert, including evaluation or
services.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended and section 413(d) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The purposes of this system are as follows: Listing alphabetically by
name of vocational expert and medical advisor is used to select the
expert or advisor on a rotational basis for use in a hearing case.
Listing alphabetically by name of consultant is used to select a
consultant as needed in a case before the Appeals Council. Records
maintained in contractor files are used for carrying out
administrative management responsibilities. These may be used in
connection with budgetary planning, assessing services and usage,
renewal of contracts, and preparing statistical or summary reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form.
Retrievability:
Records are retrieved alphabetically by name.
Safeguards:
Folders are maintained in locked filing cabinets. Access to and use
are limited to those persons whose official duties require such
access. All employees are instructed in Social Security Administration
confidentiality rules as part of their initial training. (See Appendix
J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Records are retained for at least 2 years after expiration of contract
at which time they are disposed of by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him of her by writing to the applicable hearing office
(see Appendix G for address information) for vocational experts and
medical consultants; or to the address below for medical advisors:
Social Security Administration, Office of Hearings and Appeals, PO Box
2518, Washington, DC 20013.
When requesting notification, an individual should provide his or her
name, Social Security number, date of birth, and type of contract
services. (Furnishing the Social Security number is voluntary, but it
will make searching for an individual's record easier and avoid
delay.) These procedures are in accordance with HHS Regulations 45 CFR
part 5b.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The records are derived from information supplied by the individual or
information provided by SSA officials.
Systems exempted from certain provisions of the act:
None.
09-60-0013
System name: Records of Usage of Medical Advisors, Medical
Consultants and Vocational Experts, HHS/SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals,
Appeals Council, 3833 North Fairfax Drive, Room 105, Arlington,
Virginia 22203.
Categories of individuals covered by the system:
Medical advisors, medical consultants and vocational experts.
Categories of records in the system:
Records contains information about the usage of medical advisors,
medical consultants and vocational experts such as the occasions on
which each medical advisor, medical consultant or vocational expert
supplied advice or services to the administrative law judges or the
Appeals Council, respectively, amount of time involved, fees paid, and
types of cases.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The purpose of this system is to provide information so that the
Social Security Office of Hearings and Appeals can measure the usage
of medical advisors, medical consultants and vocational experts and
make its determinations on contract renewal. This system is used to
prepare statistical or summary reports and to counsel physicians about
services.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office from the record of an individual in
response to an inquiry from that office made at the request of the
subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., folders, looseleaf binders
and punchcards) and in magnetic media (e.g., magnetic tape and
magnetic disks).
Retrievability:
Records are retrieved alphabetically by name.
Safeguards:
Folders are kept in locked cabinets. System security for automated
records have been established in accordance with HHS Automated Data
Processing Manual, ``Part 6, ADP System Security.'' This includes
maintaining magnetic tape and magnetic disk records in an enclosure
attended by security guards. Access to and use of the records are
limited to Office of Hearings and Appeals management and
administrative employees whose official duties require such access.
All employees are instructed in Social Security Administration
confidentiality rules as part of their initial training. (See Appendix
J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Records are maintained for contract duration of each medical advisor,
medical consultant or vocational expert as deemed necessary for
consideration with subsequent contract application. Paper records are
disposed of by shredding and automated records by erasure.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the following address:
Social Security Administration, Office of Hearings and Appeals, PO Box
2518, Washington, DC 20013.
When requesting notification, the individual should provide his or her
name, Social Security number, and whether he or she is a medical
adviser, medical consultant or vocational expert. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The records are obtained from Administrative Law Judges, the Appeals
Council, and supporting staffs.
Systems exempted from certain provisions of the act:
None.
09-60-0014
System name: Curriculum Vitae and Professional Qualifications of
Medical Officers and Medical Advisors, Medical Consultants and
Resume of Vocational Experts, HHS/SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals,
Vocational Consultant Program Staff, 801 North Randolph Street,
Arlington, Virginia 22203
Manager, Appeals Council, Office of Hearings and Appeals, 801 North
Randolph Street, Arlington, Virginia 22203 and each Hearing
office (See Appendix G for address information).
Categories of individuals covered by the system:
Medical offices, medical consultants, vocational experts and medical
advisors.
Categories of records in the system:
Curriculum vitae and professional qualifications.
Authority for maintenance of the system:
Sections 205, 1631(d)(1), and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act as amended.
Purpose(s):
This system is reproduced as appropriate for use as an exhibit in
individual cases. The Administrative Law Judge or Appeals Council
member uses the information to demonstrate the physician's
professional background and expertise, and the vocational expert's
professional background and expertise.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office response to an inquiry from that office
made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee,
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense provided such disclosure is compatible with the
purpose for which the records were collected.
3. To parties to a hearing, as a matter of due process.
4. To the claimant (who would be a third party in this instance), as a
matter of due process.
5.Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
6. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
7. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., folders in filing
cabinets).
Retrievability:
Records are retrieved alphabetically by the name of the individual.
Safeguards:
Folders are kept in metal filing cabinets. Access to and use of these
records are limited to those persons whose official duties require
such access. All employees are instructed in Social Security
Administration confidentiality rules as part of their initial
orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
Records are maintained as long as medical officers are employed by the
Office of Hearings and Appeals and medical advisor, medical
consultant, or vocational expert is under contract, after which they
are disposed of by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the appropriate hearing office
(see Appendix G for address information) or to the address below.
Social Security Administration, Office of Hearing and Appeals, PO Box
2518, Washington, DC 20013.
When requesting notification, the individual should provide his or her
name, Social Security number, and indicate whether he or she is a
medical officer, medical advisor, medical consultant, or vocational
expert. (Furnishing the Social Security number is voluntary, but it
will make searching for an individual's record easier and avoid
delay.) These procedures are in accordance with HHS Regulations 45 CFR
part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information either comes from the individual, from information
supplied by the individual or from medical directories.
Systems exempted from certain provisions of the act:
None.
09-60-0015
System name: List of Physicians Utilized as Readers of Black
Lung X-Ray Films, HHS/SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals, 801
North Randolph Street, Arlington, Virginia 22203 and each Hearing
Office (See Appendix G for address information).
Categories of individuals covered by the system:
Physicians under contract utilized by the Office of Hearings and
Appeals for X-ray reading in Black Lung cases.
Categories of records in the system:
Copy of contract, professional qualifications and curriculum vitae of
the physicians.
Authority for maintenance of the system:
Section 413(b) of the Federal Coal Mine Health and Safety Act, as
amended.
Purpose(s):
This system facilitates the selection of an appropriate physician to
read black lung X-ray films in individual cases.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., folders in filing
cabinets).
Retrievability:
Records are retrieved alphabetically by the name of the physician.
Safeguards:
Folder are kept in locked filing cabinets. Access to and use of these
records are limited to those persons whose official duties require
such access. All employees are instructed in Social Security
Administration confidentiality rules as part of their initial
orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the appropriate hearing office
(see Appendix G for hearing office address) or writing to the
following address:
Social Security Administration, Office of Hearings and Appeals, PO Box
2518, Washington, DC 20013.
When requesting notification, the individual should provide his or her
name and Social Security number. (Furnishing the Social Security
number is voluntary, but it will make searching for an individual's
record easier and avoid delay.) These procedures are in accordance
with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information obtained from the individual.
Systems exempted from certain provisions of the act:
None.
09-60-0017
System name: Personnel Research and Merit Promotion Test
Records, HHS/SSA/OMBP.
Security classification:
None.
System location:
Social Security Administration, Office of Management, Budget, and
Personnel, Office of Human Resources, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Employees of the Social Security Administration (SSA).
Categories of records in the system:
These records include tests, test scores, responses to test items and
questionnaires, interview data, and special ratings of employees
obtained in test validation and other research.
Authority for maintenance of the system:
Title 5, U.S. Code Sec. 3301, Sec. 1303.
Purpose(s):
This system is established for certain research projects such as those
that involve longitudinal studies. Research data are collected on a
project by project basis, and are used for the construction, analysis
and validation of tests, for research on personnel measurement and
selection methods and techniques such as performance evaluation or
productivity. Many data are collected under conditions assuring their
confidentiality. Personal information in this system of records is
used by the Performance Management Branch in its research activities.
Merit Promotion Test and Assessment Center Systems are established to
be used as factors weighted under SSA Merit Promotion Programs.
These records also may be used as a data source for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To the Office of Personnel Management for personnel research
purposes.
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 in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee.
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, on punched cards, microfiche,
computer tape, and in computer storage.
Retrievability:
Records are retrieved by one or more of the following: Region or
headquarters, name, Social Security number, date of participation, and
type of test or assessment center.
Safeguards:
System security for automated records have been established in
accordance with the HHS Automated Data Processing Manual, ``Part 6,
ADP System Security.'' This includes maintaining the records in
secured areas attended by security guards. Anyone entering or leaving
the areas must have a special badge issued only to authorized
personnel. Access to the records is limited to personnel who have a
need for them in the performance of their official duties. Manual
records are maintained in locked files or rooms. Also, all SSA
employees periodically are briefed on Privacy Act requirements and SSA
confidentiality rules, including the criminal sanctions for
unauthorized disclosure of or access to personal records. (See
Appendix J to this publication for additional information the Social
Security Administration employs to protect personal information.)
Retention and disposal:
Test answer sheets are retained for 1 year and then destroyed by
burning. All other covered records are retained indefinitely.
System manager(s) and address:
Director, Office of Human Resources, Office of Management, Budget and
Personnel, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the system manager at the address above and
providing the name of this system, his/her name, identifier where
required (e.g., Social Security number), and place of SSA employment
or former employment. (Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay.)
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Also, requestors should reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requestor should reasonably
identify the records, specify the information they are contesting and
state the corrective action sought and the reasons for the correction
with supporting justification. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is obtained from individual SSA employees,
their supervisors, assessment center assessors or SSA personnel files
and records.
Systems exempted from certain provisions of the act:
Under the provisions of 5 U.S.C. 552a, subsection (k)(6), which
provides for exempting ``testing or examination material used solely
to determine individual qualifications for appointment or promotion in
the Federal service the disclosure of which would compromise the
objectivity or fairness of the testing or examination process, ''we
exempt from disclosure SSA merit promotion tests, test item files,
answer keys, completed answer sheets, transmutation tables and
schedules, and ratings given for the purpose of validating tests.
09-60-0031
System name: Employee Production and Accuracy Records, HHS/SSA/
OMBP.
Security classification:
None.
System location:
Operating offices of the Social Security Administration (SSA) at the
organizational level of the individual's employment.
Categories of individuals covered by the system:
Current employees of SSA.
Categories of records in the system:
Work measurement records with the following items: Employee name;
grade; organization unit and shift; Social Security number; clerk
number; supervisor's name; production data (monthly, weekly, daily)
and accuracy data; backlog information; error ratio; processing time
data; operating and production control codes; and leave usage.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Information in this system of records is used by SSA managememt for
manpower planning and production control (to identify backlogs, and
systems and procedure problems, manpower utilization, budget
estimations, appraisal of employees).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the appropriate Federal, State, or local agency charged with the
responsibility of investigating or prosecuting a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, and whether arising by general statute, or particular program
statute, or by regulation, rule, or order issued pursuant thereto, if
this system of records indicates that a violation may have occurred.
4. To the Department of Justice to obtain its advice if HHS/SSA deems
it desirable or necessary in determining whether particular records
from this system are required to be disclosed under the Freedom of
Information Act.
5. To Federal agencies who have the power to subpoena other Federal
agencies' records upon receipt of a subpoena to HHS/SSA.
6. Where a contract between HHS/SSA and a labor organization
recognized under Executive Order 11491 provides that HHS/SSA will
disclose personal records relevant to the organization's mission.
7. Where the appropriate official of HHS/SSA pursuant to the
Department's Freedom of Information Regulation, determines that it is
in the public interest to disclose a record which is otherwise exempt
from mandatory disclosure.
8. To a contractor for the purpose of collating, analyzing,
aggregating, or otherwise refining records in this system when HHS/SSA
contracts with a private firm.
9. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
10. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
11. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper forms, punch cards and magnetic tapes.
Retrievability:
Records are indexed and retrieved alphabetically by name and
numerically by Social Security number or clerk number.
Safeguards:
System security for automated records have been established in
accordance with the HHS Automated Data Processing Manual, ``Part 6,
ADP System Security.'' This includes maintaining the records in
secured areas attended by security guards. Safeguards also include the
use of a lock/unlock password system; exclusive use of leased
telephone lines; a terminal oriented transaction matrix, and an audit
trail. Access to records in this system is limited to authorized
personnel who have a need for them in the performance of their
official duties. All employees are briefed periodically on Privacy Act
requirements and SSA confidentially rules, including the criminal
sanctions for unauthorized disclosure of or access to personal
records. (See Appendix J to this publication for additional
information relating to safeguards the Social Security Administration
employs to protect personal information.)
Retention and disposal:
Records are kept for 2 years and destroyed. Paper records are disposed
of by either burning or shredding. Magnetic tape records are erased
when no longer needed.
System manager(s) and address:
Associate Commissioner, Office of Management, Budget, and Personnel,
6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting his/her immediate supervisor and providing
information necessary to identify the record being sought (e.g., name
and Social Security number). (Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay.) These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the records contents they are seeking. These access procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records are obtained from employees or their supervisors, control
personnel or timekeepers.
Systems exempted from certain provisions of the act:
None.
09-60-0032
System name: Employee Indebtedness Counseling System, HHS/SSA/
OMBP.
Security classification:
None.
System location:
Social Security Administration, Office of Management, Budget and
Personnel, Office of Human Resources, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Employees of the Social Security Administration (SSA) headquarters who
request services or employees about whom SSA receives written
inquiries because of employees' alleged delinquency in paying taxes
and just debts.
Categories of records in the system:
Records in this system consist of the employee's name, Social Security
number, telephone extension, office, branch, grade and area of
service; nature of request, including personal information as to
finances that the employee voluntarily provides; disposition,
including employee's stated intentions; record of letters or tax forms
sent as replies and referrals made to community organizations; copies
of letters from employees to consumer agencies; letters from creditors
or their representatives and copies of our replies and copies of tax
levies against employees.
Authority for maintenance of the system:
The Department of Health and Human Services (HHS) Federal Personnel
Manual, 735-4-10.B1.
Purpose(s):
Files in this system are used by staff members of the Employee
Services and Awards Branch for work processing, perspective in
counseling and possible disciplinary action (Division of Personnel
Operations) when indicated.
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 indicted below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form (e.g., individual file folders).
Retrievability:
Records are indexed and retrieved alphabetically by name.
Safeguards:
Files are maintained in locked steel file cabinets. Access to the
files is limited to authorized employees who have a need for them in
the performance of their official duties. Also, all employees
periodically are briefed on Privacy Act requirements and SSA
confidentiality rules, including the criminal sanctions for
unauthorized disclosure of or access to personal records. ( See
Appendix J of this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Routine cases are destroyed by shredding after 1 year. Tax review
cases are maintained indefinitely. Ongoing cases in which there is
indepth counseling may be maintained up to 3 years from date of last
contact.
System manager(s) and address:
Director, Office of Human Resources, Social Security Administration,
6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the following address: Director, Division of
Personnel Operations, Social Security Administration, 6401 Security
Boulevard, Baltimore, Maryland 21235.
When requesting notification, the individual should provide his/her
name. These procedures are in accordance with HHS Regulations 45 CFR
part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These access procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requestors should reasonably
identify the record, specify the information they are contested and
state the corrective act sought and the reasons for the correction
with supporing justification. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is obtained from employee, creditors, the Internal Revenue
Service, State Tax Division of various States, and from records
generated internally in SSA (e.g. Computer Printout 7887 Part I
``Locator'' used to find telephone extension of employees).
Systems exempted from certain provisions of the act:
None.
09-60-0033
System name: Requests for Review of Proposed Contracts with
Experts and Consultants, HHS/SSA/OMBP.
Security classification:
None.
System location:
Social Security Administration, Office of Management, Budget, and
Personnel, Office of Human Resources, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Individuals for whom personal service contracts are proposed.
Categories of records in the system:
This system contains information which is relative to determining
whether services should be obtained by the appointment or procurement
method. The records may contain the individual's name, education
background, work experience, general qualifications, Social Security
number and date of birth.
Authority for maintenance of the system:
5 U.S.C. 3109.
Purpose(s):
Information in this system is used by General Accounting Office
auditors with requested information concerning the reasons for
recommendations made.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendent is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States were HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employees;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
4. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form.
Retrievability:
The records in this system are indexed and retrieved alphabetically by
name.
Safeguards:
Records are maintained in lockable file cabinets. Also, employees
periodically are briefed on Privacy Act requirements and Social
Security Administration confidentiality rules, including the criminal
sanctions for authorized disclosures of or access person records. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Director, Office of Human Resources, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the following address: Director, Division of
Personnel Policy, Data, and Research, 6401 Security Boulevard,
Baltimore, Maryland 21235.
When requesting notification of or access to records in this system,
the individual should provide his/her name, Social Security number,
date of contract and name of the SSA component for whom the contract
was performed. Those procedures are in accordance with HHS Regulations
45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is furnished by the individual and the Social Security
Administration component requesting the contract.
Systems exempted from certain provisions of the act:
None.
09-60-0037
System name: General Criminal Investigations Files, HHS/SSA/
OMBP.
Security classification:
None.
System location:
Social Security Administration, Office of Management, Budget and
Personnel, 6401 Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Suspected and reported violators of Federal and State criminal laws on
Social Security Administration (SSA) property.
Categories of records in the system:
Investigative efforts to resolve reported crimes and evidence
obtained.
Authority for maintenance of the system:
Section 535 of Title 28, United States Code.
Purpose(s):
Information in this system is used to provide an official record of
details of investigative efforts for use in administrative and/or
criminal proceedings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records where collected.
3. To the appropriate Federal, State, or local agency charged with the
responsibility of investigating or prosecuting a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, and whether arising by general statute, or particular program
statute, or by regulation, rule, or order issued pursuant thereto, if
this system of records indicates that a violation may have occurred.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in heavy-weight Kraft files.
Retrievability:
Files in this system are indexed and retrieved alphabetically by name.
Safeguards:
Access to files is limited to Protective Security Section employees
only. The files are maintained in fireproof, locked, steel cabinets.
Also, employees periodically are briefed on Privacy Act requirements
and SSA confidentiality rules, including the criminal sanctions for
unauthorized disclosure of or access to personal records. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Files in this system are destroyed by shredding 3 years after final
action.
System manager(s) and address:
Chief, Protective Security Branch, Office of Management, Budget and
Personnel, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the System Manager at the above address. The
request should contain his or her full name, date of birth and work
location in SSA. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Per 5 U.S.C. 552a(k)(2), the records in this system generally are
exempt from access by the individual named in the records. However,
access will be granted to information which is a matter of public
record or documents furnished by the individual. Also, requestors
should reasonably specify the record contents they are seeking. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requestors should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is derived from interviews of persons
believed knowledgeable about crimes under investigation who furnish
relevant facts which can serve to identify possible violators and
secure the conviction of the guilty.
Systems exempted from certain provisions of the act:
Exemption of this system to the access provisions is claimed under
section (k)(2) of the Privacy Act inasmuch as these records are
investigatory materials compiled for law enforcement in anticipation
of criminal proceeding. (See page 47413 of Federal Register of 8/8/75,
Vol. 40, No. 196, Part V).
09-60-0038
System name: Employee Building Pass Files, HHS/SSA/OMBP.
Security classification:
None.
System location:
Office of Management, Budget and Personnel, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Categories of individuals covered by the system:
All Social Security employees and non-Social Security employees who
require continuous access to buildings; (e.g. employees of vendors and
contractors).
Categories of records in the system:
Information relative to issuance of identification cards (e.g., name,
Social Security number, office location, office telephone number,
color code for type of pass and agency or firm name).
Authority for maintenance of the system:
Federal Property Management Regulations, 41 CFR 101-20.302--Admission
to Property.
Purpose(s):
Employee identification cards are used and required for admission to
Social Security buildings. The file of application forms verify issue
of an identification card to an employee and verify prior issuance in
the event of loss or theft of the card.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information is maintained on paper forms.
Retrievability:
Records are indexed and retrieved alphabetically by name.
Safeguards:
The records are stored in locked files. Access to the records is
limited to those employees who have a need for them in the performance
of their official duties. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employes to protect personal records.)
Retention and disposal:
The information provided on forms is retained for the length of
service of the individual and then destroyed by shredding; picture
passes, once surrendered, also are destroyed by shredding.
System manager(s) and address:
Chief, Protective Service Branch, Office of Management, Budget and
Personnel, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by contacting the following address: Chief,
Employee Services Section, Office of Management, Budget and Personnel,
6401 Security Boulevard, Baltimore, Maryland 21235.
When requesting notification of or access to records in this system,
the individual should provide his/her full name, date of birth and
work location with SSA. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in these files is received from the Division of Personnel
and Training Operations, individual employees, contractors and
vendors.
Systems exempted from certain provisions of the act:
None.
09-60-0040
System name: Quality Review System, HHS/SSA/OA.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Randomly selected applicants for and/or beneficiaries of:
a. Supplemental Security Income (SSI) payments under Title XVI of the
Social Security Act. Records of some SSI beneficiaries may have been
transferred from State welfare rolls for aid to the aged, blind, and
disabled.
b. Retirement, Survivors, and Disability insurance benefits under
Title II of the Social Security Act.
Categories of records in the system:
a. Supplemental Security Income Quality Review: Quality Review Data
Base, selected casefile, contingency sample master file, quality
assurance universe file, designated case file, designated case
transmission file, designated case extract file, and sample control
list. These records may contain: Social Security number, State and
county of residence, type of claim, information regarding federally
administered supplementation payments, Social Security claims numbers,
living arrangements and family composition, income and medical
information, sex, race, resources, third party contacts, and
indications of processing errors.
b. Retirement and Survivors Insurance and Disability Insurance Quality
Review: These records contain information regarding Federal payments
and other information listed in (a) above.
Authority for maintenance of the system:
Sections 205(a), 1631(d), and 1631(e) of the Social Security Act.
Purpose(s):
The Quality Review Data Base is used for accumulating and tabulating
data to determine the accuracy of the entitlement status of
applicants/beneficiaries and of benefit amounts paid under the
Retirement and Survivors Insurance program and the Disability
Insurance program, and the eligibility status of applicants/
beneficiaries and of benefit amounts paid under the Supplemental
Security Income program. Title XVI data also are used to calculate
Federal fiscal liability case and gross dollar error rates for State
suplementation funds administered by SSA. Other categories of records
provide data necessary to complete the data base and to provide
information to SA's Field Assessment Office Divisions of Payment and
Eligibility Quality and Field and Satellite Offices so that they may
review cases to obtain information on the general level of accuracy of
the entire beneficiary rolls in the programs noted previously.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
With respect to SSI data, disclosure may be made as indicated below:
1. To the appropriate Federal agency charged with the responsibility
for investigating or prosecuting a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto, if this system of
records indicates that a violation may have occurred.
2. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
3. To a contractor for the purpose of collating, evaluating,
analyzing, aggregating or otherwise refining records in this system
when HHS, Social Security Administration contracts with a private
firm. (The contractor shall be required to maintain Privacy Act
safeguards with respect to such records.)
4. In the course of employee discipline or competence determination
proceedings.
5. To members of the community and local, State, and Federal agencies
in order to locate the individual (when his or her whereabouts are
unknown), to establish the validity of evidence or to verify the
accuracy of information presented by the applicant/beneficiary,
representative payee, legal guardian or other representative of the
applicant/beneficiary.
6. To State Welfare Departments pursuant to agreements with the Social
Security Administration for the Federal administration of State
supplementation payments.
7. To State agencies for administration of the Medicaid Quality
Control system.
8. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
9. Where Federal agencies having the power to subpoena other Federal
agencies' records, issue a subpoena to HHS or the Social Security
Administration SSA will make such records available.
10. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
11. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
With respect to Title II data, routine disclosure is made only as
indicated in items 1, 2, 3, 4, 5, 8, and 9.
12. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape and disks).
Retrievability:
Records are indexed and retrieved by any set of record
characteristics; e.g., Social Security number, or name.
Safeguards:
System security has been established for the records in accordance
with the HHS Automated Data Processing Manual, ``Part 6, ADP System
Security.'' Tapes are stored in tape vault in the Division of Data
Processing Operations, Office of Systems Operations, or in protected
storage racks, disks in protected storage racks. The entire area is
secured by guarded entrances, with admission limited to authorized
personnel. (See Appendix J to this publication for additional
information relating to safeguards the Social Security employs to
protect personal information.)
Retention and disposal:
The Quality Review data base is retained indefinitely. Tape records
are erased after 30-500 days.
System manager(s) and address:
Director, Office of Payment and Eligibility Quality, Office of
Assessment, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the following address: Director, Division of
Quality Review Policy and Sample Control, Division of Payment and
Eligibility Quality, Office of Assessment, 6401 Security Boulevard,
Baltimore, Maryland 21235.
When requesting notification of or access to records, the individual
should provide his/her name and Social Security number. (Furnishing
the Social Security number is voluntary, but it will make searching
for an individual's record easier and avoid delay.) These procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. An individual who requests
notification of or access to a medical record shall, at the time he or
she makes the request, designate in writing a responsible
representative who will be willing to review the record and inform the
subject individual of its contents at the representative's discretion.
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's or health
professional's discretion.
These access procedures are in accordance with HHS Regulations 45 CFR
part 5b.
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. These procedures are in accordance with
HHS 45 CFR part 5b.
Record source categories:
Information in the Social Security Administration Quality Review
System is furnished by applicants for and beneficiaries of the
Retirement and Survivors Insurance program, the Disability Insurance
program, and the Supplemental Security Income program, representative
payees of such individuals (where appropriate), Social Security
Administration offices, other Federal and State agencies, and private
sources.
Systems exempted from certain provisions of the act:
None.
09-60-0042
System name: Quality Review Case File, HHS/SSA/OA.
Security classification:
None.
System location:
Social Security Administration, Office of Assessment, Office of
Payment and Eligibility Quality, 6401 Security Boulevard, Baltimore,
Maryland 21235
Field (10) and Satellite (27) Offices (See Appendices L.1 and L.2
for address information).
Categories of individuals covered by the system:
Randomly selected applicants for and/or beneficiaries of:
a. Supplemental Security Income (SSI) payments under Title XVI of the
Social Security Act. Records of some SSI beneficiaries may have been
transferred from State welfare rolls for Aid to the Aged, Blind, and
Disabled.
b. Retirement, Survivors, and Disability Insurance benefits under
Title II of the Social Security Act.
Categories of records in the system:
The Quality Review Casefile contains information from Social Security
Administration records and information obtained by Quality Review
Specialists from Retirement and Survivors Insurance, Disability
Insurance and SSI applicants and or beneficiaries and from third party
sources. These casefiles may contain information relating to any
combination of these three programs.
Authority for maintenance of the system:
Sections 205(a), 1631(d)(1) and 1631(e)(1)(B) of the Social Security
Act.
Purpose(s):
Both Title II and Title XVI Quality Review Casefiles are used for
accumulating data concerning the eligibility or entitlement of
applicants/beneficiaries and of benefit amounts paid under the
retirement, survivors, and disability insurance programs, and the
supplemental security income program. Casefiles also provide data
necessary to complete the Quality Review Data Base and to provide
information to the Social Security Administration's Field Assessment
Office Divisions of Payment and Eligibility Quality Field and
Satellite Offices needed to review cases in order to obtain
information on the general level of accuracy of the entire beneficiary
rolls in the programs noted previously.
Data obtained from Title XVI Quality Review Casefiles also are used to
calculate the Federal fiscal liability case and gross dollar error
rates for State supplementation funds administered by SSA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
With respect to SSI data, disclosure may be made as indicated below:
1. To the appropriate Federal agency charged with the responsibility
for investigating or prosecuting a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto, if this system of
records indicates that a violation may have occurred.
2. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
3. To a contractor for the purpose of collating, evaluating,
analysing, aggregating or otherwise refining records in this system
when HHS, Social Security Administration contracts with a private
firm. (The contractor shall be required to maintain Privacy Act
safeguards with respect to such records.)
4. In the course of employee discipline or competence determination
proceedings.
5. To members of the community and local, State, and Federal agencies
in order to locate the individual (when his or her whereabouts are
unknown), to establish the validity of evidence or to verify the
accuracy of information presented by the applicant/beneficiary,
representative payee, legal guardian or other representative of the
applicant/beneficiary.
6. To State Welfare Departments pursuant to agreements with the Social
Security Administration for the Federal administration of State
supplementation payments.
7. State agencies for administration of the Medicaid Quality Control
System.
8. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
9. Where Federal agencies having the power to subpoena other Federal
agencies' records, issue a subpoena to HHS or the Social Security
Administration, SSA will make such records available.
10. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
11. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
With respect to title II data, routine disclosure is made only as
indicated in items 1, 2, 3, 4, 5, 8, 9, and 10.
12. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., paper forms in manila
folders).
Retrievability:
The Quality Review Casefiles are retrieved by use of the Social
Security number. Retrieval will be speedier if the individual's State
of residence, program under which benefits were received and/or
applied for, and sample selection month are supplied.
Safeguards:
With respect to Title XVI, Quality Review Casefiles are stored in the
Field Assessment Satellite Offices that have jurisdictional
responsibility for review of the selected sample cases. With respect
to Title II, Quality Review Casefiles are stored in the Field
Assessment Office Divisions of Payment and Eligibility Quality, Field
Offices and, where appropriate, in the Satellite Field Assessment
Offices that have jurisdictional responsibility for review of the
selected sample cases. All Quality Review Casefiles are stored either
in locked cabinets and or locked rooms in space serviced by GSA
guards. Access is limited to SSA employees with responsibility for
reviewing and maintaining such casefiles and, in the case of SSI
Quality Review Casefiles, to State Medicaid Quality Control employees
pursuant to item 7 above. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration applies to protect personal records.)
Retention and disposal:
a. Titles XVI Quality Review Casefile are retained for 18 months after
the close of the 6-month period for which the cases were selected for
quality review or until 36 months after fiscal settlement (Federal
fiscal liability situation) for the sample period for which the
individual case was selected is reached between SSA and the individual
States, whichever is later.
b. Title II Quality Review Casefiles are retained for 18 months after
the close of the 6 month sample period for which the cases were
selected for review.
System manager(s) and address:
Director, Office of Payment and Eligibility Quality, Office of
Assessment, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the Field Assessment Officer at the respective
Field Assessment Office (see Appendix L.1 for address information).
When requesting notification of or access to records, the individual
should provide his/her name, Social Security number, State or
residence and type of claim filed (e.g., Retirement, Survivor's or
Disability Insurance). (Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay.) These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. An individual who requests
notification of or access to a medical record shall, at the time he or
she makes the request, designate in writing a responsible
representative who will be willing to review the record and inform the
subject individual of its contents at the representative's discretion.
A parent or guardian who requests notification of or access to minor's
medical record shall at the time he or she makes the request designate
a physician or other health professional (other than a family member)
who will be willing to review the record and inform the parent or
guardian of its contents at the physician's or health professional's
discretion.
These access procedures are in accordance with HHS Regulations 45 CFR
part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in the Quality Review Casefile is furnished by applicant/
beneficiaries under the Retirement and Survivors Insurance program,
the Disability Insurance program, and the Supplemental Security Income
program, representatives of such individuals (where appropriate),
Social Security Administration offices, and other Federal, State, and
local agencies, and from private sources.
Systems exempted from certain provisions of the act:
None.
09-60-0044
System name: Disability Determination Service Processing File,
HHS/SSA/ODP.
Security classification:
None.
System location:
Each Disability Determination Services (DDS's) office (see Appendix
B.2 for the name and address for each State DDS).
Categories of individuals covered by the system:
Claimants for Disability Insurance and Black Lung benefits, and
Supplemental Security Income payments alleging a disability for whom
the Disability Determination Service processes claims.
Categories of records in the system:
Name and Social Security number of wage earner, claimant's name and
address, date of birth, diagnosis, beginning and ending dates of
disability, basis for determination, work history information,
educational level, reexamination date (if applicable), date of
application, names and titles of persons making or reviewing the
determination and certain administrative data. Also included could be
data relative to the location of the file and the status of the claim,
copies of medical reports, and data relating to the evaluation and
measurement of the effectiveness of claims policies.
Authority for maintenance of the system:
5 U.S.C. 301, 30 U.S.C. 923(b), and sections 221, 1633, and 1634 of
the Social Security Act.
Purpose(s):
The records are used primarily for the processing of disability and
black lung claims for detection and correction of deficiencies and
problems involved in this processing, and for case control purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be for routine uses as indicated below:
1. To State Vocational Rehabilitation agencies or State crippled
children's service agencies (or agencies providing services to
disabled children) for the consideration of rehabilitation services
per sections 222 and 1615 of the Social Security Act.
2. To State audit agencies utilizing this information for verifying
proper expenditure of Federal funds by the State in support of the
Disability Determination Service (DDS).
3. To the Veterans Administration of information requested for
purposes of determining eligibility for or amount of VA benefits, or
verifying other information with respect thereto.
4. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
5. In response to legal process of interrogatories relating to the
enforcement of an individual's child support or alimony obligations,
as required by sections 459 and 461 of the Social Security Act.
6. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
7. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
8. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
9. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form, on magnetic tape or disk packs.
The method of storage may vary from State to State.
Retrievability:
The records are filed by a combination of name and Social Security
number depending on the Disability Determination Services' preference.
Safeguards:
Automated records are maintained in accordance with HHS Automated Data
Processing Manual, ``Part 6, ADP System Security.'' The records are
accessible only to Disability Determination Service personnel and
subject to the restrictions on disclosures under 5 U.S.C. 552(b)(6),
21 U.S.C. 1175, and 42 U.S.C. 1306. (See Appendix J to this
publication for additional information relating to safeguards the
Social Security Administration applies to protect personal
information.
Retention and disposal:
May vary from State to State according to the preference, but
generally each State destroys its files over a period varying from 6
months to 36 months unless held in an inactive storage under security
measures for a longer period.
System manager(s) and address:
Director, Office of Disability Programs, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing his/her name and Social Security number to the
Disability Determination Service Administrator, Disability
Determination Services, C/O State in which he or she resides and/or
information is likely to be maintained. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) (See Appendix B.2 for
address information.) These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought.
An individual who requests notification of, or access to a medical
record shall, at the time he or she makes the request, designate in
writing a responsible representative who will be willing to review the
record and inform the subject individual of its contents at the
representative's discretion.
A parent or guardian who requests notification of, or access to a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's discretion.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The information to support factors of entitlement and/or continuing
eligibility originates from claimants or those acting on their behalf,
physicians, hospitals, and other appropriate sources. Also,
information is received from control data that monitors the location
and status of the claim.
Systems exempted from certain provisions of the act:
None.
09-60-0045
System name: Black Lung Payment System, HHS/SSA/OUVR.
Security classification:
None.
System location:
Social Security Administration Office of System Operations, 6401
Security Boulevard, Baltimore, MD 21235
Categories of individuals covered by the system:
All Black Lung beneficiaries currently entitled to receive a Black
Lung (BL) benefit and beneficiaries terminated because of a
termination event as defined in the Black Lung Benefits Act (BLBA).
Categories of records in the system:
This system consists of two files, a Payment Master Record and a
Benefit Master Record which are matched once a month.
The Payment Master Record reflects the Social Security number (SSN)
and the payment identification code under which BL benefits are
awarded and payment data such as the monthly payment amount; the
scheduled payment amount; offset information; the number of
beneficiaries on the account as well as the number of beneficiaries in
the payment; the month of accrual; the month of debit; credit
information; future month of adjustment diary dates; cross-reference
information; payee name and address information, direct deposit data,
and statistical information.
The Benefit Master Record contains a benefit record for each
beneficiary on the account and includes the SSN; the payment and
benefit identification codes; the payment status; the monthly benefit
amount; the beneficiary's name; type of benefit; date of birth; race;
sex; offset information; credit information; date of filing; date of
entitlement; representative payee information, and statistical
information.
Authority for maintenance of the system:
Sections 413 and 415 of the BLBA (30 U.S.C. 923 and 925).
Purpose(s):
The data in this system are used by Social Security employees for
responding to inquiries; computer exception processing; conversion of
benefits; end of the month reconciliations; statistical studies; to
generate payment tapes for Treasury; and for exchange with Department
of Labor to administering provisions of the BLBA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his/her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee is his/her individual capacity where the Justice
Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
Justice to enable that department or present an effective defense,
provided such disclosure is compatible with the purpose for which the
records were collected.
3. To the Office of the President for the purpose of responding to an
individual pursuant to an inquiry from that individual or from a third
party on his/her behalf.
4. Upon request, information on the identity and location of aliens
may be disclosed to the Department of Justice (Criminal Division,
Office of Special Investigations) for the purpose of detecting,
investigating, and where appropriate, taking legal action against
suspected Nazi war criminals in the United States.
5. To third party contacts (including private collection agencies
under contract with the Social Security Administration (SSA)) for the
purpose of their assisting SSA in recovering overpayments.
6. To the Department of the Treasury of issue BL checks.
7. To the Department of Labor for administering provisions of the
BLBA.
8. 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 into a contractural or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
9. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
10. Upon request, pursuant to 38 U.S.C. 3006 information may be
disclosed to the Veterans Administration (VA) for the purpose of
determining eligibility for or amount of VA benefits or verifying
other information with respect to VA Pension and Dependency and
Indemnity Compensation Benefit Programs.
11. Information may be disclosed to State WC agencies or private WC
carriers (or agents on their behalf) for the purpose of the effecient
administration of the BL program. We contemplate disclosing
information under this routine use only in situations in which SSA
enters into a signed agreement with a State WC agency or private WC
carrier to assist in accomplishing an agency function relating to the
Black Lung Payment System.
. Information as to whether an individual is alive or deceased may be
disclosed pursuant to section 1106(d) of the Social Security Act (42
U.S.C. 1306(d)), upon request, for purposes of an epidemiological or
similar research project, provided that:
(a) SSA determines, in consultation with the Department of Health and
Human Services, that the research may reasonably be expected to
contribute to a national health interest;
(b) The requester agrees to reimburse SSA for the costs of providing
the information; and
(c) The requester agrees to comply with any safeguards and limitations
specified by the SSA regarding rerelease or redisclosure of the
information.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape), disc,
microfiche, and in paper form.
Retrievability:
Records in this system are retrieved by SSN.
Safeguards:
Safeguards for automated records have been established in accordance
with the HHS Automated Data Processing (ADP) Manual, ``Part 6, ADP
System Security.'' This includes storing the records in secured areas
with armed security guards. Anyone entering or leaving the areas must
have a special badge issued only to authorized personnel. The records
are available to employees only in the performance of their official
duties. Paper records are maintained in areas with limited access and
offices are locked after business hours.
All employees of SSA are periodically briefed on Privacy Act
requirements and SSA confidentiality rules, including the criminal
sanctions for unauthorized disclosure of or access to personnal
records. (See 47 FR 45671, October 13, 1982, Appendix J for additional
information relating to safeguards SSA employs to protect personal
information.)
Retention and disposal:
Magnetic tape records are retained for up to 90 days after which they
are erased and returned to stock. Paper records are destroyed by
shredding after use or disposed of through contractual arrangements
with trash collectors. Paper records needed for documentation of the
claims folder are retained indefinitely in SSA facilities or in
Federal Records Centers. All master records are retained on magnetic
disc for on-line query purposes. The query files are updated daily.
Microfiche records are disposed of by shredding or the application of
heat after periodic replacement of a complete file.
System manager(s) and address:
Director, Office of Claims and Payment Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting the system manager at the address shown above
and providing his/her name, SSN, approximate date and place claim was
filed, type of claim and return address. (Furnishing the SSN is
voluntary, but it will make searching for an individual's record
easier and avoid delay). These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
An Individual requesting notification of records in person need not
furnish any special documents of identity. It is expected that
documents he/she would normally carry on his/her person would be
sufficient (e.g., credit cards, drivers license, or voter registration
card). An individual requesting notification of records via mail or
telephone must furnish his/her name, date of birth and address in
order to establish identity, plus any additional information which is
specified in this section or the Record access procedures section
below.
Record access procedures:
Same as notification procedures above. Also, requesters should
reasonably specify the record contents they are seeking. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures above. Also, requesters should
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 HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is prepared from Black Lung claims folders
which are maintained in the system of records 09-60-0089--Claim
Folders.
Systems exempted from certain provisions of the act:
None.
09-60-0046
System name: Disability Determination Service Consultant's File,
HHS/SSA/OD.
Security classification:
None.
System location:
Offices of the Disability Determination Services (DDS) of each State
that may currently maintain this type of file. (See the appendix which
accompanies this notice for the name and address of each DDS.)
Categories of individuals covered by the system:
Physicians who have expressed a willingness to conduct consultative
examinations for the DDS and, in some instances, other physicians with
whom the DDS has contact. The latter are usually treating physicians.
This file also includes, but is not limited to, psychologists, social
workers, nurses, audiologists and vocational consultants who express a
willingness to conduct some type of consultative service for the DDS.
Categories of records in the system:
Information relative to a consultant's specialty, past experience as
to the promptness with which reports are submitted, general
thoroughness of reports, fees received, etc., and perhaps comments on
the consultant's own preferences (such as appointment hours, etc.)
Authority for maintenance of the system:
5 U.S.C. 301, 30 U.S.C. 923(b), and sections 221, and 1633 of the
Social Security Act.
Purpose(s):
DDS personnel use this information in the selection of a consultant
when additional medical or vocational evidence is needed for claims
under Titles II and XVI of the Social Security Act or Title IV of the
Federal Coal Mine Health and Safety Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting the Social
Security Administration (SSA) in the efficient administration of its
program. We contemplate disclosing information under this routine use
only in situations in which SSA may enter into a contractual or
similar agreement with a third party to assist in accomplishing an
agency function relating to this system of records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each DDS maintains its own records and the method of storage may vary
from State to State. Generally, the information is on a file card
maintained in a standard card file cabinet. However, some States may
used an automated format.
Retrievability:
Records are retrieved by the consultant's surname.
Safeguards:
Only authorized SSA and DDS personnel have access to these records.
Personal information other than the name of the consultant is subject
to the disclosure restrictions of 5 U.S.C. 552(b)(6), 21 U.S.C. 1175,
and 42 U.S.C.
Retention and disposal:
Disability Determination Services policy as to retention and disposal
varies from State to State, but generally, the file is destroyed upon
death, retirement, or relocation of the consultant.
System manager(s) and address:
Associate Commissioner, Office of Disability, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing name and address to the Disability Determination
Services Administrator, Disability Determination Services, c/o the
State in which he or she resides and/or information is likely to be
maintained (see the appendix accompanying this notice for address
information). These procedures are in accordance with HHS Regulations
45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Requesters also should 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 HHS Regulations 45 CFR part 5b.
Record source categories:
Information is obtained mostly from the consultant. Observations of
DDS personnel about the consultant, such as the individual's general
promptness in filing reports, may occasionally be found in a
consultant's file.
Systems exempted from certain provisions of the act:
None.
Appendix--State Disability Determination Service Office Addresses
(Included Are Addresses for Guam, the Northern Mariana Islands,
Puerto Rico and the Virgin Islands)
Alabama (Decentralized)
Division of Disability Determinations, Clairmont Office Plaza, PO
Box C-300, 2800 University Boulevard, Birmingham, AL 35233
Division of Disability Determinations, PO Box 2371 (36652-2371),
2000 Old Bayfront Drive, Mobile, AL 36615
Alaska
Disability Determinations Unit, 4100 Spenard Road, Suite A,
Anchorage, AK 99503-5387
Arizona (Decentralized)
Disability Determination Services Administration, PO Box 11980,
Phoenix, AZ 85061
Disability Determination Services Administration, PO Box 40060,
Tucson, AZ 85717
Arkansas
Disability Determinations for the Social Security Administration,
701 Pulaski Street, Little Rock, AR 72201
California (Decentralized)
Fresno
Division of Disability Evaluation, PO Box 1072, Fresno, CA 93714
Los Angeles
Division of Disability Evaluation, PO Box 3819, Terminal Annex, Los
Angeles, CA 90051
Division of Disability Evaluation, PO Box 60999, Terminal Annex, Los
Angeles, CA 90060
Sacramento
Division of Disability Evaluation, 744 ``P'' Street, Room 1827,
Sacramento, CA 95809
San Diego
Division of Disability Evaluation, PO Box 85326, 6160 Mission Gorge
Road, San Diego, CA 92120
Oakland
Division of Disability Evaluation, PO Box 24225, Oakland, CA 94623
Colorado
Disability Determination Services, PO Box 22336, Denver, CO 80222
Disability Determination Services, 2121 South Oneida Street, Denver,
CO 80224
Connecticut
Bureau of Disability Determinations, 600 Asylum Avenue, Hartford, CT
06105
Delaware
Disability Determination Services, Elwyn Building, 3rd Floor, 321
East 11th, Wilmington, DE 19801
District of Columbia
Disability Determination Division, Vocational Rehabilitation
Administration, Department of Human Resources, 1120 G Street NW,
Washington DC 20001
Florida (Decentralized)
Office of Disability Determinations, 2600 Blair Stone Road, Room
350B, Tallahassee, FL 32301
Office of Disability Determinations, 111 Coast Lane Drive, East,
Suite 202, Jacksonville, FL 32202
Office of Disability Determinations, 3438 Lawton Road, Room 127,
Orlando, FL 32803
Office of Disability Determinations, 7402 North 56th Street,
Building 500, Tampa, FL 33617
Office of Disability Determinations, 10300 Sunset Drive, Suite 190,
Miami, FL 33173
Office of Disability Determinations, Oakland Office Building, Room
261, 2009 Apalachee Parkway, Tallahassee, FL 32301
Georgia
Disability Adjudication Section, Decatur Building, Suite 300, 200
Swanton Way, Decatur, GA 30089
Guam
Disability Determination Service, Department of Vocational
Rehabilitation, 112 Harmond Plaza, Room B-201, Harmond Industrial
Plaza, Agana, GU 96911
Hawaii
Disability Determination Branch, Kapiolanc Commercial Center, 1580
Makaloa Street, Suite 660, Honolulu, HI 96814
Idaho
Disability Determination Unit, PO Box 4188 (83704), 1505 McKinney,
Boise, ID 83704
Illinois
Bureau of Disability Determination Services, PO Box 1950 (ZIP Code
62794-9250), 100 North First Street, Springfield, IL 62708
Indiana
Disability Determination Division, PO Box 7069, 17 West Market
Street, Indianapolis, IN 46207
Iowa
Disability Determination Services, 510 East 12th Street, Des Moines,
IA 50319
Kansas
Disability Determination Services, Highland Village Shopping Center,
2049 SE. 29th Street, Topeka, KS 66605-2497
Kentucky (Decentralized)
Division of Disability Determinations, 275 East Main Street, 3rd
Floor, PO Box 1000, Frankfort, KY 40602
Division of Disability Determinations, 2691 Regency Road, Lexington,
KY 40503
Division of Disability Determinations, Civic Plaza, PO Box 1061,
Seventh and Jefferson Streets, Louisville, KY 40201
Louisiana (Decentralized)
Disability Determinations, 530 Lakeland Drive, Baton Rouge, LA 70802
Disability Determinations, PO Box 66498, Audubon Station, Baton
Rouge, LA 70896
Disability Determinations, 2730 Wooddale Boulevard, Baton Rouge, LA
70805
Disability Determinations, PO Box 4446, Centenary Station, 2920
Knight Street, Shreveport, LA 71104
Disability Determinations, PO Box 19400, 2025 Canal Street, New
Orleans, LA 70119
Maine
Division of Disability Determinations, Arsenal Street Extension,
State House Extension No.116, Augusta, ME 04333
Maryland
Disability Determination Services, Towson, MD 21204
Disability Determination Services, Division of Vocational
Rehabilitation, PO Box 17011, Baltimore, MD 21203
Massachusetts (Decentralized)
Disability Determination Services, 110 Chauncy Street, Boston, MA
02111
Disability Determination Services, 22 Front Street, PO Box 8009,
Worcester, MA 01614
Michigan (Decentralized)
Disability Determination Services, PO Box 30011, 608 West Allegan
Street, Lansing, MI 48909
Disability Determination Services, PO Box 1220, 1020 Hastings Road,
Traverse City, MI 49685
Disability Determination Services, PO Box 345 (48226), Michigan
Plaza Building, 1200 Sixth Street, 10th Floor, Detroit, MI 48224
Disability Determination Services, PO Box 4020 (49003), 300 South
Burdick Kalamazoo Mall, Kalamazoo, MI 49003
Minnesota
Disability Determination Unit, Metro Square Building, Suite 460,
Seventh and Robert Streets, PO Box 43709 (ZIP Code 55164), St. Paul,
MN 55101
Mississippi
State Disability Determination Services, PO Box 1271 (39205), 5977
Highway 18, Jackson, MS 39209
Missouri (Decentralized)
Disability Determination Services, 2401 East McCarty, Jefferson
City, MO 65101
Disability Determination Services, 2143 Independence Street, Cape
Girardeau, MO 63701
Disability Determination Services, 9140 Ward Parkway, Kansas City,
MO 64114
Disability Determination Services, 10042 Gravois Street, St. Louis,
MO 63123
Disability Determination Services, 2530 Suite I, South Campbell
Street, Springfield, MO 65807
Disability Determination Services, 2728A Plaza Drive, Jefferson
City, MO 65101
Montana
Disability Determination Burea, PO Box 4189 (59604) 1330 Helena
Avenue, Helena, MT 59601
Nebraska (Decentralized)
Disability Determination Services, State Office Building, 6th Floor,
301 Centennial Mall, South, Lincoln, NE 68509
Disability Determination Services, Downtown Education Center, 3rd
Floor, 1313 Farnam on the Mall, Omaha, NE 68102
Nevada
Bureau of Disability Adjudication, 505 East King Street, State
Capitol Complex, Room 403, Carson City, NV 89710
New Hampshire
Disability Determination Unit, PO Box 452, 105 Loudon Road, Building
4, Concord, NH 03331
New Jersey
Division of Disability Determinations, PO Box 649 (07101), 1100
Raymond Boulevard, Room 418, Newark, NJ 07102
Division of Disability Determinations, PO Box 431, 745 Market
Street, Camden, NJ 08101
New Mexico
Disability Determination Unit, PO Box 4588 (87196), Sandia Plaza
Center, 3301 Juan Tabo, NE., Albuquerque, NM 87111
New York (Decentralized)
Office of Disability Determination, PO Box 1993 (11201), 1 Commerce
Plaza, 12th Floor, Albany, NY 12260
Office of Disability Determinations, 295 Main Street, PO Box 5030
Ellicott Station, Buffalo, NY 14205
Office of Disability Determinations, 110 William Street, New York,
NY 10038
North Carolina
Disability Determination Section, PO Box 243, Raleigh, NC 27602
Disability Determination Section, 1110 Navajo Drive, Raleigh, NC
27609
North Dakota
Disability Determination Services, 600 South Second Street,
Bismarck, ND 58501
Northern Mariana Islands
Disability Insurance--SSA, 238 O'Hara Street, Agana, GU 96910
Ohio (Decentralized)
Bureau of Disability Determinations, Rehabilitation Services
Commission, PO Box 29700, 1944 West Morse, Columbus, OH 43229
Bureau of Disability Determinations, PO Box 42513, 9403 Kenwood
Road, Cincinatti, OH 45242
Oklahoma
Disability Determination Unit, PO Box 25352, 7801 N. Robinson, Suite
J-7, Oklahoma City, OK 73116
Oregon
Disability Determination Services, Vocational Rehabilitation
Division, 2045 Silverton Road, NE, Salem, OR 97310
Pennsylvania (Decentralized)
Bureau of Disability Determinations, 7th and Forster Streets, Labor
and Industry Building, Room 1306, Harrisburg, PA 17120
Bureau of Disability Determinations, 1314 North Seventh Street,
Harrisburg, PA 17120
Bureau of Disability Determinations, PO Box R, 38 Courtright Avenue,
Wilkes Barre, PA 18702
Bureau of Disability Determinations, 351 Harvey Avenue, PO Box 2500,
Greensburg, PA 15605
Bureau of Disability Determinations, 351 Harvey Avenue, Greensburg,
PA 15605
Puerto Rico
Disability Determination Program, Call Box 71301, GPO, San Juan, PR
00936
Rhode Island
Disability Determination Unit, 40 Fountain Street, Providence, RI
02930
South Carolina (Dencentralized)
Disability Determination Division, PO Box 4945, 3600 Forest Drive,
Suite 200, Columbia, SC 29240
Disability Determination Division, PO Box 3090 (29602), 300
Building, 300 University Ridge, Greenville, SC 29601
Disability Determination Division, Landmark Office Building, 4th
Floor, Columbia, SC 29204
Disability Determination Division, 209 Fairfield Court, 1064 Gardner
Road, Hwy 7, Clarleston, SC 29407
South Carolina Commissioner for the Blind, 1430 Confederate Avenue,
Columbia, SC 29201
South Dakota
Disability Determination Services, PO Box 1029, 405 South Third
Avenue, Tyler Building, Sioux Falls, SD 57101
Tennessee
Disability Determination Section, 1808 West End Avenue, 9th Floor,
PO Box 775 (37203), Nashville, TN 37202
Texas
Division of Disability Determinations, PO Box 2913 (78769), 118 East
Riverside Drive, Austin, TX 78704
Utah
Disability Determination Services, PO Box 550, Salt Lake City, UT
84110
Disability Determination Services, 250 East 5th Street, South, Salt
Lake City, UT 84111
Vermont
Disability Determination Agency, 103 South Main Street, Waterbury,
VT 05676
Virgin Islands
Disability Representative VI, Social Security Administration,
Federal Office Building, Room 113, 26 Veterans Drive, St. Thomas, VI
00801
Virginia (Dencentralized)
Disability Determination Services, 5205 Leesburg Pike, Suite 1000,
Falls Church, VA 22041
Disability Determination Services, 111 Franklin Road, PO Box 250,
Roanoke, VA 24011
Disability Determination Services, 4900 Fitzhugh Avenue, Richmond,
VA 23230
Disability Determination Services, 2106 N. Hamilton Street,
Richmond, VA 23230
Disability Determination Services, PO Box 5090, Suite 107, 5700
Thurston Avenue, Virginia Beach, VA 23455
Washington (Dencentralized)
Department of Social and Health Services, Office of Disability
Insurance, Building 13, Airdustrial Park, PO Box 9303 M.S. LN--11,
Olympia, WA 98504
Office of Disability Insurance, 4601 North Monroe Street, B-32-13,
Spokane, WA 99205
Office of Disability Insurance, 1119 Southwest Seventh Street,
Renton, WA 98055
West Virginia
Disability Determination Section, Second Floor, Mason Building, 1206
Quarrier Street, Charleston, WV 25301
Disability Determination Section, PO Box 908, 170 Thompson Drive,
Bridgeport, WV 26330
Wisconsin
Bureau of Social Security Disability Insurance, Division of
Community Services, PO Box 7623 (ZIP Code 53707), 722 Williamson
Street, Madison, WI 53703
Wyoming
Disability Determination Services, Barrett Building, 4th Floor,
North, 611 West 29th Street, Cheyenne, WY 82002
09-60-0047
System name: Critical Case Processing Time, HHS/SSA/OOPP.
Security classification:
None.
System location:
Social Security Administration, Office of System Operation, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Social Security Disability beneficiaries or claimants whose
application for disability benefits is pending.
Categories of records in the system:
Social Security numbers of claimants and dates requests were received
and processed.
Authority for maintenance of the system:
Section 221 of the Social Security Act.
Purpose(s):
Records in this system are used to prepare monthly processing time
reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
2. To the Internal Revenue Service, Treasury Department, as necessary
for the purpose of auditing the Social Security Administration's
compliance with safeguard provisions of the Internal Revenue Code of
1954, as amended.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in magnetic media (e.g., magnetic tapes).
Retrievability:
The records are retrieved by use of the Social Security number.
Safeguards:
Safeguards for the records have been established in accordance with
the Department of Health and Human Services Automated Data Processing
Manual, ``Part 6, ADP System Security,'' Only authorized personnel
having a need for this information in the performance of their
official duties have access to this data under stringent security
measures involving guards, identity cards and photographs, etc. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
The records are maintained until a determination decision is made, at
which time the tape records are erased.
System manager(s) and address:
SSA Privacy Officer, 6401 Security Boulevard, Baltimore, Maryland
21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address shown above and
furnishing his or her name, Social Security number, approximate date
and place claim was filed, type of claim (Disability Black Lung, of
Supplemental Security Income), and return address. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records are prepared from control sheets showing date of requests,
date request was processed and type of request.
Systems exempted from certain provisions of the act:
None.
09-60-0050
System name: Completed Determination Record--Continuing
Disability Determinations, HHS/SSA/OOPP.
Security classification:
None.
System location:
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Allowed disability claimants on which a continuing issue has occurred
and a decision of continuance or cessation has been approved.
Categories of records in the system:
Name and Social Security number of the individual and other data such
as date of birth, district office and state agency code, date
disability began, type of claim, reasons for reopening, continuance or
cessation code, date of termination (if applicable), date of
completion, etc.
Authority for maintenance of the system:
Section 221 of the Social Security Act.
Purpose(s):
This system is used to record the result of continuing disability
investigations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
2. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with the safeguard provisions of the
Internal Revenue Code of 1954, as amended.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in magnetic media (e.g., magnetic tapes).
Retrievability:
The records are retrieved by use of the Social Security number.
Safeguards:
Only authorized personnel having a need for this information in the
performance of their official duties have access to this data under
stringent security measures involving guards, identity cards, and
photographs, etc. (See Appendix J to this publication for additional
information relating to safeguards the Social Security Administration
employs to protect personal information.)
Retention and disposal:
The records are maintained indefinitely.
System manager(s) and address:
SSA Privacy Officer, 6401 Security Boulevard, Baltimore, Maryland
21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address shown above and
furnishing his or her name, Social Security number, approximate date
and place claim was filed, type of claim (Disability, Black Lung, or
Supplemental Security Income), and return address. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.)
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking.
An individual who requests notification of or access to a medical
record shall, at the time he or she makes the request, designate in
writing a responsible representative who will be willing to review the
record and inform the subject individual of its contents at the
representative's discretion.
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's or health
professional's discretion. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
These records summarize information contained in the claims folder
which was obtained from the individual or someone acting on the
individual's behalf and from this individual's physician, or a
physician performing a consultative examination or from hospitals and
other treatment sources.
Systems exempted from certain provisions of the act:
None.
09-60-0052
System name: Disposition of Vocational Rehabilitation Report to
Social Security Administration, HHS/SSA/ODP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Disability beneficaries accepted for vocational rehabilitation
services under the reimbursement provisions and now reported as closed
(no longer receiving service).
Categories of records in the system:
Records in this system consist of the name and Social Security number
of the disabled beneficiary, date of birth, and other information such
as the closure status and date, medical improvement status, work
status, date work began, and average weekly wage.
Authority for maintenance of the system:
Sections 222 and 1615 of the Social Security Act.
Purpose(s):
This system serves as a source for statistical and accounting data
about beneficiaries involved in the vocational rehabilitation
reimbursement program.
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:
To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in magnetic media (e.g., magnetic tapes).
Retrievability:
The records are retrieved by use of the Social Security number.
Safeguards:
Safeguards for the records have been established in accordance with
the Department of Health and Human Services Automated Data Processing
Manual, ``Part 6, ADP System Security.'' Only authorized personnel
having a need for this information in the performance of their
official duties have access to this data under stringent security
measures involving guards, identity cards and photographs, etc. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employes to protect
personal information.)
Retention and disposal:
The records are maintained indefinitely.
System manager(s) and address:
Director, Office of Disability Programs, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedures:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address shown above and
furnishing his or her name, Social Security number, approximate date
and place claim was filed, type of claim (Disability, or Supplemental
Security Income), and return address. (Furnishing the Social Security
number is voluntary, but it will make searching for an individual's
record easier and avoid delay.)
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These access procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The data is extracted from vocational rehabilitation reports submitted
to the Social Security Administration by State offices of vocational
rehabilitation.
Systems exempted from certain provisions of the act:
None.
09-60-0053
System name: Reimbursement from Trust Fund for Vocational
Rehabilitation Services, HHS/SSA/ODP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Disabled beneficiaries referred and undergoing consideration for
vocational rehabilitation services.
Categories of records in the system:
Records in this system consist of the name and Social Security number
of the beneficiary, information relating to the costs of vocational
rehabilitation services to be reimbursed from Social Security trust or
general funds providing a beneficiary status exists, vocational
rehabilitations State and district office code, type of claim, amount
of benefit (at time of referral), date of request for status.
Authority for maintenance of the system:
Sections 222 and 1615 of the Social Security Act.
Purpose(s):
This record serves as a control and monitor of vocational
rehabilitation referred activity in the Disability Insurance program
in order to validate the use of trust funds and general funds expended
for services rendered.
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:
To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tapes).
Retrievability:
Records are indexed and retrieved by use of the Social Security
number.
Safeguards:
System security has been established for the records in accordance
with the Department of Health and Human Services' Automated Data
Processing Manual, ``Part 6, ADP System Security.'' Only authorized
personnel having a need for this information in the performance of
their official duties have access to this data under stringent
security measures involving guards, identity cards and photographs,
etc. (See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Records are destroyed upon notification of closure from the State
agency or upon expiration of 5 years from date record was created,
whichever occurs first.
System manager(s) and address:
Director, Office of Disability Programs, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address shown above and
furnishing his or her name, Social Security number, approximate date
and place claim was filed, type of claim (Disability, Black Lung, or
Supplemental Security Income), and return address. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These access procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The basic record is prepared as the result of a written or teletyped
request for benefit status from the State agency. Additional
information is secured from the Master Beneficiary Record (09-60-0090)
and the Supplementary Security Income Record (09-60-0103) systems of
records.
Systems exempted from certain provisions of the act:
None.
09-60-0056
System name: Vocational Rehabilitation Savings Calculation, HHS/
SSA/ODP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Disability beneficiaries reported by State vocational rehabilitation
agencies as no longer receiving vocational rehabilitation service.
Categories of records in the system:
Records in this system consist of the name and Social Security number
of the beneficiary and identifying information about the notice of
disclosure, the date of termination or reduction in benefits, if any,
amount of benefit, amount of savings and other miscellaneous data.
Authority for maintenance of the system:
Sections 222 and 1615 of the Social Security Act.
Purpose(s):
This record serves primarily as a source for furnishing statistical
and benefit information on the vocational rehabilitation reimbursement
program.
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:
To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored in magnetic media (e.g., magnetic
tapes).
Retrievability:
Records are indexed and retrieved by use of the Social Security
number.
Safeguards:
System security has been established for this system in accordance
with the Department of Health and Human Services' Automated Data
Processing Manual, ``Part 6, ADP System Security.'' Only authorized
personnel having a need for this information in the performance of
their official duties have access to this data under stringent
security measures involving guards, identity cards and photographs,
etc. (See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Tapes are maintained indefinitely.
System manager(s) and address:
Director, Office of Disability Programs, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address shown above and
furnishing his or here name, Social Security number, approximate date
and place claim was filed, type of claim (Disability Insurance or
Supplemental Security Income), and return address. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record casier and avoid delay.)
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These access procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The information is extracted and compiled from the vocational
rehabilitation closure report, and the Earnings Recording and Self-
Employment Income System (09-60-0059), Master Beneficiary Record (09-
60-0090), and Supplemental Security Income Record (09-60-0103) systems
of records.
Systems exempted from certain provisions of the act:
None.
09-60-0057
System name: Quality Evaluation Data Records, HHS/SSA/OA.
Security classification:
None.
System location:
Social Security Administration, Office of Assessment, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Each individual who has filed an application for Social Security
Disability Insurance benefits and/or Supplementary Security Income
disability payments.
Categories of records in the system:
Information in this system consists of the claimant's name and Social
Security numbers; and demographic, diagnostic, and other types of data
generated as a result of a review of the State actions on the claim.
Authority for maintenance of the system:
Section 221 of the Social Security Act.
Purpose(s):
This system is used for the purpose of assisting in the assessment of
the quality of disability determinations made by State Disability
Determination Services. Records are used to report monthly results of
the review of the State disability determination progress.
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:
To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be made to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form and in magnetic media (e.g.,
magnetic tape and disk).
Retrievability:
The records are indexed and retrieved by use of the Social Security
number.
Safeguards:
Paper records are kept in secured physical areas. Safeguards for
automated records have been established in accordance with the
Department of Health and Human Services Automated Data Processing
Manual, ``Part 6, ADP System Security.'' This includes maintaining
automated records in an enclosure attended by security guards. Data is
tramsmitted from Field Assessment Offices and headquarters to Computer
Sciences Corporation (CSC) time sharing computer facilities, and
return, over leased lines provided through CSC. Internal computer
security is safeguarded by account numbers, access codes, passwords
and edit checks. These assure that only authorized access to the
computer system is permitted, that the particular data requested from
the system can be released to the requester, and that control is
maintained over the locations to which systems data may be sent. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal records.)
Retention and disposal:
The records are maintained for a period of 48 months. Paper records
are disposed of by shredding; tape and disc records are destroyed
magnetically.
System manager(s) and address:
Director, Office of Disability Program Quality, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the system manager at the address shown above
and furnishing name, Social Security number, approximate date and
place claim was filed, type of claim (Disability or Supplemental
Security Income), and address. (Furnishing the Social Security number
is voluntary, but it will make searching for an individual's record
easier and avoid delay.)
An individual who requests notification of or access to a medical
record shall, at the time he or she makes the request, designate in
writing a responsible representative who will be willing to review the
record and inform the subject individual of its contents at the
representative's discretion.
A parent of guardian who requests notification of or access to a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent of guardian of its contents at the physician's or health
professional's discretion. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are accessing. These access
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, 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. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Records are prepared from Form SSA 3094 and show decision, diagnosis
and other information.
Systems exempted from certain provisions of the act:
None.
09-60-0058
System name:
Master Files of Social Security Number (SSN) Holders and SSN
Applications, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, MD 21235.
Social Security Administration, Office of Central Records Operations,
Metro West Building, 300 N. Greene Street, Baltimore, MD 21201.
Records may also be maintained at contractor sites (contact the system
manager at the address below to obtain contractor addresses).
Categories of individuals covered by the system:
This system contains a record of each individual who has applied for
and obtained an SSN and of each individual whose application was
supported by documents which are suspected to be fraudulent and are
being verified with the issuing agency, or have been determined to be
fraudulent.
Categories of records in the system:
This system contains all of the information received on original
applications for SSNs (e.g., name, date and place of birth, sex, both
parents' names, and race/ethnic data), and any changes in the
information on the applications that are submitted by the SSN holders.
It also contains applications supported by evidence suspected or
determined to be fraudulent, along with the mailing addresses of the
individuals who filed such applications and descriptions of the
documentation which they submitted. Cross-references may be noted
where multiple numbers have been issued to the same individual and an
indication may be shown that a benefit claim has been made under a
particular SSN(s).
Authority for maintenance of the system:
Sections 205(a) and 205(c)(2) of the Act.
Purpose(s):
Information in this system is used by the Social Security
Administration (SSA) to assign SSNs. The information also is used for
a number of administrative purposes, such as:
b By SSA components for various title II, XVI, and XVIII claims
purposes including usage of the SSN itself as a case control number
and a secondary beneficiary cross-reference control number for
enforcement purposes and use of the SSN record data for verification
of claimant identity factors and for other claims purposes related to
establishing benefit entitlement;
b By SSA as a basic control for retained earnings information;
b By SSA as a basic control and data source to prevent issuance of
multiple SSNs;
b As the means to identify reported names or SSNs on earnings reports;
b For resolution of earnings discrepancy cases;
b For statistical studies;
b By the Department of Health and Human Services (HHS), Office of
Inspector General, Office of Audit Services, for auditing benefit
payments under Social Security programs;
b By the HHS Office of Child Support Enforcement for locating parents
who owe child support;
b By the National Institute of Occupational Safety and Health for
epidemiological research studies required by the Occupational Safety
and Health Act of 1974;
b By the SSA Office of Refugee Resettlement for administering Cuban
refugee assistance payments; and
b By the HHS Health Care Financing Administration for administering
Title XVIII claims.
Information in this system is also used by SSA to prevent the
processing of an SSN card application for an individual whose
application is identified as having been supported by evidence that
either:
b Is suspect and being verified, or
b Has been determined to be fraudulent.
With this system in place, clerical investigation and intervention is
required. Social Security offices are alerted in case an applicant
attempting to obtain an SSN might visit other offices and might
attempt to find one which would unwittingly accept fraudulent
documentation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. Employers are notified of the SSNs of employees in order to
complete their records for reporting wages to SSA pursuant to the
Federal Insurance Compensation Act and section 218 of the Act.
2. To State welfare agencies, upon written request, of the SSNs of Aid
to Families with Dependent Children applicants or recipients.
3. To the Department of Justice (DOJ), Federal Bureau of Investigation
and United States Attorneys Offices, and to the Department of the
Treasury, United States Secret Service, for investigating and
prosecuting violations of the Social Security Act.
4. To the DOJ, Immigration and Naturalization Service, for the
identification and location of aliens in the United States pursuant to
requests received under section 290(c) of the Immigration and
Nationality Act (8 U.S.C. 1360(c)).
5. To a contractor for the purpose of collating, evaluating,
analyzing, aggregating or otherwise refining records when SSA
contracts with a private firm. (The contractor shall be required to
maintain Privacy Act safeguards with respect to such records.)
6. To the Railroad Retirement Board for:
(a) Administering provisions of the Railroad Retirement and Social
Security Acts relating to railroad employment; and
(b) Administering the Railroad Unemployment Insurance Act.
7. To the Department of Energy for its study of the long-term effects
of low-level radiation exposure.
8. To the Department of the Treasury for:
(a) Tax administration as defined in section 6103 of the Internal
Revenue Code (IRC) (26 U.S.C. 6103); and
(b) Investigating the alleged theft, forgery, or unlawful negotiation
of Social Security checks.
9. To a congressional office in response to an inquiry from the office
made at the request of the subject of a record.
10. To the Department of State for administering the Act in foreign
countries through facilities and services of that agency.
11. To the American Institute of Taiwan for administering the Act on
Taiwan through facilities and services of that agency.
12. To the Department of Veterans Affairs (VA), Philippines Regional
Office, for administering the Act in the Philippines through
facilities and services of that agency.
13. To the Department of the Interior for administering the Act in the
Trust Territory of the Pacific Islands through facilities and services
of that agency.
14. To the Department of Labor for:
(a) Administering provisions of the Black Lung Benefits Act; and
(b) Conducting studies of the effectiveness of training programs to
combat poverty.
15. To VA for the following purposes:
(a) For the purpose of validating SSNs of compensation recipients/
pensioners in order to provide the release of accurate pension/
compensation data by VA to SSA for Social Security program purposes;
and
(b) Upon request, for purposes of determining eligibility for or
amount of VA benefits, or verifying other information with respect
thereto.
16. To Federal agencies which use the SSN as a numerical identifier in
their recordkeeping systems, for the purpose of validating SSNs.
17. To the DOJ, to a court, to another tribunal, or to another party
before such tribunal, when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity when DOJ (or SSA
when it is authorized to do so) has agreed to represent the employee;
or
(d) The United States or any agency thereof when SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were collected.
Wage and other information that is subject to disclosure provisions of
the IRC will not be disclosed under this routine use unless disclosure
is expressly permitted by the IRC.
18. To State audit agencies for auditing State supplementation
payments and Medicaid eligibility considerations.
19. To the Social Security agency of a foreign country, to carry out
the purpose of an international Social Security agreement entered into
between the United States and the other country, pursuant to section
233 of the Act.
20. To Federal, State, or local agencies (or agents on their behalf)
for the purpose of validating SSNs used in administering cash or
noncash income maintenance programs or health maintenance programs
(including programs under the Act).
21. To third party contacts when the party to be contacted has, or is
expected to have, information which will verify documents when SSA is
unable to determine if such documents are authentic.
22. Upon request, information on the identity and location of aliens
may be disclosed to the DOJ, Criminal Division, Office of Special
Investigations, for the purpose of detecting, investigating, and, when
appropriate, taking legal action against suspected Nazi war criminals
in the United States.
23. To the Selective Service System for the purpose of enforcing draft
registration pursuant to the provisions of the Military Selective
Service Act (50 U.S.C. App. 462, as amended by section 916 of Pub L.
97-86).
24. To contractors and other Federal agencies, as necessary, for the
purpose of assisting SSA in the efficient administration of its
programs. We contemplate disclosing information under this routine use
only in situations in which SSA may enter into a contractual or
similar agreement with a third party to assist in accomplishing an
agency function relating to this system of records.
25. Validated SSN information may be disclosed to organizations or
agencies such as prison systems that are required by law to furnish
SSA with SSN information.
26. Nontax return information that is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration (NARA) for the
purpose of conducting records management studies with respect to their
duties and responsibilities under 44 U.S.C. 2904 and 2906, as amended
by the NARA Act of 1984.
27. Disclosure of SSNs and dates of birth may be made to VA or third
parties under contract to that agency for the purpose of conducting VA
medical research and epidemiological studies.
28. SSN information may be disclosed to the Office of Personnel
Management (OPM) upon receipt of a request from that agency in
accordance with 5 U.S.C. 8347(m)(3), when OPM needs the information in
administering its pension program for retired Federal Civil Service
employees.
29. Upon request by the Department of Education, SSNs which are
provided by students to postsecondary educational institutions may be
verified as required by Title IV of the Higher Education Act of 1965
(20 U.S.C. 1091).
30. To student volunteers and other workers, who technically do not
have the status of Federal employees, when they are performing work
for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
31. To Federal, State, and local law enforcement agencies and private
security contractors, as appropriate, information necessary.
(a) To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace and the operation of SSA
facilities, or
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
32. Corrections to information that resulted in erroneous inclusion of
individuals in the Death Master File (DMF) may be disclosed to
recipients of erroneous DMF information.
33. Personal identification date (i.e., name, SSN, and date of birth)
concerning individuals who apply for, or are issued, drivers'licenses
or other identification documents may be verified for State motor
vehicle agencies (MVA) that issue such licenses or documents. In
performing such verification, SSA may indicate whether the identifying
data furnished by a State MVA concerning an individual match or do not
match data maintained in this system of records, and SSA may identify
the particular data elements that do not match. SSA will not disclose
information from this system of records which does not match the
information furnished by the State MVA.
34. Information as to whether an individual is alive or deceased may
be disclosed pursuant to section 1106(d) of the Social Security Act
(42 U.S.C. 1306(d)), upon request, for purposes of an epidemiological
or similar research project, provided that:
(a) SSA determines, in consultation with the Department of Health and
Human Services, that the research may reasonably be expected to
contribute to a national health interest;
(b) The requester agrees to reimburse SSA for the costs of providing
the information; and
(c) The requester agrees to comply with any safeguards and limitations
specified by the SSA regarding rerelease or redisclosure of the
information.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are maintained in paper form (e.g., paper
lists, punch cards, Forms SS-5 (Application for an SSN), and systems
generated forms); magnetic media (e.g., magnetic tape and disc with
on-line access); and in microfilm and microfiche form.
Retrievability:
Records of SSN holders are indexed by both SSN and name. Records of
applications that have been denied because the applicant submitted
fraudulent evidence, or that are being verified because the evidence
is suspected to be fraudulent, are indexed either by the applicant's
name plus month and year of birth, or by the applicant's name plus the
eleven-digit reference number of the disallowed application.
Safeguards:
Safeguards for automated records have been established in accordance
with the Systems Security Handbook. This includes maintaining the
magnetic tapes and discs within a secured enclosure attended by
security guards. Anyone entering or leaving this enclosure must have a
special badge issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and Field Office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm, microfiche, and paper files are accessible only
by authorized personnel who have a need for the records in the
performance of their official duties.
Expansion and improvement of SSA's telecommunications systems has
resulted in the acquisition of terminals equipped with physical key
locks. The terminals also are fitted with adapters to permit the
future installation of data encryption devices and devices to permit
the identification of terminal users.
Retention and disposal:
All paper forms are retained for 5 years after they have been filmed
or entered on tape and the accuracy has been verified. They then are
destroyed by shredding. All tape, discs, microfilm, and microfiche
files are updated periodically. Out-of-date magnetic tapes and discs
are erased. Out-of-date microfiches are disposed of by applying heat.
System manager(s) and address:
Director, Division of Data Support and Enumeration, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature, and SSN to
the address shown under ``System manager and address'' above.
(Furnishing the SSN is voluntary, but it makes searching for an
individual's record easier and avoids delay.) If the SSN is unknown or
no SSN has been assigned because the evidence presented with the
application is being verified or has been determined to be fraudulent,
the individual should provide name, signature, date and place of
birth, sex, mother's birth name, and father's name, and evidence of
identity. These procedures are in accordance with HHS Regulations 45
CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents which they are seeking. These procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures above. Also, requesters should
reasonably identify the record, specify the information which they are
contesting, and state the corrective action sought and the reasons for
the correction, with supporting justification showing how the record
is incomplete, untimely, inaccurate, or irrelevant. These procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is obtained from SSN applicants (or
individuals acting on their behalf). The SSN itself is assigned to the
individual as a result of internal processes of this system.
System exempted from certain provisions of the Act:
None.
09-60-0059
System name:
Earnings Recording and Self-Employment Income System, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Systems Requirements, 6401
Security Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Central Records
Operations, Metro West Building, 300 North Greene Street, Baltimore,
MD 21201
Records also may be located at contractor sites (contact the system
manager at the address below for contractor addresses), and in the
program service centers.
Categories of individuals covered by the system:
Any person who has been issued a Social Security number (SSN) and who
may or may not have earnings under Social Security; or any person
requesting, reporting, changing and/or inquiring about earnings
information; or any person affected by the Coal Industry Retiree
Health Benefit Act of 1992; or any person having a vested interest in
a private pension fund.
Categories of records in the system:
This system contains records of every SSN holder, his/her name, date
of birth, sex, and race/ethnic data and a summary of his/her yearly
earnings and quarters of coverage; special employment codes (i.e.,
self-employment, military, agriculture, and railroad); benefit status
information; employer identification (i.e., employer identification
numbers and pension plan numbers); minister waiver forms (i.e., forms
filed by the clergy for the election or waiver of coverage under the
Social Security Act (the Act)); correspondence received from
individuals pertaining to the above-mentioned items; the replies to
such correspondence; information about miners and their families
needed to administer the Coal Industry Retiree Health Benefit Act of
1992 and pension plan information (i.e., nature, form, and amount of
vested benefits).
Authority for maintenance of the system:
Sections 205(a) and 205(c)(2) of the Act, the Federal Records Act of
1950 (64 Stat. 583), the Employee Retirement Income Security Act of
1974 (Pub. L. 93-406), and the Coal Industry Retiree Health Benefit
Act of 1992 (Pub. L. 102-486, 106 Stat. 2776).
Purpose(s):
This system is used for the following purposes:
b As a primary working record file of all SSN holders;
b As a quarterly record detail file to provide full data in wage
investigation cases;
b To provide information for determining amount of benefits;
b To record all incorrect or incomplete earnings items;
b To reinstate incorrectly or incompletely reported earnings items;
b To record the latest employer of a wage earner;
b For statistical studies;
b For identification of possible overpayments of benefits;
b For identification of individuals entitled to additional benefits;
b To provide information to employers/former employers for correcting
or reconstructing earnings records and for Social Security tax
purposes;
b To provide workers and self-employed individuals with earnings
statements or quarters of coverage statements;
b To provide information to Health and Human Services (HHS) Office of
Inspector General for auditing benefit payments under Social Security
programs;
b To provide information to the National Institute for Occupational
Safety and Health for epidemiological research studies required by the
Occupational Health and Safety Act of 1974;
b To assist the Social Security Administration (SSA) in responding to
general inquiries about Social Security, including earnings or
adjustments to earnings, and in preparing responses to subsequent
inquiries;
b To store minister waivers, thus preventing erroneous payment of
Social Security benefits; and
b To make assignments of responsibility for paying premiums and to
perform other functions under the Coal Industry Retiree Health Benefit
Act of 1992.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To employers or former employers, including State Social Security
administrators, for correcting and reconstructing State employee
earnings records and for Social Security purposes.
2. To the Department of the Treasury for:
(a) Investigating the alleged forgery, or unlawful negotiation of
Social Security checks; and
(b) Tax administration as defined in 26 U.S.C. 6103 of the Internal
Revenue Code (IRC).
3. To the Railroad Retirement Board (RRB) for administering provisions
of the Railroad Retirement and Social Security Acts relating to
railroad employment.
4. To the Department of Justice (DOJ) (Federal Bureau of Investigation
and United States Attorneys) for investigating and prosecuting
violations of the Act.
5. To a contractor for the purpose of collating, evaluating,
analyzing, aggregating or otherwise refining records when the SSA
contracts with a private firm. (The contractor shall be required to
maintain Privacy Act safeguards with respect to such records.)
6. To the Department of Energy for its study of low-level radiation
exposure.
7. To a congressional office in response to an inquiry from the
congressional office made at the request of the subject of a record.
8. To the Department of State for administering the Act in foreign
countries through services and facilities of that agency.
9. To the American Institute of Taiwan for administering the Act in
Taiwan through services and facilities of that agency.
10. To the Department of Veterans Affairs (DVA) Regional Office for
administering the Act in the Philippines through services and
facilities of that agency.
11. To the Department of Interior for administering the Act in the
Trust Territory of the Pacific Islands through services and facilities
of that agency.
12. To State audit agencies for auditing State supplementation
payments and Medicaid eligibility considerations.
13. To DOJ, a court or other tribunal, or another party before such
tribunal when:
(a) SSA, any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to represent the employee;
or
(d) The United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records DOJ, the court or other
tribunal or other party before such tribunal is relevant and necessary
to the litigation, provided, however, that in each case, SSA
determines that such disclosure is compatible with the purpose for
which the records were collected.
Wage and other information that is subject to the disclosure
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under
this routine use unless disclosure is expressly permitted by the IRC.
14. 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.
15. 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 Social Security Act.
16. To Federal, State, or local agencies (or agents on their behalf)
for the purpose of validating SSNs used in administering cash or
noncash income maintenance programs or health maintenance programs
(including programs under the Act).
17. Tax return information (e.g., information with respect to net
earnings from self-employment, wages, payments of retirement income
that has been disclosed to SSA and business and employment address)
may be disclosed, upon written request, to officers and employees of a
Federal, State or local agency for purposes of, and to the extent
necessary in, determining an individual's eligibility for, or the
correct amount of, benefits under certain programs listed in section
6103(l)(7) of the Internal Revenue Code (IRC). These programs are:
(a) Aid to families with dependent children provided under a State
plan approved under part A of title IV of the Act;
(b) Medical assistance provided under a State plan approved under
title XIX of the Act;
(c) Supplemental security income benefits provided under title XVI of
the Act, and federally administered supplementary payments of the type
described in section 1616(a) of such Act (including payments pursuant
to an agreement entered into under section 212(a) of Public Law (Pub.
L.) 93-66);
(d) Any benefits provided under a State plan approved under title I,
X, XIV, or XVI of the Act (as those titles apply to Puerto Rico, Guam
and the Virgin Islands);
(e) Unemployment compensation provided under a State law described in
section 3304 of the IRC;
(f) Assistance provided under the Food Stamp Act of 1977; and
(g) State-administered supplementary payments of the type described in
section 1616(a) of the Act (including payments pursuant to an
agreement entered into under section 212(a) of Pub. L. 93-66).
18. Tax return information (e.g., information with respect to net
earnings from self-employment, wages, payments of retirement income
that has been disclosed to SSA and business and employment addresses)
may be disclosed, upon written request, to appropriate officers and
employees of a State or local child support enforcement agency in
accordance with 26 U.S.C. 6103(l)(8) for purposes of, and to the
extent necessary in
(a) Establishing and collecting child support obligations from
individuals who owe such obligations, and
(b) Locating those individuals
under a program established under title IVD of the Act (42 U.S.C.
651ff).
19. The fact that a veteran is or is not eligible for retirement
insurance benefits under the Social Security program may be disclosed
to the Office of Personnel Management (OPM) for its use in determining
a veteran's eligibility for a civil service retirement annuity and the
amount of such annuity.
20. Employee and employer name and address information may be
disclosed to DOJ (Immigration and Naturalization Service) for the
purpose of informing that agency of the identities and locations of
aliens who appear to be illegally employed.
21. 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 into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
22. Information derived from this system may be disclosed to OPM for
the purpose of computing civil service annuity offsets of civil
service annuitants with military service or the survivors of such
individuals pursuant to provisions of section 307 of Pub. L. 97-253.
23. Nontax return information that is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
24. Disclosure of tax return information will be made to OPM, upon
OPM's written request, for the purpose of administering the Civil
Service and Federal Employees Retirement Systems in accordance with
Chapters 83 and 84 of Title 5, United States Code.
25. To the Rehabilitation Services Administration (RSA) for use in its
program studies of, and development of enhancements for, State
vocational rehabilitation programs. These are programs to which
applicants or beneficiaries under titles II and/or VI of the Act may
be referred. Data released to RSA will not include any personally
identifying information (such as names or SSNs).
26. Upon written request, SSA will disclose tax return information to
the VA for propose of Administration for the purposes of, and to the
extent necessary for determining eligibility for, or the amount of,
benefits under the following programs:
(a) Any needs-based pension provided under chapter 15 of title 38,
United States Code, or under any other law administered by the
Secretary of Veterans Affairs;
(b) Parents' dependency and indemnity compensation provided under
section 1315 of title 38, United States Code;
(c) Health-care services furnished under sections 1710(a)(1)(I),
1710(a)(2), 1710(b), and 1712(a)(2)(B) of title 38, United States
Code; and
(d) Compensation paid under chapter 11 of title 38, United States
Code, at the 100 percent rate based solely on unemployability and
without regard to the fact that the disability or disabilities are not
rated as 100 percent disabling under the rating schedule.
The tax return information which may be disclosed under this paragraph
includes wages, net earnings from self-employment, payments of
retirement income which have been disclosed to SSA and business and
employment addresses, except that information on payments of
retirement income will not be disclosed for use with respect to
programs described in subparagraph (d).
27. The identity of each coal industry assigned operator determined to
be responsible for annual premiums, and the names and Social Security
numbers of eligible beneficiaries with respect to whom the operator is
identified, may be disclosed to the trustees of the United Mine
Workers of America Combined Benefit Fund pursuant to section
9706(e)(1) of the IRC as added by the Coal Industry Retiree Health
Benefit Act of 1992, Pub. L. 102-486, 106 Stat; 2776 (codified at 26
U.S.C. 9701-9721 (1992)).
28. The names and Social Security numbers of eligible beneficiaries
who have been assigned to a coal industry assigned operator and a
brief summary of the facts related to the basis for such assignments
may be disclosed to the coal industry assigned operator determined to
be responsible for that individual's annual premiums payable to the
United Mine Workers of America Combined Benefit Fund pursuant to
section 9706(e)(2) of the IRC as added by the Coal Industry Retiree
Health Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified
at 26 U.S.C. 9701-9721 (1992)).
29. Detailed information from an individual's work history and other
detailed information as to the basis for the assignment of that
individual may be disclosed to the coal industry assigned operator
determined to be responsible for that individual's annual premiums
payable to the United Mine Workers of America Combined Benefit Fund
pursuant to section 9706(f)(1) of the IRC as added by the Coal
Industry Retiree Health Benefit Act of 1992, Pub. L. 102-486, 106
Stat. 2776 (codified at 26 U.S.C. 9701-9721 (1992)).
30. Information as to whether an individual is alive or deceased may
be disclosed pursuant to section 1106(d) of the Social Security Act
(42 U.S.C. 1306(d)), upon request, for purposes of an epidemiological
or similar research project, provided that:
(a) SSA determines, in consultation with the Department of Health and
Human Services, that the research may reasonably be expected to
contribute to a national health interest;
(b) The requester agrees to reimburse SSA for the costs of providing
the information; and
(c) The requester agrees to comply with any safeguards and limitations
specified by the SSA regarding rerelease or redisclosure of the
information.
Policies and practices for storing, retrieving, accessing and disposing
of records in the system:
Storage:
Records in this system are maintained as paper forms, correspondence
in manila folders on open shelving, paper lists, punchcards,
microfilm, magnetic tapes, and discs with online access files.
Retrievability:
Records in this system are indexed by SSN, name, and employer
identification number.
Safeguards:
Safeguards for automated records have been established in accordance
with the HHS Information Resources Management Manual, Part 6,
Automated Information Systems Security Program Handbook. This includes
maintaining the magnetic tapes and discs within an enclosure attended
by security guards. Anyone entering or leaving this enclosure must
have a special badge issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and field office locations (including organizations
administering SSA programs under contractual agreements, safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm and paper files are accessible only by authorized
personnel who have a need for the information in the performance of
their official duties.
Expansion and improvement of SSA's telecommunications systems has
resulted in the acquisition of terminals equipped with physical key
locks. The terminals also are fitted with adapters to permit the
future installation of data encryption devices and devices to permit
the identification of terminal users.
Retention and disposal:
All paper forms and cards are retained until they are filmed or are
entered on tape and their accuracy is verified. Then they are
destroyed by shredding. All tapes, discs, and microfilm files are
updated periodically. The out-of-date magnetic tapes and discs are
erased. The out-of-date microfilm is shredded.
SSA retains correspondence for 1 year when it concerns documents
returned to an individual, denials of confidential information,
release of confidential information to an authorized third party and
undeliverable material, for 4 years when it concerns information and
evidence pertaining to coverage, wage, and self-employment
determinations or when the statute of limitations is involved, and
permanently when it affects future claims development, especially
coverage, wage, and self-employment determinations. Correspondence is
destroyed, when appropriate, by shredding.
System manager(s) and address:
Director, Office of Pre-Claims Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard;
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature and SSN or,
if the SSN is not known, name, signature, date and place of birth,
mother's maiden name and father's name to the address shown under
system manager and by referring to this system. (Furnishing the SSN is
voluntary, but it will make searching for an individuals's record
easier and prevent delay.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth, and address in order to establish
identity, plus any additional information specified in this section.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
SSN applicants, employers and self-employed individuals; DOJ
(including the Immigration and Naturalization Service); the Department
of Treasury (Internal Revenue Service); the United Mine Workers of
America Combined Benefit Fund; an existing system of records
maintained by SSA, the Master Beneficiary Record (09-60-0090);
correspondence, replies to correspondence, and earnings modifications
resulting from SSA internal processes.
Systems exempted from certain provisions of the act:
None.
09-60-0063
System name: Resource Accounting and Project Management System,
HHS/SSA/OS.
Security classification:
None.
System location:
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
All employees of the Social Security Administration who are
responsible for ADP-related workloads.
Categories of records in the system:
Personnel, including skills and availability utilization, and machine
resource expenditures by work effort for ADP-related workloads.
Information is captured by use of individual clerk number to identify
employee time and by information contained in computer run card to
identify machine time. Time is associated to work effort by a project/
service request/task number structure. Data captured relating to work
efforts includes: Description of work, planned, authorized and
obligated resources by skill category, responsible organizational
component and responsible manager, user(s) priority and start and
target dates.
Authority for maintenance of the system:
Section 702 of the Social Security Act.
Purpose(s):
Information in this system is used to project and account for all
Office of Systems personnel and machine resource expenditures as they
relate to ADP-related workloads. Report packages and on-line
capabilities are available for use by all levels of management within
the SSA Office of Systems. Data included in the reports may be sorted
in various ways to show information including personnel utilization,
work effort in progress as well as budget and project status.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendent is:
(a) The Department of Health and Human Service (HHS), any component of
HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determined that the claim, if
successful is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
3. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
4. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tapes and discs).
Retrievability:
Personnel records are indexed based on individual clerk number. Work
efforts are identified by project service request number.
Safeguards:
Safeguards are established in accordance with the HHS Automated Data
Processing Manual, ``Part 6, ADP System Security.'' Information is
distributed to the user and project managers only. The records are
accessible only by use of assigned secure passwords. (See Appendix J
to this publication for additional information relating to safeguards
the Social Security Administratioin employs to protect personal
information.)
Retention and disposal:
Active records will remain on-line until complete. Records will be
purged on an annual basis with complete records transferred to tape
for 2 years. At the end of 2 years, tapes are erased and returned to
stock.
System manager(s) and address:
Director, Division of Strategic Planning and Integration, 6401
Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if ths system contains a record pertaining
to him or her by providing his or her name and clerk number to: Chief,
Resource Accounting Branch, Division or Strategic Planning and
Integration, 6401 Security Boulevard, Baltimore, Maryland 21235.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, 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. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Information is obtained from the individual or project managers.
Systems exempted from certain provisions of the act:
None.
09-60-0066
System name: Claims Development Record, HHS/SSA/OFO.
Security classification:
None.
System location:
District and branch office (see Appendix F.1 for address information).
Categories of individuals covered by the system:
Beneficiaries, applicants and inquirers of information relating to the
various Social Security programs and the Black Lung program.
Categories of records in the system:
The file contains the name, address, and Social Security number of the
individuals. It also contains development notes concerning the
requesting and receipt of documents required for a claim for benefits.
Benefit amounts and date of entitlement may also be displayed.
Authority for maintenance of the system:
Section 205(a) of the Social Security Act.
Purpose(s):
Information in this system is used as an interviewing tool, record of
clearance of claims and sometimes as a log of activity pertinent to
continued entitlement to benefits.
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:
To a congressional office in response to an inquiry from the office
made on behalf of the subject of a record.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
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 are stored in paper form (8 x 10\1/2\ cards) filed in standard
file cabinets.
Retrievability:
Records are retrieved by name and Social Security number.
Safeguards:
Access to records is restricted to authorized personnel who have a
need for the records in the performance of their official duties. The
buildings which house the records are secured after normal business
hours. (See Appendix to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Specific destruction dates are established depending on whether a
claim is allowed or disallowed. Generally, the records are maintained
for 6 months then destroyed.
System manager(s) and address:
Associate Commissioner, Office of Field Operations, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting the most convenient Social Security district or
branch office (see Appendix F.1 for address and telephone information)
and providing his/her name and Social Security number. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedure. Requesters also should reasonably
specify the record contents they are seeking.
Contesting record procedures:
Same as notification procedures. Requesters also should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Applicants, Social Security beneficiaries, Supplemental Security
Income recipients, inquiries and third parties.
Systems exempted from certain provisions of the act:
None.
09-60-0075
System name: Congressional Bills Tracking System, HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Legislative and Regulatory
Policy, 6401 Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Members of Congress.
Categories of records in the system:
Listing of bills to amend the Social Security Act. Includes bill
number, sponsor's name, state and party affiliation, date of
introduction of bill, and a 3-digit subject code.
Authority for maintenance of the system:
5 U.S. Code 301.
Purpose(s):
This system is used for the purposes of tracking Social Security
legislation as it progresses in the Congress, and keeping a historical
record and accounting of Social Security legislation.
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:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer terminal (magnetic tape), and paper listings.
Retrievability:
Bill name, subject matter, and name of sponsor.
Safeguards:
Safeguards for the automated records have been established in
accordance with the Department of Health and Human Services' Automated
Data Processing Manual, ``Part 6, ADP System Security.'' The
information is accessed on a limited need-to-know basis by staff of
the Legislative Reference Office. (See Appendix J to this publication
for additional information relating to safeguards the Social Security
Administration employs to protect personal records.)
Retention and disposal:
Information in this system is retained for duration of each Congress.
(A listing by subject matter is retained indefinitely.)
System manager(s) and address:
Legislative Reference Officer, Room 416, Altmeyer Building, 6401
Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the address shown above.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information in this system is derived from the Congressional Record.
Systems exempted from certain provisions of the act:
None.
09-60-0077
System name: Congressional Inquiry File, HHS/SSA/FO.
Security classification:
None.
System location:
Offices of the Regional Commissioners (See Appendix C.1 for
addresses)
Assistant Regional Commissioners, Programs (See Appendix C.2 for
addresses)
Assistant Regional Commissioners, Field Operations (See Appendix C.3
for addresses)
District and branch offices (See Appendix F.1 for addresses)
and
Teleservice centers (See Appendix F.3 for addresses)
Categories of individuals covered by the system:
This system contains a record of congressional representatives and the
individuals about whom they inquire.
Categories of records in the system:
Correspondence to and from congressional representatives.
Authority for maintenance of the system:
Section 205(a) of the Social Security Act.
Purpose(s):
This system is used to control and respond to correspondence from
congressional representatives.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
3. To the Department of Justice (DOJ) in the event of litigation where
the defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his/her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his/her individual capacity where DOJ has
agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
DOJ to enable that Department to present an effective defense provided
such disclosure is compatible with the purpose for which the records
were collected.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form in manila type folders.
Retrievability:
Records are indexed and retrieved alphabetically by Congressman's name
or individual's name.
Safeguards:
These records usually are available to personnel who have a need for
them in the performance of their official duties. (See Appendix J to
this publication for additional information relating to safeguards the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
The records generally are retained for 6 months to 2 years.
System manager(s) and address:
Associate Commissioner, Office of Field Operations, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting the most convenient Social Security district or
branch office (see Appendix F.1 for address information). These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should reasonably
identify the record, specify the information they are contesting and
state the corrective action and the reasons for the correction with
supporting justification. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record source categories:
Information in this system is obtained from Congressional
representatives.
Systems exempted from certain provisions of the act:
None.
09-60-0078
System name: Public Inquiry Correspondence File, HHS/SSA/OFO.
Security classification:
None.
System location:
Assistant Regional Commissioners, Programs (See Appendix C.2 for
addresses)
Assistant Regional Commissioners, Field Operations (See Appendix C.3
for addresses)
District and branch offices (See Appendix F.1 for address
information)
and
Teleservice centers (See Appendix F.3 for addresses).
Categories of individuals covered by the system:
The general public.
Categories of records in the system:
Inquiries, usually for benefit information.
Authority for maintenance of the system:
Section 205(a) of the Social Security Act.
Purpose(s):
Information is maintained in this file in case an inquirer requests
information or files a formal application for benefits. Consequently
the information can be used as a filing date for benefit purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
3. To the Department of Justice (DOJ) in the event of litigation where
the defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS or any employee of HHS in his/her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his/her individual capacity where DOJ has
agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
DOJ to enable that Department to present an effective defense,
provided such disclosure is compatible with the purpose for which the
records were collected.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
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:
The records are maintained in paper from in folders in standard file
cabinets.
Retrievability:
By name of inquirer or name of person about whom information is
requested.
Safeguards:
Usually available only to personnel on a need to know basis. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
The records are retained for 1 year and then disposed of by shredding.
System manager(s) and address:
Associate Commissioner, Office of Field Operations, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system of record pertaining to him
or her by contacting the most convenient district or branch office
(see Appendix F.1 for address information). These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should specify the
record contents being sought. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is furnished by the inquirer.
Systems exempted from certain provisions of the act:
None.
09-60-0089
System name: Claims Folders System, HHS/SSA/OP.
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 United States Department of Health and Human
Services, Social Security Administration or under Social Security
Administration. 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.
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 Social Security Administration's (SSA's) Program
Service Centers (PSC's) (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 Disability and
International Operations (ODIO). The address for ODIO is: Social
Security Administration, PO Box 1756, Baltimore, MD 21203.
Disability Insurance (DI) claims folders for individuals under age 59
are maintained primarily in the SSA Office of Disability Operations
(ODO). The address for ODO is: Social Security Administration, Office
of Disability Operations, 1500 Woodlawn Drive, Baltimore, MD 21241.
If the individual resides outside the United States or any of its
possessions, DI claims folders for individuals under age 59 are
maintained in ODIO (see the address above). DI claims folders for
disabled individuals over age 58 are maintained in SSA's PSC's
(contact the system manager for addresses).
Claims folders relating to Black Lung (BL) claims are maintained in
ODIO at the following address: Social Security Administration, Office
of Disability and International Operations, 1500 Woodlawn Drive,
Baltimore, MD 21241.
In addition, claims folders are transferred to numerous other
locations throughout the Department of Health and Human Services (HHS)
and the General Services Administration (GSA) 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.
Categories of individuals covered by the system:
Claimants, applicants, beneficiaries and potential claimants for RSI
and DI benefits; Health Insurance (HI) benefits; BL benefits or SSI
payments. Folders also are maintained on claims that have been denied.
Categories of records in the system:
The claim folder is established when a claim for benefits is filed or
a lead is expected to result in a claim. It contains the name and
Social Security number (SSN) 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, the
Internal Revenue Service (IRS), the Department of Veterans Affairs
(DVA) and mental institutions.
The claim folder also may contain data collected as a result of
inquiries or complaints, and evaluation and measurement studies of the
effectiveness of claims policies.
Separate files may be maintained of certain actions which are entered
directly into the computer processes. These relate to reports of
changes of address, work status, and other post-adjudicative reports.
Separate files also temporarily may be maintained for the purpose of
resolving problem cases.
Separate abstracts also are maintained for statistical purposes (i.e.,
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 and sections 411 and 413 of the Federal Coal
Mine and Health Safety Act, as amended by the Black Lung Benefits Act.
Purpose(s):
The claim folder constitutes the basic record for payments and
determinations under the Social Security Act and the Federal Coal Mine
Health and Safety Act. Data are used to produce and maintain the
Master Beneficiary Record (09-60-0090) which is the automated payment
system for RSI and DI benefits; the Supplemental Security Income
Record (09-60-0103) which is the payment system for the aged, blind,
and disabled payments; the Black Lung Payment System (09-60-0045)
which is the payment system for BL claims; and the Health Insurance
Billing and Collection Master Record system (09-70-0522) which is the
payment system for HI and Supplementary Medical Insurance (Medicare)
benefits.
This paper file is controlled by the SSA Claims Control System while
the claim is pending development for adjudication in the field office,
and by the Case Control System once the folder has been transferred to
the processing center (ODIO, PSC, or ODO).
The claims folders are used throughout SSA for purposes of pursuing
claims, determining, organizing and maintaining documents for making
determinations as to 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.
The folder may be referred to State Disability Determination Services
(DDS's) 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 purpose of such uses:
Disclosure may be made for routine uses as indicated below:
1. To third party contacts in situations where the party to be
contacted has, or is expected to have, information relating to the
individual's capability to manage his/her affairs or his/her
eligibility for or entitlement to benefits under the Social Security
program when:
(a) The individual is unable to provide information being sought. An
individual is considered to be unable to provide certain types of
information when:
(1) He/she is capable or of questionable mental capability;
(2) He/she cannot read or write;
(3) He/she cannot afford the cost of obtaining the information;
(4) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(5) A language barrier exists; or
(6) 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:
(1) His/her eligibility for benefits under the Social Security
program;
(2) The amount of his/her benefit payment; or
(3) Any case in which the evidence is being reviewed as a result of
suspected abuse or fraud, concern for program integrity, or for
quality appraisal, or evaluation and measurement activities.
2. To third party contacts where necessary to establish or verify
information provided by representative payees or payee applicants.
3. To a person (or persons) on the rolls when a claim is filed by an
individual which is adverse to the person on the rolls; i.e.:
(a) An award of benefits to a new claimant precludes an award to a
prior claimant; or
(b) An award of benefits to a new claimant will reduce the benefit
payments to the individual(s) on the rolls:
But only for information concerning the facts relevant to the
interests of each party in a claim.
4. To employers or former employers for correcting or reconstructing
earnings records and for Social Security tax purposes only.
5. To the Department of the Treasury for:
(a) Collecting Social Security taxes or as otherwise pertinent to tax
and benefit payment provisions of the Social Security 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 Social Security
Act to which criminal penalties attach,
(b) Representing the Secretary, or
(c) Investigating issues of fraud by agency officers or employees, or
violation of civil rights.
8. To the Department of State for administering the Social Security
Act in foreign countries through facilities and services of that
agency.
9. To the American Institute of Taiwan for administering the Social
Security Act in Taiwan through facilities and services of that
organization.
10. To the DVA, Philippines Regional Office, for administering the
Social Security Act in the Philippines through facilities services of
that agency.
11. To the Department of Interior for administering the Social
Security Act in the Trust Territory of the Pacific Islands through
facilities of that agency.
12. To the Railroad Retirement Board for administering provisions of
the Social Security Act relating to railroad employment.
13. To State Social Security Administrators for administration of
agreements pursuant to section 218 of the Social Security 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 Social Security 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 Social Security 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 Social Security 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
representatives 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 Social Security 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 Social Security Act.
21. To Federal, State, or local agencies (or agents on their behalf)
for administering cash or noncash income maintenance or health
maintenance programs (including programs under the Social Security
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 DVA for administering 38 U.S.C. 412, and upon request,
information needed to determine eligibility for or amount of DVA
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)(III) and 402(a)(25) of the Social Security Act requiring
information about assigned SSNs for Aid to Families with Dependent
Children 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 Social Security 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 Social Security 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 Social Security Act.
25. To IRS, Department of the Treasury, for the purpose of auditing
SSA's compliance with the safeguard provisions of the Internal Revenue
Code 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 part 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(c) of
the Immigration and Nationality Act (8 U.S.C. 1360(c)).
29. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its programs. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter a contractual or similar agreement with a third party to assist
in accomplishing an agency function relating to this system of
records.
30. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the GSA and the National Archives
and Records Administration for the purpose of conducting records
management studies with respect to their duties and responsibilities
under 44 U.S.C. 2904 and 2906, as amended by the National Archives and
Records Administration Act of 1984.
31. To DOJ, a court or other tribunal, or another party before such
tribunal when:
(a) SSA, any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to present the employee;
or
(d) The United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
32. Addresses of beneficiaries who are obligated on loans held by the
Secretary of Education or a loan made in accordance with 20 USC 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.
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.
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 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:
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.
Retention and disposal:
The retention period for claims folders are as follows:
A. RSI Claims Folders
Folders for disallowed life and death claims, withdrawals, and lump-
sum claims in which potential entitlements exist are transferred to
the Federal Records Center (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
Folders for SSI death termination claims are destroyed 2 years after
resolution of possible outstanding overpayments or underpayments.
Folders for other SSI 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 1-6 months. Claims leads that
do not result in a filing of an application are destroyed 6 months
after the inquirer is invited by letter to file a claim.
All paper claim files are disposed of by shredding or the application
of heat when the retention periods have expired.
System manager(s) and address:
SSA Privacy Officer, Social Security Administration, 6401 Security
Boulevard, Baltimore MD 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting any Social Security field office.
When requesting notification, the individual should provide his/her
name, SSN, and the type of claim he or she filed (RSI, DI, HI, BL
special minimum payments, 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 requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, drivers license or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth and address in order to establish
identity, plus any additional information specified in this section.
An individual who requests access to a medical record shall, at the
time he/she makes the request, designate in writing a responsible
representative who will be willing to review the record and inform the
subject individual of its contents at the representative's discretion.
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time he/she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's or health
professional's discretion.
These procedures are in accordance with HHS regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the information they are seeking. These procedures are in
accordance with HHS regulations 45 CFR part 5b.
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 HHS regulations 45 CFR part 5b.
Record source categories:
Information in this system is obtained from claimants, beneficiaries,
applicants and recipients; accumulated by SSA from reports of
employers or self-employed individuals; various local, State, and
Federal agencies; claimant representatives and other sources to
support factors of entitlement and continuing eligibility or to
provide leads information.
Systems exempted from certain provisions of the act:
None.
09-60-0090
System name:
Master Beneficiary Record (MBR), HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
All Social Security beneficiaries who are or were entitled to receive
Retirement and Survivors Insurance (RSI), or Disability Insurance (DI)
benefits, including individuals who have received a RSI or DI payment
since November 1978 even if their payment is not part of an ongoing
award of benefits; individuals (nonclaimants) on whose earnings
records former spouses apply for RSI or DI benefits; persons who are
only enrolled in the Hospital and/or Supplementary Medical Insurance
(SMI) programs; and claimants whose benefits have been denied or
disallowed.
The system also contains short references to records for persons
entitled to Supplemental Security Income payments, Black Lung benefits
or Railroad Retirement Board (RRB) benefits.
Categories of records in the system:
The MBR contains information about each claimant who has applied for
RSI or DI benefits, or to be enrolled in the Hospital or SMI programs;
a record of the amount of Federal tax withheld on benefits paid to
nonresident aliens; and the aggregate amount of benefit payments,
repayments and reductions with respect to an individual in a calendar
year. A record is maintained under each individual's Social Security
Number (SSN). However, if the individual has filed on another person's
SSN, only a short ``pointer'' record is maintained. Personal and
general data about the claim is maintained under the SSN of that
claim. Data about the claimant can be accessed using the claimant's
SSN or the SSN on which benefits have been awarded or claimed (claim
account number (CAN)).
There are three types of data in each CAN:
Account data. This includes the primary insurance amount, insured
status of the SSN-holder (if no monthly benefits are payable), data
relating to the computation (use of military service credits, railroad
retirement credits, or coverage credits earned under the social
security system of a foreign country when the claim is based on a
totalization agreement), and, if only survivor's benefits have been
paid, identifying data about the SSN holder (full name, date of birth,
date of death and verification of date of death).
Payment data. This includes the payee's name and address, data about a
financial institution (if benefits are sent directly to the
institution for deposit), the monthly payment amount, the amount and
date of a one-time payment of past due benefits, and, where
appropriate, a scheduled future payment. Payment data can refer to one
beneficiary or several beneficiaries in a combined payment.
Beneficiary data. This includes personal information (name, date of
birth, sex, date of filing, relationship to the SSN holder, other
SSN's, benefit amount and payment status), and, if applicable,
information about a representative payee, data about disability
entitlement, worker's compensation offset data, estimates and report
of earnings, or student entitlement information.
Authority for maintenance of the system:
Sections 202-205, 223, 226, 228, 1818, 1836, and 1840 of the Social
Security Act (the Act).
Purpose(s):
Data in this system are used by a broad range of Social Security
employees for responding to inquiries, generating followups on
beneficiary reporting events, computer exception processing,
statistical studies, conversion of benefits, and generating records
for the Department of the Treasury to pay the correct benefit amount.
Data in this system also are available to the Department of Health and
Human Services' (HHS') Office of Inspector General for use in the
performance of the duties of that office.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To applicants or 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.
2. 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:
(1) He/she is incapable or of questionable mental capability;
(2) He/she cannot read or write;
(3) He/she cannot afford the cost of obtaining the information;
(4) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(5) A language barrier exists; or
(6) 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:
(1) His/her eligibility for benefits under the Social Security
program;
(2) The amount of his/her benefit payment; or
(3) Any case in which the evidence is being reviewed as a result of
suspected fraud, concern for program integrity, quality appraisal, or
evaluation and measurement activities.
3. To third party contacts where necessary to establish or verify
information provided by representative payees or payee applicants.
4. To a person (or persons) on the rolls when a claim is filed by
another individual which is adverse to the person on the rolls:
(a) An award of benefits to a new claimant precludes an award to a
prior claimant; or
(b) An award of benefits to a new claimant will reduce the benefit
payments to the individual(s) on the rolls; but only for information
concerning the facts relevant to the interests of each party in a
claim.
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);
(b) Investigating the alleged theft, forgery, or unlawful negotiation
of Social Security checks;
(c) Determining the Federal tax liability on Social Security benefits
pursuant to 26 U.S.C. 6050F. The information disclosed will consist of
the following:
(1) The aggregate amount of Social Security benefits paid with respect
to any individual during any calendar year;
(2) The aggregate amount of Social Security benefits repaid by such
individual during such calendar year;
(3) The aggregate reductions under section 224 of the Act in benefits
which would otherwise have been paid to such individual during the
calendar year on account of amounts received under a worker's
compensation act; and
(4) The name and address of such individual; and
(d) Depositing the tax withheld on benefits paid to nonresident aliens
in the Treasury (Social Security Trust Funds) pursuant to 26 U.S.C.
871.
6. To the United States Postal Service for investigating the alleged
theft or forgery 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 Secretary of HHS; and
(c) Investigating issues of fraud by agency officers or employees, or
violation of civil rights.
8. To the Department of State for administering the Act in foreign
countries through services and facilities of that agency.
9. To the American Institute of Taiwan for administering the Act in
Taiwan through services and facilities of that agency.
10. To the Department of Veterans Affairs (DVA), Philippines Regional
Office, for administering the Act in the Philippines through the
services and facilities of that agency.
11. To the Department of Interior for administering the Act in the
Trust Territory of the Pacific Islands through services and facilities
of that agency.
12. Information necessary to adjudicate claims filed under an
international Social Security agreement that the United States has
entered into pursuant to section 233 of the Act may be disclosed to a
foreign country which is a party to that agreement.
13. 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/her behalf.
14. To the Department of Education for determining eligibility of
applicants for basic educational opportunity grants.
15. To the Bureau of the Census when it performs as a collecting agent
or data processor for research and statistical purposes directly
relating to this system of records.
16. To the Department of the Treasury, Office of Tax Analysis, for
studying the effects of income taxes and taxes on earnings.
17. To the Office of Personnel Management for the study of the
relationship of civil service annuities to minimum Social Security
benefits, and the effects on the Social Security Trust Fund.
18. To State Social Security Administrators for administering
agreements pursuant to section 218 of the Act.
19. To the Department of Energy for its study of the long- term
effects of low-level radiation exposure.
20. To contractors under contract to the Social Security
Administration (SSA) (or under contract to another agency with funds
provided by SSA) for the performance of research and statistical
activities directly relating to this system of records.
21. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
22. To the Department of Labor for conducting statistical studies of
the relationship of private pensions and Social Security benefits to
prior earnings.
23. 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.
24. To Federal, State, or local agencies (or agents on their behalf)
for administering 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 Act
relating to railroad employment; for administering the Railroad
Unemployment Insurance Act and for administering provisions of the
Social Security Act relating to railroad employment;
(b) DVA for administering 38 U.S.C. 412, and upon request, for
determining eligibility for, or amount of, veterans benefits or
verifying other information with respect thereto;
(c) State welfare departments for administering sections
205(c)(2)(B)(i)(II) and 402(a)(25) of the Act requiring information
about assigned SSN's for Aid to Families with Dependent Children
(AFDC) program purposes and for determining a recipient's eligibility
under the AFDC program; and
(d) State agencies for administering the Medicaid program.
25. Upon request, information on the identity and location of aliens
may be disclosed to DOJ (Criminal Division, Office of Special
Investigations) for the purpose of detecting, investigating and, when
appropriate, taking legal action against suspected Nazi war criminals
in the United States.
26. To third party contacts (including private collection agencies
under contract with SSA) for the purpose of their assisting SSA in
recovering overpayments.
27. 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 the routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
28. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906.
29. Information may be disclosed to the Federal Reserve Bank of New
York for the purpose of making direct deposit/electronic funds
transfer of Social Security benefits to foreign-resident
beneficiaries.
30. To DOJ, a court or other tribunal, or another party before such
tribunal when:
(a) SSA, any component thereof, or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to represent the employee;
or
(d) the United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
31. To the Rehabilitation Services Administration (RSA) for use in its
program studies of, and development of enhancements for, State
vocational rehabilitation programs. These are programs to which
applicants or beneficiaries under titles II and or XVI of the Act may
be referred. Data released to RSA will not include any personally
identifying information (such as names or SSNs).
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.
35. Corrections to information that resulted in erroneous inclusion of
individuals in the Death Master File (DMF) may be disclosed to
recipients of the erroneous DMF information.
36. Information as to whether an individual is alive or deceased may
be disclosed pursuant to section 1106(d) of the Social Security Act
(42 U.S.C. 1306(d)), upon request, for purposes of an epidemiological
or similar research project, provided that:
(a) SSA determines, in consultation with the Department of Health and
Human Services, that the research may reasonably be expected to
contribute to a national health interest;
(b) The requester agrees to reimburse SSA for the costs of providing
the information; and
(c) The requester agrees to comply with any safeguards and limitations
specified by the SSA regarding rerelease or redisclosure of the
information.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape and magnetic
disc) and in microform and paper form.
Retrievability:
Records in this system are indexed and retrieved by SSN.
Safeguards:
Safeguards for automated records have been established in accordance
with the HHS Information Resources Management Manual, ``Part 6,
Automated Information Systems Security Program Handbook.'' All
magnetic tapes and discs 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 microform
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:
Primary data storage is on magnetic disc. A new version of the disk
file is generated each month based on changes to the beneficiary's
record (adjustment in benefit amount, termination, or new
entitlements). The prior version is written to tape and retained for
90 days in SSA's main data processing facility and is then sent to a
secured storage facility for indefinite retention.
Selected records also are retained on magnetic disc for on-line query
purposes. The query files are updated monthly and retained
indefinitely. Microform records are disposed of by shredding or the
application of heat after periodic replacement of a complete file.
Paper records are usually destroyed after use, by shredding, except
where needed for documentation of the claims folder. (See the notice
for the Claims Folders System (09-60-0089) for retention periods and
method of disposal for these records).
System manager(s) and address:
Director, Office of Claims and Payment Requirements, Office of System
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting the most convenient Social Security field office
and providing his/her name, Social Security claim number (SSN plus
alphabetic symbols), address, and proper identification. (Furnishing
the SSN is voluntary, but it will make searching for an individual's
record easier and prevent delay.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth and address in order to establish
identity, plus any additional information specified in this section.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Requesters should also reasonably
identify the record, specify the information they are contesting and
state the corrective action sought and the reasons for the correction
with supporting justification showing how the record is untimely,
incomplete, inaccurate or irrelevant. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Data for the MBR come primarily from the Claims Folders System (09-60-
0089) and/or are furnished by the claimant/beneficiary at the time of
filing for benefits, via the application form and necessary proofs,
and during the period of entitlement when notices of events such as
changes of address, work, marriage, are given to SSA by the
beneficiary; and from States regarding HI third party premium payment/
buy-in cases.
Systems exempted from certain provisions of the act:
None.
09-60-0091
System name: Social Security Administration Claims Control
System, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
This system contains a record for each individual who has filed a
claim for Retirement, Survivors and Disability Insurance benefits and/
or Health Insurance benefits on a particular Social Security number.
Only one record is established for each Social Security number even
though more than one claim may be filed simultaneously (e.g., claims
for the wage earner, his wife, and children on one Social Security
number).
Categories of records in the system:
Data in this system consist of the wage earner's name and Social
Security number; the date the application was filed (for a few cases
it is not included because it is not known when the record is
established); the type of action (i.e., Retirement, Survivors,
Disability, and/or Health Insurance Benefits); the potential month of
entitlement (for monthly benefits this will be the first month for
which benefits may be paid); the code for the district office that
processed the application; the district office that released the claim
to the State agency or processing center; the present location of the
claim; and the date the claim was released by one office and received
by another.
Authority for maintenance of the system:
Section 205q of the Social Security Act. (This provision necessitates
a systems control of claims to ensure payment within prescribed time
pars.)
Purpose(s):
This record system is used to control claims from the point they
originate in a district/branch office until they are finally processed
to completion. The record enables the Social Security Administration
to identify those claims for which inordinate delays occur. Once
identified, expeditious processing is initiated. Additionally, the
data present in the system is useful in the reconstruction of a claim
if the application were to be lost.
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:
To a congressional office in response to an inquiry from the
congressional office made at the request of that individual.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape and disk for online and offline retrieval.
Retrievability:
Records are indexed by Social Security number.
Safeguards:
Safeguards have been established in accordance with the Department of
Health and Human Services' Automated Data Processing Manual, ``Part 6,
ADP System Security.'' Magnetic tape and disk records protected
through standard security measures used for all SSA's computer
records--limited access to Social Security Administration offices--
limited employee access to computer facilities based on specific
authorization.
For computerized records, electronically transmitted between Central
Office and field office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal oriented transaction matrix, and an aduit
trail. (See Appendix J to this publication for information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
The records on the magnetic tapes are purged when the decision of
award or disallowance is made on the Social Security number or at 1
year from the date the record is established, whichever occurs first.
The old versions of tapes are erased and returned to stock. The disk
files are continuously updated and retained indefinitely.
System manager(s) and address:
Director, Office of User Requirements and Validation, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the most convenient Social Security office (see
Appendix F for address information) and providing his/her Social
Security claim number (Social Security number plus alphabetic
symbols), name, address and proper identification. (Furnishing the
Social Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. The data in this system are extremely
limited since the system is a mechanism used by SSA to control and
expedite the processing of claims. However, requesters who wish to
reference this system, should provide their name, social security
number, approximate date and place claim was filed, type of claim
(retirement, survivors, disability, or health insurance), and return
address or phone number. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. It is maintained that little of the
data in this system is contestible; however, should an individual wish
to contest it upon review, he or she may do so by contacting staff at
the office specified under notification procedures above. If he or she
decides to contest the data, he or she should reasonably identify the
record, specify the information being contested and state the
corrective action sought and the reasons for the correction with
supporting justification. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record source categories:
The data are derived from the information furnished by the claimant on
his application and by control data that is received as the claim is
sent from the district/branch office to other Social Security offices.
Systems exempted from certain provisions of the act:
None.
09-60-0092
System name: Automated Control System for Case Folders, HHS/SSA/
OSR.
Security classification:
None.
System location:
Social Security Administration, Division of International
Operations, PO Box 1756, Baltimore, Maryland 21203
Social Security Administration, Office of Disability Operations,
Baltimore, Maryland 21241 and
Social Security Administration, Program Service Centers, (see
Appendix A for address information).
Categories of individuals covered by the system:
This system contains a record of each individual who has filed a claim
for Title II benefits (Retirement, Survivors and Disability
Insurance); Title XVI payments (Supplemental Security Income); and
Title XVIII benefits (Health Insurance benefits) whose claims have
been processed through to a decision of award, disallowance,
withdrawal, or termination.
Categories of records in the system:
Data in this system consist of a control record by social security
number containing data relative to the location of the claim serviced
by one of the offices maintaining jurisdictional responsibility; and
whether the claims folder is maintained in that office, temporarily or
permanently transferred to an other office within the Social Security
Administration, a State disability, or vocational rehabilitation
agency, or for storage in a Federal Records Center.
Authority for maintenance of the system:
The payment provisions of the Social Security Act and Federal Coal
Mine Health and Safety Act, sections 202, 223, 226, 228, 1611, 1631,
1818, and 1836 of the Social Security Act and 411 of the Federal Coal
Mine Health and Safety Act. The information for this system is derived
from the claims filing process and duplicates, in fact, that set out
in Claim Folder System notice, 09-60-0089.
Purpose(s):
This system is used by Social Security offices to identify the
location of claims as well as enabling them to associate and process
incoming material in a timely fashion. The identification and exact
location feature assists SSA in meeting the standards of service to
the public in processing and deciding claims for benefits. Data are
also used to identify where operating weaknesses are to facilitate
corrective action by management.
Management data also is derived from the control records to provide
statistical data relative to workloads, staffing, and manpower usage.
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:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disk storage files and magnetic tape files.
Retrievability:
Records are retrieved by Social Security number.
Safeguards:
Disk and tape files protected through standard security measures used
for all of Social Security Administration's computer records--limited
access to Social Security offices, and limited employee access to
computer facilities based on specific authorizations. (See Appendix J
to this publication for additional information relating to safeguards
the Social Security Administration employs to protect personal
information.)
Retention and disposal:
The control records are maintained indefinitely. When disk files are
rewritten, the old disks are erased and returned to stock.
System manager(s) and address:
Director, Office of User Requirements and Validations, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by providing name and Social Security number and following the
instructions below. Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay:
If the records relate to a Retirement of Survivors claims, the
individual should contact the appropriate Program Service Center (see
Appendix A for Social Security number and address information).
If the individual named in the record resides outside the United
States, or any of its possessions, or if the requested information
relates to a foreign claim, the individual should write to the
Division of International Operations (see Appendix A for address
information).
Requests for other information should be forwarded to the Office of
User Requirements and Validation at the address shown above under
system manager.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. The data in this file is extremely
limited since the system is a mechanism used by SSA to locate claims
folders and claims in process. However, if an individual would like
access to records in this system, he or she should provide his or her
name, Social Security number, and related address to the appropriate
address specified under notification procedures above. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. It is maintained that little of the
data here is contestible, however, should an individual wish to
contest it upon review, he or she may do so by writing to the
appropriate address specified under notification procedures and
reasonably identify the record, specity the information being
contesting and state the corrective action sought and the reasons for
the correction with supporting justification.
Record source categories:
The control records are developed from recordings of cards containing
Social Security numbers and coded location identifiers. Also, magnetic
tape files prepared in the Social Security Central Office in Baltimore
containing Social Security numbers and location identifications are
provided to the jurisdictional offices to reflect the location of
claims wherever located in Social Security Administration offices.
Systems exempted from certain provisions of the act:
None.
09-60-0094
System name: Recovery Accounting for Overpayments, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
Social Security Administration, Program Service Centers (see
Appendix A for address information)
Social Security Administration, Division of International
Operations, PO Box 1756, Baltimore, Maryland 21203
and
Social Security Administration, Office of Disability Operations,
Baltimore, Maryland 21241
Lists of overpaid individuals, which are produced by this computer
system, are maintained at each district or branch office (see Appendix
F for address information).
Categories of individuals covered by the system:
Social Security beneficiaries who received an overpayment of benefits;
persons holding conserved (accumulated) funds received on behalf of a
Social Security beneficiary; and persons who received Social Security
payments on behalf of a beneficiary and were found to have misused
those payments.
Categories of records in the system:
Identifying characteristics of each overpayment or instance of misused
or conserved funds; e.g., name and address of the individual(s)
involved, recovery efforts made and the date of each action, and
planned future actions.
Authority for maintenance of the system:
Section 204(a) of the Social Security Act (42 United States Code
404(a)).
Purpose(s):
The users of this system are employees of district and branch offices,
as well as selected personnel of Social Security Program Service
Centers, the Division of International Operations, and the Office of
Disability Operations. The data are used to maintain control of
overpayments and misused or conserved funds from the time of discovery
to the final resolution and for the proper adjustments of payment and
refund amounts. Data adjustment produce accounting and statistical
reports at specified intervals.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Office of the President for the purpose of responding to an
individual pursuant to an inquiry received from that individual or a
third party on his/her behalf.
3. To third party contacts (including private collection agencies
under contract with the Social Security Administration (SSA)) for the
purpose of their assisting SSA in recovering overpayments.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
6. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in magnetic media (e.g., magnetic tape and
magnetic disk), microfiche and paper form.
Retrievability:
Records are retrieved by Social Security number.
Safeguards:
Magnetic tape, magnetic disk, microfiche and paper records are
protected through standard security measures used for all of the
Social Security Administration's records--limited access to Social
Security Administration offices--limited access to files to employees
who have a need for the records in the performance of their official
duties. (See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Magnetic tape files are updated daily and retained for 20 days, after
which they are erased and returned to stock. The magnetic tape file
produced in the last operation of the month is retained in security
storage for a period of 30 days, after which the tapes are erased and
returned to stock. The microfiche records are updated monthly,
retained for 3 years after the month they are produced, and then
destroyed by application of heat. A complete update of the microfiche
is produced annually. Paper listings are destroyed when the
overpayment issue is resolved or when the updated listing is received.
The disk files are continuously updated and retained indefinitely.
System manager(s) and address:
Director, Office of User Requirements and Validation, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the most convenient Social Security district/
branch office (see Appendix F for address information) or the
appropriate Program Service Center (see Appendix A for address
information).
When requesting notification, the individual should provide his or her
name, Social Security number, address, other information which will
assist in locating the requested materials (e.g., data about a prior
or current overpayment), and reference this system of records.
(Furnishing the Social Security number is voluntary, but it will make
searching for an individual's record easier and avoid delay.) These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents they are accessing. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The information for the computer files is received directly from
beneficiaries, from district and branch offices, and as the result of
earnings enforcement operations. The paper listings are updated as a
result of the computer operations.
Systems exempted from certain provisions of the act:
None.
09-60-0095
System name: Health Insurance Overpayment Ledger Cards, HHS/SSA/
OSR.
Security classification:
None.
System location:
Social Security Administration, Program Service Centers (see
Appendix A for address information)
Social Security Administration, Division of International
Operations, PO Box 1756, Baltimore, Maryland 21203 and
Social Security Administration, Office of User Requirements and
Validation, 6401 Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
All Social Security Health and Supplemental Medical Insurance
enrollees who received incorrect Medicare payments or services, who
are determined liable, and against whom it is not possible to adjust
subsequent Part A (Hospital) or Part B (Supplementary Medical)
benefits.
Categories of records in the system:
A clerical record of each overpaid Medicare benefit; name and address
of the individual(s) involved; recovery efforts made and the date of
each action and planned future actions.
Authority for maintenance of the system:
Sections 1814, 1833 and 1870 of the Social Security Act.
Purpose(s):
The users of this system are selected employees of Social Security
Program Service Centers, the Division of International Operations, and
the Office of Disability Operations. The information recorded by the
Program Service Centers is used to maintain control of Medicare
overpayments referred to the Program Service Center from the
Department of Health and Human Services, Health Care Financing
Administration for recovery action. In these cases, the Health Care
Financing Administration is unable to recoup the overpayment by
adjusting subsequent Medicare benefits. The information on the ledger
cards also is used to produce periodic accounting, management, and
statistical reports.
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:
To a congressional office in response to an inquiry from the
congressional office made at the request of that individual.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Card stock in metal cabinets.
Retrievability:
The records in this system are retrieved by Social Security number.
Safeguards:
Records protected through standard security means for all of the
Social Security Administration's clerical records (e.g., cabinets are
locked after hours, limited access to buildings and limited access by
authorized employees who have a need for the records in the
performance of their official duties). (See Appendix J to this
publication for additional information relating to safeguards, the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
Records are retained in the Program Service Center for a period of one
year after collection efforts terminated and then transferred to the
Federal Records Center where they are retained for 3 years, then
destroyed shredding.
System manager(s) and address:
Director, Office of User Requirements and Validation, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing name and Social Security number and following the
procedures below. Furnishing the Social Security number is voluntary,
but it will make searching for an individual's record easier and avoid
delay:
If the requested records relate to a Retirement or Survivors Insurance
claims, the individual should contact the appropriate Social Security
Program Service Center (based on Social security number) (see Appendix
A for address and Social Security number information).
If the individual named in the record resides outside the United
States or its possessions, contact should be made to the Division of
International Operations (see Appendix A for address information).
If the requested records relate to a Disability Insurance claim, the
individual should write to the Office of Disability Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
When requesting notification, an individual should provide his or her
name, Social Security number, and reference to this system. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The information is received indirectly from the providers of Medicare
services through the Health Care Financing Administration and directly
from the Health Care Financing Administration as a result of their
audit procedures.
Systems exempted from certain provisions of the act:
None.
09-60-0097
System name: Program Integrity Case Files, HHS/SSA/OA.
Security classification:
None.
System location:
Social Security Administration, Office of Assessment, 6401 Security
Boulevard, Baltimore, Maryland 21235
Field Integrity Staffs located in Field Assessment Office (see
Appendix L.1 for address information) and
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Records constituting an extension of the file may be located elsewhere
in the Social Security Administration (e.g., district, branch and/or
regional offices). Records also may be located at Federal Records
Centers (contact the system at the address below to obtain the address
for these records).
Categories of individuals covered by the system:
Persons suspected of violating Federal statutes affecting the
administration of programs under the responsibility of SSA, including
those against whom civil recovery action is being considered or
pursued.
Categories of records in the system:
Information maintained in each record includes the identity of the
suspect, the nature of the alleged offense, documentation of the
investigation into the alleged offense, and the disposition of the
case by SSA or the United States Attorney.
Authority for maintenance of the system:
Sections 205(a), 206, 208, 1102, 1106, 1107, 1631(d) (1) and (2) and
1632, of the Social Security Act; and section 413 of the Federal Coal
Mine Health and Safety Act.
Purpose(s):
The information in this system pertains to suspected violations of
Federal statutes. Cases may move through several levels of SSA at
district/branch, regional and/or central office locations during the
course of documenting a suspected fraudulent situation.
Information in this system is used by SSA staff to determine if a
violation of the penal provisions of the Social Security Act or
related provisions of the United States Code has been committed. If
so, such material is used as the basis for referral of the case to the
Department of Justice for consideration of prosecution. The material
also is used to determine the direction of investigation of potential
fraud situations.
Additionally, the information is used: (1) To monitor the progress of
development of individual suspected fraud cases to insure timely
resolution; and (2) for statistical analysis purposes to identify (a)
types of cases which occur with such frequency as to suggest the need
for revision of policies and procedures relative to establishing
eligibility for payments; and (b) trends and averages with respect to
the processing of such cases and their disposition under the Federal
judicial system.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To officers of employees of State governments as well as the
CHAMPUS program for use in conducting investigations of possible fraud
or abuse against the Title XIX or CHAMPUS program.
2. To States Attorneys in connection with State programs involving the
Social Security Administration.
3. To the Department of the Treasury to investigate cases involving
fraudulent tax returns or forgery of Social Security checks.
4. To the United States Postal Service for investigating alleged theft
of Social Security checks.
5. To State and local police authorities for the purpose of
investigating the loss, theft, and/or forgery of Medicare checks.
6. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
7. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee; HHS may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
8. To third party contacts for the purpose of establishing or negating
a violation of the Social Security Act or related provisions of the
United States Criminal Code.
9. To the Internal Revenue Service for the purpose of auditing the
Social Security Administration's compliance with safeguards provisions
of the Internal Revenue Code of 1945, as amended.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form and in magnetic media (e.g., magnetic
tape and disc).
Retrievability:
Records are indexed and retrieved by Social Security number or by name
of the subject of the investigation.
Safeguards:
Manual records are maintained in locked filing cabinets and are
accessed only by employees with a job-related need for the
information. System security for automated records is maintained in
accordance with the Department of Health and Human Services' Automated
Data Processing Manual, ``Part 6, ADP System Security.'' This includes
maintaining the records in secured areas which are patrolled by armed
guards and permitting only authorized employees to these areas in the
performance of their official duties. (See Appendix J to this
publication for additional information relating to safeguards the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
Paper records may be retained 5 years after final disposition of the
case. At the end of the retention period, the records are destroyed by
shredding. Records may also be transferred to a Federal Records Center
after they have been closed for 2 years. Data maintained in magnetic
media is retained an indefinite period of time. Once determined no
longer needed, these records are disposed of in accordance with
established SSA procedures for disposal of records; e.g., erasure of
tapes.
System manager(s) and address:
Director, Division of Program Integrity, Office of Security and
Program Integrity, Office of Assessment, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the system manager at the above address and
providing name, Social Security number, any Social Security number on
which he/she has filed for, or received benefits, the type of such
claim, and current claim status. (Furnishing the Social Security
number is voluntary, but it will make searching for an individual's
record easier and avoid delay.) These procedures are in accordance
with HHS Regulations, 45 CFR part 5b.
Record access procedures:
Per 5 United States Code 552a(k)(2), the records in this system are
exempt from access by the individual named in the records. However,
the individual may gain access to information which is a matter of
public record or documents which he/she has furnished by writing to
the system manager at the above address. When requesting access to a
medical record, the individual shall, at the time of the request,
designate in writing a responsible representative who will be willing
to review the record and inform the subject of its contents at the
representative's discretion.
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time of the request designate a
physician or other health professional (other than a family member)
who will be willing to review the record an inform the the parent or
guardian of its contents at the physician's or health professional's
discretion.
Contesting record procedures:
Same as above. Also, requesters should 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. These procedures are in accordance with HHS
Regulations, 45 CFR part 5b.
Record source categories:
The information contained in this record system is the result of
criminal investigation and may be derived from such sources as the
suspect, witnesses, or Social Security Administration employees with a
knowledge of the case.
Systems exempted from certain provisions of the act:
Exemption of this system to the access provisions is claimed under
section k(2) of the Privacy Act inasmuch as these records are
investigatory materials compiled for program (law) enforcement in
anticipation of a criminal proceeding. (See page 47413 of Federal
Register of October 8, 1975, Vol. 40, No. 196, Part IV.)
09-60-0102
System name: Fee Ledger System for Representatives, HHS/SSA/OIP.
Security classification:
None.
System location:
Records pertaining to representatives in Retirement, Survivors,
Disability, Health Insurance, Supplemental Security Income and Black
Lung benefits claims are maintained as indicated below:
Claims where a fee petition was processed through November 1974
involving Retirement, Survivors and Disability Insurance and
Supplemental Security Income for the aged are located at: Social
Security Administration, Office of Insurance Programs, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Claims involving Disability Insurance benefits, Black Lung and
Supplemental Security Income for the blind and disabled are located
at: Social Security Administration, Office of Disability Operations,
1500 Woodlawn Drive, Baltimore, Maryland 21241.
Claims that involve a hearing for Disability, Retirement, and
Survivors benefits, Health Insurance, Black Lung, or Supplemental
Security Income are located at: Social Security Administration, Office
of Hearings and Appeals, 801 North Randolph Street, Arlington,
Virginia 22203.
Categories of individuals covered by the system:
Attorneys and non-attorney representatives of claimants before the
Social Security Administration.
Categories of records in the system:
Name and address of representative, firm affiliation, if any,
claimant's Social Security number, fee requested by representative,
amount of fee approved by the Social Security Administration, amount
withheld from claimant's past-due benefits, date the fee was approved,
type of service rendered; and information pertaining to reviewing and
approving offices.
Authority for maintenance of the system:
Section 206 and 1631(d) of the Social Security Act, and section 413(b)
of the Federal Coal Mine Health and Safety Act of 1969.
Purpose(s):
This system provides a statistical base for projections of workloads,
trends, cost analyses of legislative proposals, and similar
activities. Such information is supplied upon request to government
agencies, the Congress, and the public.
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:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form (e.g., ledger cards and carbon
copies).
Retrievability:
Records are indexed by a combination of name and Social Security
number.
Safeguards:
The records are maintained in locked filing cabinets. Only those SSA
employees who have a need for the records in the performance of their
official duties are permitted access to the records. All employees are
issued photographic passes and must display the passes upon entering
buildings which house the records. Additionally, entrances and exits
to the buildings are manned by armed security guards. (See Appendix J
to this publication for additional information relating to safeguards
the Social Security Administration employs to protect personal
information.)
Retention and disposal:
Ledger records are retained for a period of 5 years from the date of
the latest entry. If no entries are recorded within this period, the
record is destroyed. When the ledger is destroyed, the name, address
of the representative, and at least one Social Security number of an
involved claim, is recorded and indexed for indefinite retention.
Copies of the representatives petition are retained for 1 to 2 years.
The fee ledgers are maintained indefinitely, as are the records in the
Social Security Administration Offices of Disability Operations
(through November 1978), Assistance Programs and Hearings and Appeals.
System manager(s) and address:
See location above for appropriate manager to contact.
Director, Office of Insurance Programs, 6401 Security Boulevard,
Baltimore, Maryland 21235
Director, Office of Disability Operations, 6401 Security Boulevard,
Baltimore, Maryland 21235 and
Director, Office of Hearings and Appeals, 801 North Randolph Street,
Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the appropriate system manager (see location
above) at one of the addresses shown above and providing his/her name
and Social Security number. (Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay.) When the appropriate system manager cannot be
idenfified, the individual may contact the Director, Office of
Insurance Programs at the address shown under system manager above.
All requests for information should include the representative's name,
address, type of claim, date the fee was approved, and the Social
Security number under which the claim was filed. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is extracted from forms completed by the representative
and the Social Security Administration.
Systems exempted from certain provisions of the act:
None.
09-60-0103
System name:
Supplemental Security Income Record, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, MD 21235.
Records also may be located in Social Security Administration (SSA)
Regional and field offices (individuals should consult their local
telephone directories for address information).
Categories of individuals covered by the system:
This file contains a record for each individual who has applied for
supplemental security income (SSI) payments, including individuals who
have requested an advance payment; SSI recipients who have been
overpaid; and each essential person associated with an SSI recipient.
Categories of records in the system:
This file contains data regarding SSI eligibility; citizenship;
residence; Medicaid eligibility; eligibility for other benefits;
alcoholism or drug addiction data, if applicable (disclosure of this
information may be restricted by 21 U.S.C. 1175 and 42 U.S.C. 290dd-3
and ee-3); income data; resources; payment amounts, including
overpayment amounts and date and amount of advance payments; living
arrangements; case folder location data; appellate decisions, if
applicable; Social Security numbers (SSN's) used to identify a
particular individual, if applicable; information about representative
payees, if applicable; and a history of changes to any of the persons
who have applied for SSI payments. For eligible individuals, the file
contains basic identifying information, income and resources (if any)
and, in conversion cases, the State welfare number.
Authority for maintenance of the system:
Sections 1602, 1611, 1612, 1613, 1614, 1615, 1616, 1631, 1633, and
1634 of title XVI of the Social Security Act (the Act).
Purpose(s):
SSI records begin in Social Security field offices where an individual
or couple files an application for SSI payments. The application
contains data which may be used to prove the identity of the
applicant, to determine his/her eligibility for SSI payments and, in
cases where eligibility is determined, to compute the amount of the
payment. Information from the application, in addition to data used
internally to control and process SSI cases, is used to create the
SSR. The SSR also is used as a means of providing a historical record
of all activity on a particular individual's or couple's record.
In addition, statistical data are derived from the SSR for actuarial
and management information purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To the Department of the Treasury to prepare SSI and Energy
Assistance checks.
2. To the States to establish the minimum income level for computation
of State supplements.
3. To the following Federal and State agencies to prepare information
for verification of benefit eligibility under section 1631(e) of the
Act: Bureau of Indian Affairs; Office of Personnel Management;
Department of Agriculture; Department of Labor; Immigration and
Naturalization Service; Internal Revenue Service (IRS); Railroad
Retirement Board (RRB); State Pension Funds; State Welfare Offices;
State Worker's Compensation; Department of Defense; United States
Coast Guard; and the Department of Veterans Affairs (DVA).
4. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
5. To State crippled children's agencies (or other agencies providing
services to disabled children) to identify title XVI eligibles under
the age of 16 for the consideration of rehabilitation services in
accordance with section 1615 of the Act.
6. To contractors under contract to SSA or under contract to another
agency with funds provided by SSA for the performance of research and
statistical activities directly relating to this system of records.
7. To State audit agencies for auditing State supplementation payments
and Medicaid eligibility consideration.
8. To State agencies to effect and report the fact of Medicaid
eligibility of title XVI recipients in the jurisdiction of those
States which have elected Federal determinations of Medicaid
eligibility of title XVI eligibles and to assist the States in
administering the Medicaid program.
9. To State agencies to identify title XVI eligibles in the
jurisdiction of those States which have not elected Federal
determinations of Medicaid eligibility in order to assist those States
in establishing and maintaining Medicaid rolls and in administering
the Medicaid program.
10. To State agencies to enable those which have elected Federal
administration of their supplementation programs to monitor changes in
applicant/recipient income, special needs, and circumstances.
11. To State agencies to enable those which have elected to administer
their own supplementation programs to identify SSI eligibles in order
to determine the amount of their monthly supplementary payments.
12. To State agencies to enable them to assist in the effective and
efficient administration of the SSI program.
13. To State agencies to enable those which have an agreement with the
Secretary of Health and Human Services (HHS) to carry out their
functions with respect to Interim Assistance Reimbursement pursuant to
section 1631(g) of the Act.
14. To State agencies to enable them to locate potentially eligible
individuals and to make eligibility determinations for extensions of
social services under the provisions of title XX of the Act.
15. To State agencies to assist them in determining initial and
continuing eligibility in their income maintenance programs and for
investigating and prosecution of conduct subject to criminal sanctions
under these programs.
16. To the United States Postal Service for investigating the alleged
theft, forgery or unlawful negotiation of SSI checks.
17. To the Department of the Treasury for investigating the alleged
theft, forgery or unlawful negotiation of SSI checks.
18. To the Department of Education for determining the eligibility of
applicants for Basic Educational Opportunity Grants.
19. To Federal, State or local agencies (or agents on their behalf)
for administering cash or noncash income maintenance or health
maintenance programs (including programs under the Act). Such
disclosures include, but are not limited to, release of information
to:
(a) The DVA upon request for determining eligibility for, or amount
of, VA benefits or verifying other information with respect thereto;
(b) The RRB for administering the Railroad Unemployment Insurance Act;
(c) State agencies to determine eligibility for Medicaid;
(d) State agencies to locate potentially eligible individuals and to
make determinations of eligibility for the food stamp program; and
(e) State agencies to administer energy assistance to low income
groups under programs for which the States are responsible.
20. To IRS, Department of the Treasury, as necessary, for the purpose
of auditing SSA's compliance with safeguard provisions of the Internal
Revenue Code of 1986, as amended.
21. To the Office of the President for the purpose of responding to an
individual pursuant to an inquiry received from that individual or a
third party on his/her behalf.
22. Upon request, information on the identity and location of aliens
may be disclosed to the DOJ (Criminal Division, Office of Special
Investigations) for the purpose of detecting, investigating and, when
appropriate, taking legal action against suspected Nazi war criminals
in the United States.
23. To third party contacts (including private collection agencies
under contract with SSA) for the purpose of their assisting SSA in
recovering overpayments.
24. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its programs. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter a contractual or similar agreement with a third party to assist
in accomplishing an agency function relating to this system of
records.
25. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906.
26. To the DOJ, a court or other tribunal, or another party before
such tribunal when:
(a) SSA, any component thereof, or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to represent the employee;
or
(d) The United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court, or
other tribunal, is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
27. To representative payees, when the information pertains to
individuals for whom they serve as representative payees, for the
purpose of assisting SSA in administering its representative payment
responsibilities under the Act and assisting the representative payees
in performing their duties as payees, including receiving and
accounting for benefits for individuals for whom they serve as payees.
28. To third party contacts 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:
(1) He/she is incapable or of questionable mental capability;
(2) He/she cannot read or write;
(3) He/she cannot afford the cost of obtaining the information;
(4) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(5) A language barrier exists; or
(6) 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:
(1) His/her eligibility for benefits under the Social Security
program;
(2) The amount of his/her benefit payment; or
(3) Any case in which the evidence is being reviewed as a result of
suspected fraud, concern for program integrity, quality appraisal, or
evaluation and measurement activities.
29. To the Rehabilitation Services Administration (RSA) for use in its
program studies of, and development of enhancements for, State
vocational rehabilitation programs. These are programs to which
applicants or beneficiaries under titles II and or XVI of the Act may
be referred. Data released to RSA will not include any personally
identifying information (such as names or SSNs).
30. Addresses of beneficiaries who are obligated on loans held by the
Secretary of Education or a loan made in accordance with 20 USC 1071,
et seq. (the Robert T. Stafford Student Loan Program) may be disclosed
to the Department of Education as authorized by section 489A of the
Higher Education Act of 1965.
31. To student volunteers and other workers, who technically do not
have the status of Federal employees, when they are performing work
for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
32. To Federal, State, and local law enforcement agencies and private
security contractors, as appropriate, 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.
33. Corrections to information that resulted in erroneous inclusion of
individuals in the Death Master File (DMF) may be disclosed to
recipients of the erroneous DMF information.
34. Information as to whether an individual is alive or deceased may
be disclosed pursuant to section 1106(d) of the Social Security Act
(42 U.S.C. 1306(d)), upon request, for purposes of an epidemiological
or similar research project, provided that:
(a) SSA determines, in consultation with the Department of Health and
Human Services, that the research may reasonably be expected to
contribute to a national health interest;
(b) The requester agrees to reimburse SSA for the costs of providing
the information; and
(c) The requester agrees to comply with any safeguards and limitations
specified by the SSA regarding rerelease or redisclosure of the
information.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are maintained in magnetic media (e.g., magnetic tape) and in
microform and microfiche form.
Retrievability:
Records are indexed and retrieved by SSN.
Safeguards:
System security for automated records has been established in
accordance with the HHS Information Resources Management Manual, Part
6, Automated Information System Security Program Handbook. This
includes maintaining all magnetic tapes and magnetic discs within an
enclosure attended by security guards. Anyone entering or leaving that
enclosure must have special badges which are only issued to authorized
personnel. All authorized personnel having access to the magnetic
records are subject to the penalties of the Privacy Act. The
microfiche are stored in locked cabinets, and are accessible to
employees only on a need-to-know basis. All SSR State Data Exchange
records are protected in accordance with agreements between SSA and
the respective States regarding confidentiality, use, and
redisclosure.
Retention and disposal:
Original input transaction tapes received which contain initial claims
and posteligibility actions are retained indefinitely although these
are processed as received and incorporated into processing tapes which
are updated to the master SSR tape file on a monthly basis. All
magnetic tapes appropriate to SSI information furnished to specified
Federal, State, and local agencies for verification of eligibility for
benefits and under section 1631(e) are retained, in accordance with
the Privacy Act accounting requirements, for at least 5 years or the
life of the record, whichever is longer.
System manager(s) and address:
Director, Office of Claims and Payment Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to or visiting any Social Security field office and
providing his or her name and SSN. (Individuals should consult their
local telephone directories for Social Security office address and
telephone information.) (Furnishing the SSN is voluntary, but it will
make searching for an individual's record easier and prevent delay.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth and address in order to establish
identity, plus any additional information specified in this section.
These procedures are in accordance with HHS regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. An individual who requests
notification of, or access to, a medical record shall, at the time he
or she makes the request, designate in writing a responsible
representative who will be willing to review the record and inform the
subject individual of its contents.
A parent or guardian who requests notification of, or access to, a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's or health
professional's discretion. These procedures are in accordance with HHS
regulations 45 CFR part 5b.
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 HHS regulations 45 CFR part 5b.
Record source categories:
Data contained in the SSR are obtained for the most part from the
applicant for SSI payments and are derived from the Claims Folders
System (09-60-0089). The States also provide data affecting the SSR
(State Data Exchange Files).
Systems exempted from certain provisions of the act:
None.
09-60-0110
System name: Supplemental Security Income File of Refunds, HHS/
SSA/OURV.
Security classification:
None.
System location:
Social Security Administration, Office of User Requirement and
Validation, 6401 Security Boulevard, Baltimore, Maryland 21235.
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
This system contains a record of each individual who has refunded a
Supplemental Security Income payment to which he/she was not entitled
or that was received as a result of an overpayment.
Categories of records in the system:
This file contains information about refunds sent in by persons who
were overpaid or not entitled to Supplemental Security Income payments
they received. Specific information is name of individual, Social
Security number, date of refund, and amount of refund.
Authority for maintenance of the system:
Sections 1602, 1611, and 1631 of Title XVI of the Social Security Act.
Purpose(s):
This file is established after supplemental security income refunds
received have been recorded and deposited in the Federal Reserve bank.
The money refunded is broken into Federal share and State share for
accounting purposes.
The information in this system is keyed directly onto tapes which are
kept in SSA's tape library. The tapes are used to prepare cross
reference listing and to input information into the system.
Manual records are used to prepare responses to inquiries from
district offices.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. State audit agencies pursuant to agreements with HHS for auditing
State supplementation payments.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape) and paper
form.
Retrievability:
Listings are referenced by Social Security number. The source document
is filed by bank deposit schedule number; the cross reference listing,
in Social Security number sequence, by month.
Safeguards:
The source documents and listings are kept in an area which is secured
at night--doors locked. Information is furnished only to other Social
Security Administration components with limited access by employees
who have a need for the records in the performance of their official
duties. The magnetic tapes are retained in secure storage areas
accessible only to authorized persons within the Office of Systems.
The storage area is controlled by marshalls responsible for insuring
that only authorized personnel are admitted. Official identification
badges or passes are required to gain entrance to the storage area.
All employees having access to records have been notified of criminal
sanctions for unauthorized disclosure of information on individuals.
(See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
The source documents and listings are being held indefinitely.
Eventually they will be retired to the Federal Record Center. The
tapes are stored in the Social Security tape library.
System manager(s) and address:
Director, Office of User Requirement and Validation, Social Security
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing his or her name, Social Security number, pertinent
information about his or her case, and the name of this system to the
system manager at the address shown above. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The receipt form completed by an employee in the Social Security
district/branch office plus the actual check, money order, etc., used
to remit the money.
Systems exempted from certain provisions of the act:
None.
09-60-0111
System name: Debit Voucher File (Supplemental Security Income),
HHS/SSA/OURV.
Security classification:
None.
System location:
Social Security Administration, Office of User Requirement and
Validation, 6401 Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
The file contains a record for aged, blind, or disabled individuals
who have negotiated two checks for the same month incorrectly.
Categories of records in the system:
The SF-1082, Voucher and Schedule of Withdrawals and Credits, is sent
to the Office of Management, Budget and Personnel from the Department
of Treasury billing the Social Security Administration for additional
monies expended on their behalf. It contains the identification of the
individual, name and social security number, and amount of money
involved.
Authority for maintenance of the system:
Sections 1602, 1611 and 1631 of Title XVI of the Social Security Act.
Purpose(s):
This system is used to maintain photocopies of erroneously negotiated
supplemental security income checks as well as copies of bounced
checks which the Treasury Department sends to the Social Security
Administration (SSA), which SSA district and branch files and use for
future reference when they attempt to collect the money from the
individual. The money amount is allocated to the Federal share and
State share for accounting purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be make for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To State audit agencies pursuant to agreements with HHS for
auditing State supplementation payments.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form.
Retrievability:
Information in this system is indexed and retrieved by Social Security
number
Safeguards:
Access limited to employees on need to know basis. Area secured at
night--doors locked. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
The records are being held indefinitely. They will eventually be
retired to the Federal Records Center.
System manager(s) and address:
Director, Office of User Requirement and Validation, Social Security
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing his or her name, Social Security number, pertinent
information about his or her case, and the name of this system to the
system manager at the address shown above. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information if obtained from the Bureau of Government Financial
Operations of the Department of the Treasury.
Systems exempted from certain provisions of the act:
None.
09-60-0117
System name: Age at First Payment of Retirement Insurance
Benefit, HHS/SSA/OACT.
Security classification:
None.
System location:
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Recently entitled Retirement Insurance beneficiaries.
Categories of records in the system:
Payment history and demographic information.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C. Sec. 702).
Purpose(s):
Information in this system is used for statistical purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are stored on magnetic tape.
Retrievability:
Individual records are identified by claim account number (Social
Security number plus alphabetic code).
Safeguards:
All magnetic tapes are retained in secure storage areas accessible
only to authorized persons within the Bureau of Data Processing and
Data Development. All employees having access to records have been
notified of criminal sanctions for unauthorized disclosure of
information on individuals. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
This system is updated infrequently and magnetic tapes are returned to
blank stock.
System manager(s) and address:
Deputy Chief Actuary, Short-Range Estimates, Office of the Actuary,
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the address shown above and
providing his or her claim account number. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from another Social Security
system, The Master Beneficiary Record, 09-60-0090.
Systems exempted from certain provisions of the act:
None.
09-60-0118
System name: Non-Contributory Military Service Reimbursement
System, HHS/SSA/OP.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
A sample of beneficiaries who have non-contributory military service
credits.
Categories of records in the system:
Information in this system consists of the beneficiary's name and
claim acount number (Social Security number plus alphabetic code) and
information concerning covered earnings, benefits and payment status.
Authority for maintenance of the system:
Section 217, 229, and 231 of the Social Security Act.
Purpose(s):
Data in this system are used for statistical purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are stored on magnetic tape.
Retrievability:
The file is indexed with the CAN (Social Security number plus
alphabetic code).
Safeguards:
All magnetic tape files are retained in secure storage areas
accessible only to authorized persons who have a need for the files to
perform their assigned duties. All employees having access to records
have been notified of criminal sanctions for unauthorized disclosure
of information on individuals. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
This system is updated annually. The records are retained
indefinitely.
System manager(s) and address:
Deputy Chief Actuary, Short-Range Estimates, Office of the Actuary,
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the address shown above.
When requesting notification, the individual should provide his or her
name and CAN (Social Security number plus alphabetic code). These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Data in this system are derived information in other SSA systems of
records, namely, the Earnings Recording and Self-Employment System
(09-60-0059), Claim Folders (09-60-0089) and Master Beneficiary Record
(09-60-0090).
Systems exempted from certain provisions of the act:
None.
09-60-0119
System name: Special Age 72 Benefit Trust Fund Transfer Project,
HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
This system covers all individuals entitled to benefits under the
Prouty amendments.
Categories of records in the system:
Records consist of information pertaining to benefit entitlement,
demographic information, and earnings.
Authority for maintenance of the system:
Section 223 of the Social Security Act.
Purpose(s):
The purpose of this system is to maintain information which is used to
determine an amount of money to be transferred from General Revenue to
the Old Age and Survivors Insurance Trust Fund.
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:
To a congressional office in response to an inquiry from that office
made at the request of the subject of a record.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are stored on magnetic tape.
Retrievability:
Individual records are identified by claim account number (Social
Security number plus alphabetic symbol).
Safeguards:
All magnetic tapes are retained in secure storage areas accessible
only to authorized personnel. All employees having access to records
have been notified of criminal sanctions for unauthorized disclosures
of information on individuals. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal records.)
Retention and disposal:
This system is updated periodically and magnetic tapes are erased and
returned to blank stock.
System manager(s) and address:
Deputy Chief Actuary, Short-Range Estimates, Office of the Actuary,
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by providing his or her claim account number to the system
manager at the address shown above. These procedures are in accordance
with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from other SSA systems, namely the
Earnings Recording and Self-Employment Income System (09-60-0059) and
the Master Beneficiary Record (09-60-0090).
Systems exempted from certain provisions of the act:
None.
09-60-0128
System name: Retirement, Survivors and Disability Insurance
Claims Study, HHS/SSA/OA.
Security classification: None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
Social Security Administration, Office of Assessment, Office of
Payment and Eligibility Quality, 6401 Security Boulevard, Baltimore,
Maryland 21235
Social Security Administration, Program Service Centers (See
Appendix A for addresses)
Social Security Administration, Division of International
Operations, P.O. Box 1756, Baltimore, Maryland 21203.
and
Social Security Administration, Office of Disability Operations,
Baltimore, Maryland 21241
Categories of individuals covered by the system:
National stratified probability sample of individuals allowed or
denied benefits, as well as those awarded lump sum death benefits,
beginning November 1964 for Retirement and Survivors claims, May 1966
for Disability claims.
Categories of records in the system:
Demographic characteristics of beneficiary, description of
allegations, evidence and findings, and case control data.
Authority for maintenance of the system:
Section 205 of the Social Security Act.
Purpose(s):
This is a study to evaluate the effectiveness of Retirement,
Survivors, and Disability Insurance program policies. Date from this
study are compiled for evaluative purposes, and subsequently stored in
the claims folders. Adverse data received in the conduct of this study
may be used to review earlier claims or post-adjudicative decisions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To third parties for verification of information given by
claimants.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained on magnetic tape and in paper form.
Retrievability:
Records are indexed by identification sequence number.
Safeguards:
All folders are kept in secure areas, accessible only to authorized
staff (i.e., statisticians, analyst, and programmers). For
computerized records, safeguards are established in accordance with
the Department of Health and Human Services Automated Data Processing
Manual, ``Part 6, ADP System Security.'' (See Appendix J to this
publication for additional information relating to safeguards the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
Disposal of file folders is conducted in accordance with Social
Security Administration guidelines for Title II claims, while magnetic
tapes are held for 5 years before being erased.
System manager(s) and address:
Director, Division of Payment and Eligibility Quality, Office of
Assessment, Social Security Administration, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the system manager at the
address shown above. When requesting notification, the individual
should provide the name of this system, Social Security number and for
verification purposes, name (woman's maiden name, if applicable),
address, date of birth and sex, the month and year in which the
individual was allowed or denied benefits (Retirement or Disability).
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from other SSA systems: e.g., the
Earnings Recording and Self-Employment System (09-60-0059), Claim
Folders (09-60-0089) and Supplemental Security Income Record (09-60-
0103); and survey data collected by Social Security employees.
Systems exempted from certain provisions of the act:
None.
09-60-0129
System name: Adjudication of Supplemental Security Income Policy
Analysis Review, HHS/SSA/OA.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
Social Security Administration, Office of Assessment, Office of
Payment and Eligibility Quality, 6401 Security Boulevard, Baltimore,
Maryland 21235
Social Security Administration, Program Service Centers, (See
Appendix A for addresses)
Social Security Administration, Division of International
Operations, PO Box 1756, Baltimore, Maryland 21203
and
Social Security Administration, Office of Disability Operations,
Baltimore, Maryland 21241
Categories of individuals covered by the system:
National stratified probability sample of individual allowed or denied
Supplemental Security Income benefits since January 1975.
Categories of records in the system:
Demographic characteristics of the beneficiary, description of
allegations, evidence and findings, and case control data.
Authority for maintenance of the system:
Sections 205 and 1631 of the Social Security Act.
Purpose(s):
This is a study to evaluate the effectiveness of supplemental security
income program policies. Data from this study are compiled for
evaluation purposes and subsequently stored in the claim folders
system (09-60-0089). Adverse data received in the conduct of this
study may be used to review earlier claims or post-adjudicative
decisions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To third parties for verification of information given by
claimants.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records are stored on magnetic tape.
Retrievability:
Records are indexed by identification sequence number.
Safeguards:
All folders are kept in secure areas, accessible only by authorized
staff (i.e. statisticians, analyst, and programmers).
For computerized records, safeguards are established in accordance
with the Department of Health and Human Services Automated Data
Processing Manual, ``Part 6, ADP System Security.'' (See Appendix J to
this publication for additional information relating to safeguards the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
Disposal of file folders is conducted in accordance with Social
Security Administration guidelines for Title XVI claims, while
magnetic tapes are held for 5 years before being erased.
System manager(s) and address:
Director, Office of Payment and Eligibility Quality, Office of
Assessment, 6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the address shown above.
When requesting notification, the individual should provide the name
of this system, Social Security number, and, for verification
purposes, name (woman's maiden name, if applicable), address, date of
birth and sex, the month and year in which the individual was allowed
or denied supplemental security income payments. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from other SSA systems, e.g.:
Earnings Recording and Self-Employment Income System (09-60-0059),
Claim Folders (09-60-0089) (Title II and Title XVI claims folders),
Master Beneficiary Record (09-60-0090), and Supplementary Security
Income Record (09-60-0103); and survey data collected by Social
Security employees.
Systems exempted from certain provisions of the act:
None.
09-60-0148
System name: Matches of Internal Revenue Service and Social
Security Administration Data with Census Survey Data (Joint Social
Security Administration/Census Statistics Development Project),
HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
Social Security Administration, Office of Research and Statistics,
1875 Connecticut Avenue, NW, Washington, DC 20009
and
Bureau of the Census, Suitland, Maryland 20233
Categories of individuals covered by the system:
Samples of United States civilian population and those Armed Forces
personnel residing with their families as of March 1975-1980 and
subsequent periods.
Categories of records in the system:
Basic demographic characteristics from Census survey-labor force, work
experience and income items from the survey; Social Security
Administration earnings and benefit record information; selected
Internal Revenue Service tax return items.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., Section 902), and
Title 13 U.S. Code, section 182 for Census participation.
Purpose(s):
This data file is used as the basis of microsimulations of tax and
transfer programs. These microsimulations provide policy makers with
information about the costs and effects of proposed changes in the
social security tax and benefit structures and in the Federal income
tax program. It also is used to estimate the number of non-filers and
the magnitude of the effects of noncompliance with IRS and SSA
regulations. During those matching steps which occur at the Social
Security Administration, identifiable data is solely under the control
of a limited number of Social Security employees who are required to
uphold the Census and IRS statutes as well as the confidentiality
restrictions of the Social Security Administration. Similar provisions
are made for the handling of identifiable data from the project at the
Census Bureau. Contractors provide storage of and remote terminal
access to files which do not carry identifiers.
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:
(Through the Census Bureau) to a congressional office in response to
an inquiry from that office made at the request of the subject of a
record. Tax return information may be disclosed only with the
expressed authorization of the Internal Revenue Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on magnetic tape and in paper form.
Retrievability:
Records are indexed by Social Security number during the matching
steps at the Social Security Administration and Census but identifiers
are not retained at the Social Security Administration after matching
is completed.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, Part 6, ADP System Security. Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals.
Magnetic tapes or other files with personal identifiers, are retained
in secured storage areas accessible only to authorized personnel.
Microdata files prepared for purposes of research and analysis are
purged of personal identifiers and are subject to procedural
safeguards to assure anonymity. (See Appendix J to this publication
for additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
Following the match, all identifiers are removed from the records kept
at the Social Security Administration. The Census Bureau retains
identifiers for possible longitudinal updating.
Records with identifiers will be held in secure storage areas at the
Census Bureau and will be disposed of as soon as they are determined
to be no longer needed for Census or SSA analysis. Means of disposal
will be appropriate to the record storage medium, e.g., erasure of
tapes, shredding of printouts, etc.
As long as identifiable records exist, a periodic review will be made
at least every two years to determine the need for their retention.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue, NW, Washington, DC 20009.
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA program should consult other SSA
systems of records which contain more detailed information. However,
individuals may obtain notification of or access to information that
may be maintained during processing stages in this system, by writing
to the system manager (at the above address) and providing the name of
this system, their name and Social Security number and a description
of the information being sought. (Furnishing the Social Security
number is voluntary, but it will make searching for an individual's
record easier and avoid delay.) Also, to verify identity, he/she
should provide name, address and date of birth. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Except in transitory stages of
preparation, files at SSA which are based on Census or Internal
Revenue Service samples do not have personal identifiers, and cannot
be located on an individual basis. Records with identifiers maintained
at the Bureau of Census are considered by Census to be exempt from
access.
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. These procedures are in accordance with
HHS Regulation 45 CFR part 5b.
Record source categories:
Records in this system are derived from other Social Security
Administration systems, the Earnings Recording and Self-Employment
Income System (09-60-0059) and Master Beneficiary Record (09-60-0090),
Internal Revenue tax returns; and Census surveys.
Systems exempted from certain provisions of the act:
None.
09-60-0149
System name: Matches of Internal Revenue Service and Social
Security Administration Data (Joint Social Security
Administration/Treasury Department Office of Tax Analysis,
Statistics Development Project), HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
Social Security Administration, Office of Research and Statistics,
1875 Connecticut Avenue, NW, Washington, DC 20009
and
Department of the Treasury, 15th & Pennsylvania Ave., NW,
Washington, DC 20220
Categories of individuals covered by the system:
Samples of persons by or on whose behalf Federal income or estate tax
returns, or wages or self-employment earnings reports have been filed
for 1970, 1972, 1975, 1977, 1979 and selected subsequent years.
Categories of records in the system:
Social Security Administration demographic data; Social Security
Administration earnings information; and tax return data.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., Section 902) and
section 6103 of the Internal Revenue Code (26 U.S.C. 6103) for
Treasury participation.
Purpose(s):
These files are used to develop data based for SSA's Office of
Research and Statistics studies of economic behavior, mortality,
wealth, and occupation in the context of the income maintenance
system; and for micro-economic analysis of income distribution. These
data bases are used by the Office of Research and Statistics jointly
with the Department of the Treasury's Office of Tax Analysis without
identifiers for research and statistical projects sponsored by the
Office of Research and Statistics, the Office of Tax Analysis and the
Internal Revenue Service. Files without identifiers are used for
statistical analysis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. (Through the Treasury Department) to a congressional office in
response to an inquiry from that office made at the request of the
subject of a record. Tax return information is disclosed only with the
expressed authorization of the Internal Revenue Service.
2. To the Department of the Treasury, Office of Tax Analysis, in
connection with statistical studies conducted for Social Security
Administration and Department of the Treasury purposes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on magnetic tape.
Retrievability:
Records are indexed by Social Security number during the searching
steps at the Social Security Administration. Indentifiers are retained
at the Office of Tax Analysis for matching purposes which are carried
out entirely at Treasury.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, Part 6, ADP System Security. Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. Special
update files prepared for use in data-base management systems are
purged. (See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal information.)
Retention and disposal:
Identifiable data are retained by the Social Security Administration
only during the search process. Once searching is complete all
computer tapes are turned over to the Treasury Department.
A matched SSA-Treasury file without identifiers is available to SSA
and Treasury for research use. SSA does not have detailed Internal
Revenue Service data with identifiers at any point in the matching
process. The minimum amount of Internal Revenue Service data with
identifiers needed to validate the processing is used by the Social
Security Administration. Identifiers may be retained on the Treasury
copies of intermediate and matched files in secure storage.
The retention of these identifiers is needed exclusively for possible
further matching; e.g., with similar data for different years.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue, NW, Washington, DC 20009
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA program should consult other SSA
systems of records which contain more detailed information. However,
if an individual wishes notification of or access to information that
may be maintained during processing stages in this system, he/she
should write to the system manager (at the above address) and provide
the name of this system, his/her name and Social Security number and a
description of the information being sought. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) Also, to verify identify,
he/she should provide address and date of birth. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Except in transitory stages of
preparation, files at SSA do not have personal identifiers, and cannot
be located on an individual basis.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records are derived from other Social Security Administration systems;
e.g., the Master Files of Social Security Number Holders (09-60-0058),
Earnings Recording and Self-Employment Income Record (09-60-0059),
Master Beneficiary Record (09-60-0090); and Internal Revenue Service
Federal income and estate tax returns.
Systems exempted from certain provisions of the act:
None.
09-60-0159
System name: Continuous Work History Sample (Statistics), HHS/
SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235
and
Parklawn, 5600 Fishers Lane, Rockville, Maryland 20857.
Categories of individuals covered by the system:
A sample of persons with social security numbers issued through the
cutoff date of the file. Included are those persons working for the
Federal government and those covered by the Railroad Retirement Act,
as well as those covered under social security.
Categories of records in the system:
Demographic characteristics; employer information; type of work
information; earnings information; self-employment information;
insured status information; benefit status; and geography information
(residence).
Authority for maintenance of the system:
Section 702 of the Social Security Act. (42 U.S.C. sec. 902).
Purpose(s):
This system provides a one percent overview of SSA programs. With
identifiers, the system is used by Office of Research and Statistics
(ORS) staff in analysis and research of SSA programs, workloads, and
revenue. Purged of identifiers, it has been an important resource for
HHS planning and evaluation and for health research in the Health Care
Financing Administration and the Public Health Services. Its wide
scope and coverage of the income structure of the United States, make
the data from the system useful to many agencies, including the Census
Bureau and the Bureau of Economic Analysis, as a fundamental source of
data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To the Department of Labor for administering provisions of Title IV
of the Federal Coal Mine Health and Safety Act and for studies on the
effectiveness of training programs to combat poverty.
2. To the Bureau of Census when it performs as a collecting agent or
data processor for research and statistical purposes directly relating
to this system of records.
3. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
4. To a Federal or State agency (or its agent) lawfully charged with
the administration of a Federal or State unemployment compensation law
or contribution or tax levied in connection therewith, for the purpose
of such administration but solely for use in compiling statistics to
be used in aggregated or anonymous forms.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are stored on magnetic tape.
Retrievability:
The file is indexed and retrieved by use of the Social Security
number.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, Part 6, ADP System Security. Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
This is a longitudinal sample. Records with identifiers will be
retained as long as needed to permit addition of future earnings and
other Social Security Administration program data for individuals in
sample. When no longer needed, the tape records are erased and
returned to stock.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, 1875 Connecticut Avenue NW, Washington, DC 20009.
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA program should consult other SSA
system of records which contain more detailed information. However, if
the individual wishes notification of or access to information that
may be maintained during processing stages in this system, he/she
should write to the system manager (at the above address) and provide
the name of this system, his/her name and Social Security number and a
description of the information being sought. (Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay.) Also, to verify identity,
he/she should provide address and date of birth. These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records are derived from other Social Security Administration systems:
e.g., the Master Files or Social Security Number Holders (09-60-0058),
Earnings Recording and Self-Employment Income System (09-60-0059),
Master Beneficiary Record (09-60-0090); quarterly earnings items file;
and the Internal Revenue Service name and address file.
Systems exempted from certain provisions of the act:
None.
09-60-0184
System name: Hearing Officer Master Calendar, HHS/SSA/OHA.
Security classification:
None.
System location:
All Hearing Offices (See Appendix G for address information).
Categories of individuals covered by the system:
Claimants--Title II (Retirement, Survivors and Disability); Title XI
(Claimants Subject to Professional Standards Review); Title XVI
(Supplemental Security Income); Title XVIII (Health Insurance) and
claimants for Black Lung benefits pursuant to provisions of the
Federal Coal Mine Health and Safety Act.
Categories of records in the system:
A list of all cases pending in the hearing office.
Authority for maintenance of the system:
Section 205, 1631(d)(1) and 1872 of the Social Security Act, as
amended, and section 413(b) of the Federal Coal Mine Health and Safety
Act, as amended.
Purpose(s):
The purpose of this system is to enable the Hearing Office to
ascertain the location of cases within the Office of Hearings and
Appeals and maintain control of the pending case load.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., folders in filing
cabinets).
Retrievability:
Records are retrieved by use of the Social Security number.
Safeguards:
Folders are kept in metal filing cabinets. Access to and use of the
records are limited to those employees whose official duties require
such access. All employees are instructed in Social Security
Administration confidentiality rules as part of their initial
orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
As each case is disposed of, it is removed from the master calendar.
Individual files are disposed of by shredding.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Room 402, 3833
North Fairfax Drive, Arlington, Virginia 22203.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by providing his or her name, address and
Social Security number to the address below. Furnishing the Social
Security number is voluntary, but it will make searching for an
individual's record easier and avoid delay: Social Security
Administration, Office of Hearings and Appeals, PO Box 2518,
Washington, DC 20013. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
From hearing office personnel and from information on incoming cases.
Systems exempted from certain provisions of the act:
None.
09-60-0186
System name: SSA Litigation Tracking System, HHS/SSA/OR.
Security classification:
None.
System location:
Social Security Administration, Office of Regulations, Litigation
Staff, 6401 Security Boulevard, Baltimore, Maryland 21235
and
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235
Categories of individuals covered by the system:
Individuals who are involved, as plaintiffs or defendants, in civil
litigation concerning one or more of the programs administered by the
Social Security Administration.
Categories of records in the system:
Complaints filed by individuals against the Secretary of Health and
Human Services; court orders and decisions regarding cases in
litigation and related litigation materials (e.g., briefs, motions,
internal memoranda).
Authority for maintenance of the system:
Section 205(a), Social Security Act (42 U.S.C. 405(a)).
Purpose(s):
Records maintained in this system are used by the SSA Litigation Staff
in the course of their responsibilities for formulating and
coordinating responses to interrogatories and recommendations
regarding the appeal of adverse court decisions. These records also
are used to enable Staff to review and analyze court decisions and to
direct the implementation of interim and final court orders.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to respresent such employee:
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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 litigationor has an interest in such litigation, and SSA
determines that the use of such records by DOJ, the tribunal, or other
party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper copy and on magnetic tape.
Retrievability:
The records are retrieved alphabetically by plaintiff's name and
numerically by Social Security number.
Safeguards:
Paper files are maintained in locked file cabinets. Access to these
files is limited to employees who require the files to perform their
assigned duties. Magnetic tape records are maintained in a secured
area attended by security guards. Access to the secured area is
electronically controlled and limited to those employees who have a
need to enter the area in the performance of their official duties.
All personnel having access to the records have been informed of
criminal sanctions for unauthorized disclosure of information relating
to individuals. (See Appendix J to this publication for additional
relating to safeguards SSA employs to protect personal records.)
Retention and disposal:
Normally, records will be retained for two years after the expiration
of the appeal period, then destroyed. (Paper records are shredded and
tape records erased.) Certain cases in which constitutional/policy
issues are involved (e.g., Supreme Court cases) will be retained
indefinitely by Litigation Staff. All other records will be
transferred to the Office of Regulations Reference Room to be retained
for historical purposes.
System manager(s) and address:
Director, Office of Regulations, Social Security Administration, 6401
Security Boulevard, Baltimore, Maryland 21235
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the address shown above.
When requesting notification, the individual should provide his or her
name, and for verification purposes, Social Security number, address,
date of birth, and sex. Furnishing the Social Security number is
voluntary, but it will make searching for the individual's record
easier and avoid delay. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Systems of records maintained by SSA, namely Claim Folders (09-60-
0089), Master Beneficiary Record (09-60-0090) and Security Income
Record (09-60-0103); plaintiff's complaints, court orders, court
decisions and court directives.
Systems exempted from certain provisions of the act:
None.
09-60-0196
System name: Disability Studies, Surveys, Records and Extracts
(Statistics), HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, Maryland 21235.
Bureau of the Census, Washington, DC 20233.
Bureau of the Census, Jeffersonville, Indiana 47130.
Contractor sites: Addresses may be obtained by writing to the system
manager at the address below.
Categories of individuals covered by the system:
Samples of persons who are present or potential recipients of SSA
disability payment/benefits, including specifically selected subsets
of each category; applicants/participants in State vocational
rehabilitation programs; and samples of other persons regardless of
status of purposes of comparison in the above categories.
Categories of records in the system:
Socio-economic, demographic, medical and disability characteristics,
attitudes, earnings and employment history, benefit information, and
use of medical and rehabilitative services.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C. 902); 13 U.S.C. 182
for Census participation.
Purpose(s):
The purpose of this system is to collect data by the following
methods: (1) Extraction from program records (including records
compiled at the State level); and (2) through surveys which may be
augmented with program data. The SSA Office of Research and Statistics
uses this data to examine the medical, economic, and social
consequences of limitations in work activity for the disabled person
and his/her family; from program planning and evaluation; for
evaluation of proposals for policy and legislative changes; for
determinations of the characteristics of program applicants and
benefit recipients, etc.
Access to microdata files with identifiers comprised of data from this
system is limited to researchers and statisticians authorized by the
SSA Office of Research and Statistics (ORS). Public-use tapes
containing microdata or tabulations are furnished on request by mail
to public and private organizations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To a contractor under contract to SSA, or under contract to another
agency with funds provided by SSA, for the performance of research and
statistical activities directly related to this system of records.
3. To the Rehabilitation Services Administration (RSA) for use in the
program studies of, and development of enhancements for, State
vocational rehabilitation programs. These are programs to which
applicants or beneficiaries under titles II and/or XVI of the Act may
be referred. Data released to RSA will not include any personally
identifying information (such as names or SSNs).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form (e.g., questionnaire forms, computer
printouts and punch cards), on microfilm, and in magnetic media (e.g.,
magnetic tapes and discs).
Retrievability:
Files are indexed by Social Security Number (SSN) or by SSA assigned
case numbers. Files based on Census sample populations are indexed by
Census assigned case numbers. These numbers are cross referenced at
Census to SSN's which are available only to Census employees or SSA
staff who are Census special-sworn employees.
Safeguards:
Safeguards are established in accordance with the Department of Health
and Human Services (HHS) Automated Data Processing (ADP) System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals.
Magnetic tapes or other files with personal identifiers, are retained
in secured storage areas accessible only to authorized personnel.
Microdata files prepared for purposes of research and analysis are
purged of personal identifiers and are subject to procedural
safeguards to assure anonymity.
Retention and disposal:
Hard copy questionnaires are destroyed when survey reports are
completed. Records with identifiers are held in secure storage areas
and are disposed of as soon as they are determined to be no longer
needed for SSA analysis. Means of disposal are appropriate to the
record storage medium; e.g., erasure of tapes, shredding of printouts,
etc. Periodic reviews are made to determine the need for retention.
In longitudinal studies, working files are purged of identifiers and
given randomly assigned case numbers. A separate link file is
maintained in secure storage areas for updating with individual
identifiers.
System manager(s) and address:
Associate Commissioner, Office of Research and Statistics, Social
Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.
Notification procedure:
This system contains limited data selected for statistical analysis.
Individuals inquiring about their records in SSA programs may wish to
contact other SSA systems of records which contain more detailed
information.
However, if an individual wishes notification of or access to
information in this system, he/she should write to the system manager
(at the address above) and provide the name of this system, his/her
name, SSN and a description of the information being sought.
(Furnishing the SSN is voluntary, but it will make searching for an
individual's record easier and avoid delay.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, driver's license, or voter registration). These procedures are
in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Except in transitory stages of
preparation, files at SSA which are based on Census samples do not
have personal identifiers, and cannot be located on an individual
basis. Records with identifiers maintained at the Bureau of Census are
considered by Census to be exempt from access.
Contesting record procedures:
Same as notification procedures. Also, requesters should reasonably
identify the record, specify the information they are contesting and
state the corrective action sought and the reasons for the correction
with supporting justification showing how the record is untimely,
incomplete, inaccurate or irrelevant. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Records are derived from other SSA systems; (e.g., Earnings Records
System (09-60-0059); Claims Folders System (09-60-0089) (disability
case folders), etc. and Master Beneficiary Record (09-60-0090); survey
data collected by contractors; case service reports of the vocational
rehabilitation agencies (R-300); SSA OHA Records Locator; the Health
Insurance Master Files (09-70-0502) of the HHS Health Care Financing
Administration; and SSA Administrative Awards File. Bureau of the
Census records may be used as a sampling frame.
Systems exempted from certain provisions of the act:
None.
09-60-0198
System name: Extramural Research Administrative File, HHS/SSA/
OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Personnel described in research project proposals submitted for grant
or contract consideration.
Categories of records in the system:
Professional qualifications and other relevant information about
project personnel. Direct and indirect information on individual
salaries may be included.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C. 902); section 1110
of the Social Security Act (42 USC 1310).
Purpose(s):
With respect to administrative and personnel information kept on
extramural research contracts and grants, the purpose is to ascertain
the credentials of individuals and organizations proposing to do
research for SSA, and to establish and maintain surveillance over the
research projects being performed for SSA. This information is
available to other components of SSA and HHS for administrative
analysis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the court or to a party in connection with any civil or criminal
action to which the Secretary is a party or otherwise involving a
program administered by the Social Security Administration.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored in paper form (e.g., punch cards, and printouts)
and in magnetic media (e.g., magnetic tapes and discs).
Retrievability:
Files are indexed by a Department of Health and Human Services-
assigned number.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. (See Appendix J to this
publication for additional information relating to safeguards the
Social Security Administration employs to protect personal
information.)
Retention and disposal:
Records with identifiers will be held in secure storage areas and will
be disposed of as soon as they are determined to be no longer needed
for analysis. Means of disposal will be appropriate to the record
storage medium, e.g., erasure of tapes, shredding of printouts, etc.
As long as identifiable records exist, a periodic review will be made
at least every two years to determine the need for their retention.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Bldg./Rm. 1121, 1875 Connecticut
Avenue NW, Washington, DC 20009.
Notification procedure:
If an individual wishes notification of or access to information that
may be contained in this system, he/she should write to the system
manager (at the address above) and provide the name of the system,
his/her name, Social Security number and a description of the
information being sought. (Furnishing the Social Security number is
voluntary, but it will make searching for an individual's record
easier and avoid delay.) Also, to verify identity, he/she should
provide address and date of birth. These procedures are in accordance
with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Project proposals submitted for grant or contract consideration.
Systems exempted from certain provisions of the act: None.
09-60-0199
System name: Extramural Surveys (Statistics), HHS/SSA/OP.
Security classification: None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235
and
Contractor sites: Addresses may be obtained by writing to the system
manager (see below).
Categories of individuals covered by the system:
Samples of individuals who are current or potential recipients of
benefits from Social Security and related programs; personnel
administering Social Security Administration and related programs.
Categories of records in the system:
Socio-economic, demographic, medical and disability characteristics;
attitudes concerning subjects such as health, work experience, and
family relationships; earnings and employment history, benefits, use
of medical and rehabilitative services.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., section 902) and
section 1110 of the Social Security Act (42 U.S.C., section 1310).
Purpose(s):
The purpose of conducting extramural surveys at outside organizations
for the Office of Research and Statistics is to obtain information on
individuals who are current or potential recipients of benefits from
social security and related programs. When the product is in the form
of microdata it is available without personal identifiers to other SSA
and HHS components for data processing and data manipulation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To a contractor under contract to the Social Security
Administration, or under contract to another agency with funds
provided by SSA, for the performance of research and statistical
activities directly related to this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored in paper form (e.g., punch cards and computer
printouts), on microfilm, and in magnetic media (e.g., magnetic tape
and disc).
Retrievability:
Files based on Social Security Administration sample populations are
indexed by SSA-assigned case numbers or Social Security numbers. Files
based on contractor sample populations are indexed by contractor-
assigned case numbers which may be cross-referenced to Social Security
numbers.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Hard copy questionnaires will be destroyed when survey reports are
completed. Records with identifiers will be held in secure storage
areas and will be retained only as long as needed for analysis.
Identifiers will be removed at the earliest possible time after data
collection is completed. The need to retain identifiers will be
evaluated at the time each survey is completed. Records with
identifiers will be disposed of as soon as they are determined to be
no longer needed. Means of disposal will be appropriate to the record
storage medium, e.g., erasure of tapes, shredding of printouts, etc.
As long as identifiable records exist, a periodic review will be made
at least every two years to determine the need for their retention.
In longitudinal studies, working files are stripped of identifiers and
given randomly assigned case numbers. A separate link file will be
maintained in secure storage for updating with individual identifiers.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue NW, Washington, DC 20009.
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA programs may wish to consult
other SSA systems of records which contain more detailed information.
However, if an individual wishes notification of or access to
information in this system, he/she should write to the system manager
(at the above address) and provide the name of this system, his/her
name and Social Security number and a description of the information
being sought. (Furnishing the Social Security number is voluntary, but
it will make searching for an individual's record easier and avoid
delay.) Also, to verify identity, he/she should provide address and
date of birth. These procedures are in accordance with HHS Regulations
45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Survey data obtained by the contractor; SSA administrative records.
Systems exempted from certain provisions of the act:
None.
09-60-0200
System name: Retirement and Survivors Studies, Surveys, Records,
and Extracts (Statistics), HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235
Bureau of the Census, Washington, DC 20233, Jeffersonville, Indiana
47130
Social Security Administration, Office of Research and Statistics,
1875 Connecticut Avenue, NW, Washington, DC 20009
Datacrown/SDL, 12401 Columbia Pike, Silver Spring, Maryland 20904
and
Contractor sites: Addresses may be obtained by writing to the system
manager (at the address below).
Categories of individuals covered by the system:
Sample groups of adults or children who are current, past or potential
recipients of Social Security payments, or pension or survivor
benefits from public or private sources; and samples of other persons
or families regardless of recipient or benefit status for purposes of
comparison with persons or families in the above categories.
Categories of records in the system:
Socio-economic, demographic, medical, insurance, welfare, attitudes,
earnings, employment, and benefits.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., section 902);
section 182, Title 13 of the U.S. Code for Census participation.
Purpose(s):
The purpose of this system is to collect data by the following
methods: extraction from program records (including records compiled
at the State level); and through surveys which may be augmented with
program data. The statistical aggregated data provided by this system
is used for program planning and evaluation purposes. Systems data
typically exist with identifiers removed and are available to other
SSA and HHS components for similar program analysis purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To contractor under contract to the Social Security Administration
(SSA), or under contract to another agency with funds provided by SSA,
for the performance of research and statistical activities directly
related to this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored in paper form (e.g., hardcopy questionnaires, punch
cards and computer printouts) on microfilm, and in magnetic media
(e.g., magnetic tape and disc).
Retrievability:
Files are indexed and retrieved by use of the Social Security number
or by SSA assigned case numbers. Files based on Census sample
populations are indexed by Census assigned case numbers. These numbers
are cross referenced at Census to Social Security numbers which are
available only to Census employees or SSA staff who are Census special
sworn employees.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Hard copy questionnaires are destroyed when survey reports are
completed. Records with identifiers are held in secure storage areas
and are retained only as long as needed for SSA analysis.
Identifiers are removed at the earliest possible time, after data
collected is completed. Records with identifiers are disposed of as
soon as they are determined to be no longer needed. Means of disposal
are appropriate to the record medium, e.g., erasure of tapes,
shredding of printouts, etc.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue NW, Washington, DC 20009.
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA programs should consult other SSA
systems of records which contain more detailed information. However,
if an individual wishes notification of or access to information in
this system, he/she should write to the system manager (at the above
address) and provide the name of this system, his/her name and Social
Security number and a description of the information being sought.
(Furnishing the Social Security number is voluntary, but it will make
searching for an individual's record easier and avoid delay.) Also, to
verify identity, he/she should provide address and date of birth.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Except in transitory stages of
preparation, files at SSA which are based on Census samples do not
have personal identifiers, and cannot be located on an individual
basis. Records with identifiers maintained at the Bureau of Census are
considered by Census to be exempt from access.
Contesting record procedures:
Same as notification procedures. Also, individuals should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from: SSA administrative records,
e.g., the Earnings Recording and Self-Employment Income System (09-60-
0059) and Master Beneficiary Record (09-60-0090); and survey data
collected by contractor. Bureau of the Census records may be used as a
sampling frame.
Systems exempted from certain provisions of the act:
None.
09-60-0202
System name: Old Age, Survivors and Disability Beneficiary and
Worker Records and Extracts (Statistics), HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235
Datacrown/SDL, 12401 Columbia Pike, Silver Spring, Maryland 20904
and
Contractor sites: Addresses may be obtained by writing to the system
manager (see below).
Categories of individuals covered by the system:
Groups of applicants for and recipients of Social Security Old-Age,
Survivors, Disability and Black Lung benefits; persons with taxable
earnings; persons issued Social Security numbers. Most files are
samples of selected subgroups.
Categories of records in the system:
Socio-economic, demographic, medical and disability characteristics,
earnings, employment history, benefits, and use of medical and
rehabilitative services.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., section 902).
Purpose(s):
The purpose of this system is to obtain research and statistical
information about Social Security beneficiaries for use in various
research and publication projects. Transfers to other components of
HHS are made in summary form or with all identifiers suppressed.
Transfers within the Office of Research and Statistics are the only
transfers that include identifiers, except for a routine use.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To contractor under contract to the Social Security Administration
(SSA), or under contract to another agency with funds provided by SSA,
for the performance of research and statistical activities directly
related to this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored in paper form (e.g., hardcopy questionnaires, punch
cards and computer printouts), in magnetic media (e.g., magnetic tape)
and on microfilm.
Retrievability:
Files are indexed and retrieved by use of the Social Security number.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to the publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Records with identifiers will be held in secure storage areas and will
be disposed of as soon as they are determined to be no longer needed
for SSA analysis. Means of disposal will be appropriate to the record
storage medium, e.g., erasure of tapes, shredding of printouts, etc.
As long as identifiable records exist, a periodic review will be made
at least every two years to determine the need for their retention.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue, NW, Washington, DC 20009
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA programs should consult other SSA
systems of records which contain more detailed information. However,
if the individual wishes notification of or access to information in
this system, he/she should write to the system manager (at the above
address) and provide the name of this system, his/her name and Social
Security number and a description of the information being sought.
(Furnishing the Social Security number if voluntary, but it will make
searching for an individual's record easier and avoid delay.) Also, to
verify identity, he/she should provide address and date of birth.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records are derived from other SSA system; e.g., Earnings Recording
and Self-Employment System (09-60-0059) and Master Beneficiary Record
(09-60-0090); and other SSA records related to earnings and
applications for, or payment of benefits. For selected employers,
lists of persons working in covered employment.
Systems exempted from certain provisions of the act:
None.
09-60-0203
System name: Supplementary Security Income (SSI) Studies,
Surveys, Records and Extracts (Statistics), HHS/SSA/OP.
Security classification:
None
System location:
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235
Social Security Administration, 1875 Connecticut Avenue, NW,
Washington, DC 20009
Bureau of the Census, Washington, DC 20233, Jeffersonville, Indiana
47130
Datacrown/SDL, 12401 Columbia Pike, Silver Spring, Maryland 20904
and
Contractor sites: Addresses may be obtained by writing to the system
manager (see below)
Categories of individuals covered by the system:
Sample groups and Supplemental Security Income population subsets of
persons and families receiving or potentially eligible to receive
welfare assistance under the SSI and related Federal/State welfare
programs, including Aid to Families with Dependent Children, General
Assistance, Emergency Assistance and Food Stamps and low-income energy
assistance; samples of specially selected subsets of persons from the
above programs; other persons or families, regardless of SSI or
poverty status, for use within the same system of records for
comparison purposes with persons or families in the above categories;
Federal/State personnel responsible for the administration of SSI and
related welfare programs.
Categories of records in the system:
Basic demographic characteristics; medical and disability information;
socio-economic information; living conditions; attitudes; earnings and
employment history, benefits; use of medical and rehabilitative
services; participation in and benefits received under SSI and related
Federal/State welfare programs.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C. section 902); Title
13 of the U.S. Code, section 182 for Census participation.
Purpose(s):
The purpose of this system is to collect data by the following
methods: Extraction from program records (including records compiled
at the State level); and through surveys which may be augmented with
program information. Basic data on SSI recipients and others are
collected, analyzed and published by the SSA Office of Research and
Statistics for program planning and evaluation purposes. Such
information is then used in the budget process for legislative change
and as a basis for studying the effectiveness of the SSI and related
welfare programs in meeting the need of the target population served.
Currently, access to microdata files with identifiers comprised of
data from within this system is limited to Office of Research and
Statistics researchers. Other components of HHS receive summary data
or microdata without identifiers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To contractor under contract to the Social Security Administration
(SSA), or under contract to another agency with funds provided by SSA,
for the performance of research and statistical activities directly
related to this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored in paper form (e.g., hard copy questionnaire, punch
cards and computer printouts) on microfilm and in magnetic media
(e.g., magnetic tape and disc).
Retrievability:
Records are indexed and retrieved by use of the Social Security
number.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Hard copy questionnaires will be destroyed when survey reports are
completed. Records with identifiers will be held in secure storage
areas and will be disposed of as soon as they are determined to be no
longer needed for SSA analysis. Means of disposal are appropriate to
the storage medium; e.g., erasure of tapes shredding of printouts,
etc.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building/Room 1121, 1875 Connecticut
Avenue, NW, Washington, DC 20009
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not ordinarily be interested in. Individuals
inquiring about their records in SSA programs should consult other SSA
systems of records which contain more detailed information. However,
if an individual wishes notification of or access to information in
this system, he/she should write to the system manager (at the above
address) and provide the name of this system, his/her name and Social
Security number and a description of the information being sought.
(Furnishing the Social Security number is voluntary, but it will make
searching for an individual's record easier and avoid delay.) Also, to
verify identity, he/she should provide address and date of birth.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures. Except in transitory stages of
preparation, files at SSA which are based on Census samples do not
have personal identifiers, and cannot be located on an individual
basis. Records with identifiers maintained at the Bureau of Census are
considered by Census to be exempt from access.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived from other SSA systems; e.g.,
Earnings Recording and Self-Employment System (09-60-0059), Claim
Folders (09-60-0089) (Disability Case Folders), Master Beneficiary
Record (09-60-0090) and Supplemental Security Income Record (09-60-
0103) (SSI Applications); program records of other Federal/State
welfare programs; and/or survey data collected by contractor; the
Health Insurance Master File and related files of the HHS Health Care
Financing Administration and other SSA administrative records; and
case service reports of the vocational rehabilitation agencies. Bureau
of Census records may be used as a sampling frame.
Systems exempted from certain provisions of the act:
None.
09-60-0206
System name: Repatriation Records System, HHS/SSA/OFA.
Security classification:
None.
System location:
Social Security Administration, Office of Family Assistance,
Repatriation Program Staff, 2100 2nd Street, SW, Room 111,
Washington, DC 20201
Categories of individuals covered by the system:
U.S. Citizens and their dependents returned from foreign countries by
the Department of State because of mental or physical illness,
destitution, war, threat of war or international crisis.
Categories of records in the system:
Identifying data such as name, date and place of birth, social
security number, resources, employment, eligibility for other Federal,
State or local programs and related data. Other categories include
State and Regional reports, correspondence and accounting data.
Authority for maintenance of the system:
Title XI of the Social Security Act, section 1113 and 24 U.S.C.A.
section 321 et seq.
Purpose(s):
This system provides a basis for the expenditure of Federal funds.
Information is used for the administration of the repatriation
program, by HHS regional staff, State and local health and human
services agencies, and other private and public agencies as required.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operation of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deem desirable or necessary to the
Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To State and local Human Services agencies and other private and
public agencies for the purpose of providing services through the
repatriation program.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form (e.g., individual case folders).
Retrievability:
Records are indexed and retrieved alphabetically by name.
Safeguards:
Access to an use of the records are limited to those persons whose
official duties require such access. All employees are instructed in
Social Security Administration confidentiality rules as part of their
initial orientation training. The records are stored in metal cabinets
with lock and key. (See Appendix J to this publication for additional
information relating to safeguards the Social Security Administration
employs to protect personal information).
Retention and disposal:
The policy is to maintain records for one year after closure then
transfer them to the Federal Records Center in Suitland, Maryland.
Records are maintained for five years by the Federal Records Center
prior to destruction. Some records are maintained in the active files
for considerably longer periods.
System manager(s) and address:
Repatriation Program Specialist, Repatriation Program Staff, OFA, SSA,
HHS, 2100 2nd Street, SW, Room 111, Washington, DC 20201
Notification procedure:
An individual can determine if this system contains a record
pertaining to him/her by contacting the official at the address under
system manager above and providing his/her full name, date of birth
and approximate date of repatriation. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is secured from the individual, his relative, any person
knowledgeable of his situation and from State and local Health and
Human Services agencies and other private and public agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0209
System name: Readership Surveys of Office of Research and
Statistics (ORS) Publications (Statistics), HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, 1875 Connecticut Ave NW, Washington,
DC 20009
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235
and
Contractor sites: Addresses may be obtained by writing to the system
manager (see below).
Categories of individuals covered by the system:
Groups of readers and potential readers of ORS publications.
Categories of records in the system:
Type of access to publications, frequency and extent of use, relevance
of publications to job and professional interests, socioeconomic and
demographic characteristics, attitudes.
Authority for maintenance of the system:
Section 702 of the Social Security Act (42 U.S.C., section 902).
Purpose(s):
The purpose of this system is to provide information about continued
public use and reader interest as a measure of need for continued
funding of publications programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To a contractor under contract to the Social Security
Administration (SSA) or under contract to another agency with funds
provided by SSA, for the performance of research and statistical
activities directly related to this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data may be stored on hard copy questionnaire forms, microfilm,
punchcards, magnetic tape, disc, or printouts.
Retrievability:
Records are indexed and retrieved by name and/or by Social Security
number or contractor-assigned case numbers.
Safeguards:
Safeguards are established in accordance with the HHS ADP System
Manual, ``Part 6, ADP System Security.'' Employees having access to
records have been notified of criminal sanctions for unauthorized
disclosure of information about individuals. Magnetic tapes or other
files with personal identifiers, are retained in secured storage areas
accessible only to authorized personnel. Microdata files prepared for
purposes of research and analysis are purged of personal identifiers
and are subject to procedural safeguards to assure anonymity. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Hard copy questionnaires will be destroyed when survey reports are
completed. Records with identifiers will be held in secure storage
areas and will be retained only as long as needed for SSA analysis.
Identifiers will be removed at the earliest possible time after data
collection is completed. The need to retain identifiers will be
evaluated at the time each survey is completed. Records with
identifiers will be disposed of as soon as they are determined to be
no longer needed. Means of disposal will be appropriate to the records
storage medium: e.g., erasure of tapes, shredding of printouts, etc.
As long as identifible records exist, a periodic review will be made
at least every 2 years to determine the need for their retention.
In longitudinal studies, working files are stripped of identifiers
maintained in secure storage for updating with individual identifiers.
System manager(s) and address:
Director, Office of Research and Statistics, Social Security
Administration, Universal North Building, Room 1121, 1875 Connecticut
Avenue NW, Washington, DC 20009
Notification procedure:
This system contains limited data selected for statistical analysis
which individuals would not normally be interested in. Individuals
inquiring about their records in SSA programs should consult other SSA
systems of records which contain more detailed information. However,
if an individual wishes notification of or access to information in
this system, he/she should write to the system manager (at the above
address) and provide the name of this system, his/her name and social
security number and a description of the information being sought.
(Furnishing the Social Security number is voluntary, but it will make
searching for an individual's record easier and avoid delay.) Also, to
verify identity, he/she should provide address and date of birth.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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.
Record source categories:
Mailing lists maintained by ORS and by the Government Printing Office
and survey data collected by SSA or contractor.
Systems exempted from certain provisions of the act:
None.
09-60-0210
System name: Record of Individuals Authorized Entry to Secured
Automated Data Processing (ADP) Area, HHS/SSA/OS.
Security classification:
None.
System location:
Office of Systems Operations, Computer Center Building, 6401 Security
Boulevard, Baltimore, Maryland 21235
Categories of individuals covered by the system:
Those individuals with a legitimate need who are authorized entry to
secured ADP area.
Categories of records in the system:
This system contains the name, badge number, employer, access level, a
unique five-digit identifying number, and a nine-digit number which is
either the Social Security number or driver's license number for each
individual authorized to enter the secured ADP area. The system also
contains the date and time of actual or attempted entry to and exit
from secured areas.
Authority for maintenance of the system:
5 U.S.C. 552a(e)(10).
Purpose(s):
This system is the basic system which we use to safeguard personal and
sensitive records about individuals. Records in the system are used to
restrict access to the SSA computer facility and other secured areas
which house the information.
Data in the system also are used for management purposes to ensure the
security of the computer facility and secured area and to verify time
and attendance when employee fraud or abuse is suspected.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from the
congressional office made at the request of that individual.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deem desirable or necessary to the
Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
SSA stores records in this system on magnetic media and paper form.
Retrievability:
SSA retrieves magnetic media records by name, badge number and the
unique five--digit identifying number and paper records alphabetically
by name.
Safeguards:
SSA maintains computerized records in a highly secured room within the
secured area and hard copy records in a locked room. Only authorized
security personnel and the Directors within the Office of Systems
Operations (or their authorized representatives) have access to these
records. SSA has established system security for this system in
accordance with the HHS ADP System Manual, ``Part 6, ADP System
Security.``
Retention and disposal:
SSA retains records in this system for up to 3 years following
expiration of an individual's authority to enter the secured area. SSA
destroys paper records by shredding. When an individual is no longer
authorized, SSA deletes information from magnetic media immediately.
System manager(s) and address:
Associate Commissioner, Office of Systems Operations, 6401 Security
Boulevard, Baltimore, Maryland 21235
Notification procedure:
An individual can determine if this system contains a record about him
or her by writing to the individual specified under system manager
above. When requesting notification, an individual should provide his
or her social security number, name, signature, or other personal
identification and refer to this system. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
SSA obtains information in this system from the individuals who are
covered by the system.
Systems exempted from certain provisions of the act:
None.
09-60-0211
System name: Beneficiary, Family, and Household Surveys, Records
and Extracts System (Statistics), HHS/SSA/OP.
Security classification:
None.
System location:
Records in this system may be located at the following locations:
Office of Research, Statistics and International Policy, Social
Security Administration, 1875 Connecticut Avenue, NW, Washington, DC
20009;
Office of Systems, Social Security Administration, 6401 Security
Boulevard, Baltimore, Maryland 21235;
Datacrown/SDL, 770 Brookfield Road, Ottawa, Ontario K1B 6J5, Canada;
Parklawn, 5600 Fishers Lane, Rockville, Maryland 20857;
National Institute of Health, 9000 Rockville Pike, Bethesda,
Maryland 20205; and
Bureau of Census, Washington, DC 20857.
Records also may be maintained at contractor sites (contact the system
manager at the address below to obtain contractor addresses).
Categories of individuals covered by the system:
Samples of United States individuals and households presently or
potentially receiving benefits from the Department of Health and Human
Services (HHS) or other related Federal/State programs, and other
comparison individuals and households.
Categories of records in the system:
Basic demographic characteristics; marital and childcare histories;
medical and disability information; information which relates to
ability to work; living conditions; attitudes; socioeconomic
information; earnings and employment history; financial assets and
liabilities; real and personal property; benefit and pension
information; use of medical and rehabilitative services; and
participation in HHS and related Federal/State welfare programs.
Authority for maintenance of the system:
Sections 702 and 1110 of the Social Security Act; and 13 U.S.C. 182.
Purpose(s):
This system will enable the SSA Office of Research Statistics and
International Policy to collect, compile, and analyze data through
survey and record extracts. Data collected through the surveys in
their developmental and operational phases will be used within ORSIP
for program planning and evaluation purposes, subject to applicable
restrictions of title 13, U.S. Code, regarding data supplied by the
Bureau of the Census; and 26 U.S.C. 6103(p)(4) regarding Federal tax
return information. In compliance with section 6103 of the Internal
Revenue Code, no Federal tax return information contained in the
proposed system of records will be disclosed by SSA to contractors or
other agencies without the express approval of the Internal Revenue
Service. Information resulting from these efforts will provide HHS
with: (1) Reliable estimates of future outlays under various program
alternatives; (2) a base for validation of other data sources
currently used in policy analysis; and (3) an evaluation of the
Retirement, Survivors and Disability Insurance program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a contractor under contract with SSA or another agency for the
performance of research and statistical activities directly related to
the purpose served by this system of records.
2. To another government agency (such as the Bureau of the Census)
serving as a data source, collecting agent, or data processor for SSA
in connection with research and statistical activities directly
related to the purpose served by this system of records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records may be stored on hard copy forms, discs, or magnetic tape.
Retrievability:
Records will be indexed by Social Security number (SSN) during the
matching steps but identifiers will not be retained by SSA after
matching is completed.
Safeguards:
Safeguards have been established in accordance with the HHS Automated
Data Processing (ADP) System Manual, Part 6, ADP System Security;
standards established by the Bureau of Census for protection of data
collected by the Census under title 13, U.S. Code; and in accordance
with 26 U.S.C. 6103(p)(4), which provides for protection of Federal
tax return information, principally earnings records. These safeguards
include maintaining the data in an enclosure attended by security
guards, and using locked files and passwords. Only authorized
personnel who have a need for the data in the performance of their
official duties and have the appropriate identification and clearance
will be permitted in areas containing records.
Employees having access to records will receive prior notification of
criminal sanctions for unauthorized disclosure of personal information
about individuals. Magnetic tape and other files with personal
identifiers will be retained in secured storage areas accessible only
to authorized personnel who have a need to enter the areas in the
performance of their official duties. Microdata files prepared for
purposes of research and analysis will be stripped of personal
identifiers and will be subject to procedural safeguards to assure
anonymity.
Retention and disposal:
Records with identifiers will be held in secured storage areas at SSA
or at the Bureau of Census and will be disposed of as soon as they are
determined to be no longer needed for analysis. Means of disposal will
be appropriate to the records storage medium (e.g., erasure of tapes,
shredding of printouts, etc.).
System manager(s) and address:
Director, Office of Research, Statistics, and International Policy,
Social Security Administration, Room 1121 Universal North Building,
1875 Connecticut Avenue, Washington, DC 20009.
Notification procedure:
This system will contain limited data selected for statistical
analysis about which individuals normally would not be interested.
Individuals inquiring about their records in SSA programs may wish to
consult other SSA systems of records which contain more complete
information.
However, if an individual wishes notification of or access to
information that may be maintained in this system during processing
stages, he/she should write to the system manager at the address above
and provide his/her name, SSN, and a description of the information
he/she is seeking. Also, to verify identity, the individual should
provide his/her address and date of birth. Disclosure of the SSN is
voluntary. If an individual is unable or unwilling to provide his/her
SSN, he/she should provide date and place of birth and both parents'
names to enable us to attempt to locate the number so that we can use
it to attempt to locate any requested records.
Record access procedures:
Same as notification procedures. Requesters should reasonably identify
the information they are seeking. These procedures are in accordance
with HHS regulations (45 CFR part 5b).
Contesting record procedures:
Same as notification procedures. Requesters should 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. These procedures are in accordance with HHS
regulations (45 CFR part 5b).
Record source categories:
Records in this system of records will be derived from other existing
systems of records maintained by SSA for its retirement, disability,
and income supplementation programs (e.g., the Master Beneficiary
Record, 09-60-0090; the Supplemental Security Income Record, 09-60-
0103; the Earnings Recording and Self-Employment Income System, 09-60-
0059; the disability data systems, 09-60-0049 through 09-60-0051);
Census survey data obtained from the Bureau of Census; Medicare
records obtained from the HHS Health Care Financing Administration;
and survey records from personal interviews.
Systems exempted from certain provisions of the act:
None.
09-60-0212
System name: Supplemental Security Income Quality Initial Claims
Review Process System, HHS/SSA/OA.
Security classification:
None.
System location:
Each Supplemental Security Income Analysis Branch (SSIAB) one of which
is located in each of the 10 SSA Field Assessment Offices (FAO's) and
Central Office in Baltimore, Maryland. See Appendix M for address
information.
Categories of individuals covered by the system:
Applicants for and recipients of Supplemental Security Income (SSI)
payments.
Categories of records in the system:
Information consists of the applicant's or recipient's name, social
security number, date application or action is processed, payment
status, type of case, and, if a deficiency is found, the type and
source of the error.
Authority for maintenance of the system:
Sections 702 and 1631 of the Social Security Act.
Purpose(s):
SSA regional management uses data derived from this system to measure
and rank the quality of their field offices' performance, to identify
policies and procedures that are being improperly interpreted and to
identify training needs. These purposes are served on a national basis
through analysis of the data by the Social Security Administration
Office of Assessment at central office in Baltimore, Maryland.
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:
To a congressional office in response to an inquiry from office made
at the request of the subject of a record.
Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
Nontax return information which is not restricted from disclosure by
Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper form (e.g., case or file folders), in
magnetic media (e.g., disk cartridges) and on cassette tapes.
Retrievability:
Records are indexed and retrieved numerically by Social Security
number.
Safeguards:
Claims review data input forms (paper) are stored in locked file
cabinets. Automated records are maintained in accordance with the HHS
ADP System Manual, ``Part 6, ADP System Security.'' This includes
maintaining the records in an enclosure attended by security guards
and limiting access to the records to authorized personnel who have a
need for them in the performance of their official duties. (See
Appendix J to this publication for additional information relating to
safeguards the Social Security Administration employs to protect
personal information.)
Retention and disposal:
Paper records are retained for 6 months and then destroyed by
shredding. Disk cartridges and cassette tapes are retained for 12
months and then erased.
System manager(s) and address:
Director, Division of Assistance and Records Operations Quality,
Office of Assessment, PO Box 17040, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the system manager at the above address or
writing to the Field Assessment Officers listed in Appendix M. When
requesting notification, individuals should provide their names and
Social Security numbers. (Furnishing the Social Security number is
voluntary but it will make searching for an individual's record easier
and avoid delay.) These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, the individual should
reasonably specify the information he/she is accessing.
Contesting record procedures:
Same as notification procedures. Also, the individual should
reasonably identify the record, specify the information he/she is
contesting and state the corrective action sought and the reasons for
the correction with supporting justification.
Record source categories:
Information in this system is derived from an existing system
maintained by SSA, the Claims Folders and Post-Adjudicative Records of
Applicants for and Beneficiaries of Social Security Benefits, HHS/SSA/
OOPP, 09-60-0089, and from review findings and analyses.
Systems exempted from certain provisions of the act:
None.
09-60-0213
System name: Quality Review of Hearing/Appellate Process, HHS/
SSA/OHA.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals, 3833
North Fairfax Drive, Arlington, Virginia 22203
and
Social Security Administration, Office of Systems Operations, 6401
Security Boulevard, Baltimore, Maryland 21235
Categories of individuals covered by the system:
Claimants/applicants for Social Security and Black Lung benefits and
Supplemental Security Income payments; and Administrative Law Judges.
Categories of records in the system:
Records in this system consist of claimant's name and Social Security
number, claim type, hearing type, administrative law judge code, case
processing locations and dates, administrative law judge and Appeals
Council actions, claimant demographic and diagnostic information,
aspects of case handling, identifiers which determine to what sample
the case belongs.
Authority for maintenance of the system:
Sections 205, 221(c), 702, 1631(d)(1), and 1872 of the Social Security
Act, as amended, and section 413(b) of the Federal Coal Mine Health
and Safety Act, as amended.
Purpose(s):
This system is used by the Office of Hearings and Appeals to analyze
the handling of cases at the hearing level and in the preparation of
studies and reports used to improve the hearing process.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the Internal Revenue Service, Department of the Treasury, as
necessary, for the purpose of auditing the Social Security
Administration's compliance with safeguard provisions of the Internal
Revenue Code of 1954, as amended.
4. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
5. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
5. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape and disks)
and in paper form.
Retrievability:
Records are retrieved by either the Social Security number and by
Administrative Law Judge code.
Safeguards:
System security for this system is maintained in accordance with the
HHS ADP System Manual, ``Part 6, ADP System Security.'' SSA employees
are able to access data elements only on a ``need-to-know'' basis.
This includes maintaining the magnetic tape and disk records in an
enclosure attended by security guards. Anyone entering or leaving the
area must have a special badge which is issued only to personnel
authorized to enter the area. All employees are instructed in Social
Security Administration confidentiality rules as part of their initial
orientation training. (See Appendix J to this publication for
additional information relating to safeguards the Social Security
Administration employs to protect personal information.)
Retention and disposal:
Automated records are retained for a period of 10 years and then
erased. The retention period for paper and card records (including
source documents) are as specified in the SSA Administrative
Directives Guide Retention and Disposal Schedule for records.
Generally, the records may be retained from 6 months to 5 years. The
records are disposed of by shredding when no longer needed.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, 3833 North
Fairfax Drive, Arlington, Virginia 22203
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by writing to the following address:
Director, Office of Appraisal, Office of Hearings and Appeals, 4040
North Fairfax Drive, Arlington, Virginia 22203.
When requesting notification, the individual should provide name,
address and Social Security number. (Furnishing the Social Security
number is voluntary, but it will make searching for an individual's
record easier and avoid delay.)
An individual who requests notification of or access to a medical
record shall, at the time he or she makes the request, designate in
writing a responsible representative who will be willing to review the
record and inform the subject individual of its contents at the
representative's discretion.
A parent or guardian who requests notification of, or access to, a
minor's medical record shall, at the time he or she makes the request,
designate a physician or other health professional (other than a
family member) who will be willing to review the record and inform the
parent or guardian of its contents at the physician's or health
professional's discretion. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
specify the record contents being sought. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
The main source of data in this system is information in the system of
records entitled Claim Folders system (09-60-0089). Another source of
data is information furnished by claimants/applicants under the
Retirement, Survivors, and Disability Insurance programs, the
Supplemental Security Income program, the Black Lung program,
representatives of such individuals, (where appropriate), Social
Security offices, and other Federal, State, and local agencies. Data
also comes from private sources.
Systems exempted from certain provisions of the act: None.
09-60-0214
System name:
Personal Identification Number File (PINFile) HHS/SSA/OPIR.
Security classification:
None.
System location:
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
Social Security Administration (SSA) employees, student volunteers and
other non-Federal workers, some employees of the State Disability
Determination Services, some employees of the Health Care Financing
Administration and its carriers and intermediaries, certain employees
of the Department of Health and Human Services (HHS); and employees of
other Federal government agencies who have been granted direct
terminal access to SSA's data bases.
Categories of records in the system:
Timekeeper number, name of employee, job title, Social Security number
(SSN), personal identification numbers (PIN) and passwords for
validation purposes, office code, branch code, division, department,
facilities available and access profile information.
Authority for maintenance of the system:
Section 205(a) of the Social Security Act and 5 U.S.C. 552a(e)(10).
Purpose(s):
The PINFile is used to limit access to computer-based SSA information
resources to specific individuals and to specific transactions. Its
purpose is to minimize the risk of unauthorized access to SSA's files
of personal data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. Information may be disclosed to a congressional office in response
to an inquiry from that office made at the request of the subject of a
record.
2. Information may be disclosed to the Department of Justice, a court
or other tribunal, or another party before such tribunal when:
(a) SSA, any component thereof, or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to represent the employee;
or
(d) The United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal, or other party before such court or 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.
3. 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.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under these routine uses unless disclosure is
permitted by the IRC.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
SSA maintains records in the PINFile on magnetic disk as part of the
data communications system. The disk file is written to tape daily for
backup purposes.
Retrievability:
SSA retrieves records individually from the PINFile by name, SSN, PIN,
and, as members of a group, by office code, branch code, division,
department, facilities and access profile.
Safeguards:
Steps to minimize the unauthorized use of the PINFile include: (1)
Limiting access to data on file to SSA regional, local, component and
systems security officers, and managers with security responsibilities
and (2) monitoring additions, deletions, and changes to the PINFile
through daily reports.
Retention and disposal:
Disk files are permanent; the magnetic tape backup file is maintained
for 7 operational days and then erased.
System manager(s) and address:
SSA Systems Security Officer, Social Security Administration, 6401
Security Boulevard, Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him or her by contacting the system manager at the
address shown above. An individual requesting notification must
furnish a minimum of his/her name, SSN, date of birth and address in
order to establish identity, plus any additional verification of
identity requested. (Furnishing the SSN is voluntary, but it will make
searching for an individual's record easier and avoid delay.) An
individual requesting notification of records in person need furnish
only a document he/she would normally carry on his/her person (e.g., a
credit card, driver's license, or voter registration card). These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. These access procedures are
in accordance with HHS Regulations 45 CFR part 5b.
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 HHS Regulations 45 CFR part 5b.
Record source categories:
SSA obtains information in the PINFile from the individuals, their
supervisors, and from SSA time and attendance files.
Systems exempted from certain provisions of the Privacy Act:
None.
09-60-0216
System name: Indochina Refugee Data System, HHS/SSA/ORR.
Security classification:
None.
System location:
Social Security Administration, Office of Refugee Resettlement, Room
1229, Switzer Building, 330 C Street SW, Washington, DC 20201
Department of State, R/POAR SA-2, Room 500, 515 22nd Street NW,
Washington, DC 20520
and
Red Cross Refugee Locator Service, 4th Floor, 18th and D Streets NW,
Washington, DC 20006
Categories of individuals covered by the system:
Individuals who are refugees from Indochina as defined in the
authorizing legislation.
Categories of records in the system:
Information in this system consists of the names of refugees, their
identification numbers (ID), Immigration and Naturalization Service
(INS) alien number, age, sex, English ability, marital and family
status, education, occupational skills, health status, and
administrative data (e.g., arrival date, voluntary resettlement
agency, destination), and HHS refugee financial assistance data.
Authority for maintenance of the system:
The Refugee Act of 1980, 94 Stat. 109 (8 U.S.C. 1521 et seq.).
Purpose(s):
Information in this system is used by the Social Security
Administration (SAA) Office of Refugee Resettlement to administer the
refugee program, including the development of statistical and other
studies to facilitate program and policy analysis, evaluation,
legislative recommendations, and to meet statutory reporting
requirements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
3. To the appropriate Federal, State or local agency responsible for
investigating or prosecuting a violation or potential violation of
civil, criminal or regulatory law, or responsible for enforcing or
implementing a statute, regulation, rule or order which has been
violated.
4. To the Department of Justice for the purpose of obtaining its
advice in determining whether particular records are required to be
disclosed under the Freedom of Information Act.
5. To a Federal, State or local agency maintaining civil, criminal or
other relevant enforcement records if needed to obtain a record
relevant to an agency decision concerning the:
(a) Hiring or retention of an employee;
(b) Issuance of a security clearance;
(c) Letting of a contract; or
(d) Issuance of a license, grant or other benefit.
6. To a Federal agency, upon request, in connection with:
(a) Hiring or retention of an employee;
(b) Issuance of a security clearance;
(c) Letting of a contract; or
(d) Issuance of a license, grant or other benefit to the extent that
the record is relevant and necessary.
7. To Federal agencies having the power to subpoena other Federal
agencies' records when a subpoena is issued to HHS/SSA for records in
this system of records.
8. To a contractor for the purpose of collating, analyzing,
aggregating or otherwise refining records in the system of records.
(The contractor shall be required to maintain Privacy Act safeguards
with respect to such records.)
9. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
10. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in electromagnetic form (disk and tape) and in
hard copy form.
Retrievability:
Records concerning refugees are indexed by ``A'' (alien) number.
Safeguards:
Hardcopy records are maintained in limited access space. Computer
records are maintained in accordance with the HHS Automated Data
Processing Manual, ``Part 6, ADP System Security.'' This includes
restricting access to the records to computer records to authorized
operating personnel who require the information contained in the
record to perform assigned duties. Also, all employees periodically
are briefed on Privacy Act requirements and SSA confidentiality rules.
(See Appendix J to this publication for additional information
relating to safeguards the Social Security Administration employs to
protect personal records.)
Retention and disposal:
We maintain automated records for 10 years from date of creation, then
offer them to National Archives. Printed records will be destroyed
when updated information is received.
System manager(s) and address:
Director, Office of Refugee Resettlement, Social Security
Administration, Room 1229 Switzer Building, 300 C Street SW,
Washington, DC 20201.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address above and
providing his or her alien number and year of birth. These procedures
are in accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the record contents being sought.
Contesting record procedures:
Same as notification procedures. Requesters also should identify the
record, specify the information they are contesting and state the
corrective action sought and the reasons for the correction with
supporting justification.
Record source categories:
Information is obtained from the Department of State, the
Intergovernmental Committee for Migration, national voluntary
resettlement agencies, the Inter-Agency Task Force (through December
31, 1975), State welfare agencies, the Immigration and Naturalization
Service, the Center for Disease Control and the American Council for
Voluntary Agencies.
Systems exempted from certain provisions of the act:
None.
09-60-0217
System name: Cuban Refugee Registration Records, HHS/SSA/ORR.
Security classification:
None.
System location:
Office of Refugee Registration--Miami, 701 Southwest 27th Avenue,
Miami, Florida 33135.
Categories of individuals covered by the system:
Cuban refugees who, on their own initiative, have registered at the
Cuban Refugee Emergency Center in order to qualify for federal
benefits under the Cuban Refugee Program. (Registration is not
required.)
Categories of records in the system:
Records in this systems consists of the individual's name, names of
family members, dates and places of birth, occupation and related
data.
Authority for maintenance of the system:
The Refugee Act of 1980, 94 Stat. 109 (8 U.S.C. 1521 et seq.).
Purpose(s):
Information in this system is used by the Social Security
Administration Office of Refugee Resettlement to administer the
refugee program, including the development of statistical and other
studies to facilitate program and policy analysis, evaluation,
legislative recommendations, and to meet statutory reporting
requirements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To voluntary resettlement agencies working under contract with the
Federal Government in connection with possible resettlement of
refugees from Miami to other locations.
2. To the Florida Division of Family Services to verify eligibility of
refugee to apply for Cuban refugee assistance.
3. To State welfare, health or social services agencies to verify
eligibility under the Cuban Refugee Program and to enable the State to
claim Federal reimbursement for assistance provided.
4. To Federal law enforcement and security agencies, including the
Federal Bureau of Investigation and the Immigration and Naturalization
Service, when requested.
5. To Courts, when requested.
6. For statistical research and reporting, provided the record will be
used solely as a statistical research or reporting record and is to be
transferred in a form that is not individually identifiable.
7. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
8. To the Department of Justice in the event of litigation where the
defendant is:
(a) The Department of Health and Human Services (HHS), any component
of HHS, or any employee of HHS in his or her official capacity;
(b) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of HHS or any
of its components; or
(c) Any HHS employee in his or her individual capacity where the
Justice Department has agreed to represent such employee;
HHS may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
9. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its program. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
10. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are maintained on magnetic tape and punch
cards.
Retrievability:
Records are retrieved by name, Center file number and alien number.
Safeguards:
Locked areas, accessible only be record and data processing personnel
to record areas, or accompanied by such personnel; guard service
during non-office hours. Access to the records is limited to those
employees who require the information contained in the record to
perform assigned duties. Safeguards are established in accordance with
the HHS ADP System Manual, ``Part 6, ADP System Security,''
Retention and disposal:
Records are maintained for the duration of the program. No records are
destroyed at this time.
System manager(s) and address:
Director, Miami Operations, Cuban Refugee Program, PO Box 340188,
Miami, Florida 33134.
Notification procedure:
An individual can determine if this system contains a record about him
or her by contacting the system manager at the address above and
provide his or her alien number. These procedures are in accordance
with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the records contents they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Requesters also should 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. These procedures are in accordance with
HHS Regulations 45 CFR part 5b.
Record source categories:
Information is derived from the individual who is the subject of
record.
Systems exempted from certain provisions of the act:
None.
09-60-0218
System name: Disability Insurance and Supplemental Security
Income Demonstration Projects and Experiments System, HHS/SSA/ORS.
System location:
Social Security Administration, Office of System Operations, 6201
Security Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Research and Statistics,
4301 Connecticut Avenue, NW, Washington, DC 20008
Certain SSA field locations:
Addresses may be obtained by writing to the system manager at the
address below.
Contractor sites: Contractor addresses may be obtained by writing to
the system manager at the address below.
Categories of individuals covered by the system:
A. Persons in sample groups of Social Security title II applicants,
disability insurance (DI) beneficiaries and their auxiliary
beneficiaries; persons selected from State temporary DI programs;
other persons who are representative payees of these persons and
temporarily disabled persons receiving State benefits (nonapplicants)
in comparison groups for the vocational rehabilitation (VR)
demonstrations.
B. Persons in sample groups of individuals who apply for or receive
Social Security title XVI Supplemental Security Income (SSI) payments
on the basis of a disability or blindness in general and particularly
those who are medically determined to be drug addicted or alcoholic,
mentally retarded or developmentally disabled, and representative
payees of those individuals.
Categories of records in the system:
The system maintains records which are used for statistical and
research analysis only, as well as other records which will be used to
conduct program functions involving the demonstrations and
experiments. Tax return information, the disclosure of which would
violate section 6103 of the Internal Revenue Code (IRC), will be used
solely for internal Social Security Administration (SSA) purposes and
will not be disclosed to other entities. Participants will be informed
at the time of data collection that information obtained by survey or
interview exclusively for statistical and research purposes will be
protected from disclosure for other purposes to the fullest extend
permissible by law.
Records in the system consist of data relating to the following:
Demographic characteristics, education, martial status, military
service, dependents, family and household composition; medical history
(mental and physical); medical expenses, disability characteristics
and health information; living arrangements, health insurance coverage
and use; medical and rehabilitation services; employment; occupation
and industry classification; income (includig tax return information
subject to section 6103 of the IRC); earnings and expenditures;
referrals to and participation in the SSI and related Federal/State
welfare programs, benefits received; types of cost of services under
DI, SSI and related Federal/State welfare programs; reasons or
circumstances of closure; attitudes toward work, rehabilitation or
treatment programs; impairment-related work expenses; workers'
compensation benefits; job search methods; knowledge and understanding
of provisions affecting entitlement to benefits; also, for SSI
projects only, driver's license and alcohol and drug use (disclosure
of this information may be restricted by 21 U.S.C. 1175 and 42 U.S.C.
4582).
Authority for maintenance of the system:
Sections 222, 702 and 1110 of the Social Security Act and section 505
of Pub. L. (Pub. L.) 96-265 (the Social Security Disability Amendments
of 1980), as amended by section 12101 of Pub. L. 99-272, section 10103
of Pub. L. 101-239 and section 5120 of Pub. L. 101-508.
Purpose(s):
The purpose of this system is to provide SSA with data necessary to
carry out and evaluate demonstrations and experiments for testing
alternative approaches to continuing benefit eligibility during
employment and to the rehabiltation of title II DI beneficiaries and
individuals who apply for or receive title XVI SSI payments on the
basis of a disability or blindness and, to report to Congress as
required by section 505 of Pub. L. 96-265, as amended by section 12101
of Pub. L. 99-272, section 10103 of Pub. L. 101-239 and section 5120
of Pub. L. 101-508.
Except for tax return information, and records collected by means of
surveys or interviews for use solely for research and statistical
purposes, SSA may also provide information from this system to other
components of the Department of Health and Human Services (HHS), e.g.,
the HHS Health Care Financing Administration (HSFA) for the purpose of
determining eligibility for Hospital Insurance (HI) benefits or
Supplementary Medical Insurance (SMI) benefits under the
demonstrations and experiments and for the purpose of obtaining data
from HCFA on HI and SMI utilization during the demonstrations and
experiments; to State disability determination units for the purpose
of making disability determinations; and to State VR agencies for the
purpose of screening DI beneficiaries and SSI recipients for VR
potential and designing and implementing a plan of VR services for
accepted beneficiaries and recipients.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed for routine uses as indicated below:
1. With respect to any records, including those collected by means of
survey or interview to be used solelyt for research and statistical
purposes, disclosure may be made:
(a) To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
(b) Subject to any restrictions imposed by section 6103 of the IRC, to
a contractor under contract to SSA, for the performance of research
and statistical activities directly related to this system of records
in conducting the demonstrations and experiments and to provide a
statistical data base for research studies.
2. With respect only to records that are not collected by means of
surveys or interviews for use solely for research and statistical
purposes, disclosure may be made subject to any restrictions imposed
by section 6103 of the IRC:
(a) To a third party organization under contract to SSA for the
performance of project management activities directly related to this
system of records.
(b) To a State VR agency in the State in which the disabled individual
resides, for the purpose of assisting the agency in providing
rehabilitation counseling and service to the individual that are
necessary in carrying out the demonstrations and experiments.
3. To the IRS, for the purpose of auditing SSA's compliance with the
safeguard provisions of the IRC of 1986, as amended.
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.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records in this system may be stored in paper form (e.g., hard copy
questionnaires, punch cards and computer printouts), on microfilm and
in magnetic media (e.g., magnetic tape and disc).
Retrievability:
Records in this system are indexed and retrieved by the Social
Security number (SSN).
Safeguards:
Safeguards have been established for automated records in accordance
with the HHS information Management Manual, Part 6, Automated
Information Systems Security Program Handbook. This includes
maintaining the records in a secured building, such as the SSA
National Computer Center (NCC). Entry into the NCC is restricted to
employees whose duties require such entry. Special passes including
the employees' photographs are issued to all personnel authorized to
enter the NCC. The employees are required to wear their passes at all
times. Marshals are stationed in the lobby of the center to ensure
that only those employees authorized to enter the NCC do so.
Manually maintained records are kept in locked cabinets or in
otherwise secure areas. Access to the records is limited to those
employees who require the information to perform their assigned
duties. SSA employees and employees of contractors having access to
the records in this system have been notified of criminal sanctions
for unauthorized disclosure of information about individuals.
Contractor use of records is restricted to performing the duties of
the contract, and contractors are required to establish adequate
safeguardss to protect personal information. Additionally, contractors
and their employees are subject to criminal penalties for violations
of the Privacy Act.
Retention and disposal:
Magnetic tapes or other files with personal identifiers are retained
in secured storage areas accessible only to authorized personnel.
Microdata files prepared for purposes of research and analysis are
purged of personal identifiers and are subject to procedural
safeguards to assure anonymity.
Hardcopy questionnaires will be destroyed when survey reports are
completed. Records with identifiers will be held in secure storage
areas and will be disposed of as soon as they are determined to be no
longer needed for SSA analysis.
Means of disposal are appropriate to the storage medium (e.g., erasure
of tapes, shredding of paper records). Records used in administering
the demonstration and experimental programs are retained indefintely.
System manager(s) and address:
Associate Commissioner, Office of Research and Statistics, Social
Security Administration, 4301 Connecticut Avenue, NW, Washington, DC
20008.
Notification procedures:
An individual can determine if this system contains a record about him
or her by writing to the system manager at the above address and
providing name, address and SSN. (Furnishing the SSN is voluntary,
however, it would make searching for the individual's record easier
and avoid delay. An individual who is unable or unwilling to furnish
his or her SSN will be required to provide other information such as
date and place of birth and both parents' names to enable us to locate
the record.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he or she would
normally carry on his or her person would be sufficient (e.g., credit
cards, driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his or her name, datae of birth and address in order to establish
identity, plus any additional information specified in this section.
These procedures are in accordance with HHS Regulations 45 CFR part
5b.
Record access procedure:
Same as notification procedures. Also, requesters should reasonably
identify the record and specify the information they are attempting to
obtain. These procedures are in accordance with HHS Regulations 45 CFR
part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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 HHS Regulations 45 CFR part 5b.
Record source categories:
Records in this system are derived in part from other SSA systems of
records (e.g., the Earnings Recording and Self-Employment Income
System (09-60-0059), the Claims Folders System (09-60-0089)
(disability case folders), the Master Beneficiary Record (09-60-0090)
and the Supplemental Security Income Record (09-60-0103)); other SSA
administrative records; program records of other Federal/State welfare
programs survey data collected by contractors or SSA personnel; from
the individual; the Health Insurance Master Record (09-70-0502) of
HHS/HCFA; case service reports of VR agencies and referral and
monitoring agencies; and employers.
Systems exempted from certain provisions of the act:
None.
09-60-0219
System name: Representative Disqualification/Suspension
Information System, HHS/SSA/ORSI.
System location:
Social Security Administration, Office of Retirement and Survivors
Insurance, Division of Payment and Adjudicative Policy, Adjudicative
Policy and Appeals Branch, 6401 Security Boulevard, Baltimore,
Maryland 21235.
Categories of individuals covered by the system:
Individuals alleged to have violated the provisions of the Social
Security Act and regulations relating to representation of claimant/
beneficiaries before the Secretary, Health and Human Services (HHS),
Social Security Administration (SSA), those found to have committed
such violations and who are disqualified/suspended, and those who are
investigated but not disqualified/suspended. The last category would
include cases in which we find that a violation has not occurred or
that a violation has occurred but we are able to resolve the matter
without taking action to disqualify/suspend the representative.
Categories of records in the system:
Records in the system will consist of information such as the
representative's name and address; each claimant's/ beneficiary's
name, address and Social Security number; copies of all documents in
the claimant's/beneficiary's file relating to representation; all
documentation received as a result of SSA's investigation of alleged
violations of the Social Security Act and regulations relating to
representation; documentation resulting from an ALJ hearing on charges
of noncompliance; and copies of the notification of disqualification/
suspension.
Authority for maintenance of the system:
Sections 206(a) and 1631(d)(2) of the Social Security Act.
Purpose(s):
Information in the system will be used to determine if a violation of
the provisions of the Social Security Act and regulations relating to
claimant representation has occurred and to provide timely and
detailed information on cases in which disciplinary action is taken
against a representative who has committed a violation. The system
also will be used to assist SSA components in investigating alleged
violations or enforcing disciplinary actions against a representative.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed as indicated below.
1. SSA may disclose information to a claimant/beneficiary that his/her
representative has been disqualified/suspended from further
representation before SSA.
2. SSA may disclose information to a claimant/beneficiary who may want
to hire a disqualified/suspended individual as his/her representative
that the individual has been disqualified/suspended from further
representation before SSA.
3. SSA may disclose information to a State bar disciplinary authority
in the State(s) in which a disqualified/suspended attorney is admitted
to practice that SSA has disqualified/suspended the attorney from
further representation before SSA and, upon request, further
information concerning the disqualification/suspension.
4. In the event of litigation where the defendant is:
(1) HHS, any component of HHS or any employee of HHS in his/her
official capacity;
(2) The United States where HHS determines that the claim, if
successful, is likely to directly affect the operations of the HHS or
any of its components; or
(3) Any HHS employee in his/her individual capacity where the
Department of Justice (DOJ) has agreed to represent such employee;
SSA may disclose such records as it deems desirable or necessary to
DOJ to enable that department to present an effective defense,
provided such disclosure is compatible with the purpose for which the
records were collected.
5. SSA may disclose information to a congressional office in response
to an inquiry from that office made at the request of the subject of
the record.
6. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
7. Disclosure may be to DOJ, to 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, the tribunal, or
other party before such tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were disclosed.
Wage and other information which are subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records will be stored in paper form.
Retrievability:
Records will be retrieved from the system by the name of the
representative.
Safeguards:
ACCESS CONTROL:
Records will be maintained in locked file cabinets or in otherwise
secure storage areas. Access will be restricted to SSA employees who
have a need for the records in the performance of their official
duties. Also, all employees having access to the records periodically
are briefed on Privacy Act requirements and SSA confidentiality rules
and will be notified of the criminal sanctions against unauthorized
access to, or disclosure of, information in a system of records.
Retention and disposal:
Records of investigations which did not result in disqualifications/
suspensions will be retained for a period of 5 years and then
destroyed by shredding. Records on disqualifications/suspensions and
investigations leading to such actions will be retained indefinitely.
System manager(s) and address:
Director, Division of Payment and Adjudicative Policy, Office of
Retirement and Survivors Insurance, Social Security Administration,
6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by writing to the system manager at the address above and
providing his/her name and address.
Record access procedures:
Same as notification procedures. Also, individuals requesting access
should reasonably identify the record and specify the information they
are attempting to obtain. These procedures are in accordance with HHS
regulations 45 CFR part 5.
Contesting record procedures:
Same as notification procedures. Also, individuals contesting a record
in the system should identify the record, specify the information they
are contesting, state the corrective action sought and the reasons for
the corrections with supporting justification showing how the record
is incomplete, untimely, inaccurate or irrelevant. These procedures
are in accordance with HHS Regulations 45 CFR part 5.
Record source categories:
Records in this system will be derived from existing systems of
records maintained by SSA (e.g., the Claims Folder System, 09-60-0089)
which contain information relating to representation; documentation
received as a result of investigations of alleged violations of the
representation provisions of the Social Security Act and regulations;
documentation resulting from ALJs' hearings on charges of
noncompliance; and documentation resulting from notifications of
disciplinary actions.
Systems exempted from certain provisions of the act:
None.
09-60-0220
System name: Kentucky Birth Records System, HHS/SSA/DO(Ky).
Security classification:
None.
System location:
Social Security district and branch offices located in the State of
Kentucky. Individuals should consult Kentucky telephone directories
for address and telephone information.
Categories of individuals covered by the system:
Members of the general public whose birth records have been registered
in the State of Kentucky.
Categories of records in the system:
The system consists of an index of Kentucky birth records. Included on
the index are the individual's name, mother's maiden name, date and
place of birth, certificate number and volume number of the index.
Authority for maintenance of the system:
Section 205 of the Social Security Act.
Purpose(s):
Information in the system will be used by Social Security
Administration (SSA) offices in the State of Kentucky to provide
evidentiary proof of age and other facts about individuals applying
for various Social Security benefits, Supplemental Security Income
payments and Social Security numbers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made as routine uses as indicated below:
1. To a Congressional office in response to an inquiry from that
office made at the request of the subject of a record.
2. To the Department of Justice (DOJ), to a court or other tribunal,
or to another party before such tribunal, when:
(a) The Department of Health and Human Services (HHS)/SSA, or any
component thereof; or
(b) Any HHS/SSA employee in his/her official capacity; or
(c) Any HHS/SSA employee in his/her individual capacity where DOJ (or
HHS/SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where HHS/SSA determines
that the litigation is likely to affect the operations of HHS/SSA or
any of its components.
Is a party to litigation or has an interest in such litigation, and
HHS/SSA determines that the use of such records by DOJ, the tribunal,
or the other party before such tribunal is relevant and necessary to
the litigation, provided, however, that in each case, HHS/SSA
determines that such disclosure is compatible with the purpose for
which the records were collected.
3. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies with respect to their duties
and responsibilities under 44 U.S.C. 2904 and 2906, as amended by the
National Archives and Records Administration Act of 1984.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records will be stored on microfilm.
Retrievability:
Records will be retrieved by the individuals's name and other
identifying information (e.g., mother's name and date of birth).
Safeguards:
Access to records in the system will be restricted to personnel who
need them in the performance of their official duties. Also, the
information will be maintained in the secured facilities and kept from
access by unauthorized individuals (e.g., stored in locked filing
cabinets) when not in use.
Retention and disposal:
Records in the system will be updated biennially. Out-of-date
microfilm records will be disposed of by the application of heat.
System manager(s) and address:
Managers of Social Security district/branch offices in the State of
Kentucky. Individuals seeking office addresses and telephone numbers
should consult Kentucky telephone directories.
Notification procedure:
An individual wishing to find out if this system of records contains
information about him/her may do so by contacting any Social Security
office and furnishing his/her name, date and place of birth and
mother's maiden name. These procedures are in accordance with HHS
Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures above. Also, individuals requesting
access to their records should reasonably describe the records they
are seeking. These procedures are in accordance with HHS Regulations
45 CFR part 5b.
Contesting record procedures:
Same as notification procedures above. Also, individuals contesting
the contents of records in the system should reasonably describe the
records, specify the information they are contesting and state the
corrective action sought with supporting justification showing how the
records are untimely, incomplete, in inaccurate or irrelevant. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Records in the system will be obtained from the Kentucky Office of
Vital Statistics.
Systems exempted from certain provisions of the act:
None.
09-60-0221
System name: Vocational Rehabilitation Reimbursement Case
Processing System, HHS/SSA/OD.
Security classification:
None.
System location:
Social Security Administration, Office of Disability, 6401 Security
Boulevard, Baltimore, MD 21235
Social Security Administration, Office of System Operations, 6401
Security Boulevard, Baltimore, MD 21235
In addition, vocational rehabilitation (VR) reimbursement claims
documents may be temporarily transferred to other locations within the
Department of Health and Human Services (HHS). Contact the system
manager to inquire about these addresses.
Categories of individuals covered by the system:
This system maintains information on disabled and blind individuals
who received VR services for which State vocational rehabilitation
agencies (VRA) or alternate participants seek reimbursement under
sections 222(d) and 1615(d) of the Social Security Act because the
individuals were entitled/eligible to Social Security benefits and/or
supplemental security income (SSI) payments based on disability or
blindness while receiving those VR services.
The individuals described above will be included in the system when
they: (1) Performed substantial gainful activity (SGA) for a
continuous period of at least 9 months as a result of VR services
received or; (2) medically recovered while in a VR program and
continued to receive cash payments under section 225(b) and/or
1631(a)(6) of the Social Security Act; or (3) refused, without good
cause, to continue or to cooperate in a VR program in such a way as to
preclude their successful rehabilitation; and (4) State VRAs or
alternate participants filed claims for reimbursement of the cost of
VR services rendered to the individuals. (An alternate participant is
a public or private agency, organization, institution, or individual
which the Commissioner of Social Security may use to provide VR
services to disabled and blind beneficiaries/ recipients within a
State if that State is unwilling to participate in the Social Security
Administration (SSA)-VR Program or does not have an approved plan for
VR services.)
Categories of records in the system:
Data in the system consist of information such as the VR client's
name, Social Security number (SSN), disability diagnosis, sex and date
of birth; the SSN and identification code under which the VR client
received Social Security benefits/SSI payments; the type of benefits/
payments received; the monthly benefit/payment amount; information
relating to the period he/she was entitled/eligible to benefits/
payments and, if benefits/payments were terminated or suspended, the
basis for termination/suspension; information relating to his/her
yearly earnings and employment; information relating to the period he/
she received VR services and the nature and costs of those services;
and information required to determine if and when he/she: (1)
Performed SGA for a continuous period of at least 9 months based on
services the State VRA or alternate participant provided; (2)
medically recovered while in a VR program and continued to receive
cash payments under section 225(b) and/or 1631(a)(6) of the Social
Security Act; or (3) refused, without good cause, to continue or to
cooperate in a VR program in such a way as to preclude his/her
successful rehabilitation.
Authority for maintenance of the system:
Sections 222(d) and 1615(d) of the Social Security Act.
Purpose(s):
Data in this system will be used to determine if a State VRA or
alternate participant can be reimbursed for the costs of VR services
provided to individuals while they were entitled/eligible to Social
Security benefits or SSI payments based on disability or blindness.
Data also will be used for program evaluation purposes and to
determine what types of individuals are being successfully
rehabilitated so that Social Security beneficiaries/SSI recipients
with similar profiles are targeted for rehabilitation. In some
instances, information furnished by a VRA or alternate participant may
be used as a lead in determining if an individual's disability/
blindness payments should continue.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed for routine uses as indicated below:
1. To a State VRA or alternate participant regarding the basis for
SSA's decision on its claim for reimbursement and the reason(s) costs
were allowed or denied.
2. To the Department of Justice (DOJ), to a court or other tribunal,
or to another party before such tribunal, when
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity 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 SSA or any of its components,
is a party to litigation or has an interest in such litigation, and SSA
determines that the use of such records by DOJ, the court or other
tribunal, or the other party before the 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.
3. To a congressional office in response to an inquiry from that
office made at the request of the subject of the record.
4. Non-tax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
and the National Archives and Records Administration under 44 U.S.C.
2904 and 2906, as amended by the National Archives and Records
Administration Act of 1984, for their use in conducting records
management studies with respect to their duties and responsibilities.
5. Information may be disclosed to contractors or other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its programs. We contemplate disclosing
information under this routine use only in situations in which SSA may
enter into a contractual or similar agreement with a third party to
assist in accomplishing an Agency function relating to this system of
records.
6. To the Internal Revenue Service, for the purpose of auditing SSA's
compliance with safeguard provisions of the Internal Revenue Code of
1986, as amended.
7. To the Rehabilitation Services Administration (RSA) for use in its
program studies of, and development of enhancements for, State
vocational rehabilitation programs to which applicants or
beneficiaries under titles II and/or XVI of the Social Security Act
may be referred. Data released to RSA will not include any personally
identifying information (such as names or SSNs).
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records will be stored in magnetic media (e.g., computer disc packs)
and, on a temporary basis, in paper form.
Retrievability:
Data will be retrieved from the system by the SSN of the individual
who received VR services for which the State VRA or alternate
participant filed the reimbursement claim.
Safeguards ;
Access controls:
Safeguards for automated data have been established in accordance with
the HHS Information Resources Management Manual, Part 6, Automated
Information Systems Security Program Handbook. This includes
maintaining computer disc packs or other magnetic files with personal
identifiers in secured storage areas accessible only to authorized
personnel. SSA employees having access to the computerized records and
employees of any contractor who may be utilized to develop and
maintain the software for the automated system will be notified of
criminal sanctions for unauthorized disclosure of information about
individuals. Also, contracts with third parties, if any, will contain
language which delineates the conditions under which contractors will
have access to data in the system and what safeguards must be employed
to protect the data.
Manually maintained data will be stored in either lockable file
cabinets within locked rooms or otherwise secured areas. Access to
these records will be restricted to those employees who require them
to perform their assigned duties.
Retention and disposal:
Computerized records and manual data (claim applications, keyed claim
forms, etc.) used in the VR claims reimbursement process will be
maintained for a period of 6 years, 3 months, after the close of the
fiscal year in which final adjudication was made. Means of disposal
will be appropriate to the storage medium (e.g., erasure of discs,
shredding of paper records, or transfer to another system of records).
System manager(s) and address:
Associate Commissioner, Office of Disability, Social Security
Administration, 6401 Security Boulevard, Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains data about him/her
by writing to the system manager at the address shown above and
providing his/her name, address and SSN (or the SSN under which the
reimbursement claim was filed). (Furnishing the SSN is voluntary.
However, searching for the individual's data will be easier and faster
if it is furnished.)
An individual requesting notification of data in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, driver's license, or voter registration card). An individual
requesting notification via telephone must furnish as a minimum, his/
her name, date of birth, and address in order to establish identity,
plus any additional information which may be specified in this
section. An individual requesting notification via mail must furnish a
notarized or certified statement of identity. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures above. Also, a requester should
reasonably identify and specify the information he/she is attempting
to obtain. These procedures are in accordance with HHS Regulations 45
CFR part 5b.
Contesting record procedures:
Same as notification procedures above. Also, an individual contesting
data in the system should identify the data, specify the information
he/she is contesting, state the corrective action sought, and the
reasons for the correction with supporting justification showing how
the record is incomplete, untimely, inaccurate, or irrelevant. These
procedures are in accordance with HHS Regulations 45 CFR part 5b.
Record source categories:
Data in this system will be derived in part from other SSA systems of
records (i.e., Earnings Recording and Self-Employment Income System
(09-60-0059), Claims Folder System (09-60-0089), Master Beneficiary
Record (09-60-0090), and Supplemental Security Income Record (09-60-
0103)); the reimbursement applications submitted by State VRAs or
alternate participants; earnings information provided by the wage-
earner/beneficiary; and investigations conducted by SSA and State VRA
field employees which relate to a VR client's post-VR work activity,
participation in a VR program after medical recovery, and/or reason(s)
for failing to cooperate in a VR program.
Systems exempted from certain provisions of the act:
None.
09-60-0222
System name: Master Representative Payee File, HHS/SSA/ORSI.
Security classification:
None.
System location:
The system database will be available by direct electronic access by
Social Security field offices (FO). Addresses of FOs can be found by
calling the number listed in local telephone directories under
``United States Department of Health and Human Services, Social
Security Administration'' or under ``Social Security Administration.''
The database is housed at the National Computer Center, Social
Security Administration, 6201 Security Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
This system maintains information about persons whose certifications
of payment of benefits as representative payees have been revoked or
terminated on or after January 1, 1991; persons who have been
convicted of a violation of section 208 or section 1632 of the Social
Security Act (the Act); persons who are acting or have acted as
representative payees, representative payee applicants who were not
selected to serve as representative payees, and beneficiaries/
applicants who are being served by representative payees.
Categories of records in the system:
Data in this system consist of:
b Names and SSNs (or employer identification numbers (EIN)) of
representative payees whose certifications of payment of benefits have
been revoked or terminated on or after January 1, 1991, because of
misuse of benefits under title II or title XVI of the Act;
Names and SSNs (or EINs) of all persons convicted of a violation of
section 208 or 1632 of the Act;
Names, addresses, and SSNs (or EINs) of representative payees who are
receiving benefit payments pursuant to section 205(j) or section
1631(a)(2) of the Act;
Names, addresses, and SSNs of individuals for whom representative
payees are reported to be providing representative payee services
under section 205(j) or section 1631(a)(2) of the Act;
Names, addresses, and SSNs of representative payee applicants who were
not selected as representative payees;
Names, addresses, and SSNs of persons who were terminated as
representative payees for reasons other than misuse of benefits paid
to them on behalf of beneficiaries/recipients;
Information on the representative payees' relationship to the
beneficiaries/recipients they serve;
Names, addresses, and EINs of organizations authorized to charge a fee
for providing representative payee services;
Codes which indicate the relationship (other than familial) between
the beneficiaries/recipients and the individuals who have custody of
the beneficiaries/recipients;
Dates and reasons for payee terminations (e.g., performance not
acceptable, death of payee, beneficiary in direct payment, etc.), and
revocations;
Codes indicating whether representative payee applicants were selected
or not selected;
Dates and reasons representative payee applicants were not selected to
serve as payees and dates and reasons for changes of payees (e.g.,
beneficiary in direct payment, etc.);
Amount of benefits misused;
Identification number assigned to the claim on which the misuse
occurred;
Date of the determination of misuse; and
Information about a felony conviction reported by the representative
payee.
Authority for maintenance of the system:
Sections 205(a), 205(j) and 1631(a) of the Act.
Purpose(s):
Information maintained in this system will assist SSA in the
representative payee selection process by enabling Social Security
field offices to more carefully screen applicants and to determine
their suitability to become representative payees. SSA also will use
the data for management information and workload projection purposes
and to prepare annual reports to Congress on representative payee
activities.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed for routine uses as indicated below.
1. Information may be disclosed to the Department of Justice (DOJ), to
a court or other tribunal, or to another party before such tribunal,
when
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity 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 SSA or any of its components,
Is a party to litigation or has an interest in such litigation.
Disclosure will occur only if SSA determines that the use of such
records before the tribunal is relevant and necessary to the
litigation, would help in the effective representation of the
governmental party, and, in each case, such disclosure is compatible
with the purpose for which the records were collected.
2. Information pertaining to an individual may be disclosed to a
congressional office in response to an inquiry from that office made
at the request of the subject of the records.
3. Information may be disclosed to the General Services Administration
and the National Archives and Records Administration for the purpose
of conducting records management studies under 44 U.S.C. 2904 and
2906, when such disclosure is not prohibited by Federal law.
4. Information may be disclosed to the Department of Veterans Affairs
(DVA) Regional Office in the Philippines for the administration of the
Social Security Act in the Philippines through services and facilities
of that agency.
5. Information may be disclosed to the Department of State for
administration of the Social Security Act in foreign countries through
services and facilities of that agency.
6. Information may be disclosed to the Department of Interior for
administration of the Social Security Act in the Trust Territory of
the Pacific Islands through services and facilities of that agency.
7. Information may be disclosed to the American Institute in Taiwan
for administration of the Social Security Act in Taiwan through
services and facilities of that agency.
8. Information may be disclosed to DOJ for:
(a) Investigating the prosecuting violations of the Act to which
criminal penalties attach,
(b) Representing the Secretary, and
(c) Investigating issues of fraud or violations of civil rights by
officers or employees of SSA.
9. Information about an individual may be disclosed to the Office of
the President for responding to an inquiry received from that
individual or from a third party acting on that individual's behalf.
10. Information may be disclosed to DVA for the shared administration
of that Department's and SSA's representative payee programs.
11. 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 into a contractual or similar agreement to obtain assistance in
accomplishing an SSA function relating to this system of records.
12. Information may be disclosed to a third party such as a physician,
social worker, or community service worker, who has, or is expected to
have, information which is needed to evaluate one or both of the
following:
a. The claimant's capability to manage or direct the management of
his/her affairs.
b. Any case in which disclosure aids investigation of suspected misuse
of benefits, abuse or fraud, or is necessary for program integrity, or
quality appraisal activities.
13. Information pertaining to the identity of a payee or payee
applicant, the fact of the person's application for or service as a
payee, and, as necessary, the identity of the beneficiary, may be
disclosed to a third party where necessary to obtain information on
employment, sources of income, criminal justice records, stability of
residence and other information relating to the qualifications and
suitability of representative payees or representative payee
applicants to serve as representative payees or their use of the
benefits paid to them under section 205(j) or section 1631(a) of the
Act.
14. Information pertaining to the address of a representative payee
applicant or a selected representative payee may be disclosed to a
claimant or other individual authorized to act on his/her behalf when
this information is needed to pursue a claim for recovery of
misapplied or misused benefits.
15. Information may be disclosed to the Railroad Retirement Board
(RRB) for the administration of RRB's representative payment program.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records will be stored in magnetic media (e.g., magnetic tape and
disc).
Retrievability:
Data will be retrieved from the system by the name, SSN or EIN, and
the ZIP code (in a situation where the representative payee is an
institution) of the representative payee, or the name or SSN of the
beneficiary/recipient.
Safeguards:
Safeguards for automated data have been established in accordance with
the HHS Information Resources Management Manual, Part 6, Automated
Information Systems Security Program Handbook. Magnetic tapes are in
secured storage areas accessible only to authorized personnel.
Retention and disposal:
The magnetic media are updated periodically. Out-of-date tapes are
erased.
System manager(s) and address:
Associated Commissioner, Office of Retirement and Survivors Insurance,
6401 Security Boulevard, Baltimore, MD 21235
Notification procedure:
An individual can determine if this system contains data about him/her
by writing to the system manager at the address shown above and
providing his/her name, address and SSN or EIN. An individual
requesting notification of data in person need not furnish any special
documents of identity. Documents he/she would normally carry on his/
her person would be sufficient (e.g., credit cards, driver's license,
or voter registration card). An individual requesting notification via
telephone must furnish a minimum of his/her name, SSN or EIN, date of
birth, and address in order to establish identity, plus any additional
information which may be specified in this section. An individual
requesting notification via mail must submit sufficient evidence
(i.e., the individual's notarized signature or a signed statement that
he/she is the individual to whom the record pertains and that he/she
understands that there are criminal penalties for making a knowing and
willful request for access to records concerning another individual
under false pretenses) to establish identity. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
Record access procedures:
Same as notification procedures above. Also, a requester should
reasonably identify and specify the information he/she is attempting
to obtain. These procedures are in accordance with HHS Regulations 45
CFR part 5b.
Contesting record procedures:
Same as notification procedures above. Also, an individual contesting
records in the system should identify the record, specify the
information he/she is contesting, state the corrective action sought,
and the reasons for the correction with supporting justification
showing how the record is incomplete, untimely, inaccurate, or
irrelevant. These procedures are in accordance with HHS Regulations 45
CFR part 5b.
Record source categories:
Data in this system will be obtained from representative payee
applicants and representative payees, the HHS Office of Inspector
General, and other SSA systems of records (e.g., Claims Folder System
(09-60-0089), Master Beneficiary Record (09-60-0090), Supplemental
Security Income Record (09-60-0103), Master Files of SSN Holders (09-
60-0058), Recovery, Accounting for Overpayments (09-60-0094)).
Systems exempted from certain provisions of the act:
None.
09-60-0223
System name: Telephone Call Receipt System, HHS/SSA/DCO.
Security classification:
None.
System location:
The system database will be available by direct electronic access by
Social Security field offices (FO), program service centers and
teleservice centers (TSC) Addresses of these offices can be found in
local telephone directories under ``United States Department of Health
and Human Services, Social Security Administration'' or under ``Social
Security Administration.''
The database is housed at the: National Computer Center, Social
Security Administration, 6201 Security Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
This system maintains information about telephone calls to the Auburn
(Washington), East Brunswick (New Jersey) and Kansas City (Missouri)
TSCs between July 20, 1992 and July 20, 1993. These TSCs are involved
in a telephone accountability demonstration project in which receipts
are sent to callers to confirm the content of their conversations with
TSC representatives,
Categories of records in the system:
Data in this system consist of copies of the telephone call receipts
which are sent to callers. Each receipt includes:
The name and address of the caller;
The Social Security and claim numbers of the caller, if provided;
The name of the individual on whose behalf the call was made (if
different from the caller), and that individual's Social Security
number (if provided);
The date of the call;
A summary of the business discussed; and
The name of the SSA representative who spoke with the caller.
Authority for maintenance of the system:
Section 5108 of the Omnibus Budget Reconciliation Act of 1990 (Pub. L.
No. 101-508).
Purpose(s):
Information maintained in this system will enable SSA employees to
review the contents of telephone call receipts in response to later
inquiries or followups from the callers. It will also be used by SSA
to study the course of the pilot project for analyses and reporting.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed for routine uses as indicated below.
1. To the Department of Justice (DOJ), a court or other tribunal, or
another party before such tribunal when:
(a) SSA, any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or SSA
where it is authorized to do so) has agreed to represent the employee;
or
(d) The United States or any agency thereof where SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC) (26 U.S.C. 6103) will
not be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
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 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.
4. Nontax return information which is not restricted from disclosure
by Federal law may be disclosed to the General Services Administration
(GSA) and the National Archives and Records Administration for the
purpose of conducting records management studies with respect to their
duties and responsibilities under 44 U.S.C. 2904 and 2906, as amended
by the National Archives and Records Administration Act of 1984.
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.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records will be stored in magnetic media (e.g., magnetic tape and
disc).
Retrievability:
Data will be retrieved from the system by the name and Social Security
number (SSN) of the caller or of the individual on whose behalf the
call was made. If the SSN is unknown, data will be retrieved by the
name and ZIP code of the individual.
Safeguards:
(Access Controls):
Safeguards for automated data have been established in accordance with
the HHS Informaiton Resources Management Manual, Part 6, Automated
Information Systems Security Program Handbook. Magnetic tapes are in
secured storage areas accessible only to authorized personnel.
Retention and disposal:
The magnetic media are updated periodically. The records will be
retained for 5 years after the termination of the project on July 20,
1993.
System manager(s) and address:
Director, Office of 800 Number Operations, 6401 Security Boulevard,
Baltimore, Md 21235.
Notification procedure:
An individual can determine if this system contains a record about
him/her by contacting any Social Security FO.
When requesting notification, the individual should provide his/her
name and SSN. (Furnishing the SSN is voluntary, but it will make
searching for an individual's record easier and avoid delay.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents he/she would
normally carry on his/her person would be sufficient (e.g., credit
cards, drivers license or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth and address in order to establish
identity. These procedures are in accordance with HHS Regulations 45
CFR part 5b.
Record access procedures:
Same as notification procedures. Requesters should also reasonably
specify the information they are seeking. These procedures are in
accordance with HHS Regulations 45 CFR part 5b.
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 HHS Regulations 45 CFR part 5b.
Record source categories :
Information in this sytem is obtained from individuals calling Social
Security to inquire about SSA programs for themselves or for others.
Systems exempted from certain provisions of the act:
None.
09-60-0224
System name:
SSA-Initiated Personal Earnings and Benefit Estimate Statement
(SIPEBES) History File, HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
Any person:
b Who lives in a state or territory of the United States or the
District of Columbia;
b Who has reached age 25;
b Who has had earnings posted to his/her Social Security number (SSN);
b Who is not receiving benefits under title II of the Social Security
Act; and
b For whom the Social Security Administration (SSA) can determine the
current mailing address.
Categories of records in the system:
This system contains the following information about each individual:
b Name;
b SSN;
b Address to which the PEBES was mailed;
b Date of birth;
b Sex;
b Disposition code (to indicate earnings discrepancy or refusal);
b Date of SIPEBES issuance;
b Whether the PEBES was issued at the individual's request or SSA's
initiative;
b Primary language (English or Spanish);
b Address source (IRS, the individual, or other);
b IRARN-CD (a code reserved for future use).
b PROC-CD (a code reserved for future use).
Authority for maintenance of the system:
Sections 205(a), 205(c)(2), and 1143 of the Social Security Act (42
U.S.C. 405(a), 405(c)(2), and 1320b-13); the Federal Records Act of
1950 (64 Stat. 583), as amended.
Purpose(s):
This system is used for the following purposes:
b To establish and retrieve specific records for PEBES processing;
b To identify whether or when a person has previously received an
SIPEBES;
b To help SSA respond to PEBES inquiries; and
b To conduct statistical studies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. Information may be disclosed to contractors and other Federal
agencies, as necessary, to assist 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.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 U.S.C. 6103) will not
be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
2. Information may be disclosed to a congressional office in response
to an inquiry from the congressional office made at the request of the
subject of the record.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 U.S.C. 6103) will not
be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
3. To the Department of Justice (DOJ), a court, or other tribunal, or
another party before such tribunal, when:
(1) SSA, or any component thereof; or
(2) Any SSA employee in his/her official capacity; or
(3) Any SSA employee in his/her individual capacity when DOJ (or SSA,
when it is authorized to do so) has agreed to represent the employee;
or
(4) The United States or any agency thereof when SSA determines that
the litigation is likely to affect the operations of SSA or any of its
components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal, or the other party before the tribunal is relevant and
necessary to the litigation, provided, however, that in each case SSA
determines that such disclosure is compatible with the purposes for
which the records were collected.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 U.S.C. 6103) will not
be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
4. Information may be disclosed 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.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 U.S.C. 6103) will not
be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
5. Nontax return information, the disclosure of which is not expressly
restricted by Federal law, may be disclosed to the General Services
Administration and the National Archives and Records Administration
under 44 U.S.C. 2904 and 2906, as amended by the National Archives and
Records Administration Act of 1984, for the use of those agencies in
conducting records management studies.
Wage and other information which is subject to the disclosure
provisions of the Internal Revenue Code (IRC, 26 U.S.C. 6103) will not
be disclosed under this routine use unless disclosure is expressly
permitted by the IRC.
6. Information may be disclosed to the Internal Revenue Service (IRS)
for auditing SSA's compliance with the safeguard provisions of the
Internal Revenue Code of 1986, as amended.
Policies and practices for storing, retrieving, accessing, and disposing
of records in the system:
Storage:
Records may be stored in magnetic media (e.g., magnetic tape and
disc), microfilm, or paper.
Retrievability:
Data will be retrieved from the system by SSN and name.
Safeguards:
Safeguards for automated records have been established in accordance
with the Department of Health and Human Services (HHS) Information
Resources Management Manual, Part 6, Automated Information Systems
Security Program Handbook. This includes maintaining the magnetic
tapes and discs within an enclosure attended by security guards.
Anyone entering or leaving this enclosure must have a special badge
issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and Field Office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm and paper files are accessible only by authorized
personnel who have a need for the information in performing their
official duties.
SSA's terminals are equipped with physical key locks. The terminals
are also fitted with adapters to permit the future installation of
data encryption devices and devices to permit the identification of
terminal users.
Contractors will safeguard information disclosed to them consistent
with the requirements of the Privacy Act.
Retention and disposal:
All tapes, discs, and microfilm files are updated periodically. Out-
of-date magnetic tapes and discs are erased. Out-of-date microfilm is
shredded.
SSA retains correspondence one year when it concerns documents
returned to an individual, denials of confidential information,
release of confidential information to an authorized third party, and
undeliverable material; for four years when it concerns information
and evidence pertaining to coverage, wage, and self-employment
determinations or when it affects future claims development,
especially coverage, wage, and self-employment determinations.
Correspondence is destroyed, when appropriate, by shredding. Magnetic
media records are maintained indefinitely.
System manager(s) and address:
Director, Office of Pre-Claims Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature, and SSN,
or, if the SSN is not known, name, signature, date and place of birth,
mother's birth name, and father's name to the address shown above
under ``System manager'' and by referring to this system. (Furnishing
the SSN is voluntary, but it will enable an easier and faster search
for an individuals record.)
An individual requesting notification of records in person need not
furnish any special documents of identify. Documents which one would
normally carry on one's person are sufficient (e.g., credit cards,
driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth, and address in order to establish
identify, plus any additional information which may be requested.
These procedures conform with HHS Regulations, 45 CFR part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
identify the record contents they are seeking. These procedures
conform with HHS Regulations, 45 CFR part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures conform with HHS
Regulations, 45 CFR part 5b.
Record source categories:
Information in this system is obtained from the Numident File of the
SSA system of records entitled ``Master File of Social Security Number
Holders, HHS/SSA/OSR (09-60-0058)''; and from the IRS.
Systems exempted from certain provisions of the Act;
None.
09-60-0225
System name:
SSA-Initiated Personal Earnings and Benefit Estimate Statement Address
System for Certain Territories. HHS/SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235.
Records may also be located at contractor sites. Contact the system
manager at the address below for contractor addresses.
Categories of individuals covered by the system;
Any person:
b Who lives in Guam, Puerto Rico, or the United States Virgin Islands,
b Who has reached age 25,
b Who has had earnings posted to his/her SSN,
b Who is not receiving benefits under Title II of the Social Security
Act, and
b From whom SSA can determine the current mailing address.
Categories of records in the system:
This system contains the following information about each individual:
b Name;
b Sex;
b SSN;
b Address;
b Whether a PEBES was issued at the individual's request or SSA's
initiative;
b A country name code.
Authority for maintenance of the system:
Sections 205(a), 205(c)(2), and 1143 of the Social Security Act (42
U.S.C. 405(a), 405(c)(2), and 1320b-13); the Federal Records Act of
1950 (64 Stat. 583).
Purpose(s):
The system is used for the following purposes:
b To establish and retrieve specific records for PEBES processing for
individuals living in the specified areas;
b To help SSA respond to PEBES inquiries; and
b To conduct statistical studies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may be made from routine uses as indicated below:
1. Information may be disclosed to contractors and other Federal
agencies, as necessary, to assist 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.
2. Information may be disclosed to a congressional office in response
to an inquiry from the congressional office made at the request of the
subject of the record.
3. Information may be disclosed to the Department of Justice (DOJ), a
court, or other tribunal, or another party before such tribunal, when:
(1) SSA, or any component thereof; or
(2) Any SSA employee in his/her official capacity; or
(3) Any SSA employee in his/her individual capacity when DOJ (or SSA,
when it is authorized to do so) has agreed to represent the employee;
or
(4) The United States or any agency thereof when SSA determines that
the litigation is likely to affect the operation of SSA or any of its
components.
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, the court or other
tribunal, or the other party before the tribunal is relevant and
necessary to the litigation, provided, however, that in each case SSA
determines that such disclosure is compatible with the purposes for
which the records were collected.
4. Information may be disclosed 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.
5. Nontax return information, the disclosure of which is not expressly
restricted by Federal law, may be disclosed to the General Services
Administration and the National Archives and Records Administration
under 44 U.S.C. 2904 and 2906, as amended by the National Archives and
Records Administration Act of 1984, for the use of those agencies in
conducting records management studies.
Policies and practices for storing, retrieving, accessing, and disposing
of records in the system:
Storage:
Records will be stored in magnetic media (e.g., magnetic tape and
disc).
Retrievability:
Data will be retrieved from the system by SSN, name, and date of
issuance of the PEBES.
Safeguards:
Safeguards for automated records have been established in accordance
with the Department of Health and Human Services (HHS) Information
Resources Management Manual, Part 6, Automated Information Systems
Security Program Handbook. This includes maintaining the magnetic
tapes and discs within an enclosure attended by security guards,
Anyone entering or leaving this enclosure must have a special badge
issued only to authorized personnel.
For computerized records electronically transmitted between Central
Office and Field Office locations (including organizations
administering SSA programs under contractual agreements), safeguards
include a lock/unlock password system, exclusive use of leased
telephone lines, a terminal-oriented transaction matrix, and an audit
trail. All microfilm and paper files are accessible only by authorized
personnel who have a need for the information in performing their
official duties.
SSA's terminals are equipped with physical key locks. The terminals
are also fitted with adapters to permit the future installation of
data encryption devices and devices to permit the identification of
terminal users.
Retention and disposal:
All tapes, discs, and microfilm files are updated periodically. Out-
of-date magnetic tapes and discs are erased. Out-of-date microfilm is
shredded.
SSA retains correspondence one year when it concerns documents
returned to an individual, denials of confidential information,
release of confidential information to an authorized third party, and
undeliverable material; for four years when it concerns information
and evidence pertaining to coverage, wage, and self-employment
determinations or when it affects future claims development,
especially coverage, wage, and self-employment determinations.
Correspondence is destroyed, when appropriate, by shredding. Magnetic
media records are maintained indefinitely.
System managers(s) and address:
Director, Office of Pre-Claims Requirements, Office of Systems
Requirements, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
pertaining to him/her by providing his/her name, signature, and SSN,
or, if the SSN is not known, name, signature, date and place of birth,
mother's birth name, and father's name to the address shown above
under ``System manager'' and by referring to this system. (Furnishing
the SSN is voluntary, but it will enable an easier and faster search
for an individuals' record.)
An individual requesting notification of records in person need not
furnish any special documents of identity. Documents which one would
normally carry on one's person are sufficient (e.g., credit cards,
driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, date of birth, and address in order to establish
identity, plus any additional information which may be requested.
These procedures conform with HHS Regulations, 45 CFR Part 5b.
Record access procedures:
Same as notification procedures. Also, requesters should reasonably
identify the record contents they are seeking. These procedures
conform with HHS Regulations, 45 CFR Part 5b.
Contesting record procedures:
Same as notification procedures. Also, requesters should 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. These procedures conform with HHS
Regulations, 45 CFR part 5b.
Record source categories:
Information in this system is obtained from the Commonwealth of Puerto
Rico and the Territories of Guam and the United States Virgin Islands.
Systems exempted from certain provisions of the act:
None.
Appendix A--Retirement and Survivors Insurance Claims
1. Determining Appropriate Office to Contact
Records relating to Retirement and Survivor Insurance claims are a
maintained primarily in six Program Service Centers throughout the
country. The responsibility for the payment of benefits and the
maintenance of records relating to claims is assigned to each office
according to the first three digits of the Social Security number
(SSN).
If the only individual entitled to Survivor's monthly benefits on one
claim account number (the SSN plus an alphabetic code) also is
entitled to a Retirement benefit on another claim account number, the
office which is assigned the responsibility for the Retirement benefit
claim also handles the Survivor claim. If the only individual on the
record is entitled to a Survivor's benefit which has been reduced
because the survivor is under age 59, and the individual also is
entitled to a Disability benefit (which is larger), on another record,
the Office of Disability Operations certifies the payments and
maintains both records (see Appendix B.1 below). The Office of
Disability Operations also is responsible for payment certification
and record maintenance if the only survivor on a record is entitled as
a childhood disability beneficiary and the survivor also is entitled
to a Disability Insurance benefit on another record.
In addition, when one of the individuals in the record resides outside
the United States or its possession, the responsibility for the
payment certification and record maintenance is assigned to the
Division of International Operations without reference to the Social
Security claim account number or the type of benefit. For information
relating to these claims, individuals should contact the following
address: Social Security Administration, Office of Central Operations,
Division of International Operations, PO Box 1756, 6401 Security
Boulevard, Baltimore, Maryland 21235.
With the exceptions noted above, the appropriate Program Service
Center to contact can be determined by checking the first three (left
side) digits of the Social Security number and comparing it to the
chart below. For example, if the first three digits are 076, the
appropriate Program Service Center to contact will be the Northeastern
Program Service Center; similarly, if the first three digits were 437,
the appropriate office would be Mid-America Program Service Center,
and if they are 728, the appropriate office would be the Great Lakes
Program Service Center.
If the first three digits fall within the range of:
001-134 contact the Northeastern Program Service Center
135-222 contact the Mid-Atlantic Program Service Center
223-231 contact the Southeastern Program Service Center
232-236 contact the Mid-Atlantic Program Service Center
237-267 contact the Southeastern Program Service Center
268-302 contact the Great Lakes Program Service Center
303-315 contact the Mid-America Program Service Center
316-399 contact the Great Lakes Program Service Center
400-428 contact the Southeastern Program Service Center
429-500 contact the Mid-America Program Service Center
501-504 contact the Western Program Service Center
505-515 contact the Mid-America Program Service Center
516-524 contact the Western Program Service Center
525 contact the Mid-America Program Service Center
526-576 contact the Western Program Service Center
577-584 contact the Mid-Atlantic Program Service Center
585 contact the Mid-America Program Service Center
586 contact the Western Program Service Center
587 contact the Southeastern Program Service Center
700-729 contact the Great Lakes Program Service Center
2. Office Addresses
Director, Northeastern Program Service Center, 96-05 Horace Harding
Expressway, Flushing, New York 11368
Director, Mid-Atlantic Program Service Center, 300 Spring Garden
Street, Philadelphia, Pennsylvania 19123
Director, Southeastern Program Service Center, 2001 Twelth Avenue,
North, Birmingham, Alabama 35285
Director, Great Lakes Program Service Center, 600 West Madison,
Chicago, Illinois 60606
Director, Mid-America Program Service Center, 601 East Twelth
Street, Kansas City, Missouri 64106
Director, Western Program Service Center, 1221 Nevin Avenue,
Richmond, California 94802
Social Security Administration, Office of Central Operations,
Division of International Operations, PO Box 1756, Baltimore,
Maryland 21203
and
Social Security Administration, Office of Disability Operations,
1500 Woodlawn Drive, Baltimore, Maryland 21241.
3. Office Hours
Northeastern Program Service Center, 7:00-5:30
Mid-Atlantic Program Service Center, 7:00-5:30
Southeastern Program Service Center, 7:00-5:00
Great Lakes Program Service Center, 7:00-5:30
Mid-America Program Service Center, 7:00-5:00
Western Program Service Center, 6:45-4:30
Office of Central Operations, 7:00-5:30
Appendix B--Disability Insurance Claims
1. Central Office Reviewing Address
Records relating to Disability Insurance claims are maintained
primarily by the: Social Security Administration, Office of Central
Operations, Office of Disability Operations, 1500 Woodlawn Drive,
Baltimore, Maryland 21241.
When the disabled individual is age 59 or older, the claim record
generally is maintained in a Program Service Center (see Appendix A
for address information).
When one of the individuals in the claim resides outside the United
States, or any of its possessions, the record is maintained by the
Division of International Operations at the following address: Social
Security Administration, Division of International Operations, PO Box
1756, Baltimore, Maryland 21203.
2. Related State Office Addresses
The Disability Insurance claims files may be temporarily transferred
to State Disability Determination Services for initial or continuing
disability determinations to be made. Vocational Rehabilitation
Agencies in the States may also be involved with a disability claim
from the training aspects. Individuals should contact agencies at the
following addresses:
Alabama
State Department of Education, Division of Disability Determinations,
Clairmont Office Plaza, 2800 8th Avenue, South, Birmingham, Alabama
35233.
Alaska
Disability Determinations Unit, Office of Vocational Rehabilitation,
4100 Spenard Road, Suite A, Anchorage, Alaska 99503.
Arkansas
Disability Determination for Social Security Administration, 701
Pulaski Street, 2nd Floor, Little Rock, Arkansas 72201.
California
Disability Evaluation Branch, 1414 K Street, Sacramento, California
95814.
Colorado
Department of Social Services, Division of Rehabilitation, Disability
Determination Unit, 2121 Onieda Street, Denver, Colorado.
Connecticut
Division of Vocational Rehabilitation, Bureau of Disability
Determination, 600 Asylum Avenue, 2nd Floor, Hartford, Connecticut
06105.
Delaware
Disability Determine Service, State Office Building, 820 North French
Street, Wilmington, Delaware 19801.
District of Columbia
Disability Determination Division, Vocational Rehabilitation
Administration, Department of Human Resources, 1411 K Street, NW, 13th
Floor, Washington, DC 20005.
Florida
Office of Disability Determination, Department of Health and
Rehabilitation Services, 2600 Blair Stone Road, Room 350-B,
Tallahassee, Florida 32301.
Georgia
Division of Vocational Rehabilitation, Disability Adjudication
Section, Decatur Building, Suite 300, 200 Swanton Way, Decatur,
Georgia 30089.
Guam
Division of Vocational Rehabilitation, 414 West Solodad Avenue, Agana,
Guam 96910.
Hawaii
Disability Determination Branch, Vocational Rehabilitation and Service
for the Blind Division, Kapiolani Commercial Center, Suite 660, 1580
Makaloa Street, Honolulu, Hawaii 96814.
Idaho
Disability Determination, 1505 McKinney, Boise, Idaho 83704.
Illinois
Division of Vocation Rehabilitation, Disability Determination Service,
PO Box 3842, Springfield, Illinois 62708.
Indiana
Disability Determination Division, PO Box 7069, Indianapolis, Indiana
46207.
Iowa
Rehabilitation Education and Services Branch, Disability Determination
Division, 510 East 12th Street, Des Moines, Iowa 50319.
Kansas
Disability Determination Services, Division of Vocational
Rehabilitation, 2036 SE 30th Street, Topeka, Kansas 66605.
Kentucky
Department of Human Resources, Bureau for Social Insurance, Division
for Disability Determination, PO Box 1000, Frankfort, Kentucky 40602.
Louisiana
Disability Determination, 530 Lakeland Drive, Baton Rouge, Louisiana
70802.
Maine
Disability Determination, Capitol Shopping Center, Western Avenue, 2nd
Floor, Augusta, Maine 04330.
Maryland
Disability Determination Services, Division of Vocational
Rehabilitation, PO Box 17011, Baltimore, Maryland 21203.
Massachusetts
Massachusetts Rehabilitation Commission, Disability Determination
Service, 6 Hamilton Place, Boston, Massachusetts 02108.
Michigan
Disability Determination Service, PO Box 30011, Lansing, Michigan
48909.
Minnesota
Disability Determinations Unit, Division of Vocation Rehabilitation,
Metro Square Building, Suite 460, Seventh and Roberts Streets, St.
Paul, Minnesota 55101.
Mississippi
Disability Determination Unit, State Department of Education, PO Box
1271, Jackson, Mississippi 39205.
Missouri
Disability Determination Service, 2401 East McCarty, Jefferson City,
Missouri 65101.
Montana
Disability Determination Bureau, Rehabilitative Services Division, PO
Box 4189, Helena, Montana 59601.
Nebraska
Disability Determination Services, 6th Floor, State Office Building,
301 Centennial Mall, South, Lincoln, Nebraska 68508.
Nevada
Bureau of Disability Adjudication, Rehabilitation Division, 505 East
King Street, State Capital Complex, Room 403, Carson City, Nevada
89710.
New Hampshire
Disability Determination Unit, Vocational Rehabilitation Division, PO
Box 452, Concord, New Hampshire 03301.
New Jersey
Division of Disability Determinations, Department of Labor and
Industry, PO Box 649, Newark, New Jersey 07101.
New Mexico
Disability Determination Unit, PO Box 4588, Albuquerque, New Mexico
87196.
New York
Bureau of Disability Determination, State Department of Social
Services, 110 William Street, New York, New York 10038.
North Carolina
Disability Determination Section, Division of Social Services, PO Box
243, Raleigh, North Carolina 27602.
North Dakota
Disability Determination Section, Division of Vocational
Rehabilitation, Russel Building, RR1, Highway 83 North,
Bismarck, North Dakota 58505.
Ohio
Bureau of Disability Determination, Rehabilitation Services
Commission, 4574 Heaton Road, Columbia, Ohio 43229.
Oklahoma
Department of Institutions, Social and Rehabilitative Services,
Attention: Disability Insurance Unit, PO Box 25352, Oklahoma City,
Oklahoma 73125.
Oregon
Vocational Rehabilitation Division, Disability Determination Services,
2045 Silverton Road, NE, Salem, Oregon 97310.
Pennsylvania
Bureau of Vocational Rehabilitation, Disability Determination
Division, 1310--12 North 12th Street, Harrisburg, Pennsylvania 17120.
Puerto Rico
Disability Determination Program, Call Box 71301, San Juan, Puerto
Rico 00936.
Rhode Island
Vocational Rehabilitation Services, Disability Determination Unit, 24
Mason Street, Providence, Rhode Island 02903.
South Carolina
Disability Determination Division, South Carolina Vocational
Rehabilitation Department, PO Box 4945, Columbia, South Carolina
29240.
South Carolina Commissioner for the Blind, 1430 Confederate Avenue,
Columbia, South Carolina 29201.
South Dakota
Disability Determining Service, Division of Vocational Rehabilitation,
PO Box 1029, Sioux Falls, South Dakota 57101.
Tennessee
Disability Determination Section, Division of Vocational
Rehabilitation, 1808 West End Avenue, 9th Floor, Nashville, Tennessee
37203.
Texas
Texas Rehabilitation Commission, Division of Disability Determination,
PO Box 2913, Austin, Texas 78769.
Utah
Disability Determination Services, Division of Rehabilitation Service,
Utah State Board of Education, PO Box 550, Salt Lake City, Utah 84110.
Vermont
Disability Determination Agency, 103 South Main Street, Waterbury,
Vermont 05676.
Virgin Islands
Disability Representative, HHS/SSA Federal Building, 26 Veterans
Drive, Room 113, St. Thomas, Virgin Islands 00801.
Virginia
Disability Determination Division, Virginia Department of Vocational
Rehabilitation, 4900 Fitzhugh Avenue, Richmond, Virginia 23230.
Washington
Office of Disability Insurance, PO Box 9303 M.S. LN--11, Olympia,
Washington 98504.
West Virginia
Disability Determination Services, Vocational Rehabilitation Division,
Mason Building, Second Floor, 1206 Quarrier Street, Charleston, West
Virginia 25301.
Wisconsin
Bureau of Social Security Disability Insurance, PO Box 7623, Madison,
Wisconsin 53707.
Wyoming
Disability Determination Services, Division of Vocational
Rehabilitation, 611 West 29th Street, Cheyenne, Wyoming 82001.
Appendix C--Regional Offices Addresses
1. Office of the Regional Commissioner
Boston Region: Connecticut, Maine, Massachusets, New Hampshire,
Rhode Island, Vermont
Room 1100, John F. Kennedy Federal Building, Government Center, Boston
Massachusets 02203
New York Region: New Jersey, New York, Puerto Rico, Virgin Islands
Room 4033, Federal Building, 26 Federal Plaza, New York, New York
10278
Philadelphia Region: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia
3535 Market Street, Philadelphia, Pennsylvania 19104
Atlanta Region: Alabama, North Carolina, South Carolina, Florida,
Georgia, Kentucky, Mississippi, Tennessee
101 Marietta Tower, Suite 2001, Atlanta, Georgia 30301
Chicago Region: Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin
300 South Wacker Drive, 27th Floor, Chicago, Illinois 60606
Dallas Region: Arkansas, Louisiana, New Mexico, Oklahoma, Texas
1200 Main Tower Building, Room 2555, Dallas, Texas 75202
Kansas City Region: Iowa, Kansas, Missouri, Nebraska
Federal Office Building, 601 East 12th Street, Room 436, Kansas City,
Missouri 64106
Denver Region: Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Federal Office Building, 1961 Stout Street, Room 876, Denver, Colorado
80294
San Francisco Region: American Somoa, Arizona, California, Guam,
Hawaii, Nevada, Northern Marianna Islands
100 Van Ness Avenue, 28th Floor, San Francisco, California 94102
Seattle Region: Alaska, Idaho, Oregon, Washington
Arcade Plaza Building, M/S 201, 1321 Second Avenue, Seattle,
Washington 98101
2. Assistant Regional Commissioner, Programs
Boston Region: Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, Vermont
John F. Kennedy Federal Building Government Center, Boston,
Massachusetts 02203
New York Region: New Jersey, New York, Puerto Rico, Virgin Islands
26 Federal Plaza, New York, New York 10278
Philadelphia Region: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia
3535 Market Street, Philadelphia, Pennsylvania 19104
Atlanta Region: Alabama, North Carolina, South Carolina, Florida,
Georgia, Kentucky, Mississippi, Tennessee
101 Marietta Tower, Suite 2001, PO Box 1684, Atlanta, Georgia 30301
Chicago Region: Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin
300 South Wacker Drive, Chicago, Illinois 60606
Dallas Region: Arkansas, Louisiana, New Mexico, Oklahoma, Texas
1200 Main Tower Building, Room 2140, Dallas, Texas 75202
Kansas City Region: Iowa, Kansas, Missouri, Nebraska
Federal Office Building, 601 East 12th Street, Room 436, Kansas City,
Missouri 64106
Denver Region: Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Federal Office Building, 1961 Stout Street, Denver, Colorado 80294
San Francisco Region: American Somoa, Arizona, California, Guam,
Hawaii, Nevada, Northern Marianna Islands
100 Van Ness Avenue, 24th Floor, San Francisco, California 94102
Seattle Region: Alaska, Idaho, Oregon, Washington
Arcade Plaza Building, M/S 204, 1321 Second Avenue, Seattle,
Washington 98101
3. Assistant Regional Commissioner, Field Operations
Boston Region: Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, Vermont
John F. Kennedy Federal Building, Government Center, Room 1109,
Boston, Massachusetts 02203, Officer Hours--8:30-5:00
New York Region: New Jersey, New York, Puerto Rico, Virgin Islands
26 Federal Plaza, Room 745, New York, New York 10278, Office Hours--
8:30-5:00
Philadelphia Region: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia
3535 Market Street, PO Box 8788, Philadelphia, Pennsylvania 19101,
Office Hours--8:00-4:30
Atlanta Region: Alabama, North Carolina, South Carolina, Florida,
Georgia, Kentucky, Mississippi, Tennessee
101 Marietta Tower, Suite 2001, PO Box 1684, Atlanta, Georgia 30301,
Office Hours--8:00-4:30
Chicago Region: Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin
300 South Wacker Drive, 28th Floor, Chicago, Illinois 60606
Dallas Region: Arkansas, Louisiana, New Mexico, Oklahoma, Texas
1200 Main Tower Bldg., Room 2555, Dallas, Texas 75202, Office Hours--
8:00-4:30
Kansas City Region: Iowa, Kansas, Missouri, Nebraska
New Federal Office Building, 601 East 12th Street, Kansas City,
Missouri 64106, Office Hours--8:00-4:30
Denver Region: Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Federal Office Building, 1961 Stout Street, Room 9017, Denver,
Colorado 80294, Office Hours--8:00-4:30
San Francisco Region: American Samoa, Arizona, California, Guam,
Hawaii, Nevada, Northern Marianna Islands
100 Van Ness Avenue, 28th Floor, San Francisco, California 94102,
Office Hours--8:00-4:30
Seattle Region: Alaska, Idaho, Oregon, Washington
Room 6027, Arcade Plaza Building, MS 205, 1321 Second Avenue, Seattle,
Washington 98101, Office Hours--8:00-4:30
Appendix D--Supplemental Security Income Claims
1. Addresses for Records
Supplemental Security Income (SSI) claims records are maintained in
Social Security district and branch offices until a decision has been
made regarding eligibility (Appendix F.1 contains information relating
to addresses and telephone numbers for district and branch offices).
If payment has been awarded, or the appeals period has closed on
claims with unfavorable determinations, the claims records are sent to
the following locations.
Claims for SSI benefits are maintained in the Chicago Federal Archives
Records Center. Access to those claims based on age may be made
through a Program Service Center (see Appendix A for address
information), or through a district/branch office (see Appendix F.1
for address information).
Access to claims for benefits based on disability or blindness may be
made through the Office of Disability Operations (see Appendix B.1 for
address information), or through a district or branch office (see
Appendix F.1 for address information).
2. Exchange of Information Between the Social Security
Administration and the States
Information exchanged between the Social Security Administration and
the States because of the State Supplementation and Medicaid
provisions of the Supplemental Security Income program is maintained
at the following State Departments of Public Welfare Agency addresses:
Alabama
Commissioner, Alabama Medicaid Agency, 2500 Fairlane Dr., Executive
Park, Montgomery, Alabama 36130.
Alaska
Commissioner, Department of Health and Social Services, Pouch H-01
Main St., Juneau, Alaska 99801.
Arizona
Director, Arizona Dept. of Economic Security, PO Box 6123, Phoenix,
Arizona 85005.
Arkansas
Director, Capital Mall, Welfare-ESD Building, Little Rock, Arkansas
72203.
California
Director, Dept. of Benefit Payments, Tape Library, MS 10-77, 744 P
Street, Sacramento, California 95814.
Colorado
Director, Department of Social Services, 1575 Sherman Street, Room
301, Denver, Colorado 80203.
Connecticut
Director, Connecticut State Welfare Dept., Systems and Information,
Attn: Control Section Chief, 110 Bartholomew Ave., Hartford,
Connecticut 06115.
Delaware
Director, Administrator Payments Section, Division of Business Adm.
and General Services, State Hospital Adm. Bldg., Third Floor Annex,
New Castle, Delaware 19720.
District of Columbia
Director, Dept. of Human Resources, Automatic Data Processing Div.,
801 N. Capitol Street, NE, Room 627, Washington, DC 20001.
Florida
Deputy Assistant Secretary for Medicaid, Department of Health and
Rehabilitative Services, 1317 Winewood Boulevard, Tallahasse, Florida
32301.
Georgia
Commissioner, Department of Medical Assistance, 1010 West Peachtree
Street, NW, Atlanta, Georgia 30309.
Hawaii
Director, Department of Social Services, PO Box 339, Honolulu, Hawaii
96809.
Idaho
Director, Department of Health and Welfare, 450 W. State Street,
Towers Building, Boise, Idaho 83720.
Illinois
Director, Illinois Department of Public Aid, 316 S. Second Street,
Springfield, Illinois 62762.
Indiana
Administrator, Department of Public Welfare, State Office Building,
Room 701, 100 North Senate Avenue, Indianapolis, Indiana 46204.
Iowa
Commissioner, Iowa Department of Social Services, 5th Floor, Hoover
Building, Des Moines, Iowa 50319.
Kansas
Secretary, Department of Social and Rehabilitation Service, 6th Floor,
State Office Building, State Office Bldg., Topeka, Kansas 66612.
Kentucky
Commissioner, Bureau of Social Insurance, Department of Human
Resources, 275 E. Main Street, Frankfort, Kentucky 40601.
Louisiana
Director, State of Louisiana, Div. of Income Maintenance, PO Box
44065, Baton Rouge, Louisiana 70804.
Maine
Director, Div. of Data Processing, Dept. of Health and Welfare, 221
State Street, Augusta, Maine 04330.
Maryland
Director, Dept. of Employ and Soc. Serv., Div. of Data Processing,
1100 North Eutaw Street, Room 301, Baltimore, Maryland 21201.
Massachusetts
Director, Executive Office of Human Services, Information Systems and
Services, Computer Center, Room 801, 1 Ashburton Place, Boston,
Massachusets 02108.
Director, Mass. Comm. For The Blind, 110 Tremont Street, Boston,
Massachusetts 02108.
Michigan
Director, Department of Social Services, PO Box 30037, 300 South
Capitol Avenue, Lansing, Michigan 48933.
Minnesota
Director, Department of Public Welfare, Centennial Office Building,
658 Ceder Street, St. Paul, Minnesota 55101.
Mississippi
Director, Mississippi Medicaid Commission, PO Box 16786, Jackson,
Mississippi 39206.
Missouri
Director, Department of Social Services, PO Box 1527, Broadway State
Office Bldg., Jefferson City, Missouri 65102.
Montana
Director, Social and Rehabilitation Services, Office of Management and
Budget, Box 1723, Helena, Montana 59601.
Nebraska
Director, Department of Public Welfare, 5th Floor, State Office
Building, 301 Centennial Mall, South, Lincoln, Nebraska 68509.
Nevada
Director, Nevada State Department of Welfare, 251 Jeanell, Carson
City, Nevada 89701.
New Hampshire
Director, State of New Hampshire, Department of Health and Welfare,
Division of Welfare, Claims Processing Unit, Hazen Drive, Concord, New
Hampshire 03301.
New Jersey
Director, Blue Cross-Blue Shield, Systems Division Tech Services, 2nd
Floor, 33 Washington Street, Newark, New Jersey 07102.
New Mexico
Secretary, New Mexico Human Services Department, Income Support
Division, PO Box 2348, Santa Fe, New Mexico 87503.
New York
Director, New York State, Department of Social Services, Income
Maintenance Section, 1450 Western Avenue, Albany, New York 12203.
North Carolina
Director, Division of Medical Assistance, Department of Human
Resources, 336 Fayetteville Street, Mall, Raleigh, North Carolina
27601.
North Dakota
Social Services Board, Capitol Grounds, Capital Building, 16th Floor,
Bismarck, North Dakota 58501.
Ohio
Director, Ohio Department of Public Welfare, State Office Tower, 32nd
Floor, 30 East Broad Street, Columbus, Ohio 43215.
Oklahoma
Director, Department of Institutions, Social and Rehabilitation
Services, Management Information Division, PO Box 25352, Oklahoma
City, Oklahoma 73125.
Oregon
Administrator, Adult and Family Services Division, Department of Human
Services, 417 Public Service Building, Salem, Oregon 97310.
Pennsylvania
Director, Bureau of Policy, Office of Income Maintenance, Health and
Welfare Building, 6th and Forster Streets, Room 103, Harrisburg,
Pennsylvania 17120.
Rhode Island
Director, Aime J. Forand Building, 600 New London Avenue, Cranston,
Rhode Island 02920.
South Carolina
Executive Assistant, Office of Health Care Financing, Department of
Social Services, PO Box 1520, Columbia, South Carolina 29202.
South Dakota
Director, State Department of Social Services, Division of Social
Welfare, State Office Building No. 1, Pierre, South Dakota 57501.
Tennessee
Director, Division of Medicaid, Department of Public Health, 283 Plus
Park Boulevard, Nashville, Tennessee 37217.
Texas
Commissioner, Texas Department of Public Welfare, 854-V, PO Box 2960,
Austin, Texas 78769.
Utah
Director, Office of Administrative Services, EDP and Systems, 231 East
4th South, Empire Building, Salt Lake City, Utah 84111.
Vermont
AABD/ANFC Director, Department of Social Welfare, 4 East State Street,
Montpelier, Vermont 05602.
Virginia
Director, Bureau of Data Systems, Data Proc. Oper. Section, Room 107
Ratcliffe Bldg., 1602 Rolling Hills Drive, Richmond, Virginia 23288.
Washington
Secretary, Department of Social and Health Services, M/S OB-44,
Olympia, Washington 98504.
West Virginia
Director, State of West Virginia Department of Welfare, State Office
Building No. 6, 1900 East Washington Street, Charleston, West Virginia
25305.
Wisconsin
Secretary, Department of Health and Social Services, 1 West Wilson
Street, Room 341, Madison, Wisconsin 53702.
Wyoming
Director of Finance and Accounting, Department of Health and Social
Services, State Office Building West, Cheyenne, Wyoming 82002.
Appendix E--Federal Coal Mine Health and Safety Act Claims (Black
Lung)
Black Lung records are maintained at the following location: Social
Security Administration, Office of Central Operations, Office of
Disability Operations, 1500 Woodlawn Drive, Baltimore, Maryland 21241,
Office hours: 8:20 am-4:50 pm.
Appendix F--Social Security Administration Field Operations
Addresses
1. Social Security District and Branch Offices
The addresses and telephone numbers of Social Security district and
branch offices may be found listed in local telephone directories
under Social Security Administration or under United States
Government, Department of Health and Human Services, Social Security
Administration.
Office Hours--varied.
2. Assistant Regional Commissioner Field Operations, Addresses
See Appendix C.3 for address information.
3. Teleservice Centers
Atlanta
PO Box 54655, Sixth Floor, 730 Peachtree Street, NE, Atlanta, Georgia
30308.
Berkeley
2000 Center Street, Room 420, Berkeley, California 94704.
Boston
Rm. 1609, 100 Summer St., Boston, Massachusetts 02110.
Chicago
4916 W. Belmont, Chicago, Illinois 60641
and
2211 W. 95th Street, Chicago, Illinois 60643
Cincinnati
PO Box 41905, 4050 Executive Park Drive, Cincinnati, Ohio 45241.
Cleveland
11901 Berea Road, PO Box 41905, Cleveland, Ohio 44111.
Des Moines
Room 965, Federal Building, 210 Walnut Street, Des Moine, Iowa 50309.
Detroit
17227 W. Seven Mile Road, Detroit, Michigan 48235.
Ft. Lauderdale
299 E. Broward Blvd., Federal Bldg., Room 410, Ft. Lauderdale, Florida
33310.
Houston
6900 Fannin, Sutie 700, Fannin-Holcombe Building, Houston, Texas
77005.
Grand Prairie
729 Dalworth, Grand Prairie, Texas 75050.
Indianapolis
575 N. Pennsylvania Street, Indianapolis, Indiana 46204.
Jamaica
90-15-17 Sulphin Boulevard, Jamaica, New York 11435.
Jersey City
30 Montgomery Street, Jersey City, New Jersey 07303.
Kansas
Room 2800 Federal Bldg., 911 Walnut Street, Kansas City, Missouri
64106.
Laurel
9703 Fort Meade Road, Route 198, Laurel, Maryland 20810.
Los Angeles
3250 Wilshire Boulevard, Room 350, Los Angeles, California 90010.
New Orleans
31st Floor, Plaza Towers, 1001 Howard Avenue, New Orleans, Louisiana
70113.
Lodi
2nd Floor, Merchants Mall, 1 South Main Street, Lodi, New
Jersey 07644.
Minneapolis
University Park Plaza Building, Suite 642, 2829 University Avenue, SE,
Minneapolis, Minnesota 55414.
Phoenix
3424 North Central Avenue, PO Box 7370, Phoenix, Arizona 85011.
Pittsburgh
Room 1000 Park Building, 355 Fifth Avenue, Pittsburgh, Pennsylvania
15222.
Portland
610 SW Alder Street, Room 322, Portland, Oregon 97205.
Parlin
Mine Mall, II, PO Box 494 Ernston Station, Parlin, New Jersey 08859.
St. Louis
Building 105F, 2nd Floor, 4300 Goodfellow Boulevard, St. Louis,
Missouri 63120.
Tampa
700 Twigg Street, PO Box 30, Tampa, Florida 33601.
Upper Darby
6801 Ludlow Street, 2nd Floor, Upper Darby, Pennsylvania 19082.
San Diego
PO Box A1311, 880 Front Street, San Diego, California 92112.
Seattle
4735 E. Marginal Way South, Seattle, Washington 98134.
Appendix G--Office of Hearings and Appeals Address
I. The Social Security Administration Office of Hearings and Appeals
is charged with the responsibility for making decisions on appeals
taken above the reconsideration level by claimants for Retirement,
Survivors and Disability Insurance benefits, Supplemental Security
Income payments, Medicare, or Black Lung benefits.
Files for cases awaiting action by the Appeals Council based on the
claimants' request for Council review and records of hearings
decisions by Administrative Law Judges are maintained at the Office
headquarters. The address is: Office of Hearings and Appeals, 801
North Randolph Street, Arlington, Virginia 22203.
Files for cases awaiting hearings or decisions by Administrative Law
Judges based on requests for a hearing submitted by claimants are
maintained in the appropriate hearing office.
The selection of the hearing office is based on the Region and Social
Security district or branch office service area in which the appellant
claimant lives. The Regions, the addresses of the Administrative Law
Judges and the Social Security district or branch office service areas
from which the Judges accept cases are:
A. In the Boston Region
1. If the individual lives in the following district or (branch)
office service area:
Massachusetts: Boston (Brookline), Brockton (Hanover): Cambridge,
Chelsea, Fitchburg (Gardner), Framingham, Haverhill, Lawrence, Lowell,
Lynn, Malden, Norwood, Quincy, Roxbury (Dorchester); (Roslindale);
Salem, Waltham, Worcester.
The address is: 9th Floor, 55 Summer Street, Boston, Massachusetts
02110.
2. If the individual lives in the following district or (branch)
office service area:
Connecticut: Hartford (East Hartford); Meriden (Middletown); New
Briton (Bristol); New London (Norwich); Torrington; Waterbury;
Willimantic.
The address is: Room 331, 135 High Street, Hartford, Connecticut
06103.
3. If the individual lives in the following district or (branch)
office service area:
New Hampshire: Concord, Littleton, Manchester, Nashua (Keene);
Portsmouth.
Vermont: Burlington, Montpelier, Rutland.
The address is: 275 Chestnut Street, PO Box 3010, Norris Cotton
Federal Building, Manchester, New Hampshire 03101.
4. If the individual lives in the following district or (branch)
office service area:
Connecticut: New Haven (Ansonia); Bridgeport (East Bridgeport);
(Danbury); Stamford (South Norwalk).
The address is: 234 Church Street, Room 301, New Haven, Connecticut
06511.
5. If the individual lives in the following district or (branch)
office service area:
Maine: Augusta (Rockland); (Waterville); Bangor; Lewiston (Rumford);
Portland (Biddleford); Presque Isle.
The address is: Room 125, 76 Pearl Street, Portland, Maine 04111.
6. If the individual lives in the following district or (branch)
office service area:
Massachusetts: Attleboro, Fall River (Taunton); New Bedford
(Falmouth); (Hyannis).
The address is: 44 Washington Street, 4th Floor, Slade Building,
Providence, Rhode Island 02903.
7. If the individual lives in the following district or (branch)
office service area:
Massachusetts: Springfield, Holyoke (Greenfield); Pittsfield (North
Adams).
The address is: Room 438, 436 Dwight Street, Springfield,
Massachusetts 01103.
B. In the New York Region
1. If the individual lives in the following district or (branch)
office service area:
New York: Albany (Hudson); Glens Falls, Gloversville, Kingston,
Plattsburgh, Poughkeepsie, Schenectady, Troy.
The address is: Federal Office Building, Room 942, One Clinton Square,
Albany, New York 12207.
2. If the individual lives in the following district or (branch)
office service area:
Puerto Rico, Bayamon, Arecibo, Manati.
The address is: F. Rodrigez Torres Building (Next to City Hall),
Ground Floor, RD 2 KM 11.2, Bayamon, Puerto Rico 00619.
3. If the individual lives in the following district or (branch)
office service area:
New York: East Bronx (Baychester); North Bronx, (East Farms), South
Bronx, (Hunts Point), (Bronx Hub), (Riverdale).
The address is: 400 East Fordham Road, 3rd Floor, Bronx, New York
10458.
4. If the individual lives in the following district or (branch)
office service area:
New York: Brooklyn Avenue X; Boro Hall (Bedford-Stuyvesant); Bay
Ridge; Bushwick (Williamsburg); East New York (Canarsie); Flatbush
(Kings Plaza).
The address is: 189 Montague Street, 2nd Floor, Brooklyn, New York
11201.
5. If the individual lives in the following district or (branch)
office service area:
New York: Bativia, Buffalo, (West Seneca); (Cheektowaga); Jamestown,
(Dunkirk); Kenmore, Niagara Falls; Oleans, Rochester.
The address is: 4th Floor, 268 Main Street, Buffalo, New York 14202.
6. If the individual lives in the following district or (branch)
office service area:
Puerto Rico: Mayaquez (Aguadilla); (San Sebastian).
The address is: G.P.O. Box V, Mayaquez, Puerto Rico 00708.
7. If the individual lives in the following district or (branch)
office service area:
New Jersey: Asbury Park (Toms River); (Brick Township); Atlantic City
(Wildwood); Bridgeton, Camden, (Glassboro); (Mount Holly); Trenton.
The address is: Room 402, Ferry Office Building, 1800 Davis Street,
East, Camden, New Jersey 08104.
8. If the individual lives in the following district or (branch)
office service area:
New York: Flushing, Jackson Heights; (Astoria); (Long Island City),
Jamaica; (Far Rockaway).
The address is: 148-43 Hillside Avenue, 2nd Floor, Jamaica, New York
11435.
9. If the individual lives in the following district or (branch)
office service area:
Puerto Rico: Caguas, (Humanoa); San Juan; Downtown (Hato Rey);
(Santurce); (Fajardo); (Carolina).
Virgin Islands: St. Thomas; (St. Croix).
The address is: Room 700, Housing Investment Building, 416 Ponce de
Leon Avenue, Hato Rey, Puerto Rico 00918.
10. If the individual lives in the following district or (branch)
office service area:
New York: Freeport, (Long Beach); Huntington Station, (Babylon);
Mineola, Patchogue (Riverhead).
The address is: 250 Fulton Avenue, 3rd Floor, Hempstead, NY 11551.
11. If the individual lives in the following district or (branch)
office service area:
New York: Manhattan, Downtown, (Chinatown); (Delancey Street);
(Tompkins Park); Midtown, (Lenox Hill); (Murray Hill); Staten Island
(New Dorp); Upton, (East Harlem); (North Harlem); Washington Heights.
The address is: 15th Floor, 39 Broadway, New York NY 10006.
12. If the individual lives in the following district or (branch)
office service area:
New Jersey: East Orange, Hackensack, Irvington, Jersey City,
(Hoboken), Montclair, Morristown, (Newtown); Newark, (Clinton Hill);
Passaic, Paterson, (Ho-Ho-Kus); Elizabeth, (Plainfield); Perth Amboy,
New Brunswick (Raritan).
The address is: Room 1522, 1180 Raymond Boulevard, Newark, NJ 07102.
13. If the individual lives in the following district or (branch)
office service area:
Puerto Rico: Ponce (Cayey); (Guayama); (Yauco).
The address is: Centro Del Sur, Shopping Center, Ponce, PR 00731.
14. If the individual lives in the following district or (branch)
office service area:
New York: Ausburn, Binghamton, (Ithaca); Elmira, (Corning; Geneva,
Ogdensburg, Oneonta, Oswego, Syracuse, Utica), (Herkimer), (Rome);
Watertown.
The address is: Suite 400, The Chambers, 351 South Warrent Street,
Syracuse, NY 13202.
15. If the individual lives in the following district or (branch)
office service area:
New York: Nanuet, New Rochelle, (Mount Vernon); White Plains,
(Peekskill); Newburgh, (Monticello); Yonkers.
The address is: Room 105, 237 Mamaroneck Avenue, White Plains, NY
10605.
C. In the Philadelphia Region
1. If the individual lives in the following district or (branch)
office service area:
Maryland: Baltimore: Downtown (East); (Mondawmin); (North);
(Northeast); (Northwest); (West); Glen Burnie (Annapolis);
(Catonsville); Towson (Bel Air); (Eastpoint); (Elkton); (Garrison);
(Westminster).
The address is: Room 415, the Rotunda, 711 West 40th Street,
Baltimore, MD 21211.
2. If the individual lives in the following district or (branch)
office service area:
West Virginia: Beckley, (Oak Hill); Charleston, (Montgomery), Logan
(St. Albans); Parkersburg, (Williamson).
The address is: 500 Quarrier Street, Room 1019, U.S. Courthouse &
Federal Bldg., Charleston, WV 25301.
3. If the individual lives in the following district or (branch)
office service area:
Virginia: Charlottesville, Lynchburg, (Culpepper); (Farmville);
Staunton (Harrisonburg).
The address is: Room 203, Citizens Commonwealth Center, 300 Preston
Avenue, Charlottesville, VA 22901.
4. If the individual lives in the following district or (branch)
office service area:
Pennsylvania: Lancaster, York, Carlisle, Harrisburg, Chambersburg,
(Lewistown); (State College); (Lebanon).
The address is: Suite 200, 100 Chestnut Street Bldg., Harrisburg, PA
17101.
5. If the individual lives in the following district or (branch)
office service area:
Kentucky: Ashland, Pikesville (Prestonburg).
West Virginia: Huntington.
The address is: Room 300, 640 4th Avenue, Huntington, WV 25701.
6. If the individual lives in the following district or (branch)
office service area:
Pennsylvania: Allentown, (Betheham) Bristol, Easton, (E. Stroudsburg);
(Glenside); Norristown; (Pottstown); Philadelphia: Northeast
(Kensington-Allegheny); Reading.
The address is: Room 309, Fox Square Pavilion, Old York Road at
Wyncote, Jenkintown, PA 19046.
7. If the individual lives in the following district or (branch)
office service area:
Pennsylvania: Altoona, DuBois, Gennburg, Indiana, Johnstown
(Somerset).
The address is: Penn Traffic Building, Suite 102, 319 Washington
Street, Johnstown, PA 15901.
8. If the individual lives in the following district or (branch)
office service area:
Virginia: Hampton, Newport News, Norfolk, Portsmouth, Suffolk.
The address is: 200 Granby Hall, Federal Bldg., Room 736, Norfolk, VA
23510.
9. If the individual lives in the following district or (branch)
office service area:
Delaware: Dover, Wilmington.
Pennsylvania: Chester; Philadelphia: Downtown, (Broad Street); (South)
Germantown, (Nicetown); North Philadelphia); (South); (West Upper
Darby); (Mantua); West Chester.
The address is: 100 North 20th Street, 2nd Floor, Philadelphia, PA
19103.
10. If the individual lives in the following district or (branch)
office service area:
Pennsylvania: Ambridge, (Beaver Falls); Butler, (Charleroi); Erie,
(Kittaning); (Meadville); McKeesport, (Braddock); New Castle, New
Kensington, (Monroeville); Oil City; Pittsburgh: Downtown,
(Brentwood); (Hill Distr.); (Mt. Lebanon); (North Side); East, (Hill
Distr.); Sharon, Uniontown, Washington.
West Virginia: Clarksburg, (Elkins); (Fairmon); Morgantown, Wheeling.
Ohio: Brigeport, East Liverpool, Steubenville.
The address is: 335 Fifth Avenue, 5th Floor, Park Building,
Pittsburgh, PA 15222.
11. If the individual lives in the following district or (branch)
office service area:
Virginia: (Fredericksburg); Petersburg, Richmond: (Church Hill);
Downtown, (Northside); (Southside).
The address is: Room 9225, Federal Building, 400 North 8th Street,
Richmond, VA 23240.
12. If the individual lives in the following district or (branch)
office service area:
Virginia: Covington, Danville, (Martinville); Roanoke, (South Boston);
(Wytheville).
West Virginia: Bluefield, Welch.
The address is: Room 857 Richard Poff Federal Office Bldg., 210
Franklin Road, SW, Roanoke, VA 24011.
13. If the individual lives in the following district or (branch)
office service area:
District of Columbia: Washington: Alabama Avenue; Downtown (East
Capitol Street); (Eight Street); (Rhode Island Avenue); (Taylor
Street).
Maryland: (Bladensburg); (Cambridge); Camp Springs, Cumberland,
Frederick, (Hagerstown); (Rockville).
Pennsylvania: Chambersburg.
Virginia: Alexandria, Winchester (Arlington); (Falls Church).
West Virginia: (Martinsburg).
Foreign Claims: Except Philippine Islands.
Delaware: Georgetown.
The address is: Room 730, 1325 G Street, NW, Washington, DC 20005.
14. If the individual lives in the following district or (branch)
office service area:
Pennsylvania: (Bloomsburg), (Carbondale); Hazleton, (Lehighton);
(Lewiston); (Pittston); (Pottsville); Scranton, (Shamokin); Wilkes-
Barre, Williamsport, Sunbury, (Towanda).
The address is: Room 3110 Penn Place, 20 N. Pennsylvania Avenue,
Wilkes-Barre, PA 18701.
D. In the Atlanta Region
1. If the individual lives in the following district or (branch)
office service area:
Georgia: Atlanta: Downtown, (Northeast); (Northwest); (Southeast);
(Southwest); (Daniel Village); Downtown, (Carrollton); East Point,
(Griffin); LaGrange, Marietta.
The address is: Suite 514, 25th Street Building, 1720 Peachtree
Street, NW, Atlanta, GA 30309.
2. If the individual lives in the following district or (branch)
office service area:
Alabama: (Albertsville; Anniston, Bessemer; Birmingham: Downtown,
(East Lake); (Ensley); (Five Points West); Gadsden (Jasper);
(Talladega); Tuscaloosa.
The address is: Room 420, Shel-Al Bldg., 11 West Oxmoor Road,
Birmingham, AL 35209.
3. If the individual lives in the following district or (branch)
office service area:
Georgia: Savannah, Downtown (Southside); (Statesboro).
South Carolina: (Beaufort); Charleston, (Conway); (Georgetown); North
Charleston, (Walterboro).
The address is: Federal Bldg., Suite 125, 334 Meeting Street,
Charleston, SC 29403.
4. If the individual lives in the following district or (branch)
office service area:
North Carolina: (Albamarle); Charlotte: Downtown, (N. Tryon Street;
Gastonia, (Morgantown) (Rockingham); Salisburg, (Shelby);
(Stateville); Hickory.
South Carolina: (Lancaster); Rock Hill.
The address is: Suite 302, Court Plaza Bldg., 901 Elizabeth Avenue,
Charlotte, NC 28204.
5. If the individual lives in the following district or (branch)
office service area:
Alabama: Huntsville, (Scottsboro).
Georgia: (Cedartown); (Dalton); Rome.
Tennessee: (Athens); Chattanooga; (Cleveland); (Tullahoma).
The address is: PO Box 8739, Chattanooga, TN 37311.
6. If the individual lives in the following district or (branch)
office service area:
South Carolina: (Bennettsvilee); (Camden); Columbia, Florence,
Greenwood, (Laurens); (Orangeburg); (Sumter).
The address is: 12th Floor, Suite 1259, Strom Thurmond Federal Bldg.,
1835 Assembly Street, Columbia, SC 29201.
7. If the individual lives in the following district or (branch)
office service area:
Georgia: Athens, Augusta, (Covington); Decatur, Gainsville (Toccoa);
(Winder); (Columbia).
South Carolina: (Aiken).
The address is: Suite 2100, Bldg. 3, Northgate Office Park, 3620
Interstate 85 NE, Doraville, GA 30340.
8. If the individual lives in the following district or (branch)
office service area:
Alabama: (Cullman); Decatur, Florence, (Russellville).
Mississippi: Columbus, (Corinth); Tupelo (Starkville).
The address is: Suite E. Spring Street Federal Bldg., 426 East Spring
Street, Florence, AL 35630.
9. If the individual lives in the following district or (branch)
office service area:
Florida: (Delray Beach); Fort Lauderdale; (W. Broward); (Fort Pierce),
(Hallandale), Hollywood, (Pompano Beach), West Palm Beach.
The address is: Federal Bldg. & U.S. Courthouse, Room 307-A, 299 E.
Broward Blvd., Ft. Lauderdale, FL 33301.
10. If the individual lives in the following district or (branch)
office service area:
North Carolina: (Asheboro); (Burlington) (Greensboro); High Point,
(Mt. Airy); (North Wilkesboro); (Reidsville);Winston-Salem.
The address is: 1200 West Bessemer Square Bldg., 1215 West Bessemer
Avenue, Greensboro, NC 27408.
11. If the individual lives in the following district or (branch)
office service area:
South Carolina: Anderson, Greeneville, Spartanburg, Asheville,
(Franklin); (Hendersonville).
The address is: Suite 116, 300 University Ridge, Greeneville, SC
29601.
12. If the individual lives in the following district or (branch)
office service area:
Mississippi: (Brookhaven); (Columbia); Hattiesburg (Laurel): (McComb).
The address is: 301 Humble Avenue, Hattiesburg, MS 39401.
13. If the individual lives in the following district or (branch)
office service area:
Mississippi: (Cleveland) Greenville, Greenwood, (Grenada); Jackson,
(Kosciusko); Meridan, (Newton); (Philadelphia); Vicksburg, (Natchez).
The address is: Suite 801 100 West Capital Street, Jackson, MS 39201.
14. If the individual lives in the following district or (branch)
office service area:
Florida: Gainsville; Jacksonville: Downtown, (North); (Lake City);
(Palatka): (Quincy); St. Augustine, Tallahassee.
Georgia: (Bainbridge); (Brunswick); Thomasville, Valdosta, Waycross.
The address is: 2809 Art Museum Drive, Room 3, Jacksonville, FL 32207.
15. If the individual lives in the following district or (branch)
office service area:
Tennessee: (Greennville); Johnson City, (Kingsport).
Virginia: Bristol, (Norton).
The address is 1420B East Stone Drive, Kingsport, TN 37660.
16. If the individual lives in the following district or (branch)
office service area:
Tennessee: Knoxville, (La Follette); (Maryville); (Morristown); (Oak
Ridge).
The address is: Suite 300, Apalachian, National Life Bldg., 318
Cumberland Avenue SW., Knoxville, TN 37902.
17. If the individual lives in the following district or (branch)
office service area:
Kentucky: Frankfort, Lexington, (Maysville); (Richmond); Danville.
The address is Room 230, The Bakhaus Bldg., 1500 West Main Street,
Lexington, KY 40505.
18. If the individual lives in the following district or (branch)
office service area:
Indiana: New Albany.
Kentucky: Campbellsville, Elizabethtown, Louisville: Downtown, (East);
(West); Bowling Green.
The address is: Room 600, Bank of Louisville Bldg., 510 West Broadway,
Louisville, KY 40202.
19. If the individual lives in the following district or (branch)
office service area:
Georgia: Albany, (Cordele); (Dublin); Macon, (Milledgeville);
(Moultrie); (Swainsvoro); (Tifton); (Warner Robins).
The address is: Room 813, Southern Trust Bldg., 682 Cherry Street,
Macon, GA 31201.
20. If the individual lives in the following district or (branch)
office service area:
Mississippi: (Clarksdale); (Holly Springs).
Tennessee: Dyersburg; Jackson; Memphis: Downtown, (East); (North);
(South); (Union City).
The address is: Suite 602, Mid-Memphis Tower Bldg., 1407 Union Avenue,
Memphis, TN 48103.
21. If the individual lives in the following district or (branch)
office service area:
Florida: (Coral Gables); (Hialeah); (Key West); Miami (Allapattah);
(Cutler Ridge); Downtown, (Little Havannah); (Little River); North
Miami Beach.
The address is: 4th Floor, Northeast, Airlines Bldg., 150 S.E. 2nd
Avenue, Miami, FL 33131.
22. If the individual lives in the following district or (branch)
office service area:
Kentucky: (Middlesboro), Corbin, (Harlan), Hazard, (Somerset).
The address is: Village Square Shopping Center, Route 2, Box
12-55, Middlesboro, KY 40965.
23. If the individual lives in the following district or (branch)
office service area:
Alabama: (Andalusia); (Jackson); Mobile; Downtown, (Fairhope); (W.
Mobile).
Florida: (Marianna), Panama City, Pensacola.
Mississippi: Gulfport (Pascagoula).
The address is: Room 407, Commerce Bldg., 118 North Royal Street,
Mobile, AL 36602.
24. If the individual lives in the following district or (branch)
office service area:
Alabama: (Alexander City); (Dempolis); Dothan, Montgomery, (Opelika);
Selma (Troy).
The address is: Room 109, McDonough Bldg., 770 South McDonough Street,
Montgomery, AL 36104.
25. If the individual lives in the following district or (branch)
office service area:
Tennessee: (Clarksville), Columbia, Cookeville, (Gallatin);
(Lawrenceburg); (McMinnville); (Murfreesboro): Nashville; Downtown,
(East); (Hadley Park); (Paris).
The address is: Room 800, 1717 West End Avenue, Nashville, TN 37203.
26. If the individual lives in the following district or (branch)
office service area:
Florida: Daytona Beach, (Deland); (Leesburg); Melbourne, (Ocala);
Orlando, (Sanford); (Vero Beach).
The address is: U.S. Federal Bldg. & Courtshouse, Room 239, 80 N.
Hughey Avenue, Orlando, FL 32801.
27. If the individual lives in the following district or (branch)
office service area:
Illinois: (Cairo).
Kentucky: Hopkinsville, (Madisonville); (Mayfield); Owensboro,
Paducah.
The address is: No. 1 Tiffany Square, 3038 Lone Oak Road, Paducah, KY
42001.
28. If the individual lives in the following district or (branch)
office service area:
North Carolina: Durham, (Elizabeth City); Fayetteville, Goldsboro,
Greenville, (Henderson); (Kinston); (Lumberton); New Bern; Raleigh,
(Roanoke Rapids); Rocky Mount, (Sanford); (Smithfield); (Washington);
(Whiteville); Wilmington, (Wilson).
The address is: 3824 Barrett Drive, Room 200, Raleigh, NC 27609.
29. If the individual lives in the following district or (branch)
office service area:
Florida: (Bradenton), Clearwater, (Dade City), Fort Meyers, (Holiday);
Lakeland, (Naples); (Pinellas Park); (Plant City); St. Petersburg,
Sarasota, (Sebrign); Tampa: Downtown, (Wellswood); (Winter Haven).
The address is: Suite 638, 700 Twiggs Street, 700 Twiggs Building,
Tampa, FL 33602.
E. In the Chicago Region
1. If the individual lives in the following district or (branch)
office service area:
Illinois: Auroroa, (Downers Grove); Champaign; Chicago: Loop, Near
Northwest, (Westtown); Near Southwest, West; (Lawndale); Danville,
Elgin, Elmwood Park, Harvey, (Villa Park); Markham, Joliet, Kankakee,
North Riverside (La Grange).
The address is: Room 1430, Mid-Continental Plaza, 55 East Monroe
Street, Chicago, IL 60603 (DT).
2. If the individual lives in the following district or (branch)
office service area:
Illinois: Chicago: East, (Back of the Yards); south (Bridgeview);
Southeast.
Indiana: Gary (Merrillville); (Valparaiso); Hammond, (East Chicago);
(Michigan City).
Michigan: Benton Harbor.
The address is: The Kluczynski Federal Bldg., 230 South Dearborn
Street, Room 2645, Chicago, IL 60604 (South).
3. If the individual lives in the following district or (branch)
office service area:
Kentucky: Covington:
Ohio: Cincinnati: Downtown (Peebles Corner); North, (Batavia); Dayton:
Downtown, (West); (Xenia); Hamilton, (Middleton); (Ironton);
Portsmouth.
The address is: Room 6409, Federal Office Bldg., 550 Main Street,
Cincinnati, OH 45202
4. If the individual lives in the following district or (branch)
office service area:
Ohio: Akron: Downtown, (West); (Medina); (Ravenna); Ashtabula,
(Painesville); Canton, (Woodster); Cleveland: Downtown, Heights
(Midtown); (Northeast); (Northwest); (Southeast); (Southwest);
(University Circle); West, (Euclid); Lorain, Mansfield, New
Philadelphia, Sandusky, (Fremont); Toledo: (West); (Bowling Green);
Warren, Youngstown.
The address is: Room 1919, Superior Bldg., 815 Superior Avenue NE,
Cleveland, OH 44114.
5.If the individual lives in the following district or (branch) office
service area:
Ohio: Chillicothe; Columbus: Downtown; (East); (North); (Lancaster);
Findlay; Lima, Marietta, Marion, (Athens): Newark, Piqua, Springfield,
Zanesville; (Cambridge); (Gallipolis).
The address: Room 717, LeVeque Lincoln Tower, 50 West Broad Street,
Columbus, OH 43215.
6. If the individual lives in the following district to (branch)office
service area:
Ohio: Dayton, Downtown, (West); Piqua, Springfield; (Xenia).
The address is: Suite 400, 40 S. Main Street, Center City Office Bldg.
Dayton, OH 45402.
7. If the individual lines in the following district or (branch)
office service area:
Michigan: Ann Arbor,(Monroe); Dearborn; (Inkster); (Wyandotte);
Detroit: Downtown East, (E. Jefferson Avenue); (Grand River);
(Hamtramck); Southwest; Port Huron.
The address is: Patrick McNamara Federal Bldg., 4th Floor, Room 430-
449, 477 Michigan Avenue, Detriot, MI 48226.
8. If the individual lives in the following district or (branch)
office service area:
Illinois: Chicago: North, Northwest; (Arlington Heights); (Des
Plains); Evanston, (Glenview); Rockford, (Freeport); Sterling,
(Woodstock); Waukegan, (Woodstock).
The address is: Room 250, 2nd Floor, Davis Bldg., 820 Davis Street,
Evanston, IL 60201.
9. If the individual lives in the following district or (branch)
office service area:
Illinois: Carbondale, Harrisburg, (W. Frankfort); (Effingham); Mount
Vernon.
Indiana: Evansville, Cincennes.
Kentucky: (Henderson).
The address is: Room 246, Federal Bldg., 101 NW Seventh Street,
Evansville, IN 60201.
10. If the individual lives in the following district or (branch)
office service area:
Michigan: (Alpena); Bay City, Flint, (Owosso); Port Huron, Saginaw.
The address is: Room 810, Metropolitan Bldg., 432 N. Saginaw Street,
Flint, MI 48502.
11. If the individual lives in the following district or (branch)
office service area:
Indiana: (Auburn) Elkart, Fort Wayne, Marion, Muncie, South Bend.
Ohio: Defiance.
The address is: Room 401, Commerce Bldg., 127 West Berry Street, Fort
Wayne, IN 46802.
12. If the individual lives in the following district or (branch)
office service area:
Michigan: Grand Rapids, (Holland); Kalamazoo, Muskegon.
The address is: Room 346 Federal Bldg., 110 Michigan NW., Grand
Rapids, MI 49502.
13.If the individual lives in the following district to (branch)
office service area:
Indiana: Anderson, Bloomington, Columbus, (Crawfordsville);
Indianapolis: Downtown; (East); (West); Kokomo, Lafayette, Madison,
Richmond, Terre Haute.
The address is: 221 Federal Bldg., 575 N. Pennsylvania Streetr,
Indianapolis, IN 46204.
14. If the individual lives in the following district or (branch)
office service area:
Michigan: (Adrian); Battle Creek, Jackson, Lansing, Mount Pleasant,
Muskegon, (Petoskey), Traverse City, (Apena); (Owozzo).
The address is: 333 South Capitol, Suite 220, North Entrance, Lansing,
MI 48933.
15. If the individual lives in the following district or (branch)
office service area:
Wisconsin: Appleton, Eau Claire, (Rice lake); Fond de Lac, Janesville,
Kenosha, Green Bay, (Marinette); LaCrosse, (Lancaster); Madison,
(Portage); (Munitowoc); Milwaukee: (Mitchell); North, South, East,
(Vliet St.); Oshkosh, Racine, Sheboygan, Waukesha, (West Bend);
Wisconsin Rapids, (Rhinelander); Wausau.
Michigan: Escanaba, Marquette, (Ironwood).
The address is: The Continental Bank Bldg., Room 800, 735 West
Wisconsin Avenue, Milwaukee, WI 53233.
16. If the individual lives in the following district of (branch)
office service area:
Minnesota: (Alexandria); Austin, Bemidji, (Brooklyn Center); Duluth,
(Fairmont); Hibbing, Mankato, Marshall; Minneapolis: (Broadway);
(Southwest); Rochester, St. Cloud, St. Paul, Winona.
Wisconsin: Superior.
The address is: 830 Plymouth Bldg., 12 South 6th Street, Minneapolis,
MN 55402.
17. If the individual lives in the following district of (branch)
office service area:
Illinois: Bloomington, Decatur, Galesburg, (Peking); Peoria, Peru,
Springfield.
The address is: Room 1004, Savings Center Tower, 411 Hamilton Blvd.,
Peoria, IL 61602.
18. If the individual lives in the following district or (branch)
office service area:
Michigan: Detroit: Highland Park, (Livernois St.); Northwest,
(Livonia); (Mt. Clemens); Pontiac, Roseville, (Royal Oak); (Warren).
The address is: Suite 800, Northland Towers West, 15565 Northland
Drive, Southfield, MI 48075.
F. If the Dallas Region
1. If the individual lives in the following district of (branch)
office service area:
New Mexico: Albuquerque, (Clovis); Farmington, (Gallup); (Hobbs); (Las
Cruces); (Las Vegas); Roswett, Santa Fe.
The address is: Room 309, Patio Plaza Bldg., 5000 Marble Avenue, NE,
Albuquerque, NM 87110.
2. If the individual lives in the following district or (branch)
office service area:
Louisiana: Alexandria, (DeRidder); Lafayette, Lake Charles,
(Leesville); (Natchitoches); (New Iberia); (Opelousas); Baton Rouge:
Downtown, (Government St.); (Plaquemine).
The address is: 3744 Government Street, Alexandria, LA 71301.
3. If the individual lives in the following district or (branch)
office service area:
Texas: (Corsicana); Dallas: (South Oak Cliff); (South Dallas); Lufkin,
(Nacogdoches); (Palestine); (Waxahachie); Temple, Waco, (West Dallas).
The address is: Federal Office Bldg., Room 7B41, 1100 Commerce Street,
Dallas, TX 75242 (DT).
4. If the individual lives in the following district or (branch)
office service area:
Texas: (McKinney); Longview, (Marshall); Paris, Greenville, Tyler,
Sherman, Dallas; Rawlins.
The address is: Central Square, Suite 252, 10830 North Central
Expressway, Dallas, TX 75231 (North).
5. If the individual lives in the following district or (branch)
office service area:
Arkansas: Fayetteville, Fort Smith, (Harrison); (Russellville).
The address is: Room 203, 616 Garrison Bldg., 616 Garrison Avenue,
Fort Smith, AR 72903.
6. If the individual lives in the following district or (branch)
office service area:
Texas: Abilene, (Big Spring); (Brownwood); (Cleburne); (Denton); Forth
Worth, Odessa, San Angelo.
The address is: Room 9A35, Federal Office Bldg., 819 Taylor Street,
Fort Worth, TX 76102.
7. If the individual lives in the following district or (branch)
office service area:
Texas: (Angleton); Beaumont, (Brenham); Breyan, Galveston; Houston:
Downtown, (Northwest); (Northeast); (South Park); Southwest,
(Huntsville); Pasadena, Port Arthur.
The address is: Scalnon Bldg., Suite 1000, 405 Main Street, Houston,
TX 77002.
8. If the individual lives in the following district or (branch)
office service area:
Arkansas: (Batesville); (Blytheville); (Camden); (Conway); El Dorada,
Forest City, (Helena); Hot Springs National Park, Jonesboro, Little
Rock, Pine Bluff, (Searcy); (West Memphis).
The address is: 2402 Federal Office Bldg., 700 West Capitol Avenue,
Little Rock, AR 72201.
9. If the individual lives in the following district or (branch)
office service area:
Texas: Texarkana.
Oklahoma: (Hugo); McAlexter, (Durant); Poteau.
The address is: 104 East Carl Albert Pkwy., McAlester, OK 74501.
10. If the individual lives in the following district or (branch)
office service area:
Louisiana: (Bogalusa); (Covington); (Gretna); (Hammond); Houma,
(Matairie); (Morgan City); New Orleans: Downtown, (East); (Poland
Avenue).
The address is: 2nd Floor, Oil & Gas Bldg., 1100 Tulane Avenue, New
Orleans, LA 70112.
11. If the individual lives in the following district or (branch)
office service area:
Oklahoma: (Ada); (Altus); Ardmore, (Chickasha); (Clinton); (Duncan);
Enid, (Guymon); Lawton, (Norman); Oklahoma City, (Ponce City);
(Shawnee); (Stillwater).
Texas: Amarillo, Lubbock, (Pampa); (Plainview); (Vernon); Wichita
Falls.
The address is: Suite 416, 50 Penn Place, Northwest 50th and
Pennsylvania Streets, Oklahoma City, OK 73118.
12. If the individual lives in the following district or (branch)
office service area:
Texas: (Alice); Austin, Brownsville, Corpus Christie, (Eagle Pass);
(Harlingen); (Kerrville); Laredo, Mcallen; San Antonio: Downtown,
(Southside); (Westside); (Sequin); Victoria, El Paso.
The address is: Room 222, Castle Hills Executive Plaza, 1015 Jackson
Keller Road, San Antonio, TX 78213.
13. If the individual lives in the following district or (branch)
office service area:
Louisiana: (Bossier City); (Minden); Shreveport, (Bastrop); Monroe,
(Ruston); (Tallulah).
The address is: Suite 232, Shreve City Office Park, 2920 Knight
Street, Shreveport, LA 71105.
14. If the individual lives in the following district or (branch)
office service area:
Oklahoma: (Bartlesville); (Miami); Tulsa, Muskogee, (Okmulgee).
The address is: 3rd Floor, Columbia Bldg., 2651 East 21st Street,
Tulsa, OK 74114.
G. In the Kansas City Region
1. If the individual lives in the following district or (branch)
office service area:
Missouri: Cape Giradeau, Clayton, (Flat River); (Kennett); (Sykeston);
St. Louis County: Southside, (Union); (West Plains); St. Charles,
Popular Bluff.
The address is: Room 2, 8706 Manchester Road, Brentwood, MO 63144.
2. If the individual lives in the following district or (branch)
office Downtown, (South); Prescott, (Scottsdale).
Nevada: Las Vegas, (North Las Vegas).
The address is: Suite 600, Mayer Central Bldg., 3033 North Central
Avenue, Phoenix, AZ 85012.
11. If the individual lives in the following district or (branch)
office service area:
California: (Auburn); Chico, (Lodi); (Marysville); Modesto, Redding,
(Roseville); Sacramento, Stockton.
Nevada: Reno.
The address is: Suite 403, 1029 J Street, Sacramento, CA 95814 (DT).
12. If the individual lives in the following district or (branch)
office service area:
California: (Banning); (Corona); (Fontana); (Hemet); Palm Springs,
Pomona, (Redlands), Riverside, San Bernardino, (Victorville).
The address is: 362 North Arrowhead Avenue, Suite 201, San Bernardino,
CA 92401.
13. If the individual lives in the following district or (branch)
office service area:
Arizona: (Yuma).
California: (Chula Vista); (El Corazon); (El Centro); (Escondido); (La
Mesa); San Diego: Downtown, (Linda Vista); (Oceanside); (Southeast).
The address is: U.S. Courthouse, 940 Front Street, Room 2-N-26, San
Diego, CA 92189.
4. If the individual lives in the following district or (branch)
office service area:
California: San Francisco: (Chinatown); Civic Center, (Hunter's
Point); (Inner Mission); (Out Mission); Parkside, (Western Addition);
(Redwood City); San Mateo.
The address is: Suite 320, 550 Kearney Street, San Francisco, CA
94108.
15. If the individual lives in the following district or (branch)
office service area:
California: (Campbell); (Gilroy); (Monterey); (Pala Alto); Salinas,
San Jose: Downtown, (East); (Sunnyvale); (Watsonville); Santa Cruz,
(Redwood City).
The address is: Room 800, Community Bank Bldg., 111 West St. John
Street, San Jose, CA 95113.
16. If the individual lives in the following district or (branch)
office service area:
California: Eureka, (Fairfield); (Napa); San Rafael, Santa Rosa,
(Ukiah); Vallejo.
The address is: Room 206, 1099 D Street, San Rafael, CA 94901.
17. If the individual lives in the following district or (branch)
office service area:
California: Anaheim, Costa Mesa, Fullerton, Huntington Beach, San Juan
Capistrano, Santa Ana.
The address is: Suite 902, Federal Bldg., 34 Civic Center Plaza, Santa
Ana, CA 92701.
18. If the individual lives in the following district or (branch)
office service area:
California: San Luis Obisbo, (Santa Maria); Ventura, (Oxnard); Santa
Barbara.
The address is: 222 East Carillo Street, 2nd Floor, Santa Barbara, CA
93101.
19. If the individual lives in the following district or (branch)
office service area:
Arizona: (Douglas); (Nogales); Tucson: Downtown, (South).
The address is: Room 3-B, Federal Bldg., 301 West Congress Street,
Tucson, AZ 85701.
J. In the Seattle Region
1. If the individual lives in the following district or (branch)
office service area:
Oregon: (Bend); (Coos Bay); Eugene, Klamath Falls, Medford,
(Roseburg).
The address is: Federal Bldg., Room 430, 211 E. Seventh Avenue,
Eugene, OR 97401.
2. If the individual lives in the following district or (branch)
office service area:
Oregon: (Albany); (Astoria); (Beaverton); Portland: Downtown, East,
(South); Salem Salem, (The Dalles).
Washington: (Longview); Vancouver; Seattle; Yakima.
The address is: 800 Terminal Sales Bldg., 1220 S.W. Morrison Street,
Portland, OR 97205.
3. If the individual lives in the following district or (branch)
office service area:
Washington: (Aberdeen); Bellvue, Bellingham, Bremerton, (Burien);
(Chehalis); Everett, (Lynwood); (Mt. Vernon); Olympia, (Port Angeles);
(Puyallup); (Renton); Seattle: Downtown, (North); (South); (West);
Tacoma, Yakima, (Kennewick).
The address is: Room 3162 Federal Bldg., 915 Second Avenue, Seattle,
WA 98174.
4. If the individual lives in the following district or (branch)
office service area:
Idaho: (Coeur D'Arlene); Lewiston.
Oregon: La Grande, (Ontario); (Pendleton).
Washington: (Pasco); (Pullman); Spokane, Walla Walla, Wenatchee.
The address is: 830 Bon Marche Bldg., 214 North Wall Street, Spokane,
WA 99201.
The Administrative Law Judges are independent adjudicators. However,
they do need certain administrative and logistical support. This
support is provided by the Regional Chief Administrative Law Judges,
Office of Hearings and Appeals, whose offices are at the following
addresses: Spokane, Washington 99201.
For the following district and (branch) offices:
Idaho: (Coeur D'Arlene); Lewiston.
Oregon: La Grande (Ontario); (Pendleton).
Washington: (Pasco); (Pullman); Spokane, Walla Walla, Wenatchee.
II. The Administrative Law Judges are independent adjudicators.
However, they do need certain administrative and logistical support.
This support is provided by the Regional Chief Administrative Law
Judges, Office of Hearings and Appeals, whose offices are at the
following addresses:
In the Boston Region
E-310 John F. Kennedy Federal Building, Boston, Massachusetts 02203
In the New York Region
Room 34-130, 26 Federal Plaza, New York, New York 10278
In the Philadelphia Region
Room M300, The Gateway Building, 36th and Market Streets,
Philadelphia, Pennsylvania 19101
Mailing Address: PO Box 8788, Philadelphia, Pennsylvania 19101
In the Atlanta Region
Suite 422, Marietta Tower Bldg., 101 Marietta Street NW, Atlanta,
Georgia 30323
In the Chicago Region
16th Floor, 300 S. Wacker Drive, Chicago, Illinois 60606
In the Dallas Region
Federal Office Building, Room 14B7, 1100 Commerce Steet, Dallas, Texas
75202
In the Kansas City Region
Room 505, Federal Office Building, 911 Walnut Street, Kansas City,
Missouri 64106
In the Denver Region
Suite 402, Rio Grande Bldg., 1531 Stout Street, Denver, Colorado 80202
In the San Francisco Region
24th Floor, 100 Van Ness Avenue, San Francisco, California 94102
In the Seattle Region
Room 1852, Federal Building, 915 Second Avenue, Seattle, Washington
98174
Appendix H--Office of Central Operations Electronic Data Operations
Centers
Office of Central Operations, Veterans Administration Building, 19
North Main Street, Wilkes Barre, Pennsylvania 18701
Office of Central Operations, Albuquerque, Data Operations Center,
933 Bradbury, SE, Albuquerque, New Mexico 87112
Office of Central Operations, Salinas Data Operations Center, 6th
Floor, No. 8, 8 East Alisal, Salinas, California 94901.
Appendix I--Availability of Records, Manuals, etc.
All administrative staff manuals of the Social Security Administration
and instruction to staff personnel which contains policies,
procedures, or interpretations that affect the public are available
for inspection and copying. These manuals are generally not printed in
a sufficient quantity to permit sale or other general distribution to
the public, but many are maintained at district offices and field
offices and may be inspected there (See Appendix F address and
telephone information). A complete listing of staff manuals and
instructions is published in Social Security Rulings which is
available from the Government Printing Office, Washington, D.C. 20402.
The Social Security Act is codified at 42 U.S.C. 301 and the Federal
Coal Mine Health and Safety Act may be found at 30 U.S.C. 901.
The Regulations relating to Federal retirement, survivors, and
disability insurance and health for the aged, are published in the
Code of Federal Regulations under title 20, chapter III, part 401 et
seq.:
A. Part 401 contains Regulation No. 1, Disclosure of Official Records
and Information.
B. Part 402, which contained Regulations No. 2, has not been published
in the Code beginning with the 1949 edition since Regulations No. 2
applies only to the Social Security Act in effect before 1940.
C. Part 403, which contained Regulations No. 3, has not been published
in the Code beginning with the 1965 edition since Regulations No. 3
relates to the period from 1940 to 1950. The extent to which
Regulations No. 3 remains in effect is indicated in section 404.3(a)
of Regulations No. 4.
D. Part 404 contains Regulations No. 4, Federal Old-Age, Survivors,
and Disability Insurance (1950- ).
E. Part 405 contains Regulations No. 5, Federal Health Insurance for
the Aged and Disabled (1965- ).
F. Part 410 contains Regulations No. 10, Federal Coal Mine Health and
Safety Act of 1969, Title IV, Black Lung Benefits (1969- ).
G. Part 416 contains Regulations No. 16, Supplemental Security Income
(1973- ).
H. Part 422 contains Regulations No. 22, Organization and Procedures.
Title 20 of the Code of Federal Regulations (Part 400 to End, revised
as of April 1, 1979), can be purchased from the Superintendent of
Documents, Government Printing Office, Washington, DC 20402.
Requests for accessing an individual's own records should be directed
to the systems managers or as otherwise noted under notification
procedures in the foregoing notices. Requests for other records and
manuals may be made to: (1) The Director, Office of Information,
Social Security Administration, 6401 Security Boulevard, Baltimore,
Maryland 21235; or (2) the Information Center Officer, at the Regional
Offices of the Department of Health and Human Services. The locations
and service areas of these offices are as follows:
1. Boston Region--Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, Vermont
John F. Kennedy Federal Building, Room 1100A, Boston, Massachusetts
02203, Office Hours: 8:30-5:00
2. New York Region--New York, New Jersey, Puerto Rico, Virgin
Islands
Federal Building, Room 745, 26 Federal Plaza, New York, New York
10007, Office Hours: 8:30-5:00
3. Philadelphia Region--Delaware, Maryland, Pennsylvania, Virginia,
West Virginia, District of Columbia
PO Box 8788, Philadelphia, Pennsylvania 19101, Office Hours: 8:00-4:30
4. Atlanta Region--Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee
50 Seventh Street, NE, Room 240, Atlanta, Georgia 30323, Office Hours:
8:00-4:30
5. Chicago Region--Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin
300 South Wacker Drive, Room 2719, Chicago, Illinois 60606, Office
Hours: 8:15-4:45
6. Dallas Region--Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Room 2535, 1200 Commerce Street, Dallas, Texas 75202, Office Hours:
8:15-4:45
7. Kansas City Region--Iowa, Kansas, Missouri, Nebraska
Federal Building, Room 431-A, 601 East 12th Street, Kansas City,
Missouri 64106, Office Hours: 8:00-4:45
8. Denver Region--Colorado, Montana, North Dakota, South Dakota,
Utah, Wyoming
Federal Office Building, Room 8005, 1961 Stout Street, Denver Colorado
80202, Office Hours: 8:00-4:30
9. San Francisco Region--Arizona, California, Hawaii, Nevada, Guam,
Trust Territory of Pacific Islands, American Samoa
100 Van Ness Avenue, 26th Floor, San Francisco, California 94102,
Office Hours: 8:00-4:30
10. Seattle Region--Alaska, Idaho, Oregon, Washington
Arcade Plaza Building, MS-614, 1321 Second Avenue, Room 6027, Seattle,
Washington 98101, Office Hours: 8:00-4:30
Appendix J--Social Security Administration Data Security Measures
The confidentiality of records has been a cornerstone of Social
Security Administration policy from the very beginning of the agency
under the mandate of title 20, chapter III, part 401 of the Code of
Federal Regulations issued in 1937 and Section 1106 of the Social
Security Act (Act) passed by the Congress in 1939. Data security
measures begin with the thorough training of employees in the
restrictions against disclosure contained in the Act and the
Regulations, the criminal sanctions for unauthorized disclosure, and
the procedures used to assure that disclosures authorized by statute
and regulation are released to the proper parties. The physical
security measures established to safeguare records are discussed
below:
1. Manually Maintained Records
Manually maintained records are kept in locked file cabinets or in
otherwise secure areas. Access to the records is limited to those
employees who require the information contained in the records to
perform the duties assigned to them. In many cases, the records are
selected for the employees needing access to them by other employees
who are specifically charged with the maintenance of the records. This
restricts the number of persons authorized to be in the storage areas
and facilitates the control over the access to the information
contained in the records to those who need it.
Those records not handled in this manner are securely stored so that
unauthorized individuals may not gain access to them.
2. Automated Records
A new building which will house all the computer equipment and
automated records is now complete. The Social Security Administration
is now in the process of completing relocation of equipment and
records to that building. Entry into the building is restricted to
employees whose duties require such entry. A special pass containing
the employee's photograph is issued to all personnel authorized to
enter the building. The pass is worn at all times. Marshals are
stationed in the lobby of the New Computer Center (NCC) to ensure that
only those employees authorized to enter the building do so. The
employees then go to the elevators and to one of the five floors that
they are authorized to enter as their work station. It is necessary
for the employee to enter his/her badge in a slot to activate a
turnstile and gain admittance to the floor. Each badge is keyed for
one particular floor. Magnetic tape records and records stored on
other media are kept in a library to which entry is restricted to
those employees who are authorized to work in the library.
Entry into the computer rooms in the main building is restricted to
those employees whose duties require such entry. All employees who are
authorized to enter this area wear special photograph passes. Marshals
are stationed at each entrance to assure that only possessors of the
special pass are admitted.
Access to the information contained in these records is controlled by
various manual and automated devices. Only those employees who require
the information to perform their duties may obtain it.
Some automated records are maintained in program service centers
located throughout the country (See Appendix A for address
information). Entrance to the program service center buildings is
restricted to employees with building passes. In addition, special
passes identify those employees whose duties require entry into the
computer rooms. Access to the informtion contained in these records is
also controlled. Only employees who require the information to perform
their duties may obtain it.
Data is transmitted from field offices and program service centers to
headquarters and return. For the most part, sensitive and urgent
traffic is sent over lines leased by the Social Security
Administration for its sole use. The remaining traffic sent directly
by wire is sent via lines leased by the Federal Government for use of
all Federal agencies.
Internal computed security is safeguarded by access codes, edit
checks, data reformating and return address codes. These assure that
only authorized access to the computer system is permitted, that the
particular data requested from the system can be released to the
requester, and that control is maintained over the locations to which
systems data may be sent.
Appendix K--Obtaining Access to Records
An individual must present sufficient evidence to establish identity
in order to obtain information pertaining to him from the Social
Security Administration's records.
Requests for disclosure of information may be made in the following
ways:
1. In person--No special documents of identity are required if a
request for information is made in person. It is expected that
documents an individual would normally carry on his person would be
sufficient; the following would be acceptable although this list is
not intended to be all-inclusive: Credit cards, driver's license,
motor vehicle registration card, building pass, voter registration
cards, and selective service registration certificate. A Social
Security number card is acceptable only when presented with other
evidence.
2. Via mail--An individual requesting information from the Social
Security Administration's records via mail must provide his/her name,
date of birth, and address in order to establish his identity, plus
any additional information required (in the system notice) to access
his/her record within a specific system of records.
3. Via telephone--An individual requesting information via telephone
must furnish the same information as listed in 2 above.
Appendix L--Field Assessment Offices
1. Addresses and Service Areas
Boston Region
PO Box 155, Boston, Massachusetts 02101.
Service area includes: Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, Vermont
New York Region
PO Box A154, Peck Slip Station, New York, New York 10038.
Service area includes: New Jersey, New York, Puerto Rico, Virgin
Islands
Philadelphia Region
PO Box 13733, Philadelphia, Pennsylvania 19101.
Service area includes: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia
Atlanta Region
Suite 2001, 101 Marietta Tower, Atlanta, Georgia 30323.
Service area includes: Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, Tennessee
Chicago Region
300 South Wacker Drive, 14th Floor, Chicago, Illinois 60606.
Service area includes: Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin
Dallas Region
1200 Main Tower, Room 2235, Dallas, Texas 75202.
Service area includes: Arkansas, Louisiana, New Mexico, Oklahoma,
Texas
Kansas City Region
601 East 12th Street, Room 468, Kansas City, Missouri 64106.
Service area includes: Iowa, Kansas, Missouri, Nebraska
Denver Region
PO Box 8839, Denver, Colorado 80201.
Service area includes: Colorado, Montana, North Dakota, South
Dakota, Utah, Wyoming
San Francisco Region
100 Van Ness Avenue, 25th Floor, San Francisco, California 94102.
Service area includes: American Somoa, Arizona, California, Guam,
Hawaii, Nevada
Seattle Region
Arcade Plaza Building, Mail Stop Number 219, 1321 Second Avenue,
Seattle, Washington 98101.
Service area includes: Alaska, Idaho, Oregon, Washington
2. Field Assessment Satellite Offices
Boston Service Area
PO Box 155, Boston, Massachusetts 02101.
PO Box 6, Canal Station, Portland, Maine 04112.
New York Service Area
PO Box 7385, New Brunswick, New Jersey 08903.
Philadelphia Service Area
PO Box 8788, Philadelphia, Pennsylvania 19101.
725 Kossman Building, Fobes and Stanwix Streets, Pittsburgh,
Pennsylvania 15222.
2000 Century Plaza, Suite 454, 10632 Little Patuxent Parkway,
Columbia, Maryland 21044.
Atlanta Service Area
1568 Willingham Drive, Suite 214-D, College Park, Georgia 30337.
PO Box 662, Birmingham, Alabama 35201.
PO Box 17707, Raleigh, North Carolina 27619.
1102 Kermit Drive, Suite 104, Nashville, Tennessee 37217.
Chicago Service Area
300 South Wacker Drive, Room 1749, Chicago, Illinois 60606.
1084 McNamara Building, 477 Michigan Avenue, Detroit, Michigan 48226.
Federal Building, Room 658, 316 Robert Street, St. Paul, Minnesota
55101.
Federal Building, Room 284, 517 East Wisconsin Avenue, Milwaukee,
Wisconsin 53202.
Dallas Service Area
PO Box 709, Grand Prairie, Texas 75051.
PO Box 8770, Metairie, Louisiana 70011.
50 Penn Place, Suite 410, Oklahoma City, Oklahoma 73118.
Kansas City Service Area
PO Box 15568, Kansas City, Missouri 64106.
Denver Service Area
7200 West Alameda, Suite 208, Lakewood, Colorado 80226.
Treasure State Building, Room 310, 2906 Second Avenue, North Billings,
Montana 59101.
PO Box 2638, Salt Lake City, Utah 84110.
San Francisco Service Area
100 Van Ness Avenue, 26th Floor, San Francisco, California 94102.
4640 Admiralty Way, Suite 201, Marina Del Rey, California 90241.
PO Box 50048, Honolulu, Hawaii 96850.
Seattle Service Area
Dexter Horton Building, Room 501, 710 Second Avenue, Seattle,
Washington 98104.
Appendix M--Field Assessment Offices and Central Office
Supplemental Security Income (SSI) Analysis Components
Boston
SSI Analysis Branch, Room 1607, 100 Summer Street, Boston,
Massachusetts 02110.
New York
SSI Analysis Branch, Room 34-110, 26 Federal Plaza, New York, New York
10278.
Philadelphia
SSI Analysis Branch, PO Box 8229, Philadelphia, Pennsylvania 19101.
Atlanta
SSI Analysis Branch, PO Box 1684, Suite 1804, 101 Marietta Tower,
Atlanta, Georgia 30301.
Chicago
SSI Analysis Branch, 14th Floor, 300 South Wacker Drive, Chicago,
Illinois 60606.
Dallas
SSI Analysis Branch, Room 2235, 1200 Main Tower, Dallas, Texas 75202.
Kansas City
SSI Analysis Branch, PO Box 15507, Kansas City, Missouri 64106.
Denver
SSI Analysis Branch, PO Box 3579, Denver, Colorado 80294.
San Francisco
SSI Analysis Branch, 22nd Floor, 100 Van Ness Avenue, San Francisco,
California 94102.
Seattle
SSI Analysis Branch, Arcade Plaza Building, Mail Stop 217, 1321 Second
Avenue, Seattle, Washington 98101.
Central Office
Office of Assessment, Division of Assistance and Records Operations
Quality, PO Box 17040, Baltimore, Maryland 21235.