[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
SOCIAL SECURITY ADMINISTRATION
Table of Contents
60-0001 Commissioner's Correspondence File, SSA/OC.
60-0002 Automated Controlled Correspondence Extraction System,
SSA/OGA.
60-0003 Hearing File and Attorney Fee File, SSA/OHA.
60-0004 Working Files of the Appeals Council, SSA/OHA.
60-0005 ALJ Working File, SSA/OHA.
60-0006 Storage of Hearing Records: Tape Cassettes and
Audiograph Discs, SSA/OHA.
60-0008 Administrative Law Judge's Docket, SSA/OHA.
60-0009 Hearings and Appeals Case Control System, SSA/OHA.
60-0012 Listing and Alphabetical Name File (Folder) of
Vocational Experts, Medical Advisors and Medical Consultants, SSA/
OHA.
60-0013 Records of Usage of Medical Advisors, Medical
Consultants, and Vocational Experts, SSA/OHA.
60-0014 Curriculum Vitae and Professional Qualifications of
Medical Officers, Medical Advisors, Medical Consultants and Resume of
Vocational Experts, SSA/OHA.
60-0015 List of Physicians Utilized as Readers of Black Lung
X-Ray Films, SSA/OHA.
60-0017 Personnel Research and Merit Promotion Test Records,
SSA/OMBP.
60-0031 Employee Production and Accuracy Records, SSA/OMBP.
60-0032 Employee Indebtedness Counseling System, SSA/OMBP.
0-0033 Requests for Review of Proposed Contracts with Experts and
Consultants, SSA/OMBP.
60-0037 General Criminal Investigations Files, SSA/OMBP.
60-0038 Employee Building Pass Files, SSA/OMBP.
60-0040 Quality Review System, SSA/OA.
60-0042 Quality Review Case File, SSA/OA.
60-0044 Disability Determination Service Processing File, SSA/
ODP.
60-0045 Black Lung Payment System, SSA/OURV.
60-0046 Disability Determination Service Consultant`s File,
SSA/OD.
60-0047 Critical Case Processing Time, SSA/OOPP.
60-0050 Completed Determination Record--Continuing Disability
Determinations, SSA/OP.
60-0052 Disposition of Vocational Rehabilitation Report to
Social Security Administration, SSA/ODP.
60-0053 Reimbursement From Trust Fund for Vocational
Rehabilitation Services, SSA/ODP.
60-0056 Vocational Rehabilitation Savings Calculations, SSA/
ODP.
60-0057 Quality Evaluation Data Records, SSA/OA.
60-0058 Master Files of Social Security Number (SSN) Holders
and Applications, SSA/OSR.
60-0059 Earnings Recording and Self-Employment Income System,
SSA/OSR.
60-0063 Resource Accounting and Project Management System,
SSA/OS.
60-0066 Claims Development Record, SSA/OFO.
60-0075 Congressional Bills Tracking System, SSA/OLRP.
60-0077 Congressional Inquiry File, SSA/OFO.
60-0078 Public Inquiry Correspondence File, SSA/OFO.
60-0089 Claims Folders System, SSA/ODP.
60-0090 Master Beneficiary Record, Social Security
Administration, Office of Systems Requirements.
60-0091 Social Security Administration Claims Control System,
SSA/OURV.
60-0092 Automated Control System For Case Folders, SSA/OSR.
60-0094 Recovery of Overpayments, Accounting and Reporting/
Debt Management System (ROAR/DMS) SSA/OTSO.
60-0095 Health Insurance Overpayment Ledger Cards, SSA/OSR.
60-0097 Program Integrity Case Files, SSA/OA.
60-099 Prisoner Update Processing System (PUPS), SSA/OPB.
60-0102 Fee Ledger System for Representatives, SSA/OIP.
60-0103 Supplemental Security Income and Record and Special
Veterans Benefits, Social Security Administration, Office of Systems
Requirements.
60-0110 Supplemental Security Income File of Refunds, SSA/
OURV.
60-0111 Debit Voucher File (Supplemental Security Income),
SSA/OURV.
60-0117 Age at First Payment of Retirement Insurance Benefits,
SSA/OACT.
60-0118 Non-Contributory Military Service Reimbursement
System, SSA/OACT.
60-0119 Special Age 72 Benefit Trust Fund Transfer Project,
SSA/OACT.
60-0128 Retirement, Survivors and Disability Insurance Claims
Study, SSA/OA.
60-0129 Adjudication of Supplemental Security Income Policy
Analysis Review, SSA/OA.
60-0148 Matches of Internal Revenue Service and Social
Security Administration Data with Census Survey Data (Joint Social
Security Administration/Census Statistics Development Project), SSA/
OP.
60-0149 Matches of Internal Revenue Service and Social
Security Administration Data (Joint Social Security Administration/
Treasury Department Statistics Development Project), SSA/OP.
60-0159 Continuous Work History Sample (Statistics), SSA/OP.
60-0184 Hearing Office Master Calendar, SSA/OHA.
60-0186 Civil Action Tracking System, SSA/OR.
60-0196 Disability Studies, Surveys, Records and Extracts
(Statistics), SSA/OP.
60-0198 Extramural Research Administrative File, SSA/OP.
60-0199 Extramural Survey (Statistics), SSA/OP.
60-0200 Retirement and Survivors Studies, Surveys, Records and
Extracts (Statistics), SSA/OP.
60-0202 Old Age, Survivors and Disability Beneficiary and
Worker Records and Extracts (Statistics), SSA/OP.
60-0203 Supplemental Security Income Studies, Records and
Extracts (Statistics), SSA/OP.
60-0206 Repatriate Records System, SSA/OFA.
60-0209 Readership Surveys of the Office of Research and
Statistics, SSA/OP.
60-0210 Record of Individuals Authorized Entry to Secured
Automated Data Processing (ADP) Area, SSA/OS.
60-0211 Beneficiary, Family, and Household Surveys, Records
and Extracts System (Statistics), SSA/OP.
60-0212 Supplemental Security Income Quality Initial Claims
Review Process System, SSA/OA.
60-0213 Quality Review of Hearing/Appellate Process, SSA/OHA.
60-0214 Personal Identification Number File, (PINFile), SSA/
OPIR.
60-0216 Indochina Refugee Data System, SSA/ORR.
60-0217 Cuban Refugee Registration Records, SSA/ORR.
60-0218 Disability Insurance and Supplemental Security Income
Demonstration Projects and Experiments System, SSA/ORS.
90-0219 Representative Disqualification/Suspension Information
System, SSA/ORSI.
60-0220 Kentucky Birth Records System, SSA/DO(KY).
60-0221 Vocational Rehabilitation Reimbursement Case
Processing System, SSA/OD.
60-0222 Master Representative Payee File, SSA/OPBP.
60-0223 Telephone Call Receipt System, SSA/DCO.
60-0224 SSA-Initiated Personal Earnings and Benefit Estimate
Statement (SIPEBES) History File, SSA/OSR.
60-0225 SSA-Initiated Personal Earnings and Benefit Estimate
Statement Address System for Certain Territories, SSA/OSR.
05-0253 Vocational Rehabilitation; State Vocation
Rehabilitation Agency Information (VR SVRA) File, SSA/OD.
05-0254 Vocational Rehabilitation; SSA Disability
Beneficiaries/Recipients Eligible for Re-referral to an Alternate
Vocational Rehabilitation Service Provider (VR Re-referral) File,
SSA/OD.
60-0255 Plans for Achieving Self-Support (PASS) Management
Information System, SSA/OPBP.
60-0270 Records of Individuals Authorized Entry into Secured
Areas by Digital Lock Systems, Electronic Key Card Systems or Other
Electronic Access Devices, SSA.
60-0273 Social Security Title VIII Special Veterans Benefits
Claims Development and Management Information System, SSA/RO/San
Francisco.
60-0276 Social Security Administration's (SSA) Talking and
Listening to Customers (TLC).
60-0278 Social Security Administration's (SSA) Talking and
Listening to Customers (TLC).
60-279 SSA's Mandate Against Red Tape (SMART) Program Records,
SSA/COSS/OCSI.
60-0280 SSA Administrative Sanctions Database.
60-0295 Ticket-to-Work and Self-Sufficiency Program Payment
Database.
60-0300 Ticket-to-Work Program Manager (PM) Management
Information System.
60-0305 SSA Mass Transportation Subsidy Program System/Social
Security Administration/Office of Personnel.
60-0310 Medicare Savings Programs Information System, Social
Security Administration, Office of Income Security Programs.
60-0315 Reasonable Accommodation for Persons with Disabilities
(RAPD), Social Security Administration, Deputy Commissioner for Human
Resources.
60-0318 Representative Payee/Misuse Restitution Control System
(RP/MRCS), Office of the Deputy Commissioner for Disability and
Income Security Programs, Associate Commissioner for Income Security
Programs.
60-0320 Electronic Disability (eDib) Claim File, Social
Security Administration, Deputy Commissioner for Disability and
Income Security Programs.
60-0321 Medicare Part D and Part D Subsidy File, Social Security
Administration, Deputy Commissioner for Disability and Income
Security Programs.
60-0328 National Docketing Management Information System
(NDMIS).
60-0330 eWork System, Office of the Deputy Commissioner for
Disability and Income Security Programs, Office of Employment Support
Programs.
60-0340 Electronic Freedom of Information Act (eFOIA) System.
60-0350 Visitor Intake Process/Customer Service Record (VIP/
CSR) System.
60-0355 Non-Attorney Representative Prerequisites Process File
(NARPPF), Social Security Administration, Deputy Commissioner for
Disability and Income Security Programs, Office of Hearings and
Appeals.
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.
60-0001
System name:
Commissioner's Correspondence File, 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.
60-0002
System name: Automated Controlled Correspondence Extraction
System, 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.
60-0003
System name: Hearing File and Attorney Fee File, 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.
60-0004
System name:
Working File of the Appeals Council, Social Security
Administration, Office of Hearings and Appeals.
Security classification:
None.
System location:
Social Security Administration, Office of Hearings and Appeals,
5107 Leesburg Pike, Falls Church, Va. 22041.
Categories of individuals covered by the system:
Claimants-Title II (Retirement and Survivors Insurance (RSI) and
Disability Insurance (DI); Title VIII (Special Veterans Benefits);
Title XI (claimants subject to Professional Standards Review); Title
XVI (Supplemental Security Income (SSI); and Title XVIII (Hospital
Insurance (HI). Effective October 1, 2005, SSA only has jurisdiction
to determine eligibility for Title XVIII benefits, not the benefit
amount.
Categories of records in the system:
This file generally contains: Hearing and Appeals analyst's
recommendation to the Appeals Council (AC); a copy of the
Administrative Law Judge (ALJ) decision or dismissal; a copy of the
Request for Review by the AC form; requests to Medical Support Staff
for comments and their responses, if not entered into the record;
copies of AC actions on the case; notice of denial of request for
review, notice of granting review, AC decisions; and copies of
transcripts when available.
Authority for maintenance of the system:
Sections 205 and 1631(d)(1) of the Social Security Act, as
amended.
Purpose(s):
This system of records is established to be an internal working
file used in connection with a recommendation to, or action by, the
AC in an individual case. Members of the AC and their support staff
use the file when working on cases on appeal. Where a favorable AC
decision is issued, the records are used to process representative
fees.
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 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.
However, any other information defined as ``return or return
information'' under 26 U.S.C. Sec. 6103 of the Internal Revenue Code
(IRC) will not be made unless authorized by the IRC, the Internal
Revenue Service (IRS), or IRS regulations.
3. To IRS, as necessary, for the purpose of auditing SSA's
compliance with safeguard provisions of the IRC of 1986, 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 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.
5. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by
the NARA Act of 1984, for the use of those agencies in conducting
records management studies.
6. 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 and electronic form (e.g., paper
folder files on filing shelves or electronically on disc).
Retrievability:
Records are retrieved by Social Security number (SSN) or name.
Safeguards:
System security is maintained in accordance with the Systems
Security Handbook. Access to and use of both paper and electronic
records is limited to those persons whose official duties require
such access. All employees are instructed in SSA confidentiality
rules as part of their initial orientation training.
Records maintained in paper form are kept in locked file cabinets
or in otherwise secure areas. In many cases records are selected for
the employees needing access to them by other employees who are
specifically charged with the maintenance of the records. This
safeguard restricts the number of persons authorized to be in the
storage areas and facilitates control over the access to the
information contained in the records to those who need it.
For computerized records, electronically transmitted between
SSA's central office and field office locations, safeguards include a
lock/unlock password system, exclusive use of leased telephone lines,
a terminal oriented transaction matrix and an audit trail. Access
http://www.ssa.gov/foia/bluebook/app--g.htm for additional
information regarding the safeguards SSA employs to protect its paper
and automated records.
Retention and disposal:
One year after final AC action, paper and electronic records will
be shredded and/or deleted as appropriate.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Social
Security Administration, 5107 Leesburg Pike, Falls Church, Va. 22041.
Notification Procedures:
An individual can determine if this system contains a record
about him/her by writing to the system manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as a voter registration card or credit card. If
an individual does not have any identification documents sufficient
to establish his/her identify, the individual must certify in writing
that he/she is the person claimed to be and that he/she understands
that the knowing and willful request for, or acquisition of, a record
pertaining to another individual under false pretenses is a criminal
offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as Notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as Notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is incomplete, untimely, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
Claimants, their representatives, appropriate members of the
public, SSA and other Federal, State and local agencies.
Systems Exempted from Certain Provisions of the Privacy Act:
None.
60-0005
System name:
ALJ Working File, Social Security Administration, Office of
Hearings and Appeals.
Security classification:
None.
System location:
Local hearing offices. Access http://www.ssa.gov/foia/bluebook/
app--f.htm for address information.
Categories of individuals covered by the system:
Claimants--Title II (Retirement and Survivors Insurance (RS) and
Disability Insurance (DI)); Title VIII (Special Veterans Benefits);
Title XI (claimants subject to Professional Standards Review); Title
XVI (Supplemental Security Insurance (SSI)); and Title XVIII
(Hospital Insurance (HI)). Effective October 1, 2005 SSA only has
jurisdiction to determine eligibility for Title XVIII benefits, not
the benefit amount.
Categories of records in the system:
These files are established in the hearing office as a record of
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
claim folders. These files also usually contain working papers such
as notes taken during the hearing by the Administrative Law Judge
(ALJ); case analyses prepared by hearing office employees; case file
cover sheets and other developmental and/or instructional sheets.
Authority for maintenance of the system:
Sections 205 and 1631(d)(1) of the Social Security Act, as
amended.
Purpose(s):
This system is used to reference the actions taken in a
particular case at the hearing level. The ALJ 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 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.
However, any information defined as ``return or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be made unless authorized by the IRC, the Internal Revenue
Service (IRS), or IRS regulations.
3. To IRS, as necessary, for the purpose of auditing SSA's
compliance with safeguard provisions of the IRC of 1986, 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 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.
5. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by
the NARA Act of 1984, for the use of those agencies in conducting
records management studies.
6. 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.
7. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, if information is
necessary--
(a) To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace and the operation of SSA
facilities, or
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
Records in this system are maintained in paper and electronic
form (e.g., paper folder files on filing shelves or electronically on
disc).
Retrievability:
Records are indexed and retrieved alphabetically by claimants'
names in paper form and may be retrieved by claimant name and social
security number (SSN) electronically.
Safeguards:
System security is maintained in accordance with the Systems
Security Handbook. Access to and use of both paper and electronic
records are limited to those persons whose official duties require
such access. All employees are instructed in SSA confidentiality
rules as part of their initial orientation training.
Records maintained in paper form are kept in locked file cabinets
or in otherwise secure areas. In many cases records are selected for
the employees needing access to them by other employees who are
specifically charged with the maintenance of the records. This
safeguard restricts the number of persons authorized to be in the
storage areas and facilitates control over the access to the
information contained in the records to those who need it.
For computerized records, electronically transmitted between
SSA's central office and field office locations, safeguards include a
lock/unlock password system, exclusive use of leased telephone lines,
a terminal oriented transaction matrix and an audit trail. Access
http://www.ssa.gov/foia/bluebook/app--g.htm for additional
information regarding the safeguards SSA employs to protect its paper
and automated records.
Retention and disposal:
Paper records are destroyed by shredding 2 years after the final
action is taken. Electronic records are destroyed by deletion 2 years
after the final action is taken.
System manager(s) and address:
Associate Commissioner, Office of Hearings and Appeals, Social
Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041.
Notification Procedures:
An individual can determine if this system contains a record
about him/her by writing to the hearing office (access http://
www.ssa.gov/foia/bluebook/app--f.htm for address information).
An individual can also determine if this system contains a record
about him/her by writing to the system manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as voter registration card, credit card, etc. If
an individual does not have any identification documents sufficient
to establish his/her identify, the individual must certify in writing
that he/she is the person claimed to be and that he/she understands
that the knowing and willful request for, or acquisition of, a record
pertaining to another individual under false pretenses is a criminal
offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as Notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as Notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is incomplete, untimely, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
Claimants, their representatives, appropriate members of the
public, SSA and other Federal, State and local agencies.
Systems exempted from Certain Provisions of the Privacy Act:
None.
60-0006
System name: Storage of Hearing Records: Tape Cassettes and
Audiograph Discs, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0008
System name: Administrative Law Judge's Docket, 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.
60-0009
System name: Hearings and Appeals Case Control System, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0012
System name: Listing and Alphabetical Name File (Folder) of
Vocational Experts, Medical Advisors, and Medical Consultants,
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.
60-0013
System name: Records of Usage of Medical Advisors, Medical
Consultants and Vocational Experts, 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.
60-0014
System name: Curriculum Vitae and Professional Qualifications of
Medical Officers and Medical Advisors, Medical Consultants and
Resume of Vocational Experts, 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.
60-0015
System name: List of Physicians Utilized as Readers of Black
Lung X-Ray Films, 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.
60-0017
System name: Personnel Research and Merit Promotion Test
Records, 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.
60-0031
System name: Employee Production and Accuracy Records, 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.
60-0032
System name: Employee Indebtedness Counseling System, 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. ngoing 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.
60-0033
System name: Requests for Review of Proposed Contracts with
Experts and Consultants, 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.
60-0037
System name: General Criminal Investigations Files, 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).
60-0038
System name: Employee Building Pass Files, 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.
60-0040
System name: Quality Review System, 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.
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0042
System name: Quality Review Case File, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0044
System name: Disability Determination Service Processing File,
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the record contents being sought.
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual. 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.
60-0045
System name: Black Lung Payment System, 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.
12. 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.
60-0046
System name: Disability Determination Service Consultant's File,
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
60-0047
System name: Critical Case Processing Time, 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.
60-0050
System name:
Completed Determination Record--Continuing Disability
Determinations, HHS/SSA/OP.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations,
6401 Security Boulevard, Baltimore, MD 21235
Categories of individuals covered by the system:
This file contains a record on allowed disability claimants on
which a continuing disability issue has occurred and a decision of
continuance or cessation has been approved. This file also covers
title II and title XVI disability beneficiaries who have been
selected to receive a Ticket-to-Work as part of the Ticket-to-Work
and Self-Sufficiency Program.
Categories of records in the system:
Name and social security number (SSN) of the individual and other
data such as date of birth, district office and state agency code,
date disability began, type of claim, reason for reopening,
continuance or cessation code, date of termination (if applicable),
date of completion, etc. In addition, data related to the Ticket-to-
Work program such as Ticket eligibility, receipt, assignment and use,
alleged and verified earnings and other work-related information and
suspension of continuing disability determinations.
Authority for maintenance of the system:
Sections 221 and 1148 of the Act.
Purpose(s):
This system is used to (1) record the result of continuing
disability investigations; and (2) record information related to the
administration and evaluation of the Ticket-to-Work and Self-
Sufficiency 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.
However, disclosure of any information constituting ``returns or
return information'' within the scope of the Internal Revenue Code
(IRC) will not be disclosed unless disclosure is authorized by that
statute.
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, as necessary, for the purpose
of auditing SSA's compliance with the safeguard provisions of the IRC
of 1986, 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 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.
4. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) for the purpose of conducting records
management studies with respect to their duties and responsibilities
under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984.
5. To the Department of Justice (DOJ), a court or other tribunal,
or another party before such tribunal when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components,
is a party to litigation or has an interest in such litigation,
and SSA determines that the use of such records by the litigation,
provided, however, that in each case, SSA determines that such
disclosure is compatible with the purpose for which the records were
collected.
Wage and other information which are subject to the disclosure
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under
this routine use unless disclosure is expressly permitted by the IRC.
6. 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.
7. The Commissioner shall disclose to the Secretary of Health and
Human Services, or to any State, any record or information requested
in writing by the Secretary to be so disclosed for the purpose of
administering any program administered by the Secretary, if records
or information of such type were so disclosed under applicable rules,
regulations and procedures in effect before the date of enactment of
the Social Security Independence Improvements Act of 1994.
8. To contractors for the purpose of assisting SSA in the
efficient administration and evaluation of the Ticket-to-Work and
Self-Sufficiency Program. (These contractors would be limited to the
Program Manager, which is directly assisting SSA in administering the
Ticket program, and to Employment Networks, which are providing
services to SSA beneficiaries under the Ticket program.)
Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and, analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use
would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except
(a) Under emergency circumstances affecting the health or safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
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 the SSN.
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, building passes
and photographs, etc. (See Appendix G to this publication for
additional information relating to safeguards SSA employs to protect
personal information.)
Retention and disposal:
The records are maintained indefinitely.
System manager(s) and address:
SSA Privacy Officer, 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 contacting the system manager at the address shown
above and furnishing his or her name, SSN, approximate date and place
claim was file, type of claim (DI, BL, or SSI), and return address.
(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 should
provide the same information, as well as provide an identity
document, preferably with a photograph, such as a driver's license or
some other means of identification, such as a voter registration
card, credit card, etc. If an individual does not have any
identification documents sufficient to establish his/her identity,
the individual must certify in writing that he/she is the person
claimed to be and that he/she understands that the knowing and
willful request for, or acquisition of, a record pertaining to
another individual under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would adversely affect the individual, he or she must
designate a responsible representative who is capable of explaining
the contents of the medical record(s) to him or her and who would be
willing to provide the entire record(s) to the individual. These
procedures are in accordance with SSA Regulations (20 CFR 401.55).
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time he or she makes the request
designate a physician or other health professional (other than a
family member) who is capable of explaining the contents of the
medical record(s) to him or her and who would be willing to provide
the entire record(s) to the individual. These procedures are in
accordance with SSA Regulations (20 CFR 401.55).
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably specify the record contents they are seeking.
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 SSA Regulations (20 CFR 401.65).
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.
60-0052
System name: Disposition of Vocational Rehabilitation Report to
Social Security Administration, 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.
60-0053
System name: Reimbursement from Trust Fund for Vocational
Rehabilitation Services, 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.
60-0056
System name: Vocational Rehabilitation Savings Calculation, 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.
60-0057
System name: Quality Evaluation Data Records, 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 f 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 access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0058
System name:
Master Files of Social Security Number (SSN) Holders and SSN
Applications, SSA/OSR.
Security classification:
None.
System location:
Social Security Administration, Office of Telecommunications
and Systems Operations, 6401 Security Boulevard, Baltimore, MD 21235
Social Security Administration, Office of Central Records
Operations, 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 been assigned an SSN. Also, each individual who applied for
an SSN, but was not assigned one due to the following:
His/her 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, or
Fraud is not suspected, but further verification of
information on his/her application or additional supporting documents
are needed, or
None of the above applies, but processing of the
application has not yet been completed.
Categories of records in the system:
This system contains all of the information received on
applications for SSNs (e.g., name, date and place of birth, sex, both
parents' names, and race/ethnic data)(and, in the case of an
application for an SSN for an individual who has not attained the age
of 18, the SSNs of the parents), and any changes in the information
on the applications that are submitted by the SSN holders. It also
contains information from 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 Social Security Act (the
Act) (42 U.S.C. 405(a) and 405(c)(2)).
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:
By SSA components for various Old Age, Survivors and
Disability Insurance, Supplemental Security Income, and Medicare/
Medicaid claims purposes including usage of the SSN itself as a case
control number and a secondary beneficiary cross-reference control
number for enforcement purposes and use of the SSN record data for
verification of claimant identity factors and for other claims
purposes related to establishing benefit entitlement;
By SSA as a basic control for retained earnings
information;
By SSA as a basic control and data source to prevent
issuance of multiple SSNs;
As the means to identify reported names or SSNs on
earnings reports;
For resolution of earnings discrepancy cases;
For statistical studies;
By the Office of the Inspector General, Office of Audit
Services, for auditing benefit payments under Social Security
programs;
By the Department of Health and Human Services (DHHS)
Office of Child Support Enforcement for locating parents who owe
child support;
By the National Institute of Occupational Safety and
Health for epidemiological research studies required by the
Occupational Safety and Health Act of 1974;
By the DHHS Office of Refugee Resettlement for
administering Cuban refugee assistance payments; and
By the DHHS Health Care Financing Administration for
administering Title XVIII claims.
By the Secretary of the Treasury for use in
administering those sections of the Internal Revenue Code of 1986
which grant tax benefits based on support or residence of children.
(Applies specifically to SSNs of parents provided on applications for
SSNs for individuals who have not attained the age of 18.)
Information in this system is also used by SSA to prevent the
processing of an SSN card application for an individual whose
application is identified as having been supported by evidence that
either:
Is suspect and being verified, or
Has been determined to be fraudulent.
With this system in place, clerical investigation and
intervention is required. Social Security offices are alerted when an
applicant attempting to obtain an SSN card visits other offices in an
attempt to find one which might 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 Contributions Act and section 218 of the Act.
2. To Federal, State and local entities for the purpose of
administering income-maintenance and health-maintenance programs,
where such use of the SSN is authorized by Federal statute.
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 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.
(c) Administering those sections of the Internal Revenue Code of
1986 which grant tax benefits based on support or residence of
children. (As required by section 1090(b) of the Taxpayer Relief Act
of 1997, Pub. L. No. 105-34, this routine use applies specifically to
SSNs of parents shown on an application for an SSN for an individual
who has not attained the age of 18.
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
ere 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 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. Disclosures will be made to a State bureau of vital
statistics (BVS) that is authorized to issue electronic death reports
when the State BVS requests SSA to verify the Social Security number
of an individual on whom an electronic death report will be filed
after SSN verification.
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 erroneous DMF information.
34. To State vital records and statistics agencies, the SSNs of
newborn children for administering public health and income
maintenance programs, including conducting statistical studies and
evaluation projects.
35. Personal identification data (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.
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 DHHS, 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 SSA regarding rerelease or redisclosure of
the information.
37. In connection with a pilot program, conducted with the
Immigration and Naturalization Service under 8 U.S.C. 1324a(d)(4) to
test methods of verifying that individuals are authorized to work in
the United States, SSA will inform an employer participating in such
pilot program that the identifying data SSN, name and date of birth)
furnished by an employer concerning a particular employee match, or
do not match, the data maintained in this system of records, and when
there is such a match, that information in this systems of records
indicates that the employee is, or is not, a citizen of the United
States.
38. Validated SSN information and citizenship status information
may be disclosed to the Department of Defense (DOD) for the purpose
of assisting DOD in identifying those members of the Armed Forces and
military enrollees who are aliens or noncitizen nationals that may
qualify for expedited naturalization or citizenship processing. These
disclosures will be made pursuant to requests made under section 329
of the Immigration and Nationality Act, 8 U.S.C. 1440, as executed by
Executive Order 13269.
Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and, analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use
would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except
(a) Under emergency circumstances affecting the health or safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
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., Forms
SS-5 (Application for an SSN card), and system generated forms);
magnetic media (e.g., magnetic tape and disc with on-line access); in
microfilm and microfiche form and on electronic files (e.g., NUMIDENT
and Alpha-Index).
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 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 five years after they have been
filmed or entered on tape and the accuracy has been verified. They
then are destroyed by shredding. Electronic, as well as updated
microfilm and microfiche records are retained indefinitely. 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 procedures:
An individual can determine if this system contains a record with
information 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. Information in this system
of records is available to the subjects of the records.
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably specify the record contents which they are seeking.
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.
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.
60-0059
System name:
Earnings Recording and Self-Employment Income System, 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.
To Federal, State, and local agencies for administration of
sections 402, 412 and/or 435 of the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996, Pub. L. 104-193. SSA will
disclose information regarding quarters of coverage (non-tax return
information) earned by the alien applicant as well as quarters of
coverage earned by his/her parents while the alien was under age 18
and/or his/her spouse during the marriage (if the alien remains
married to such spouse or the marriage ended with the death of the
spouse) to a Federal, State, or local requesting agency for their
sole use in determining eligibility for programs or benefits programs
covered by sections 402 and 412 of Pub. L. 104-193.
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.
60-0063
System name: Resource Accounting and Project Management System,
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.
60-0066
System name: Claims Development Record, 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.
60-0075
System name: Congressional Bills Tracking System, 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.
60-0077
System name: Congressional Inquiry File, 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.
60-0078
System name: Public Inquiry Correspondence File, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0089
System name:
Claims Folders System, Social Security Administration, Office of
the General Counsel, Office of Public Disclosure.
Security classification:
None.
System location:
The claims folders initially are established and maintained in
Social Security field offices when claims for benefits are filed or a
lead is expected to result in a claim. Telephone and address
information for Social Security field offices may be found in local
telephone directories under Social Security Administration (SSA).
This information can also be found on the Agency's Web site, Social
Security Online. The claims folders are retained in field offices
until all development has been completed, and then transferred to the
appropriate processing center as set out below. In addition, the
information provided by Social Security claimants on the application
for benefits is maintained as a computerized record. The computerized
records are maintained at the following address: Social Security
Administration, Office of Systems, 6401 Security Boulevard,
Baltimore, MD 21235.
Supplemental Security Income (SSI) claims folders are held in
Social Security field offices pending establishment of a payment
record, or until the appeal period in a denied claim situation has
expired. The folders are then transferred to a folder-staging
facility (FSF) in Wilkes-Barre, Pennsylvania. The address is:
Social Security Administration, SSI Folder Staging Operations,
Wilkes-Barre Data Operations Center, PO Box 7000, Wilkes-Barre, PA
18703.
Retirement and Survivors Insurance (RSI) claims folders are
maintained primarily in the SSA's PSCs (contact the system manager at
the address below for PSC address information). If the individual to
whom the claim pertains resides outside the United States or any of
its possessions, the folder is maintained in the Office of Central
Operations (OCO) Rolling Heights Building (Megasite). The address for
the Megasite is: 2255 Rolling Road, Baltimore, MD 21244.
Disability Insurance (DI) claims folders for individuals under
age 55 are maintained primarily in the OCO Megasite (see the address
above).
DI claims folders for disabled individuals age 55 and over are
maintained in SSA's National Records Center (NRC). The address for
the NRC is: 601 S. 291 Hwy., 6000 E. Geospace Dr., Independence, MO
64056.
If the individual to whom the claim pertains resides outside the
United States or any of its possessions, DI claims folders for
individuals are maintained in the OCO Megasite (see the address
above).
Special Veterans Benefits (SVB) claims folders are held in Social
Security field offices and the Veterans Affairs Regional Office
(VARO), Philippines pending establishment of a payment record or
until the appeal period in a denied claim situation has expired.
Contact the system manager for address information for SVB claims
folders maintained in the VARO, Philippines. The VA data file
associated with SVB claims is located in SSA's San Francisco Regional
Office. The address is: Center for Infrastructure, Systems Support
Staff, Frank Hagel Federal Building, 1221 Nevin Avenue, Richmond,
California 94801.
In addition, claims folders are transferred to the General
Services Administration and on occasion may be temporarily
transferred to other Federal agencies. The DI claims folders also are
transferred to State agencies for disability and vocational
rehabilitation determinations. Contact the system manager for address
information.
Categories of individuals covered by the system:
Claimants, applicants, beneficiaries and potential claimants for
benefits and payments administered by the Social Security
Administration (e.g., title II RSI and DI benefits; and title VIII
SVB and title XVI SSI payments). Folders also are maintained on
claims that have been denied.
Categories of records in the system:
The claims folder contains the name and Social Security number of
the claimant or potential claimant; the application for benefits;
earnings record information established and maintained by SSA;
documents supporting findings of fact regarding factors of
entitlement and continuing eligibility; payment documentation;
correspondence to and from claimants and/or representatives;
information about representative payees; and leads information from
third parties such as social service agencies, IRS, VA and mental
institutions. There is also a VA data file associated with SVB
claims. This data includes potential beneficiaries for title VIII SVB
and will be used to help determine individuals' eligibility.
The claims folder also may contain data collected as a result of
inquiries or complaints, and evaluation and measurement studies of
the effectiveness of claims policies. Separate files may be
maintained of certain actions, which are entered directly into the
computer processes. These relate to reports of changes of address,
work status, and other post-adjudicative reports. Separate files also
temporarily may be maintained for the purpose of resolving problem
cases. Separate abstracts also are maintained for statistical
purposes (i.e., disallowances, technical denials, and demographic and
statistical information relating to disability decisions).
In addition, the claims folder may contain information collected
in connection with SSA's Claimant Identification Pilot Projects. This
information includes: photocopies of identification documents,
photographs taken by field office personnel or a report of contact or
other documentation explaining why an individual refused to allow SSA
to take their photograph, flag on the folder indicating the case is
part of the pilot, and the evaluation forms developed for the pilot.
Authority for maintenance of the system:
Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, and 1840
(42 U.S.C. 402-405, 423, 426, 428, 1382, 1383, 1395i-2, 1395o and
1395s and title VIII of the Social Security Act.
Purpose(s):
Each claim constitutes a basic record for payments and
determinations under the Social Security Act. The information in the
claims folder is used to produce and maintain the Master Beneficiary
Record (60-0090), which is the automated payment system for RSI and
DI benefits; the Supplemental Security Income Record (60-0103), which
is the automated payment system for SSI payments for the aged, blind,
disabled and SVB payments under title VIII of the Act; the Black Lung
Payment System (60-0045), which is the payment system for BL claims;
and the Health Insurance Billing and Collection Master Record system
(70-0522) which is the payment system for HI and Supplementary
Medical Insurance (Medicare) benefits.
Claims folders information is used throughout SSA for purposes of
pursuing claims; determining, organizing and maintaining documents
for making determinations of eligibility for benefits, the amount of
benefits, the appropriate payee for benefits; reviewing continuing
eligibility; holding hearings or administrative review processes;
ensuring that proper adjustments are made based on events affecting
entitlement; and answering inquiries.
Claims folders may be referred to State disability determination
services agencies or vocational rehabilitation agencies in disability
cases. They may also be used for quality review, evaluation, and
measurement studies, and other statistical and research purposes.
Extracts may be maintained as interviewing tools, activity logs,
records of claims clearance, and records of type or nature of actions
taken.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below.
However, disclosure of any information defined as ``return or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be disclosed unless authorized by a statute, the Internal
Revenue Service (IRS), or IRS regulations.
1. To third party contacts in situations where the party to be
contacted has, or is expected to have, information relating to the
individual's capability to manage his/her affairs or his/her
eligibility for or entitlement to benefits under the Social Security
program when:
(a) The individual is unable to provide information being sought.
An individual is considered to be unable to provide certain types of
information when:
(i) He/she is incapable or of questionable mental capability;
(ii) He/she cannot read or write;
(iii) He/she cannot afford the cost of obtaining the information;
(iv) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(v) A language barrier exists; or
(vi) The custodian of the information will not, as a matter of
policy, provide it to the individual; or
(b) The data are needed to establish the validity of evidence or
to verify the accuracy of information presented by the individual,
and it concerns one or more of the following:
(i) His/her eligibility for benefits under the Social Security
program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a
result of suspected abuse or fraud, concern for program integrity, or
for quality appraisal, or evaluation and measurement activities.
2. To third party contacts where necessary to establish or verify
information provided by representative payees or payee applicants.
3. To a person (or persons) on the rolls when a claim is filed by
an individual which is adverse to the person on the rolls, i.e.,
(a) An award of benefits to a new claimant precludes an award to
a prior claimant; or
(b) An award of benefits to a new claimant will reduce the
benefit payments to the individual(s) on the rolls; but only for
information concerning the facts relevant to the interests of each
party in a claim.
4. To employers or former employers for correcting or
reconstructing earnings records and for Social Security tax purposes
only.
5. To the Department of the Treasury for:
(a) Collecting Social Security taxes or as otherwise pertinent to
tax and benefit payment provisions of the Act (including SSN
verification services); or
(b) Investigating alleged theft, forgery, or unlawful negotiation
of Social Security checks.
6. To the United States Postal Service for investigating the
alleged forgery, theft or unlawful negotiation of Social Security
checks.
7. To the Department of Justice (DOJ) for:
(a) Investigating and prosecuting violations of the Act to which
criminal penalties attach,
(b) Representing the Commissioner, or
(c) Investigating issues of fraud by agency officers or
employees, or violation of civil rights.
8. To the Department of State and its agents for administering
the Act in foreign countries through facilities and services of that
agency.
9. To the American Institute of Taiwan and its agents for
administering the Act in Taiwan through facilities and services of
that organization.
10. To the Department of Veterans Affairs, Philippines Regional
Office and its agents for administering the Act in the Philippines
through facilities and services of that agency.
11. To the Department of Interior and its agents for
administering the Act in the Northern Mariana Islands through
facilities and services of that agency.
12. To RRB for administering provisions of the Act relating to
railroad employment.
13. To State Social Security Administrators for administration of
agreements pursuant to section 218 of the Act.
14. To State audit agencies for:
(a) Auditing State supplementation payments and Medicaid
eligibility considerations; and
(b) Expenditures of Federal funds by the State in support of the
DDS.
15. To private medical and vocational consultants for use in
making preparation for, or evaluating the results of, consultative
medical examinations or vocational assessments which they were
engaged to perform by SSA or a State agency acting in accord with
sections 221 or 1633 of the Act.
16. To specified business and other community members and
Federal, State, and local agencies for verification of eligibility
for benefits under section 1631(e) of the Act.
17. To institutions or facilities approved for treatment of drug
addicts or alcoholics as a condition of the individual's eligibility
for payment under section 1611(e)(3) of the Act and as authorized by
regulations issued by the Special Action Office for Drug Abuse
Prevention.
18. To applicants, claimants, prospective applicants or
claimants, other than the data subject, their authorized
representatives or representative payees to the extent necessary to
pursue Social Security claims and to representative payees when the
information pertains to individuals for whom they serve as
representative payees, for the purpose of assisting SSA in
administering its representative payment responsibilities under the
Act and assisting the representative payees in performing their
duties as payees, including receiving and accounting for benefits for
individuals for whom they serve as payees.
19. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
20. In response to legal process or interrogatories relating to
the enforcement of an individual's child support or alimony
obligations, as required by sections 459 and 461 of the Act.
21. To Federal, State, or local agencies (or agents on their
behalf) for administering cash or non-cash income maintenance or
health maintenance programs (including programs under the Act). Such
disclosures include, but are not limited to, release of information
to:
(a) RRB for administering provisions of the Railroad Retirement
and Social Security Acts relating to railroad employment and for
administering the Railroad Unemployment Insurance Act;
(b) The VA for administering 38 U.S.C. 412, and upon request,
information needed to determine eligibility for or amount of VA
benefits or verifying other information with respect thereto;
(c) The Department of Labor for administering provisions of Title
IV of the Federal Coal Mine Health and Safety Act, as amended by the
Black Lung Benefits Act;
(d) State welfare departments for administering sections
205(c)(B)(i)(II) and 402(a)(25) of the Act requiring information
about assigned SSNs for AFDC program purposes only;
(e) State agencies for making determinations of Medicaid
eligibility; and
(f) State agencies for making determinations of food stamp
eligibility under the food stamp program.
22. To State welfare departments:
(a) Pursuant to agreements with SSA for administration of State
supplementation payments;
(b) For enrollment of welfare recipients for medical insurance
under section 1843 of the Act; and
(c) For conducting independent quality assurance reviews of SSI
recipient records, provided that the agreement for Federal
administration of the supplementation provides for such an
independent review.
23. To State vocational rehabilitation agencies or State crippled
children's service agencies (or other agencies providing services to
disabled children) for consideration of rehabilitation services per
sections 222(a) and 1615 of the Act.
24. To the Social Security agency of a foreign country, to carry
out the purpose of an international Social Security agreement entered
into between the United States and the other country, pursuant to
section 233 of the Act.
25. To IRS, Department of the Treasury, for the purpose of
auditing SSA's compliance with the safeguard provisions of the IRC of
1986, as amended.
26. To the Office of the President for responding to an
individual pursuant to an inquiry received from that individual or
from a third party on his or her behalf.
27. To third party contacts (including private collection
agencies under contract with SSA) for the purpose of their assisting
SSA in recovering overpayments.
28. To DOJ (Immigration and Naturalization), upon request, to
identify and locate aliens in the United States pursuant to section
290(b) of the Immigration and Nationality Act (8 U.S.C. 1360(b)).
29. Information may be disclosed to contractors and other Federal
agencies, as necessary, for the purpose of assisting SSA in the
efficient administration of its programs. We contemplate disclosing
information under this routine use only in situations in which SSA
may enter a contractual or similar agreement with a third party to
assist in accomplishing an agency function relating to this system of
records.
30. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archive and Records
Administration (NARA) for the purpose of conducting records
management studies with respect to their duties and responsibilities
under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984.
31. To the Department of Justice (DOJ), a court or other
tribunal, or another party before such tribunal when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by
DOJ, a court or other tribunal, or another party before such tribunal
is relevant and necessary to the litigation, provided, however, that
in each case, SSA determines that such disclosure is compatible with
the purpose for which the records were collected.
Disclosure of any information defined as ``return or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be disclosed unless authorized by a statute, the Internal
Revenue Service (IRS), or IRS regulations.
32. Addresses of beneficiaries who are obligated on loans held by
the Secretary of Education or a loan made in accordance with 20
U.S.C. 1071, et seq. (the Robert T. Stafford Student Loan Program)
may be disclosed to the Department of Education as authorized by
section 489A of the Higher Education Act of 1965.
33. To student volunteers and other workers, who technically do
not have the status of Federal employees, when they are performing
work for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
34. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
(a) To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace and the operation of SSA
facilities, or
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records generally are maintained manually in file folders.
However, some records may be maintained in magnetic media (e.g., on
disk and microcomputer).
Retrievability:
Claims folders are retrieved both numerically by SSN and
alphabetically by name.
Safeguards:
Paper claims folders are protected through limited access to SSA
records. Access to the records is limited to those employees who
require such access in the performance of their official duties. All
employees are instructed in SSA confidentiality rules as a part of
their initial orientation training.
Safeguards for automated records have been established in
accordance with the Systems Security Handbook. All magnetic tapes and
disks are within an enclosure attended by security guards. Anyone
entering or leaving this enclosure must have special badges, which
are issued only to authorized personnel. All microfilm and paper
files are accessible only by authorized personnel and are locked
after working hours.
For computerized records, electronically transmitted between
SSA's central office and field office locations (including
organizations administering SSA programs under contractual
agreements), safeguards include a lock/unlock password system,
exclusive use of leased telephone lines, a terminal oriented
transaction matrix, and an audit trail.
Retention and disposal:
The retention periods for claims folders are as follows:
A. RSI Claims Folders
Folders for disallowed life and death claims, withdrawals, and
lump-sum claims in which potential entitlements exist are transferred
to the FRC after being so identified and then destroyed 10 years
thereafter.
Folders for awarded claims where the last payment has been made
and there is no future potential claimant indicated in the record are
transferred to the FRC and then destroyed 5 years thereafter.
B. DI Claims Folders
Folders for DI denial claims are transferred to the FRC after
expiration of the reconsideration period and then destroyed 10 years
thereafter.
Folders for terminated DI claims are transferred to the FRC after
being identified as eligible for transfer and then destroyed 10 years
thereafter.
C. SSI Claims Folders and SVB Folders
Folders for SSI and SVB death termination claims are destroyed 2
years after resolution of possible outstanding overpayments or
underpayments. Folders for other SSI and SVB terminations are
transferred to the FRC after termination and destroyed after 6 years,
6 months.
When a subsequent claim is filed on the SSN the claim folder is
recalled from the FRC. Similarly, claims folders may be recalled from
the FRC at any time by SSA, as necessary, in the administration of
Social Security programs. When this occurs, the folder will be
temporarily maintained in a Social Security field, regional or
central office.
Separate files of actions entered directly into the computer
processes are shredded or destroyed by heat after 1 to 6 months.
Claims leads that do not result in a filing of an application are
destroyed 6 months after the inquirer is invited by letter to file a
claim.
All paper claim files are disposed of by shredding or the
application of heat when the retention periods have expired.
System manager(s) and address:
Executive Director, Office of Public Disclosure, Office of the
General Counsel, Social Security Administration, 6401 Security
Boulevard, Baltimore, MD 21235.
Notification procedure:
When requesting notification, the individual should provide the
type of claim he or she filed (RSI, DI, HI, BL special minimum
payments, SSI or SVB). If more than one claim is filed, each should
be identified, whether he/she is or has been receiving benefits,
whether payments are being received under his or her own SSN, and if
not, the name and SSN under which received, if benefits have not been
received, the approximate date and place the claim was filed, and
his/her address and/or telephone number. (Furnishing the SSN is
voluntary, but it will make searching for an individual's record
easier and prevent delay.)
An individual can determine if this system contains a record
about him/her by writing to the systems manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification. If an individual does not have any identification
documents sufficient to establish his/her identity, the individual
must certify in writing that he/she is the person claimed to be and
that he/she understands that the knowing and willful request for, or
acquisition of, a record pertaining to another individual under false
pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him or her and
who would be willing to provide the entire record(s) to the
individual. These procedures are in accordance with SSA Regulations
(20 CFR 401.55).
A parent or guardian who requests notification of or access to a
minor's medical record shall at the time he/she makes the request
designate a physician or other health professional (other than a
family member) who is capable of explaining the contents of the
medical record(s) to him or her and who would be willing to provide
the entire record(s) to the individual. These procedures are in
accordance with SSA Regulations (20 CFR 401.55).
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the information they are seeking. These procedures
are in accordance with SSA Regulations (20 CFR 401.40(c) and 401.55).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is incomplete, untimely, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65).
Record source categories:
Information in this system is obtained from claimants,
beneficiaries, applicants and recipients; accumulated by SSA from
reports of employers or self-employed individuals; various local,
State, and Federal agencies; claimant representatives and other
sources to support factors of entitlement and continuing eligibility
or to provide leads information.
Systems exempted from certain provisions of the Privacy Act:
None.
60-0090
System name:
Master Beneficiary Record, Social Security Administration, Office
of Systems Requirements.
Security classification:
None.
System location:
Social Security Administration, Office of Telecommunications and
Systems 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 (non-claimants) on
whose earnings records former spouses apply for RSI or DI benefits;
persons who are only enrolled in the Hospital 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 benefits.
Categories of records in the system:
The Master Beneficiary Record (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.
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 follow-ups 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below.
However, disclosure of any information constituting ``returns or
return information'' within the scope of the Internal Revenue Code
will not be disclosed unless disclosure is authorized by that
statute.
(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 (e.g., employers and private pension
plan) in situations where the party to be contacted has, or is
expected to have, information relating to the individual's capability
to manage his/her affairs or his/her eligibility for, or entitlement
to, benefits under the Social Security program when:
(a) The individual is unable to provide information being sought.
An individual is considered to be unable to provide certain types of
information when:
(i) He/she is incapable or of questionable mental capability;
(ii) He/she cannot read or write;
(iii) He/she cannot afford the cost of obtaining the information;
(iv) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(v) A language barrier exists; or
(vi) The custodian of the information will not, as a matter of
policy, provide it to the individual; or
(b) The data are needed to establish the validity of evidence or
to verify the accuracy of information presented by the individual,
and it concerns one or more of the following:
(i) His/her eligibility for benefits under the Social Security
program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a
result of suspected fraud, concern for program integrity, quality
appraisal, or evaluation and measurement activities.
(3) To third party contacts that may have information relevant to
SSA's establishment or verification of information provided by
representative payees or payee applicants.
(4) To a Social Security beneficiary/claimant when a claim is
filed by another individual on the same record which is adverse to
the beneficiary, but only information concerning the facts relevant
to the interests of each party in a claim e.g.:
(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 roll;
(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, as amended by Pub. L. 98-21.
The information disclosed will consist of the following:
(i) The aggregate amount of Social Security benefits paid with
respect to any individual during any calendar year;
(ii) The aggregate amount of Social Security benefits repaid by
such individual during such calendar year;
(iii) 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
(iv) The name and address of such individual;
(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, as amended by Pub.L. 98-21.
(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 Commissioner of Social Security; 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) 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.
(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 (OPM), 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 epidemiological research
study of the long-term effects of low-level radiation exposure, as
permitted by SSA Regulations 20 CFR 401.150(c).
(20) 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.
(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. 1312, and upon request, for
determining eligibility for, or amount of, veterans benefits or
verifying other information with respect thereto pursuant to 38
U.S.C. 5106;
(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 Temporary Assistance for Needy Families
(TANF) program purposes and for determining a recipient's eligibility
under the TANF 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 the Department of Justice (DOJ) (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.
(26) To third party contacts such as private collection agencies
and credit reporting agencies under contract with SSA and State motor
vehicle agencies for the purpose of their assisting SSA in recovering
overpayments.
(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) Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to General Services
Administration (GSA) and National Archives and Records Administration
(NARA) for the purpose of conducting records management studies with
respect to their duties and responsibilities under 44 U.S.C. 2904 and
2906, as amended by NARA Act of 1984.
(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 the Department of Justice (DOJ), a court or other
tribunal, or another party before such tribunal when:
(a) SSA, or any component thereof, or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components,
is a party to litigation or has an interest in such litigation,
and SSA determines that the use of such records by DOJ, 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 Federal 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 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; and
(b) The requester agrees to reimburse SSA for the costs of
providing the information; and
(c) The requester agrees to comply with any safeguards and
limitations specified by SSA regarding rerelease or redisclosure of
the information.
Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and, analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use
would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except
(a) Under emergency circumstances affecting the health or safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to
consumer reporting agencies as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966
(31 U.S.C. 3701, et seq.) as amended. The disclosure will be made in
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f),
808(e), or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f),
1008(e) or 1383(b)(4)). The purpose of this disclosure is to aid in
the collection of outstanding debts owed to the Federal government,
typically, to provide an incentive for debtors to repay delinquent
Federal government debts by making these debts part of their credit
records. The information to be disclosed is limited to the
individual's name, address, SSN, and other information necessary to
establish the individual's identity, the amount, status, and history
of the debt and the agency or program under which the debt arose.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape and
magnetic disk) 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 Systems Security Handbook. All magnetic tapes and
disks are within an enclosure attended by security guards. Anyone
entering or leaving this enclosure must have special badges which are
issued only to authorized personnel. All 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 disk. 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 disk 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, 60-0089 for retention periods
and method of disposal for these records).
System manager(s) and address:
Director, Office of Systems Requirements, Division of Payment
Processes, 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 the systems manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as a voter registration card, credit card, etc.
If an individual does not have any identification documents
sufficient to establish his/her identity, the individual must certify
in writing that he/she is the person claimed to be and that he/she
understands that the knowing and willful request for, or acquisition
of, a record pertaining to another individual under false pretenses
is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably specify the record contents they are seeking. These
procedures are in accordance with SSA Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is untimely, incomplete, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
Data for the MBR come primarily from the Claims Folders System
(60-0089) and/or is 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 Hospital Insurance third party
premium payment/buy-in cases.
Systems exempted from certain provisions of the Act:
None.
60-0091
System name: Social Security Administration Claims Control
System, 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.
60-0092
System name: Automated Control System for Case Folders, 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.
60-0094.
System name:
Recovery of Overpayments, Accounting and Reporting /Debt
Management System (ROAR/DMS) SSA/OTSO.
Security classification:
None.
System location:
Social Security Administration, Office of Telecommunications and
Systems Operations, 6401 Security Boulevard, Baltimore, MD 21235.
Program Service Centers (Contact the system manager(s) for PSC
address information).
Social Security Administration, Office of Central Operations,
1500 Woodlawn Drive, Baltimore, MD 21241.
Categories of individuals covered by the system:
Social Security beneficiaries, former beneficiaries, and
representative payees who may have received excess benefits; persons
holding conserved (accumulated) funds received on behalf of a Social
Security beneficiary; and persons who received Social Security
payments in error or on behalf of a beneficiary and are suspected to
have misused those payments.
Categories of records in the system:
Identifying characteristics of each program debt or instance of
misused or conserved funds (e.g., name, Social Security number (SSN)
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 U.S.C. 404(a)).
Purpose(s):
The ROAR/DMS system of records controls the recovery and
collection activity of:
Retirement, Survivors and Disability Insurance (RSDI),
Supplemental Security Income (SSI), and Health Insurance (HI) program
debt when refund is requested or adjustment is proposed;
SSI, and HI program debt recovered from RSDI accounts;
Misused funds cases;
Conserved funds cases;
Civil Monetary Penalty cases; and
Program debts created by fraudulent acts.
The ROAR/DMS system of records encompasses SSA's automated system
for recording, classifying, and summarizing information on SSA's
program debt collection responsibilities. The users of this system
are employees of the Social Security field offices, as well as
selected personnel of SSA's 8 Processing Centers, Regional and Area
offices, and Teleservice Centers. The data are used to maintain
control of program debt, and misused or conserved funds, from the
time of discovery to the final resolution, and for the proper
adjustments of payment and refund amounts. The DMS front-end screens,
object programs, and other processes are used to create transaction
records that are used to establish and update the ROAR/DMS system of
records, update the Master Beneficiary Record, and update the
Supplemental Security Income Record and Special Veterans Benefits
System. These transaction record data 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.
However, disclosure of any information constituting ``returns or
return information'' within the scope of the Internal Revenue Code
will not be disclosed unless disclosure is authorized by that
statute.
(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 such as private collection agencies
and credit reporting agencies under contract with SSA and other
agencies, including the Veterans Administration, the Armed Forces,
the Department of the Treasury, and State motor vehicle agencies, for
the purpose of their assisting SSA in recovering program debt.
(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 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.
(5) Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) for the purpose of conducting records
management studies with respect to their duties and responsibilities
under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984.
(6) To the Department of Justice (DOJ), a court or other
tribunal, or another party before such tribunal when:
(a) SSA, or any component thereof; or
(b) any SSA employee in his/her official capacity; or
(c) any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) the United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by
DOJ, the court or other tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were collected.
Wage and other information which are subject to the disclosure
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under
this routine use unless disclosure is expressly permitted by the IRC.
(7) 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.
(8) To employers to assist SSA in the collection of debts owed by
former beneficiaries and representative payees of Social Security
payments who received an overpayment and owe a delinquent debt to the
SSA. Disclosure under this routine use is authorized under the Debt
Collection Improvement Act of 1996 (Pub. L. 104-134) and implemented
through administrative wage garnishment provisions of this Act (31
U.S.C. 3720D).
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to
consumer reporting agencies as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966
as amended (31 U.S.C. 3701, et seq.) or the Social Security Domestic
Employment Reform Act of 1994, Pub. L. 103-387, 42 U.S.C. 404(f). The
purpose of this disclosure is to aid in the collection of outstanding
program debts owed to the Federal government, typically, to provide
an incentive for debtors to repay delinquent Federal government
program debts by making these part of their credit records.
Disclosure of records is limited to the individual's name, address,
SSN, and other information necessary to establish the individual's
identity; the amount, status, and history of the claim and the agency
or program under which the claim arose. The disclosure will be made
only after the procedural requirements of 31 U.S.C. 3711(e) have been
followed.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are, or have been, maintained in magnetic cartridges,
microfiche and paper form.
Retrievability:
Records are retrieved by SSN.
Safeguards:
System security for automated records has been established in
accordance with the Systems Security Handbook. This includes
maintaining automated records in a secured building, the SSA National
Computer Center, and limiting access to the building to employees who
have a need to enter in the performance of their official duties.
Paper and other non-ADP records are protected through standard
security measures (e.g., maintenance of the records in buildings
which are manned by armed guards).
Retention and disposal:
Magnetic cartridges are updated daily and retained for 75 days.
The magnetic cartridges produced in the last operation of the month
are retained in security storage for a period of 75 days, after which
the tapes are erased and returned to stock. The microfiche records
are normally updated monthly, retained for 3 years after the month
they are produced, and then destroyed by application of heat.
System manager(s) and address:
Director, Office of Retirement and Survivors Insurance System,
Division of Title II Payments and Accounting, Social Security
Administration, 6401 Security Boulevard, Baltimore, Maryland, 21235,
is the system manager for ROAR.
Director, Office of Financial Policy and Systems Design, Social
Security Administration, 6401 Security Boulevard, Baltimore,
Maryland, 21235, is the system manager for DMS.
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, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as a voter registration card, credit card, etc.
If an individual does not have any identification documents
sufficient to establish his/her identity, the individual must certify
in writing that he/she is the person claimed to be and that he/she
understands that the knowing and willful request for, or acquisition
of, a record pertaining to another individual under false pretenses
is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably specify the record contents they are seeking. An
individual may also have access to certain program debt management
data via Internet queries when he or she is authorized by SSA to
conduct business transactions electronically using a personal
identification number (PIN) and password. Using a PIN and password
individuals may obtain information such as the reason for the program
debt, the amount owed on the debt, how much has been withheld from
the last check to cover the debt, and the same information about
their next check. These procedures are in accordance with SSA
Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought, and the reasons
for the correction, with supporting justification showing how the
record is untimely, incomplete, inaccurate or irrelevant. These
procedures are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
The information for the computer files is received directly from
beneficiaries, from Social Security field 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 Privacy Act:
None.
60-0095
System name: Health Insurance Overpayment Ledger Cards, 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.
60-0097
System name: Program Integrity Case Files, 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.)
-60-099
System name:
Prisoner Update Processing System (PUPS), SSA/OPB.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations,
6401 Security Boulevard, Baltimore, MD 21235
Categories of individuals covered by the system:
Persons reported to the Social Security Administration, under
Privacy Act computer matching agreements as well as certain informal
reporting arrangements, as confined in certain institutions. Certain
data regarding confined individuals is reported to SSA under
agreements which are, along with any information exchanged pursuant
to the agreements, wholly exempt from the Privacy Act's requirements.
See section 1611(e)(1)(I) of the Social Security Act (Act), 42 U.S.C.
1386(e)(i)(I). The records in the system will include those of
individuals reported by jails, prisons, other penal institutions or
correctional facilities, certain mental health institutions and
various third parties, including media sources. The records included
will be those of Retirement, Survivors, or Disability Insurance
(RSDI) and Supplemental Security Income (SSI) beneficiaries, as well
as non-beneficiaries who may have claims in some stage of SSA's
adjudicative process.
Categories of records in the system:
PUPS will contain all identifying information requested by SSA
and supplied by the reporting source, including the individual's
name, Social Security number, date of birth, sex, date of conviction,
date of confinement, release date, inmate status code, and such other
information as may be supplied or acquired during the benefit
suspension or reinstatement process.
Authority for maintenance of the system:
Sections 202(x)(1) and 1611(e)(1) of the Act.
Purpose(s):
PUPS will record inmate information in support of the above cited
provisions mandating nonpayment of RSDI and SSI benefits to certain
confined individuals. All information on the system will be
maintained under each affected individual's Social Security number.
The PUPS system will expedite the handling of inmate reports in SSA
field offices, and provide a control mechanism for any inmate or
confinement alerts generated by SSA's computer matching programs or
by informal reports to SSA regarding an individual's confinement. It
will facilitate the suspension of benefits to appropriate
individuals, and the reinstatement of benefits to beneficiaries when
such individuals are released from confinement.
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. Disclosure to third-party contacts in situations where the
party to be contacted has, or is expected to have, information
relating to the individual's eligibility for, or entitlement to,
benefits under a Social Security program when 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:
(a) His or her eligibility for benefits under a Social Security
program;
(b) The amount of his or her benefit payment;
(c) 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.
2. Disclosure to third-party contacts where necessary to
establish or verify information presented by representative payees or
payee applicants.
3. Disclosure to the Department of Justice (DOJ) for:
(a) Investigating and prosecuting violations of the Act to which
criminal penalties attach;
(b) Representing the Commissioner of Social Security;
(c) Investigating issues of fraud by agency officers or
employees, or violations of civil rights.
4. Disclosure to the Office of the President for the purpose of
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his/her behalf.
5. Disclosure to a congressional office in response to an inquiry
from that office made at the request of the subject of a record.
6. Disclosure in response to legal process or interrogatories
relating to the enforcement of an individual's child support or
alimony obligations, as required under sections 459 and 461 of the
Act.
7. Disclosure to Federal, State, or local agencies, (or agents on
their behalf) for administering income-maintenance or health-
maintenance programs (including programs under the Act).
8. Disclosure to third-party contacts (including private
collection agencies under contract to SSA) for the purpose of
assisting SSA in recovering overpayments.
9. Disclosure to contractors and other Federal agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of its programs.
10. Disclosure to DOJ, a court or other tribunal, or other third
party before such tribunal when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components;
is a party to litigation or has an interest in such litigation,
and SSA determines that the use of such records by DOJ, the court or
other tribunal is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
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 diskette).
Retrievability:
Records in this system are indexed and retrieved by SSN.
Safeguards:
Security measures include the use of access codes to enter the
computer system which will maintain the data, and storage of the
computerized records in secured areas which are accessible only to
employees who require the information in performing their official
duties. SSA personnel who have access to the data will be informed of
the criminal penalties of the Privacy Act for unauthorized access to
or disclosure of information maintained in this system. For records
electronically transmitted between SSA's central office and field
office locations, safeguards include a lock/unlock password system,
exclusive use of leased telephone lines, a terminal oriented
transaction matrix and secured printers.
Retention and disposal:
SSA will retain PUPS records for the period of time required for
any processing related to the relevant data exchange and then, within
12 months, will either return the records to the source or destroy
the records, unless the records must be retained in individual claim
folders for documentation purposes and/or to meet evidentiary
requirements. In that instance, the records eventually will be
retired to the Federal Records Center and destroyed, in accordance
with the applicable Federal Records Retention Schedule (44 U.S.C.
3303a) and any other relevant standards established by SSA and the
National Archives and Records Administration.
System manager(s) and address:
Director, Division of Payment Policy, Office of Program Benefits,
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 contacting the most convenient Social Security field
office and providing his/her name, Social Security number, 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 may also write to the System Manager shown
above.
An individual requesting notification of records in person must
provide at least one piece of tangible identification such as a
driver's license, passport, voter registration card, etc., to verify
his/her identity. If an individual does not have identification
papers sufficient to establish his/her identity, that individual must
certify in writing that he/she is the person they claim to be and
that they understand that the knowing and willful request for or
acquisition of a record pertaining to an individual under false
pretenses is a criminal offense (see 5 U.S.C. 552a(i)(1)(3)). If
notification is requested by telephone, an individual must verify
his/her identity by providing identifying information which parallels
the record to which notification is being requested. If it is
determined that the identifying information provided by telephone is
insufficient, the individual will be required to submit a request in
writing or in person. If a request for notification is submitted by
mail, an individual must include a notarized request to SSA to verify
his/her identity or must certify in the request that he/she is the
person they claim to be and that they understand that the knowing and
willful request for or acquisition of a record pertaining to an
individual under false pretenses is a criminal offense. These
procedures are in accordance with SSA Regulations 20 CFR 401.45.
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations 20 CFR 401.45.
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 their reasons
for believing that the record should be amended. These procedures are
in accordance with SSA Regulations 20 CFR 401.65.
Record source categories:
Data for the PUPS are secured primarily from various facilities
with which SSA has appropriate arrangements for reporting of such
information including jails, prisons, other penal institutions or
correctional facilities, departments or divisions of corrections or
correctional services, and certain mental health facilities. Data is
also reported by individuals and certain other third party sources,
such as news media, etc.
Systems exempted from certain provisions of the act:
None.
60-0102
System name: Fee Ledger System for Representatives, 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.
60-0103.
System name:
Supplemental Security Income Record and Special Veterans
Benefits, Social Security Administration, Office of Systems, Office
of Disability and Supplemental Security Income Systems (ODSSIS).
Security classification:
None.
System location:
Social Security Administration, Office of Telecommunications and
Systems Operations, 6401 Security Boulevard, Baltimore, MD 21235.
Records also may be located in the Social Security Administration
(SSA) Regional and field offices (individuals should consult their
local telephone directories for address information).
Categories of individuals covered by the system:
This file contains a record for each individual who has applied
for Supplemental Security Income (SSI) payments, including
individuals who have requested an advance payment; SSI recipients and
former SSI recipients who have been overpaid; and ineligible persons
associated with an SSI recipient. This file also covers those
individuals who have applied for and who are entitled to the Special
Veterans Benefits (SVB) under Title VIII of the Social Security Act.
(This file does not cover applicants who do not have a Social
Security number (SSN).)
Categories of records in the system:
This file contains data regarding SSI eligibility; citizenship;
residence; Medicaid eligibility; eligibility for other benefits;
alcoholism or drug addiction data, if applicable (disclosure of this
information may be restricted by 21 U.S.C. 1175 and 42 U.S.C. 290dd-3
and ee-3); income data; resources; payment amounts, including the
date and amount of advance payments; overpayment amounts, including
identifying characteristics of each overpayment (e.g., name, SSN,
address of the individual(s) involved, recovery efforts made and the
date of each action and planned future actions); and date and amount
of advance payments; living arrangements; case folder location data;
appellate decisions, if applicable; SSN used to identify a particular
individual, if applicable; information about representative payees,
if applicable; and a history of changes to any of the persons who
have applied for SSI payments. For eligible individuals, the file
contains basic identifying information, income and resources (if any)
and, in conversion cases, the State welfare number.
This file also contains information about applicants for SVB.
The information maintained in this system of records is collected
from the applicants for Title VIII SVB, and other systems of records
maintained by SSA. The information maintained includes a data element
indicating this is a Title VIII SVB claim. It will also include:
identifying information such as the applicant's name, Social Security
number (SSN) and date of birth (DOB); telephone number (if any);
foreign and domestic addresses; the applicant's sex; income data,
payment amounts (including overpayment amounts); and other
information provided by the applicant relative to his or her
entitlement for SVB.
If the beneficiary has a representative payee, this system of
records includes data about the representative payee such as the
payee's SSN; employer identification number, if applicable; and
mailing address.
Authority for maintenance of the system:
Sections 1602, 1611, 1612, 1613, 1614, 1615, 1616, 1631, 1633,
1634 of title XVI and title VIII of the Social Security Act (42
U.S.C. 1382, 1382a, 1382b, 1382c, 1382d, 1382e, 1383, 1383b, 1383c
and the Debt Collection Improvement Act of 1996 (Pub. L. 104-134) and
implementing provisions of this Act for administrative wage
garnishment (31 U.S.C. 3720D).
Purpose(s):
SSI records begin in Social Security field offices where an
individual or couple files an application for SSI payments. SVB
records begin in Social Security field offices and Veterans Affairs
Regional Offices (VARO) where an individual files an application for
SVB payments. The SSI and SVB applications contain data which may be
used to prove the identity of the applicant, to determine his/her
eligibility for SSI or SVB payments and, in cases where eligibility
is determined, to compute the amount of the payment. Information from
the application, in addition to data used internally to control and
process SSI and SVB cases, is used to create the Supplemental
Security Income Record (SSR). The SSR also is used as a means of
providing a historical record of all activity on a particular
individual's or couple's record. Data from these records will also be
used to identify the individuals who meet the criteria for
administrative wage garnishment and to effectuate the operational
processes necessary to collect the overpayments.
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.
However, disclosure of any information defined as tax ``returns or
return information'' under 26 U.S.C. 6103 of the Internal Revenue
Code (IRC) will not be made unless authorized by a statute, the
Internal Revenue Service (IRS), or IRS regulations.
1. To the Department of the Treasury to prepare SSI, Energy
Assistance, and SVB checks to be sent to claimants or beneficiaries.
2. To the States to establish the minimum income level for
computation of State supplements.
3. To the following Federal and State agencies to prepare
information for verification of benefit eligibility under section
1631(e) of the Social Security Act: Bureau of Indian Affairs; Office
of Personnel Management; Department of Agriculture; Department of
Labor; U.S. Citizenship and Immigration Services; Internal Revenue
Service; Railroad Retirement Board; State Pension Funds; State
Welfare Offices; State Worker's Compensation; Department of Defense;
United States Coast Guard; and Department of Veterans Affairs.
4. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
5. To the appropriate State agencies (or other agencies providing
services to disabled children) to identify Title XVI eligibles under
the age of 16 for the consideration of rehabilitation services in
accordance with section 1615 of the Act, 42 U.S.C. 1382d.
18. To the Department of Education for determining the
eligibility of applicants for Basic Educational Opportunity Grants.
19. To Federal, State or local agencies (or agents on their
behalf) for administering cash or non-cash income maintenance or
health maintenance programs (including programs under the Social
Security Act). Such disclosures include, but are not limited to,
release of information to:
(a) The Department of Veterans Affairs (DVA) upon request for
determining eligibility for, or amount of, DVA benefits or verifying
other information with respect thereto in accordance with 38 U.S.C.
5106;
(b) the RRB for administering the Railroad Unemployment Insurance
Act;
(c) State agencies to determine eligibility for Medicaid;
(d) State agencies to locate potentially eligible individuals and
to make determinations of eligibility for the food stamp program;
(e) State agencies to administer energy assistance to low income
groups under programs for which the States are responsible; and
(f) Department of State and its agents to assist SSA in
administering the Social Security Act in foreign countries, the
American Institute on Taiwan and its agents to assist in
administering the Social Security Act in Taiwan, the VA, Philippines
Regional Office and its agents to assist in administering the Social
Security Act in the Philippines, and the Department of Interior and
its agents to assist in administering the Social Security Act in the
Northern Mariana Islands.
20. To IRS, Department of the Treasury, as necessary, for the
purpose of auditing SSA's compliance with safeguard provisions of the
Internal Revenue Code (IRC) of 1986, as amended.
21. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or a third party on his/her behalf.
22. Upon request, information on the identity and location of
aliens may be disclosed to the DOJ (Criminal Division, Office of
Special Investigations) for the purpose of detecting, investigating
and, where necessary, taking legal action against suspected Nazi war
criminals in the United States.
23. To third party contacts such as private collection agencies
and credit reporting agencies under contract with SSA and State motor
vehicle agencies for the purpose of their assisting SSA in recovering
overpayments.
24. To contractors and other Federal agencies, as necessary, for
the purpose of assisting SSA in the efficient administration of its
programs. We contemplate disclosing information under this routine
use only in situations in which SSA may enter a contractual or
similar agreement with a third party to assist in accomplishing an
Agency function relating to this system of records.
25. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by
the NARA Act of 1984, for the use of those agencies in conducting
records management studies.
26. To the Department of Justice (DOJ), a court or other
tribunal, or another party before such tribunal when:
(a) SSA, or any component thereof, or
(b) any SSA employee in his/her official capacity; or
(c) any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) the United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components,
is a party to litigation or has an interest in such litigation, and
SSA determines that the use of such records by DOJ, a court or other
tribunal, or another party before such tribunal is relevant and
necessary to the litigation, provided, however, that in each case,
SSA determines that such disclosure is compatible with the purpose
for which the records were collected.
Disclosure of any information defined as tax ``returns or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be made unless authorized by a statute, the Internal Revenue
Service (IRS), or IRS regulations.
27. To representative payees, when the information pertains to
individuals for whom they serve as representative payees, for the
purpose of assisting SSA in administering its representative payment
responsibilities under the Act and assisting the representative
payees in performing their duties as payees, including receiving and
accounting for benefits for individuals for whom they serve as
payees.
28. To third party contacts (e.g., employers and private pension
plans) in situations where the party to be contacted has, or is
expected to have, information relating to the individual's capability
to manage his/her affairs or his/her eligibility for, or entitlement
to, benefits under the Social Security program when:
(a) The individual is unable to provide information being sought.
An individual is considered to be unable to provide certain types of
information when:
(i) He/she is incapable or of questionable mental capability;
(ii) he/she cannot read or write;
(iii) he/she cannot afford the cost of obtaining the information;
(iv) he/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(v) a language barrier exists; or
(vi) the custodian of the information will not, as a matter of
policy, provide it to the individual; or
(b) The data are needed to establish the validity of evidence or
to verify the accuracy of information presented by the individual,
and it concerns one or more of the following:
(i) His/her eligibility for benefits under the Social Security
program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a
result of suspected fraud, concern for program integrity, quality
appraisal, or evaluation and measurement activities.
29. To 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 Social
Security Act may be referred. Data released to RSA will not include
any personally identifying information (such as names or SSNs).
30. Addresses of beneficiaries who are obligated on loans held by
the Secretary of Education or a loan made in accordance with 20
U.S.C. 1071, et seq. (the Robert T. Stafford Student Loan Program)
may be disclosed to the Department of Education as authorized by
section 489A of the Higher Education Act of 1965.
31. To student volunteers and other workers, who technically do
not have the status of Federal employees, when they are performing
work for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
32. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, if information is
necessary:
(a) To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace and the operation of SSA
facilities, or
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
33. Corrections to information that resulted in erroneous
inclusion of individuals in the Death Master File (DMF) may be
disclosed to recipients of erroneous DMF information.
34. Information as to whether an individual is alive or deceased
may be disclosed pursuant to section 1106(d) of the Social Security
Act (42 U.S.C. 1306(d)), upon request, for purposes of an
epidemiological or similar research project, provided that:
(a) SSA determines in consultation with the Department of Health
and Human Services, that the research may reasonably be expected to
contribute to a national health interest; and
(b) The requester agrees to reimburse SSA for the costs of
providing the information; and
(c) The requester agrees to comply with any safeguards and
limitations specified by SSA regarding re-release or re-disclosure of
the information.
35. Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) There is reasonable probability that the objective of the
use would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except:
(a) Under emergency circumstances affecting the health and safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
36. To the social security agency of a foreign country, for the
purpose of verifying Social Security numbers, to carry out the
purposes 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 (42 U.S.C. 433).
37. To employers to assist SSA in the collection of debts owed by
former recipients of SSI payments who received an overpayment and owe
a delinquent debt to the SSA. Disclosure under this routine use is
authorized under the Debt Collection Improvement Act of 1996 (Pub. L.
104-134) and implemented through administrative wage garnishment
provisions of this Act (31 U.S.C. 3720D).
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to
consumer reporting agencies as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966
(31 U.S.C. 3701, et seq.) as amended. The disclosure will be made in
accordance with 31 U.S.C. 3711(e) when authorized by sections 204(f),
808(e) or 1631(b)(4) of the Social Security Act (42 U.S.C. 404(f),
1008(e) or 1383(b)(4)). The purpose of this disclosure is to aid in
the collection of outstanding debts owed the Federal government,
typically, to provide an incentive for debtors to repay delinquent
Federal government debts by making these debts part of their credit
records. The information to be disclosed is limited to the
individual's name, address, SSN, and other information necessary to
establish the individual's identity; the amount, status, and history
of the debt and the Agency or program under which the debt arose.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are maintained in magnetic media (e.g., magnetic tape)
and in microform and microfiche form.
Retrievability:
Records are indexed and retrieved by SSN.
Safeguards:
Systems security for automated records has been established in
accordance with the Systems Security Handbook. This includes
maintaining all magnetic tapes and magnetic disks within an enclosure
attended by security guards. Anyone entering or leaving that
enclosure must have special badges which are only issued to
authorized personnel. All authorized personnel having access to the
magnetic records are subject to the penalties of the Privacy Act. The
microfiche are stored in locked cabinets, and are accessible to
employees only on a need-to-know basis. All SSR State Data Exchange
records are protected in accordance with agreements between SSA and
the respective States regarding confidentiality, use, and re-
disclosure.
Retention and disposal:
Original input transaction tapes received which contain initial
claims and posteligibility actions are retained indefinitely although
these are processed as received and incorporated into processing
tapes which are updated to the master SSR tape file on a monthly
basis. All magnetic tapes appropriate to SSI information furnished to
specified Federal, State, and local agencies for verification of
eligibility for benefits and under section 1631(e) are retained, in
accordance with the PA accounting requirements, for at least 5 years
or the life of the record, whichever is longer.
System manager(s) and address(es):
Associate Commissioner, Office of Disability and Supplemental
Security Income Systems (ODSSIS), Social Security Administration,
6401 Security Boulevard, Baltimore, Maryland 21235.
Notification procedures:
An individual can determine if this system contains a record
about him/her by writing to or visiting any Social Security field
office and providing his or her name and SSN. (Individuals should
consult their local telephone directories for Social Security office
address and telephone information.) Applicants for SVB who reside in
the Philippines should contact VARO, Philippines. (Furnishing the SSN
is voluntary, but it will make searching for an individual's record
easier and prevent delay.)
An individual requesting notification of records in person should
provide the same information, as well as provide an identity
document, preferably with a photograph, such as a driver's license or
some other means of identification. If an individual does not have
any identification documents sufficient to establish his/her
identity, the individual must certify in writing that he/she is the
person claimed to be and that he/she understands that the knowing and
willful request for, or acquisition of, a record pertaining to
another individual under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as Notification procedures. Requesters should also
reasonably specify the record contents being sought. An individual
who requests notification of, or access to, a medical record shall,
at the time he or she makes the request, designate in writing a
responsible representative who will be willing to review the record
and inform the subject individual of its contents at the
representative's discretion. A parent or guardian who requests
notification of, or access to, a minor's medical record shall at the
time he or she makes the request designate a physician or other
health professional (other than a family member) who will be willing
to review the record and inform the parent or guardian of its
contents at the physician's or health professional's discretion.
These procedures are in accordance with SSA Regulations (20 CFR
401.40(c) and 401.55)).
Contesting record procedures:
Same as Notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is incomplete, untimely, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
Data contained in the SSR are obtained for the most part from the
applicant for SSI and SVB payments and are derived from the Claims
Folders System, 60-0089 and the Modernized Supplemental Security
Income Claims System. The States and other Federal agencies such as
the Department of Veterans Affairs also provide data affecting the
SSR.
Systems exempted from certain provisions of the Privacy Act:
None.
60-0110
System name: Supplemental Security Income File of Refunds, 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.
60-0111
System name: Debit Voucher File (Supplemental Security Income),
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.
60-0117
System name: Age at First Payment of Retirement Insurance
Benefit, 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.
60-0118
System name: Non-Contributory Military Service Reimbursement
System, 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.
60-0119
System name: Special Age 72 Benefit Trust Fund Transfer Project,
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.
60-0128
System name: Retirement, Survivors and Disability Insurance
Claims Study, 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.
60-0129
System name: Adjudication of Supplemental Security Income Policy
Analysis Review, 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.
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),
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual. 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.
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), 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0159
System name: Continuous Work History Sample (Statistics), 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0184
System name: Hearing Officer Master Calendar, 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.
60-0186
System name:
Civil Action Tracking System.
Security classification:
None.
System location:
Social Security Administration, Office of the General Counsel,
6401 Security Blvd., Baltimore, MD 21235.
Categories of individuals covered by the system:
Individuals who are involved, as plaintiffs, in class action
litigation concerning one or more of the programs administered by the
Social Security Administration (SSA), who are affected by an
Acquiescence Ruling (AR). When SSA determines that a holding in a
Circuit Court decision conflicts with our interpretation of a
provision of the Social Security Act or regulation, SSA issues an AR.
When we publish an AR, we send notices to those individuals whose
claims may be affected. The notice tells the claimant that an AR may
affect a prior decision. In this regard, the Civil Action Tracking
System (CATS) contains a given claimant's Social Security number
(SSN), name and address, and maintains a list of those claimants
possibly affected by the AR.
Categories of records in the system:
Records for individuals involved in the class action contain
beneficiary and claims-related information from SSA's Master
Beneficiary Record (MBR) and/or the Supplemental Security Income
Record (SSR). During the lifetime of the implementation of the court
order, the records will also contain information about notices sent,
reply forms received, alerts generated, class membership screenings
and decisions. With respect to an AR, as mentioned above, CATS
contains basic information (e.g., SSN, name and address) that came
from one of SSA's master files or was typed into CATS in the case of
a walk-in.
Authority for maintenance of the system:
Section 205(a) of the Social Security Act (42 U.S.C. 405(a)).
Purpose(s):
Records in this system are used by staff in various SSA offices
to implement court orders and settlement agreements related to class
actions.
From an AR standpoint, we use CATS to store addresses to send
notices to claimants affected by an AR.
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 about an individual claimant made at the request of the
subject of a record.
2. To DOJ, a court or other tribunal, or another party before
such tribunal when:
(a) SSA, or any component thereof; or
(b) any SSA employee in his/her official capacity; or
(c) any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) the United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by
DOJ, 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.
However, any information defined as ``return or return
information'' under 26 U.S.C. 6103 of the Internal Revenue Code (IRC)
will not be made unless authorized by the IRC, the Internal Revenue
Service (IRS), or IRS regulations.
3. To IRS, as necessary, for the purpose of auditing SSA's
compliance with the safeguard provisions of the Internal Revenue Code
(IRC) of 1986, as amended.
4. Non-tax return information which is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration (GSA) and the National Archive and Records
Administration (NARA) for the purpose of conducting records
management studies with respect to their duties and responsibilities
under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984.
5. To student volunteers and other workers, who technically do
not have the status of Federal employees, when they are performing
work for SSA as authorized by law, and they need access to personally
identifiable information in SSA records 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 mainframe computer disk and cartridges.
Occasionally, there may be paper copies of small amounts of data.
Retrievability:
The records are retrieved by the Beneficiary's SSN, last name,
and date of birth.
Safeguards:
Files in this system are maintained in SSA's secure computer
center and occasionally in paper form in desks or file cabinets that
lock. Access to the files is limited to employees who require the
files to perform their duties. All personnel having access to the
records have been informed of criminal sanctions for unauthorized
disclosure of information relating to individuals. Access http://
www.ssa.gov/foia/bluebook/app--g.htm for additional information
regarding the safeguards SSA employs to protect its paper and
automated.
Retention and disposal:
Records are archived on mainframe computer cartridges when the
implementation of the court order is completed. The cartridges are
stored indefinitely in a secured location.
System manager(s) and address:
Director, Management Information and Process Analysis Staff,
Office of the General Counsel, Social Security Administration, 6401
Security Boulevard, Baltimore, MD 21235.
Notification Procedures:
An individual can determine if this system contains a record
about him/her by writing to the systems manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as a voter registration card, credit card, etc.
If an individual does not have any identification documents
sufficient to establish his/her identity, the individual must certify
in writing that he/she is the person claimed to be and that he/she
understands that the knowing and willful request for, or acquisition
of, a record pertaining to another individual under false pretenses
is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information being
contested and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is untimely, incomplete, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65(a)).
Record source categories:
Systems of records maintained by SSA such as the Claims Folders
System, 60-0089; Master Beneficiary Record, 60-0090; Supplement
Security Income Record and Special Veterans Benefits 60-0103.
Systems exempted from Certain Provisions of the Privacy Act:
None.
60-0196
System name: Disability Studies, Surveys, Records and Extracts
(Statistics), 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).
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0198
System name: Extramural Research Administrative File, 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.
60-0199
System name: Extramural Surveys (Statistics), 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0200
System name: Retirement and Survivors Studies, Surveys, Records,
and Extracts (Statistics), 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0202
System name: Old Age, Survivors and Disability Beneficiary and
Worker Records and Extracts (Statistics), 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.
Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and, analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use
would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except
(a) Under emergency circumstances affecting the health or safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0203
System name: Supplementary Security Income (SSI) Studies,
Surveys, Records and Extracts (Statistics), 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0206
System name: Repatriation Records System, 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.
60-0209
System name: Readership Surveys of Office of Research and
Statistics (ORS) Publications (Statistics), 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.
60-0210
System name: Record of Individuals Authorized Entry to Secured
Automated Data Processing (ADP) Area, 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.
60-0211
System name: Beneficiary, Family, and Household Surveys, Records
and Extracts System (Statistics), 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.
Disclosure may be made to a Federal, State, or congressional
support agency (e.g., Congressional Budget Office and the
Congressional Research Staff in the Library of Congress) for
research, evaluation, or statistical studies. Such disclosures
include, but are not limited to, release of information in assessing
the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability
insurance (SSDI) benefits; examining the distribution of Social
Security benefits by economic and demographic groups and how these
differences might be affected by possible changes in policy;
analyzing the interaction of economic and non-economic variables
affecting entry and exit events and duration in the Title II Old Age,
Survivors, and Disability Insurance and the Title XVI SSI disability
programs; and, analyzing retirement decisions focusing on the role of
Social Security benefit amounts, automatic benefit recomputation, the
delayed retirement credit, and the retirement test, if SSA:
a. Determines that the routine use does not violate legal
limitations under which the record was provided, collected, or
obtained;
b. Determines that the purpose for which the proposed use is to
be made:
(i) Cannot reasonably be accomplished unless the record is
provided in a form that identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or
risk to, the privacy of the individual which such limited additional
exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use
would be accomplished;
(iv) Is of importance to the Social Security program or the
Social Security beneficiaries or is for an epidemiological research
project that relates to the Social Security program or beneficiaries;
c. Requires the recipient of information to:
(i) Establish appropriate administrative, technical, and physical
safeguards to prevent unauthorized use or disclosure of the record
and agree to on-site inspection by SSA's personnel, its agents, or by
independent agents of the recipient agency of those safeguards;
(ii) Remove or destroy the information that enables the
individual to be identified at the earliest time at which removal or
destruction can be accomplished consistent with the purpose of the
project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining
such information;
(iii) Make no further use of the records except
(a) Under emergency circumstances affecting the health or safety
of any individual following written authorization from SSA;
(b) For disclosure to an identified person approved by SSA for
the purpose of auditing the research project;
(iv) Keep the data as a system of statistical records. A
statistical record is one which is maintained only for statistical
and research purposes and which is not used to make any determination
about an individual;
d. Secures a written statement by the recipient of the
information attesting to the recipient's understanding of, and
willingness to abide by, these provisions.
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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0212
System name: Supplemental Security Income Quality Initial Claims
Review Process System, 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.
60-0213
System name: Quality Review of Hearing/Appellate Process, 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 access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0214
System name:
Personal Identification Number File (PINFile), 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.
60-0216
System name: Indochina Refugee Data System, 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.
60-0217
System name: Cuban Refugee Registration Records, 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.
60-0218
System name: Disability Insurance and Supplemental Security
Income Demonstration Projects and Experiments System, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0219
System name: Representative Disqualification/Suspension
Information System, 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.
60-0220
System name: Kentucky Birth Records System, 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.
60-0221
System name: Vocational Rehabilitation Reimbursement Case
Processing System, 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.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
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.
60-0222
System name:
Master Representative Payee File, SSA/OPBP.
Security classification:
None.
System location:
The system database will be available by direct electronic access
by Social Security field offices (FOs). 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 data base is housed at the: National Computer
Center, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235.
Categories of individuals covered by the system:
This system maintains information about persons whose
certifications 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:
Names and Social Security Numbers (SSNs) (or employer
identification numbers (EINs)) of representative payees whose
certifications for payment of benefits as representative payees 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
violations of sections 208 or 1632 of the Act;
Names, addresses, and SSNs (or EINs) of persons
convicted of violations of statutes other than sections 208 and 1632
of the Act, when such violations were committed in connection with
the individual's service as a Social Security representative payee;
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 and 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 identify 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.
16. Information may be disclosed to the Office of Personnel
Management for the administration of that Office's representative
payee programs.
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 are 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:
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. 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:
Associate Commissioner, Office of Program Benefits Policy, Room
760 Altmeyer Building, 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 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. 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.
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.
Record source categories:
Data in this system are obtained from representative payee
applicants and representative payees, the SSA 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.
60-0223
System name: Telephone Call Receipt System, 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.
60-0224
System name:
SSA-Initiated Personal Earnings and Benefit Estimate Statement
(SIPEBES) History File, 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.
60-0225
System name:
SSA-Initiated Personal Earnings and Benefit Estimate Statement
Address System for Certain Territories, 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,
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 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.
05-0253
System name:
Vocational Rehabilitation; State Vocational Rehabilitation Agency
Information (VR SVRA) File, SSA/OD.
Security classification:
None.
System location:
Social Security Administration, Office of Systems 6401 Security
Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
(a) Newly awarded title II disability beneficiaries referred by
SSA to the SVRA for VR services.
(b) Current title II disability beneficiaries who recently had a
continuing disability review (CDR) and still are considered disabled,
and were referred by SSA to the SVRA.
(c) Newly awarded title XVI recipients who are disabled or blind
and who are referred by SSA to the SVRA for VR services.
(d) Current title XVI recipients who are disabled or blind who
recently had a CDR and still are considered disabled or blind, and
were referred by SSA to the SVRA.
Categories of records in the system:
This system contains the following information about each
beneficiary/recipient:
Name;
Beneficiary's or recipient's own account number (BOAN);
Claim account number (CAN);
Prior incorrect account number--in the event either SSA
or the SVRA provides an incorrect account number, it will be retained
for reference only;
Date of birth;
SVRA;
Referral source--identifies source of the record (new
awards or CDR continuances);
Date decision due--date ending the fourth month after
the month of referral when SVRA decision is due;
District office;
Action--identifies SSA-referred beneficiaries or
recipients accepted by SVRA for VR services or placed in extended
evaluation status;
Date of extended evaluation--date the SVRA placed the
beneficiary or recipient in extended evaluation;
Date of final decision--date the SVRA accepted the
beneficiary or recipient for services, or if in extended evaluation,
date resolving extended evaluation;
Date SSA notified--date SSA informed of SVRA decision;
Control--identifies records the SVRA added to or deleted
from their reports.
Authority for maintenance of the system:
Secs. 222, 223, 225, 1611, 1615, 1631 and 1633 of the Social
Security Act (42 U.S.C. 422, 423, 425, 1382, 1382d, 1383, and 1383b);
the Federal Records Act of 1950 (Pub. L. 81-754, 64 Stat. 583), as
amended.
Purpose(s):
Information in this system of records is used for the following
purposes:
To verify that disability beneficiaries and recipients
who are disabled or blind are referred to the SVRA by SSA and
accepted for VR services;
To conduct statistical studies; and
To provide management information on VR referrals.
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 State or private alternate
providers having an approved business arrangement with SSA to perform
vocational rehabilitation services for SSA disability beneficiaries
and recipients who are disabled or blind.
2. Information may be disclosed to contractors and other Federal
agencies, as necessary, to assist SSA in the efficient administration
of its programs.
3. 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.
4. 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 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 purpose
for which the records were collected.
5. Information may be disclosed to the Office of the President
for responding to an individual who is the subject of the record
pursuant to an inquiry received from that individual or from a third
party on his or her behalf.
6. Information may be disclosed to student volunteers and other
workers, who technically do not have the status of Federal employees,
when they are performing work for SSA as authorized by law, and they
need access to personally identifiable information in SSA records in
order to perform their assigned Agency functions.
7. 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 for the use of those
agencies in conducting records management studies.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
SSA records may be stored in various forms including magnetic
media (e.g., magnetic tape and disc), microfilm, or paper.
Retrievability:
Data will be retrieved from the system by the individual's SSN
and/or by name.
Safeguards:
Security measures include the use of access codes to enter the
computer system which will maintain the data, and storage of the
computerized records in secured areas which are accessible only to
employees who require the information in performing their official
duties. SSA personnel who have access to the data will be informed of
the criminal penalties of the Privacy Act for unauthorized access to
or disclosure of information maintained in this system.
Access to information in this system of records will be
restricted to authorized SSA personnel and alternate participants.
Any business arrangement that SSA may enter into with an alternate
participant to access the information in this system will stipulate
(a) the alternate participant must establish safeguards to protect
the personal information temporarily in its custody, in accordance
with the Privacy Act requirements; (b) the alternate participant may
use the information only as necessary in fulfilling the business
arrangement; and (c) the alternate participant would be subject to
criminal penalties for violations of the Privacy Act.
Retention and disposal:
SSA retains records for one year when they concern: (1) Documents
returned to an individual, (2) denials of requests for confidential
information, (3) release of confidential information to an authorized
third party, and (4) undeliverable material. SSA retains records for
four years when they concern 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. Information is erased or otherwise
destroyed after the retention period.
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 of records contains a
record pertaining to him/her by providing his/her name, signature,
and SSN to the address shown above under ``Systems manager and
address'' and by referring to the system. (Furnishing the SSN is
voluntary, but it will enable an easier and faster search for an
individual's record.) If the SSN is not known, the individual should
provide name, signature, date and place of birth, sex, mother's birth
name, and father's name, and evidence of identity. An individual
requesting notification of records in person need furnish only an
identification document he/she would normally carry on his/her person
(e.g., driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, SSN, and date of birth in order to establish
identity, plus any additional information which may be requested.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably identify the record contents they are seeking.
Contesting recOrd procedure:
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:
Records in this system of records are obtained from information
collected by the State disability determination services when
adjudicating claims for Social Security or Supplemental Security
Income benefits based on disability and blindness, from SVRA
responses, and from existing SSA systems of records (e.g. the Claims
Folders system).
System exempted from certain provisions of the act:
None.
05-0254
System name:
Vocational Rehabilitation; SSA Disability Beneficiaries/
Recipients Eligible for Re-referral to an Alternate Vocational
Rehabilitation Service Provider (VR Re-referral) File, SSA/OD.
Security classification:
None.
System location:
Social Security Administration, Office of Systems, 6401 Security
Boulevard, Baltimore, MD 21235.
Categories of individuals covered by the system:
(a) Newly awarded title II disability beneficiaries referred by
SSA to the State Vocational Rehabilitation Agency (SVRA) for VR
services, but not accepted for VR services by the SVRA.
(b) Current title II disability beneficiaries who recently had a
continuing disability review (CDR) and still are considered disabled
and who were referred by SSA to the SVRA but were not accepted for VR
services by the SVRA.
(c) Newly awarded title XVI recipients who are disabled or blind
and who are referred by SSA to the SVRA for VR services but not
accepted for VR services by the SVRA.
(d) Current title XVI recipients who are disabled or blind who
recently had a CDR and still are considered disabled or blind and who
were referred by SSA to the SVRA, but were not accepted for VR
services by the SVRA.
Categories of records in the system:
This system contains the following information about each
beneficiary/recipient:
Name;
Social security number (SSN);
Date of birth;
Address;
Telephone number (if available);
Alternate participant service categories;
Date first available for alternate participant
selection;
Name of representative payee (where applicable).
Authority for maintenance of the system:
Secs. 222, 223, 225, 1611, 1615, 1631 and 1633 of the Social
Security Act (42 U.S.C. 422, 423, 425, 1382, 1382d, 1383 and 1383b);
the Federal Records Act of 1950 (Pub. L. 81-754, 64 Stat. 583), as
amended.
Purpose(s):
Information in this system of records is used for the following
purposes:
To provide approved alternate participants with
disability beneficiaries and recipients who are disabled or blind and
who are eligible for VR services;
To conduct statistical studies;
To provide management information on VR re-referrals;
To identify the approved alternate participant who is
providing the VR 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. Information may be disclosed to State or private alternate
providers having an approved business arrangement with SSA to perform
vocational rehabilitation services for SSA disability beneficiaries
and recipients who are disabled or blind.
2. Information may be disclosed to contractors and other Federal
agencies, as necessary, to assist SSA in the efficient administration
of its programs.
3. 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.
4. 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 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 purpose
for which the records were collected.
5. Information may be disclosed to the Office of the President
for responding to an individual who is the subject of the record
pursuant to an inquiry received from that individual or from a third
party on his or her behalf.
6. Information may be disclosed to student volunteers and other
workers, who technically do not have the status of Federal employees,
when they are performing work for SSA as authorized by law, and they
need access to personally identifiable information in SSA records in
order to perform their assigned Agency functions.
7. 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 for the use of those
agencies in conducting records management studies.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
SSA records may be stored in various forms including magnetic
media (e.g., magnetic tape and disc), microfilm, or paper.
Retrievability:
Data will be retrieved from the system by the individual's SSN
and/or name and/or address.
Safeguards:
Security measures include the use of access codes to enter the
computer system which will maintain the data, and storage of the
computerized records in secured areas which are accessible only to
employees who require the information in performing their official
duties. SSA employees who have access to the data will be informed of
the criminal penalties of the Privacy Act for unauthorized access to
or disclosure of information maintained in the system.
Access to information in this system of records will be
restricted to authorized SSA personnel and alternate participants.
Any business arrangement that SSA may enter into with an alternate
participant to access the information in this system will stipulate
(a) the alternate participant must establish safeguards to protect
the personal information temporarily in its custody, in accordance
with the Privacy Act requirements; (b) the alternate participant may
use the information only as necessary in fulfilling the business
arrangement; and (c) the alternate participant would be subject to
criminal penalties for violations of the Privacy Act.
Retention and disposal:
SSA retains records for one year when they concern: (1) Documents
returned to an individual, (2) denials of confidential information,
(3) release of confidential information to an authorized third party,
and (4) undeliverable material. SSA retains records for four years
when they concern 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. Information is erased or otherwise destroyed after
the retention period.
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 of records contains a
record pertaining to him/her by providing his/her name, signature,
and SSN to the address shown above under ``Systems manager and
address'' and by referring to the system. (Furnishing the SSN is
voluntary, but it will enable an easier and faster search for an
individual's record.) If the SSN is not known, the individual should
provide name, signature, date and place of birth, sex, mother's birth
name, and father's name, and evidence of identity. An individual
requesting notification of records in person need furnish only an
identification document he/she would normally carry on his/her person
(e.g., driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum
of his/her name, SSN, and date of birth in order to establish
identity, plus any additional information which may be requested.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
Record access procedures:
Same as notification procedures. Also, requesters should
reasonably identify the record contents they are seeking.
Contesting record procedure:
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:
Records in this system of records are obtained from information
collected by the State disability determination services when
adjudicating claims for Social Security or Supplemental Security
Income benefits based on disability and blindness, from SVRA
responses, and from existing SSA systems of records (e.g. the Claims
Folders system).
System exempted from certain provisions of the act:
None.
05-0255
System name:
Plans for Achieving Self-Support (PASS) Management Information
System, SSA/OPBP.
Security classification:
None.
System location:
Social Security Administration, Office of Program Benefits
Policy, 760 Altmeyer Building, 6401 Security Boulevard, Baltimore, MD
21235
In addition, PASS documents may be temporarily transferred to
other locations within the Social Security Administration (SSA).
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 are Supplemental Security Income recipients and who
have submitted plans for achieving self-support under sections
1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the Social Security
Act.
Categories of records in the system:
This system contains the beneficiary's name; Social Security
number (SSN); disability diagnosis; occupational objective;
information as to whether the individual's plan was developed by a
third party and, if so, the identity of the third party; if the PASS
was disapproved, terminated or suspended, the basis for that action;
information relating to his or her earnings and employment at the
beginning and end of the PASS; the nature and costs of those goods
and services which the individual has purchased or proposes to
purchase under his or her plan; information about goods and services
actually purchased with respect to an approved plan; and information
about plans that were not approved (e.g., the basis for denial of
approval of a plan).
Authority for maintenance of the system:
Secs. 1602, 1612(b)(4)(A), 1612(b)(4)(B), and 1613(a)(4) of the
Social Security Act.
Purpose(s):
SSA uses the information in the system for program evaluation
purposes and to determine the number and types of individuals that
are successfully returning to work as a result of the PASS.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To third-party contacts when the party to be contacted has, or
is expected to have, information relating to the individual's PASS,
when:
(a) The individual is unable to provide the information being
sought. An individual is considered to be unable to provide certain
types of information when:
(1) He or she is incapable or of questionable mental capability;
(2) He or she cannot read or write;
(3) He or she cannot afford the cost of obtaining the
information;
(4) He or 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 in
connection with his or her PASS; or SSA is reviewing the information
as a result of suspected abuse or fraud, concern for program
integrity, quality appraisal, or evaluation and measurement
activities.
2. To a Congressional office in response to an inquiry from that
office made at the request of the subject of the record.
3. To the Department of the Treasury, Internal Revenue Service,
for the purpose of auditing SSA's compliance with the safeguard
provisions of the Internal Revenue Code of 1986, as amended.
4. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or from a third party on his or her behalf.
5. Information may be disclosed to a contractor or another
Federal agency, 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 SSA function relating to this system of
records.
6. Nontax return information that is not restricted from
disclosure by Federal law may be disclosed to the General Services
Administration or 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.
7. To the Department of Justice (DOJ), a court or other tribunal,
or another party before such tribunal, when:
(a) SSA or any component thereof, or
(b) Any SSA employee in his or her official capacity, or
(c) Any SSA employee in his or 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 to
DOJ, the court or other tribunal, or 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.
Wage and other information that 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.
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.,
computer hard drives) and on paper. Paper printouts of these data are
made when required for study. The system also contains photocopies of
benefit application forms, keyed application forms, and other claims
documentation, when relevant to the PASS system.
Retrievability:
Records are retrieved from the system by the name or SSN of the
individual who submitted the PASS.
Safeguards:
Safeguards for automated data have been established in accordance
with the Systems Security Program Handbook. This includes maintaining
computer disk packs or other magnetic fields 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, if any, will contain language that
delineates the conditions under which contractors will have access to
data in the system and the safeguards that must be employed to
protect the data.
Paper documents are stored either in lockable file cabinets
within locked rooms or in otherwise secured areas. Access to these
records are restricted to those employees who require them to perform
their assigned duties.
Retention and disposal:
Computerized records are maintained for a period of six years and
three months after the end of the fiscal year in which final
adjudication was made. Paper records produced for purposes of studies
will be destroyed upon completion of the study. Photocopies of forms
and documentation will be destroyed upon approval or denial of the
PASS. Original copies of the forms and documentation are maintained
in the Claims Folder System, (SSA/OSR 09-60-0089). Means of disposal
are appropriate to the storage medium (e.g., erasure of disks,
shredding of paper records, or transfer to another system of
records).
System manager(s) and address:
Associate Commissioner, Office of Program Benefits Policy, 760
Altmeyer Building, Social Security Administration, 6401 Security
Boulevard, Baltimore, Maryland 21235
Notification procedure:
An individual can find out if this system of records contains
information about him/her by writing to the system manager at the
address shown above and providing his or her name, address, and SSN.
(Furnishing the SSN is voluntary. However, searching for the
individual's data will be easier and faster if it is furnished.)
An individual can also find out if this system of records
contains information about him/her by contacting any Social Security
office.
When requesting notification of records in person, an individual
should provide his/her name, Social Security claim number (the SSN
plus alphabetic symbols), address, and proper identification. If the
Social Security number is not known, the requester's date and place
of birth and mother's birth name may be provided instead.
An individual requesting notification of records in person need
not furnish any special documents of identity. Documents normally
carried on one's person are sufficient (e.g., driver's license, voter
registration card, or credit cards). 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 SSA may request.
An individual who requests access to his or her medical records
shall be given direct access to those records unless SSA determines
that it is likely that direct access would adversely affect the
individual. If SSA determines that direct access to the medical
record(s) would likely adversely affect the individual, he or she
must designate a responsible representative who is capable of
explaining the contents of the medical record(s) to him and who would
be willing to provide the entire record(s) to the individual.
Record access procedures:
Same as notification procedures described above. Individuals
requesting access to their records should also reasonably describe
the records they are seeking.
Contesting record procedures:
Same as notification procedures described above. Individuals
contesting the contents of a record in the system should also
reasonably describe the record, specify the information being
contested, and state the corrective action sought with supporting
justification showing how the record is untimely, incomplete,
inaccurate, or irrelevant.
Record source categories:
Information in this system is obtained from other SSA systems of
records (i.e., Claims Folder System (SSA/OSR 09-60-0089) and
Supplemental Security Income Record (SSA/OSR 09-60-0103), from
information provided by the beneficiary, and from investigations
conducted by SSA employees relating to beneficiaries' PASS
activities.
Exemptions claimed for the system:
None.
60-0270
System name: Records of Individuals Authorized Entry into
Secured Areas by Digital Lock Systems, Electronic Key Card Systems
or Other Electronic Access Devices, SSA.
Security classification: None.
System Location: Social Security Administration, Offices of the
Regional Commissioners.
Categories of individuals covered by the system: Those individuals
who are authorized entry into secured areas in regional offices,
field offices, teleservice centers, program service centers, hearings
offices and satellite facilities.
Categories of records in the system: This system of records
contains the name and/or personal identifying number(s) for each
individual who is authorized to enter secured areas in regional
offices, field offices, teleservice centers, program service centers,
hearing offices and satellite facilities. The system also contains
the entry point, the date of entry and the time of entry.
Authority for maintenance of the system: 42 U.S.C. 902 and 1302; 5
U.S.C. 552a(e)(10); 41 CFR 101-20.302.
Purpose(s): The principal purpose is to maintain a record of
individuals who entered secured areas in the Social Security
Administration's facilities and to ensure the security of personnel
and property. The system of record may also be used in a disciplinary
action.
Routine uses of records maintained by the system, including
categories of users and the purposes of such uses: Disclosure may be
made for routine uses as indicated below:
1. To disclose pertinent information to the appropriate Federal,
state or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule or regulation, or order
when the Agency becomes aware of an indication of a violation of
civil or criminal law or regulations pertaining to this system of
records.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of the record.
3. To the Department of Justice (DOJ), a court or other tribunal,
(including an adjudicative or administrative body) or other third-
party before such tribunal when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components is a party to litigation or has an interest in such
litigation: and SSA determines that the use of such records by DOJ,
the court or other tribunal is relevant and necessary to the
litigation.
4. Nontax return information which is not restricted from
disclosure by federal law may be disclosed to the General Services
(GSA) and the National Archives and Records Administration (NARA)
under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984, for
the use of those agencies in conducting records management studies.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage: Records in this system are stored in the digital lock
systems, electronic key card systems, other electronic access
devices, computer memory (including floppy diskettes) and paper form.
Retrievability: Records in this system may be retrieved by name of
the individual, by assigned personal identifying number(s), by date,
by time period, and by entry point.
Safeguards: Only authorized SSA personnel have access to this
system of records. Employees who are authorized to retrieve records
will be assigned a personal identification number (PIN) and
passwords. The information will be processed in a manner that will
protect confidentiality and in such a way that unauthorized
individuals cannot retrieve it by means of computer, remote terminal
or other means. The paper records that result from the digital lock
or other electronic access systems are kept in locked cabinets or in
otherwise secure areas. All SSA employees, including contractor
personnel, having access to data in the system of records are
required to adhere to SSA rules concerning safeguards, access, and
use of the data. They also are informed of the criminal penalties of
the Privacy Act for unauthorized access to or disclosure of
information maintained in this system of records.
Retention and disposal: SSA retains records in this system up to 3
years following the expiration of an individual's authority to enter
into secured areas. SSA destroys a paper record by shredding and a
non-paper record by deleting-wiping it from the digital, magnetic
and/or computer memory.
System manager(s) and address: The systems manager will be the
Regional Security Officer (or his/her designee) in those Regions
where SSA purchases digital lock systems, electronic key card systems
or other electronic access devices.
Region I--Boston: Social Security Administration, Regional
Security Officer, Room 1975, JFK Federal Building, Boston,
Massachusetts 02203-1101, Telephone: (617) 565-2852.
Region II--New York: Social Security Administration, Regional
Security Officer, 26 Federal Plaza, Room 4011, New York, New York
10278, Telephone: (212) 264-1716.
Region III--Philadelphia: Social Security Administration, P.O.
Box 8788, Philadelphia, Pennsylvania 19101, Telephone: (215) 597-
8531.
Region IV--Atlanta: Social Security Administration, Atlanta
Regional Security Office, Security and Integrity Team, P.O. Box
10085, Birmingham, Alabama 35202, Telephone: (205) 801-1300.
Region V--Chicago: Social Security Administration, Center for
Material Resources, Security and Integrity Section, Box 87479,
Chicago, Illinois 60680, Telephone: (312) 353-1224.
Region VI--Dallas: Social Security Administration, MB-1 Room
1400, Management and Budget, ATTN: RSO, 1200 Main Tower Building,
Suite M110 Dallas, Texas 75202-4324, Telephone: (214) 767-4331.
Region VII--Kansas City: Social Security Administration, MAMPSC,
SIS, 601 East Twelfth Street, PO Box 15625, Kansas City, Missouri
64106, Telephone: (816) 426-3095.
Region VIII--Denver: Social Security Administration /M&B/BFS,
Attn: Regional Security Office, 1961 Stout Street, Room 325, Denver,
Colorado 80294-3538, Telephone: (303) 844-3347.
Region IX--San Francisco: Social Security Administration, FHFB,
Field Facilities Team, PO Box 4205, Richmond, California 98402,
Telephone: (510) 970-8340.
Region X--Seattle: Social Security Administration, Security and
Integrity Team, Suite 2900, M/S-291B, 701 Fifth Avenue, Seattle,
Washington 98104-7006, Telephone: (206) 615-2150.
Notification procedure: An individual may determine if this system
contains a record about him or her by writing to the systems manager.
When requesting notification, the individual should provide his or
her name and/or personal identifying number(s) and refer to this
system.
Record access procedures: Same as notification procedures.
Requestors should also reasonably specify the contents of the record
being sought.
Contesting record procedures: Same as notification procedures.
Requestors should also reasonably: identify the particular record;
specify whether he/she is seeking an addition to or a deletion or
substitution of the record; and state his/her reason(s) for
requesting corrective action or amendment to the record (e.g., why it
is not accurate, timely, complete, relevant or necessary).
Record source categories: SSA obtains information in this system
from the individuals who are covered by the system or the security
personnel.
Systems exempted from certain provisions of the Privacy Act: None.
60-0273
System name:
Social Security Title VIII Special Veterans Benefits Claims
Development and Management Information System, SSA/RO/San Francisco.
Security classification:
None.
System location:
Social Security Administration, San Francisco Regional Office,
Center for Infrastructure, Systems Support Staff, Frank Hagel Federal
Building, 1221 Nevin Ave., Richmond, California 94801
Categories of individuals covered by the system:
All applicants and beneficiaries for SVB under title VIII of the
Social Security Act (Act). Records also contain information on
applicants whose claims have been denied.
Categories of records in the system:
The information maintained in systems of records is collected
from the applicants for title VIII SVB and other systems of records
maintained by SSA. The information maintained includes: Identifying
information such as the applicant's name, Social Security number
(SSN) and date of birth (DOB); telephone number (if any); foreign and
domestic addresses; the applicant's sex; and other information
provided by the applicant relative to his or her entitlement for SBV.
In cases where an applicant's claim for SVB is denied, this
system of records includes the denial reason and date and information
relative to the appellate process.
There are also a number of data elements in the proposed system
petinent to the beneficiary's continued eligibility. These include
payment, foreign residence information and other elements that help
regional and local officesmaintain the tracking and management
information required to administer the title VIII program
efficiently.
If the beneficiary has a representative payee, this system of
records includes data about the representative payee such as the
payee's SSN; employer identification number. If applicable, mailing
address/residence address; DOB; and place of birth.
Authority for maintenance of the system:
Title VIII of the Social Security Act; Special Benefits for
Certain World War II Veterans.
Purpose(s):
All information in this system of records is maintained under the
claimant/beneficiary's name and SSN. The system of records is
designed to permit electronic entry and retrieval of claims
development and tracking and management information about title VIII
SVB claims. This electronic record contains data applicable to the
special veterans' eligibility to title VIII SVB and facilitates
efforts to control and track this workload from the initial inquiry
and application to further development. The system of records also
maintains information about the implementation of title VIII to
permit allocation of resources, budget projection and workload
management. The information contained in this system of records will
be centralized on a website allowing access by the regional and field
offices to nationally consolidated data.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made for routine uses as indicated below:
1. To third party contacts in situations where the party to be
contacted has, or is expected to have, information relating to the
individuals's capacity to manage his/her affairs or his/her
eligibility for or entitlement to benefits under the Social Security
program when:
(a) The individual is unable to provide information being sought.
An individual is considered to be unable to provide certain types of
information when:
(i) He/she is incapable or of questionable mental capability;
(ii) He/she cannot read or write;
(iii) He/she cannot afford the cost of obtaining the information;
(iv) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(v) A language barrier exists; or
(vi) The custodian of the information will not, as a matter of
policy, provide it to the individual; or
(b) The data are needed to establish the validity of evidence or
to verify the accuracy of information peresented by the individual,
and it concerns on or more of the following:
(i) His/her eligibility for benefits under the Social Security
program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a
result of suspected abuse or fraud, concern for program integrity, or
for quality appraisal, or evaluation and measurement activities.
2. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or from a third party on his or her behalf.
3. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
4. To DOJ, a court, or other tribunal (either foreign or
domestic) or another party before such tribunal when,
(a)SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her capacity where DOJ (or SSA where
it is authorized to do so) has agreed to represent the employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by
DOJ, the court, or other tribunal is relevant and necessary to the
litigation, provided, however, that in each case, SSA determines that
such disclosure is compatible with the purpose for which the records
were collected.
5. To student volunteers and other workers, who technically do
not have the status of Federal employees, when they are performing
work for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
6. Disclosures to Federal, State, local, or foreign agencies (or
agents acting on their behalf) for administering Social Security
affairs under the Act, including but not limited to the Title VIII
SVB.
7. Disclosure to the Department of Veterans Affairs (DVA),
Philippines Regional Office and its agents, for administering Social
Securrity title VIII SVB for applicants residing in the Philippines.
8. To the Department of State and its agents for administering
the Act in foreign countries through services and facilities of that
agency.
9. To the American Institute of Taiwan and its agents for
administering the Act in Taiwan through services and facilities of
that agency.
10. To the Department of Interiof and its agents for
administering the Act in the Northern Mariana Islands through
services and facilities of that agency.
11. To representative payees, when the information pertains to
individuals for wheom they serve as representative payees, for the
purpose of assisting SSA in administering its representative payment
responsibilities under title VIII and assisting the representative
payees in performing their duties as payees, including receiving and
accounting for benefits for individuals for whom they swerve as
payees.
12. Disclosure to contractors, as necessary, for the purpose of
assisting SSA in the efficient administration of its programs.
13. Nontax return information which is not restricted from
disclosure by federal law may be disclosed to GSA and NARA for the
purpose of conducting records management studies with respect to
their duties and responsibilities under 44 U.S.C. 2904 and 2906, as
amended by NARA Act of 1984.
14. To third party contacts (including private collection
agencies under contract with SSA) for the purpose of their assisting
SSA in recovering overpayments.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Data are stored in electronic and paper form.
Retrievability:
Records in this system are indexed and retrieved both numerically
by SSN and alphabetically by name.
Safegurads:
This system of records is a data base that is accessible via an
SSA intranet website. Security measures include the use of access
codes to enter the data base, and storage of the electronic records
in secured areas which are accessible only to employees who require
the information in performing their official duties. The paper
records that result from the electronic site are kept in locked
cabinets or in otherwise secure areas. SSA, foreign site and
contractor personnel having access to data in the system of recrods
are required to adhere to SSA rules concerning safeguards, access,
and use of the data. They are informed of the criminal penalties of
the Privacy Act for unauthorized access to or disclosure of
information maintained in this system of records.
Retention and disposal:
Claims development and tracking and management information
maintained in this system are retained indefinitely or when it is
determined that they are no longer needed. Means of disposal is
appropriate to storage medium (e.g. deletion of individual records
from the electronic site when appropriate or shredding of paper
records that are produced from the system).
System manager(s) and address:
Social Security Administration, San FRancisco Regional Office,
Center for Infrastructure, Manager, Systems Support Staff, Frank
Hagel Federal Building, 1221 Nevin Ave., Richmond, California 94801.
Notification procedure:
An individual can determine if this system contains a record
about him/her by writing to the system manager at the above address
and providing his/her name, address and SSN. An individual requesting
notification of records in person need not provide any special
documents of identity. Documents he/she would normally carry out his/
her person would be sufficient (e.g., credit cards, drivers license,
or voter registration card.) If an individual does not have
identification papers sufficient to establish his/her identity, that
individual must certify in writing that he/she is the person claimed
to be and that he/she understands that the knowing and willful
request for or acquisition of a record pertaining to an individual
under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person.
If a request for notification is submitted by mail, an individual
must include a notarized request to SSA to verify his/her identity or
must certify in the request that he/she is the person claimed to be
and that he/she understands that the knowing and willful request for
or acquisition of a record pertaining to an individual under false
pretenses is a criminal offense.
These procedures are in accordance with SSA Regulations 20 CFR
401.50.
Record access procedures:
Same as notification procedures. Requester should also reasonably
specify the record contents being sought. These procedures are in
accordance with SSA Regulations 20 CFR 401.50.
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting, and state the corrective actions sought and the reasons
for the correction with supporting justification showing how the
record is untimely, incomplete, inaccurate, or irrelevant. These
procedures are in accordance with SSA Regulations 20 CFR 401.65.
Record source categories:
Data for the system are obtained primarily from individual
claimants/beneficiaries (or the their representative payees if
applicable) who claim benefits under title VIII. Records in this
system may also be derived in part from other SSA systems of records
(e.g. Claims Folder System, (09-60-0089) and the Supplemental
Security Income Record, (09-60-0103)).
Systems exempted from certain provisions of the Act:
None.
60-0276
System name:
Social Security Administration's (SSA) Talking and Listening to
Customers (TLC).
Security classification:
None.
System location:
Social Security Administration, Office of Customer Service
Integration, Room 938 Altmeyer Building, 6401 Security Boulevard,
Baltimore, Maryland 21235.
Categories of individuals covered by the system:
Any SSA customer (individual or entity who is directly served by
a department or agency), which includes the general public and Social
Security claimants/beneficiaries who provide feedback via complaints,
compliments, or suggestions to SSA.
Categories of records in the system:
The information maintained in this system of records includes
identifying information such as the customer's name, Social Security
number (SSN), Employer Identification Number (EIN) and/or Claim
Number, telephone number, and address, if given by the individual.
Also, information concerning the content and disposition of
customers' compliments, complaints, or suggestions will be maintained
in the system.
Authority for maintenance of the system:
Executive Order 12862, ``Setting Customer Service Standards.''
Purpose(s):
The TLC system will capture information our customers provide
concerning complaints, compliments and/or suggestions about SSA
programs, policy, laws, and service. We will use data from the TLC
system to support SSA's business planning, policy development,
communication strategies, and operational and service enhancements.
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. Disclosure to the Office of the President for the purpose of
responding to an individual pursuant to an inquiry from that office
made at the request of the subject of a record.
2. Disclosure to a Congressional Office in response to an inquiry
from that office made at the request of the subject of a record.
3. Disclosure to student volunteers and other workers, who 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.
4. Disclosure to contractors and other Federal agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of a 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 (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by
NARA Act of 1984, for the use of those agencies in conducting records
management studies.
Policies and practices for storing, retrieving, safeguarding,
retaining, and disposing of records in the system:
Storage:
Data are stored in electronic and paper form.
Retrievability:
Records in this system are indexed and retrieved by Name, SSN,
EIN and/or Claim Number.
Safeguards:
Security measures include the use of access codes to enter the
database and the storage of the electronic records in secured areas
which are accessible only to employees who require the information in
performing their official duties. The paper records that result from
the electronic site are kept in locked cabinets or in otherwise
secure areas. SSA contractor personnel having access to data in the
system of records are required to adhere to SSA rules concerning
safeguards, access, and use of the data. They also are informed of
the criminal penalties of the Privacy Act for unauthorized access to
or disclosure of information maintained in this system of records.
Retention and disposal:
The TLC tracking and management information maintained in this
system are retained indefinitely or until it is determined that they
are no longer needed. Means of disposal is appropriate to storage
medium (e.g., deletion of individual records from the electronic site
when appropriate, or shredding of paper records, etc.).
System manager(s) and address:
Social Security Administration, Office of Systems, Office of
Information Management, Room 3420 West High Rise Building, 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 Systems Manager at the above address
and providing his/her SSN, EIN and/or Claim Number, or other
information that may be in the system of records that will identify
him/her. An individual requesting notification of records in person
should provide the same information, as well as provide an identity
document, preferably with a photograph, such as a driver's license or
some other means of identification, such as a voter registration
card, credit card, etc. If an individual does not have any
identification document sufficient to establish his/her identity, the
individual must certify in writing that he/she is the person he/she
claims to be and that he/she understands that the knowing and willful
request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that is
contained in the record to which notification is being requested. If
we determine that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
on behalf of another individual and has the consent of subject
individual, he/she must be able to provide his/her name, SSN,
address, date of birth, and place of birth, along with one other
piece of information such as mother's maiden name.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person he/she
claims to be and that he/she understands that the knowing and willful
request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense.
These procedures are in accordance with SSA Regulations 20 CFR
401.45 and 401.50.
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations 20 CFR 401.40 to 401.50.
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting, state the corrective action sought, and the reasons for
the correction with supporting justification showing how the record
is untimely, incomplete, inaccurate, or irrelevant. These procedures
are in accordance with SSA Regulations 20 CFR 401.65.
Record source categories:
Data for the system are obtained primarily from the individuals
to whom the record pertains.
Systems exempted from certain provisions of the Act:
None.
60-0273
System name:
Social Security Title VIII Special Veterans Benefits Claims
Development and Management Information System, SSA/RO/San Francisco.
Security classification:
None.
System location:
Social Security Administration, San Francisco Regional Office,
Center for Infrastructure, Systems Support Staff, Frank Hagel Federal
Building, 1221 Nevin Ave., Richmond, California 94801.
Categories of individuals covered by the system:
All applicants and beneficiaries for SVB under title VIII of the
Social Security Act (Act). Records also contain information on
applicants whose claims been denied.
Categories of records in the system:
The information maintained in this system of records is collected
from the applicants for title VIII SVB and other systems of records
maintained by SSA. The information maintained includes: Identifying
information such as the applicant's name, Social Security number
(SSN) and date of birth (DOB); telephone number (if any); foreign and
domestic addresses; the applicant's sex; applicant relative to his or
her entitlement for SVB.
In cases where an applicant's claim for SVB is denied, this
system of records includes the denial reason and date and information
relative to the appellate process.
There are also a number of data elements in the proposed system
pertinent to the beneficiary's continued eligibility. These incode
payment, foreign residence information and other elements that help
regional and local offices maintain the tracking and management
information required to administer the title VIII program efficently.
-
If the beneficiary has a representative payee, this system of
records includes data about the representative payee such as the
payee's SSN; identification number, if applicable; mailing address/
residence address; DOB; and place of birth.
Authority for maintenance of the system:
Title VIII of the Social Security Act, Special Benefits for
Certain World War II Veterans.
Purpose(s):
All information in this system of records is maintained under the
claimant/beneficiary's name and SSN. The system of records is
designed to permit electronic entry and retrieval of claims
development and tracking and management information about title VIII
SVB claims. This electronic record contains data applicable to the
special veterans' eligibility to title VIII SVB and facilitates
efforts to control and track this workload from the initial inquiry
and application to further development. The system of records also
maintains information about the inplementation of title VIII to
permit allocation of resources, budget projection and workload
management. The information contained in this system of records will
be centralized on a website allowing access by the regional and field
offices to nationally consolidated data.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures 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, informaiton relating to the
individual's capability to manage his/her affairs or his/her
eligibility for or entitlement to benefits under the Social Security
program when:
a. The individual is unable to provide information being sought.
An individual is considered to be unable to provide certain types of
information when:
(i) He/she is incapable of questional mental capability;
(ii) He/she cannot read or write;
(iii) He/she cannot afford the cost of obtaining the information;
(iv) He/she has a hearing impairment, and is contacting SSA by
telephone through a telecommunications relay system operator;
(v) A language barrier exists; or
(vi) The custodian of the information will not, as a matter of
policy, provide it to the individual; or
(b) The data are needed to establish the validity of evidence or
to verify the accuracy of information presented by the individual,
and it concerns on or more of the following:
(i) His/her eligibility for benefits under the Social Security
program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a
result of suspected abuse or fraud, concern for program integrity, or
for quality appraisal, or evaluation and measurement activities.
2. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or from a third party on his or her behalf.
3. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
4. To a DOJ, a court or other tribunal (either foreign or
domestic), or another party before such tribunal when,
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by
DOJ, the court, or other tribunal is relevant and necessary to the
litigation, provided, however, that such disclosure is compatible
with the purpose for which the records were collected.
5. To student volunteers and other workers, who technicallydo not
have the status of Federal employees, when they are performing work
for SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
6. Disclosure to Federal, State, local, or foreign agencies (or
agents acting on their behalf) for administrating Social Security
affairs under the Act, including but not limited to the title VIII
SVB.
7. Disclosure to the Department of Veterans Affairs (DVA),
Philippines Regional Office and its agents, for administering Social
Security title VIII SVB for applicants residing in the Philippines.
8. To the Department of State and its agents for administering
the Act in foreign countries through services and facilitates of that
agency.
9. To the American Institute of Taiwan and its agents for
administering the Act in Taiwan through services and facilities of
that agency.
10. To the Department of Interior and its agents for
administering the Act in the Northern Mariana Islands through
services and facilities of that agency.
11. To representative payees, when the information pertains to
individuals for whom they serve as representative payees, for the
purpose of assisting SSA in administering its representative payment
responsibilities under title VIII and assisting the representative
payees in performing their duties as payees, including receiving and
accounting for benefits for individuals for whom they serve as
payees.
12. Disclosure to contractors, as necessary, for the purpose of
assisting SSA in the efficiet administration of its progrms.
13. Nontax return information whcih is not restricted from
disclosure by federal law may be disclosed to GSA and NARA for the
purpose of conducting records management studies with respect to
their duties and responsibilities under 44 U.S.C. 2904 and 2906, as
amended by NARA Act of 1984.
14. To third party contacts (including private collection
agencies under contact with SSA) for the purpose of their assisting
SSA in recovering overpayments.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:.
Storage:
Data are stored in electronic and paper form.
Retrievability:
Records in this system are indexed and retrieved both numerically
by SSN and alphabetically by name.
Safeguards:
This system of records is a data base that is accessible via an
SSA intranet website. Security measures include the use of access
codes to enter the data base, and storage of the electronic records
in secured areas which are accessible only to employees who require
the information in performing their official duties. The paper
records that result from the electronic site are kept in locked
cabinets or in otherwise secure areas. SSA, foreign site and
contractor personnel having access, and use of the data. They also
are informed of the criminal penalties of the Privacy Act for
unauthorized access to or disclosure of information maintained in
this system of records.
Retention and disposal:
Claims development and tracking and management information
maintained in this system are retained indefinitely or when it is
determined that they are no longer needed. Means of disposal is
appripirate to storage mediun (e.g., deletion of individual records
from the electronic site when appropriate or shredding of paper
record that are produced from the sytem).
System manager(s) and address:
Social Security Administration, San Francisco Regional Office,
Center for Infrastructure, Manager, systems Support Staff, Frank
Hagel Federal Building, 1221 Nevin Ave., Richmond, California 94801.
Notification procedure:
An individual can determine if this system contains a records
about him/her by writing to the system manager at the above address
and providing his/her name, address and SSN. An individual requesting
notification of records in oerson need not provide any special
documents of identity. Documents he/she would normally carry on his/
her person would be sufficient (e.g. credit cards, drivers license or
voter registration card.) If an individual does not have
identification papers sufficient to establish his/her identity, that
he/she is the person clamed tobe and that he/she understands that the
knowing and willful request for or acquisition of a record pertaining
to an individual under false pretenses is a criminal offense.
If notification is requested by telephone, an individual must
berify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person.
If a request for notification is submitted by mail, an individual
must include a notarized request to SSA to verify his/her identity or
must certify in the request that he/she is the person claimed to be
and the he/she understands that the knowing and willful request for
or acquisition of a record pertaining to an individual under false
pretenses is a criminal offense.
These procedures are in accordance with SSA Regulations 20 CFR
401.50.
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting, and state the corrective action sought and the reasons
for the correction with supporting justification showing how the
record is untimely, incomplete, inaccurate, or irrelevant. These
procedures are in accordance with SSA Regulations 20 CFR 401.65.
Record source categories:
Data for the system are obtained primarily from individual
claimants/beneficiaries (or their representative payees if
applicable) who claim benefits under title VIII. Records in this
system may also be deprived in part from other SSA systems of records
(e.g., Claims Folder System, (09-60-0089) and the Supplemental
Security Income Record (09-60-0103).
Systems exempted from certain provisions of the Act:
None.
60--0279
System name:
SSA's Mandate Against Red Tape (SMART) Program Records, SSA/COSS/
OCSI.
Security classification:
None.
System location:
Social Security Administration (SSA), Office of the Commissioner,
Office of Customer Service Integration (OCSI), 450 Altmeyer Building,
6401 Security Boulevard, Baltimore, Maryland 21235.
Categories of individuals covered by the system:
SSA employees who have made requests that the SSA eliminate and/
or set aside administrative directives, polices and procedures that
provide guidance for office operations, workflows and work processes
that have lost their usefulness and/or effectiveness. Such requests
for waivers of internal rules give employees real opportunities to
perform their jobs faster, better and cost effectively.
Categories of records in the system:
Requests, evaluations of requests, name and office address of
individual submitting the request and evaluating the request, other
identifying information such as employee's pay plan, employee's
series and grade, position title, organization/office, Social
Security number (SSN), timekeeper number, e-mail address, FAX number,
Internet address, and telephone number.
Authority for maintenance of the system:
42 U.S.C. 405A and 5 U.S.C. 301.
Purpose(s):
Records in this system are used to control, evaluate, approve and
adopt practices that effectively encourage innovation through
granting employees waivers from certain internal agency rules. These
records are maintained within the Office of the Commissioner, Office
of Customer Service Integration (OCSI) in SSA.
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. Disclosure to the Office of the President for the purpose of
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
2. Disclosure to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
3. Disclosure 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 party to litigation or has in 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.
4. Disclosure to student volunteers, individuals working under a
personal services contract, and other individuals performing
functions for SSA, but technically not having the status of Agency
employees, if they need access to the records in order to perform
their assigned Agency functions.
5. Disclosure to contractors and other Federal Agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of its programs.
6. Disclosure to the General Services Administration (GSA) and
the National Archives and Records Administration (NARA), which is not
expressly restricted by Federal law, 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 for Non-tax return information.
Polices and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained electronically and in paper form
(e.g., file folders) in locked file cabinets within OCSI.
Retrievability:
The records are indexed and retrieved by the SMART request number
assigned to the employee's request.
Safeguards:
This system of records is a data base that is accessible via an
SSA Intranet Website. Security measures include the use of access
codes to enter the data base, and storage of the electronic records
in secured areas which are accessible only to employees who require
the information in performing their official duties. The paper
records that result from the electronic site are kept in locked
cabinets or in otherwise secure areas. SSA, foreign site and
contractor personnel having access to data in the system of records
are required to adhere to SSA rules concerning safeguards, access,
and use of the data. They also are informed of the criminal penalties
of the Privacy Act for unauthorized access to or disclosure of
information maintained in this system of records.
Retention and disposal:
After final action to approve or deny a SMART request, it will be
maintained for at least 7 years, or when it is determined that they
are no longer needed, then destroyed in a manner appropriate to the
storage media.
System manager(s) and address:
Social Security Administration, Office of the Commissioner,
Manager, Office of Customer Service Integration, 450 Altmeyer
Building, 6401 Security Boulevard, Baltimore, Maryland 21235.
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. The requester should include his or her SMART request number
along with and any other identifying information that's listed on the
SMART Request Form.
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., employee
identification badge, credit card, driver's license, or voter
registration card). If an individual does not have identification
papers sufficient to establish his/her identify, that individual must
certify in writing that he/she is the person claimed to be and that
he/she understands that the knowing and willful request for or
acquisition or a record pertaining to an individual under false
pretenses, is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person.
If a request for notification is submitted via mail, an
individual must include a notarized request to SSA to verify his/her
identity, or must certify in the request that he/she is the person
claimed to be and that he/she understands that the knowing and
willful request for or acquisition of a record pertaining to an
individual under false pretenses is a criminal offense. These
procedures are in accordance with SSA Regulations (20 CFR 401.50).
Record access procedures:
Same as notification procedures. Requesters should also
reasonably specify the record contents being sought. These procedures
are in accordance with SSA Regulations (20 CFR 401.65).
Contesting record procedures:
Same as notification procedures. Also, requesters should
reasonably identify the record, specify the information they are
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 SSA Regulations (20 CFR 401.50).
Record source categories:
Incoming requests, responses, evaluations and other information
obtained during the course of deciding to adopt a request.
System exempted from certain provisions of the act:
None.
60-0280
System name:
SSA Administrative Sanctions Database.
Security classification:
None.
System location:
Social Security Administration, New York Regional Office,
Administrative Sanctions Coordinator, Room 4032, Federal Building, 26
Federal Plaza, New York, NY 10278.
Categories of individuals covered by the system:
All individuals for title II and title XVI benefits who may have
knowingly provided false or misleading statements for use in
determining eligibility for or the amount of benefits under title II
and title XVI.
Categories of records in the system:
The following types of records are maintained in this system of
records:
Information about the initial record setup:
Identification of the SSA regional office (RO) and field office (FO)
that initiated the record; identifying information about the suspect
such as name, Social Security number (SSN), date of birth, and
address; SSA program involved--title II or title XVI, or both; type
of claim event--postentitlement or initial claim; information
indicating whether the case is a sanctions case; date case referred
to the SSA Office of the Inspector General (OIG);
Information about the initial level sanctions
determination: The following data will be input by FOs and ROs:
(through intranet screens)--information indicating whether sanctions
will be imposed or deferred, whether the FO office is subject to
early information system review (EIS) or FO is no longer subject to
EIS review;
Information about immediate sanctions proposed: Data
such as the following will be input by the FO or RO--information
indicating whether a reconsideration was filed by the individual, the
date of the reconsideration and the date a reconsideration decision
was sent to the individual; if benefits were withheld, the amount
withheld, date of the suspension, iteration (1st, 2nd, 3rd or 3rd +)
the dates sanctions began and ended, date sent for End-of-Line
review, if appropriate, and results of End-of-Line Review; if the
individual requests a hearing, the date of the hearing, the hearing
decision, date the hearing decision sent to the individual; if a
decision is made to reinstate benefits, the date 60 day notice
received in FO for EIS review, the date of input to end sanctions and
the date sanctions are removed. If there is Appeals Council (AC)
action, the date of the AC decision, the AC decision (``A'' for
affirmed, ``R'' for reversed), and date the AC decision was sent to
individual.
Management Information: Data identifying savings to the
trust fund, general revenue and the state, realized through the
imposition of administrative sanctions and the amount of overpayments
incurred by individuals who gave false or misleading statements for
use in determining eligibility or benefit amount under title II or
title XVI.
Deferred Sanctions Proposed: Data such as the following
will be input by the FO when deferred sanctions have been proposed.
The data gathered is similar to but less extensive than cases where
immediate sanctions are proposed. Most notably, we will gather
appeals data but will not gather data on benefit withholding since
that action will take place at a later date. The data gathered will
indicate whether a reconsideration was filed, the date the
reconsideration was filed, date the reconsideration decision was sent
to the individual, the reconsideration decision; whether a hearing
request was filed, the date the hearing decision was sent to the
beneficiary, and the hearing decision; and date sanctions removed. If
there is Appeals Council (AC) action, the date of the AC decision,
the AC decision (``A'' for affirmed, ``R'' for reversed), and the
date the AC decision was sent to the individual.
Information developed by the SSA OIG: OIG case number;
date referred for administrative prosecution, whether such
prosecution was declined or accepted (``Y/N'' indicator), and date
such prosecution declined or accepted; date referred for civil
prosecution, whether civil prosecution was declined or accepted (``Y/
N'' indicator), and date civil prosecution declined or accepted; date
referred for civil monetary penalty (CMP), whether CMP declined (``Y/
N'' indicator), and date CMP declined/CMP imposed; date returned to
the SSA FO.
Authority for maintenance of the system:
Sec.1129A of the Social Security Act (42 U.S.C. 1320a-8).
Purpose(s):
Information in this system of records will be used by SSA to
investigate and take appropriate action against individuals suspected
of knowingly providing false or misleading information for use in
determining their right to benefits under Social Security title II
Old-Age, Survivors or Disability Insurance or title XVI Supplemental
Security Income benefits. Instances where individuals are suspected
of making false or misleading statements will be referred to the SSA
Office of the Inspector General (OIG) for investigation and
disposition. Information in the system of records will also be used
to produce management information data and reports providing
information such as:
Number of potential sanctions cases.
Average time from referral to return by OIG.
Number of cases found to be not sanctionable.
Number of cases prosecuted criminally.
Number of cases prosecuted civilly.
Number of cases where CMP was imposed.
Number of cases sanctioned (available by Region and FO
code).
Number of reconsiderations filed.
Number of reconsiderations affirmations.
Number of reconsiderations reversals.
Number sent for consistency review.
Number of hearings filed.
Number of hearing affirmations.
Number of hearing reversals.
Amount of benefits withheld--title II and title XVI.
Amount of overpayments incurred--title II and title XVI.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made for routine uses as indicated below:
1. Disclosure to the Office of the President for the purpose of
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
2. Disclosure to a congressional office in response to an inquiry
from that office made at the request of the subject of a record.
3. Information may be disclosed to student volunteers and other
workers, who technically do not have the status of Federal employees,
when they are performing work for SSA as authorized by law, and they
need access to personally identifiable information in SSA records in
order to perform their assigned Agency functions.
4. Disclosure to contractors and other Federal agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of its programs.
5. Nontax return information which is not restricted from
disclosure by federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. 2904 and 2906, as amended by
NARA Act of 1984, for the use of those agencies in conducting records
management studies.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Data are stored in electronic and paper form.
Retrievability:
Records in this system are by SSN and name of the individual.
Safeguards:
This system of records is a database that is accessible via an
SSA intranet website. Security measures include the use of access
codes to enter the database, and storage of the electronic records in
secured areas, which are accessible only to employees who require the
information in performing their official duties. The paper records
that result from the electronic site are kept in locked cabinets or
in otherwise secure areas. All SSA employees, including contractor
personnel, having access to data in the system of records are
required to adhere to SSA rules concerning safeguards, access, and
use of the data. They also are informed of the criminal penalties of
the Privacy Act for unauthorized access to or disclosure of
information maintained in this system of records.
Retention and disposal:
Claims development and tracking and management information
maintained in this system are retained indefinitely or when it is
determined that they are no longer needed. Means of disposal is
appropriate to storage medium (e.g., deletion of individual records
from the electronic site when appropriate or shedding of paper
records that are produced from the system).
System manager(s) and address:
Regional Commissioner, Social Security Administration, New York
Regional Office, Room 4032, Federal Building, 26 Federal Plaza, New
York, N.Y. 10278
Notification procedure:
Per 5 U.S.C. 552a(k)(2) the Agency is exempt from publishing
procedures whereby an individual can be notified at his/her request
if the system of records contains a record pertaining to him/her.
These procedures are in accordance with SSA Regulations (20 CFR
401.85).
Record access procedures:
Per 5 U.S.C. 552a(k)(2) the Agency is exempt from publishing
procedures whereby an individual can be notified at his/her request
how to gain access to any record pertaining to him/her contained in
this system of records. These procedures are in accordance with SSA
Regulations (20 CFR 401.85).
Contesting record procedures:
Per 5 U.S.C. 552a(k)(2), records in this system are exempt from
access by the individual named in this system of records. These
procedures are in accordance with SSA Regulations (20 CFR 401.85).
Record source categories:
Per 5 U.S.C. 552a(k)(2), the Agency is exempt from publishing the
record sources. These procedures are in accordance with SSA
Regulations (20 CFR 401.85).
Systems exempted from certain provisions of the Privacy Act:
Exemption of this system to the access provisions is claimed
under 5 U.S.C. 552a(k)(2) inasmuch as these records are investigatory
materials compiled for law enforcement purposes in anticipation of a
administrative proceeding. These procedures are in accordance with
SSA Regulations (20 CFR 401.85).
60-0295
System name:
Ticket-to-Work and Self-Sufficiency Program Payment Database.
Security classification:
None.
System location:
Social Security Administration, Office of Systems Operations,
6401 Security Boulevard, Baltimore, MD 21043.
Contractor Sites:
Addresses may be obtained by writing to the system manager(s) at
the address below.
Categories of individuals covered by the system:
All title II and title XVI disability beneficiaries who are
eligible to receive a Ticket under the Ticket-to-Work program and
individuals who have been placed on inactive status.
Categories of records in the system:
The information maintained in this system of records is collected
from title II and title XVI disability beneficiaries and from other
systems of records maintained by SSA. Specifically, it will contain
the beneficiaries' name, ticket number (which represents the SSN),
payments requested by and made to employment networks (ENs) for
specific beneficiaries under the Ticket Program. This information
will be housed under both the EN's employer identification number
(EIN) and each beneficiary's ticket number (SSN). Additional records
will include: Type, amount and date of the payments made, as well as
EN payment requests that are denied.
Authority for maintenance of the system:
Section 1148 of the Social Security Act.
Purpose(s):
Information in this system of records will be used by SSA to
implement and administer the Ticket-to-Work Program under section
1148 of the Act. Information in this system of records will also be
used to produce management information and program evaluation data
and reports providing such information as:
Number and classification of beneficiaries being served
by ENs.
Number and classification of beneficiaries with
increased work activity.
Classifications of ENs providing service.
Type of payments requested.
Amount of payments requested.
Type of payments made.
Amount of payments made.
Disposition of payment requests.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made for routine uses as indicated below.
However, disclosure of any information constituting ``returns or
return information'' within the scope of the Internal Revenue Code
(IRC) will not be disclosed unless disclosure is authorized by that
statute.
1. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or from a third party on his or her behalf.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
3. To 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.
4. Disclosure to contractors and other Federal agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of its programs.
5. Non-tax return information which is not restricted from
disclosure by federal law may be disclosed to the General Services
Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. Sec. 2904 and Sec. 2906, as
amended by NARA Act of 1984, for the use of those agencies in
conducting records management studies.
6. To the Department of Justice (DOJ), a court or other tribunal,
or another party before such tribunal when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components,
is a party to litigation or has an interest in such litigation,
and SSA determines that the use of such records by DOJ, the court, or
other tribunal is relevant and necessary to the litigation, provided,
however, that in each case, SSA determines that such disclosure is
compatible with the purpose for which the records were collected.
Wage and other information which are subject to the disclosure
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under
this routine use unless disclosure is expressly permitted by the IRC.
7. Information may be disclosed to State or private alternate
providers having an approved business arrangement with SSA to perform
vocational rehabilitation services for SSA disability beneficiaries
and recipients.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Data are stored in electronic and paper form.
Retrievability:
Records in this system are retrieved by name and SSN of the
beneficiary, the employer identification number and the name of the
employment network (EN).
Safeguards:
Only authorized SSA personnel who have a need for the information
in the performance of their official duties will be permitted access
to the information.
Security measures include the use of access codes to enter the
database and storage of the electronic records in secured areas that
are accessible only to employees who require the information in
performing their official duties. Any manually maintained records
will be kept in locked cabinets or in otherwise secure areas. Also,
all entrances and exits to SSA buildings and related facilities are
patrolled by security guards.
Contractor personnel having access to data in the systems of
records and contractor personnel involved in the evaluation of the
Ticket Program will be required to adhere to SSA rules concerning
safeguards, access and use of the data. Specifically, the contractor
will maintain the data in their data center, access to which will be
restricted to those with electronic proximity cards. Access to the
data files is further restricted by use of a three-tiered password
which allows access to: (1) The system; (2) the specific application;
and (3) the specific portion where the Ticket-to-Work and Self-
Sufficiency Program Payment Database is stored. Further, this data
will be stored on a secure server separate from other health benefit
information the contractor maintains.
Retention and disposal:
Payment and management information maintained in this system are
retained 10 years or until it is determined that they are no longer
needed. Means of disposal is appropriate to storage medium (e.g.,
deletion of individual records from the electronic site when
appropriate or shredding of paper records that are produced from the
system).
System manager(s) and address:
Associate Commissioner, Office of Systems Operations, 6401
Security Boulevard, Baltimore, MD 21235.
Notification procedure:
An individual can determine if this system contains a record
about him/her by writing to the systems manager(s) at the above
address and providing his/her name, SSN or other information that may
be in the system of records that will identify him/her. An individual
requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with
a photograph, such as a driver's license or some other means of
identification, such as a voter registration card, credit card, etc.
If an individual does not have any identification documents
sufficient to establish his/her identity, the individual must certify
in writing that he/she is the person claimed to be and that he/she
understands that the knowing and willful request for, or acquisition
of, a record pertaining to another individual under false pretenses
is a criminal offense.
If notification is requested by telephone, an individual must
verify his/her identity by providing identifying information that
parallels the record to which notification is being requested. If it
is determined that the identifying information provided by telephone
is insufficient, the individual will be required to submit a request
in writing or in person. If an individual is requesting information
by telephone on behalf of another individual, the subject individual
must be connected with SSA and the requesting individual in the same
phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth along
with one other piece of information such as mother's maiden name) and
ask for his/her consent in providing information to the requesting
individual.
If a request for notification is submitted by mail, an individual
must include a notarized statement to SSA to verify his/her identity
or must certify in the request that he/she is the person claimed to
be and that he/she understands that the knowing and willful request
for, or acquisition of, a record pertaining to another individual
under false pretenses is a criminal offense. These procedures are in
accordance with SSA Regulations (20 CFR 401.40).
Record access procedures:
Same as notification procedures. Requesters also should
reasonably specify the record contents they are seeking. These
procedures are in accordance to SSA Regulations (20 CFR 401.50).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are
contesting and state the corrective action sought and the reasons for
the correction with supporting justification showing how the record
is untimely, incomplete, inaccurate or irrelevant. These procedures
are in accordance with SSA Regulations (20 CFR 401.65).
Record source categories:
Data contained in the Ticket-to-Work Self-Sufficiency Program
Database are obtained from SSA, Employment Networks and Program
Managers. Records from this system are also derived from the
Supplemental Security Income Record and Special Veterans Benefits
(SVB), 60-0103, Master Beneficiary Record, 60-0090, and the Completed
Determination Record--Continuing Disability Determinations, 60-0050.
5Systems exempt from certain provisions of the Act:
None.
60-0300
System name:
Ticket-to-Work Program Manager (PM) Management Information
System.
Security classification:
None.
System location:
Applications Development, 1149 Sunset Hills Road, Reston,
Virginia 20190-5207
Categories of individuals covered by the system:
All title II and title XVI Social Security beneficiaries with
disabilities who are eligible to receive or have received a Ticket,
who are receiving services from Employment Networks (ENs), who have
been placed on inactive status, or who have had their Tickets
terminated.
Categories of records in the system:
The information maintained will consist of the title II or title
XVI beneficiary's name, Social Security number (SSN), date of birth,
telephone number (if any), addresses (foreign or domestic), sex,
association with a representative payee or legal guardian, as well as
the individual's disability type and the period of eligibility to a
disability benefit.
Also, information pertinent to the beneficiary's relationship
with an EN and status of ticket utilization will be maintained, e.g.,
the date the Ticket was mailed, the date the beneficiary assigned the
Ticket to an EN, the name and identifying information of the EN and
the date of the agreement between the beneficiary and EN, Individual
Work Plan (IWP) data, Ticket in/out of use status, employment
earnings data reported by the EN or by the beneficicary, (the EN will
obtain this information from the beneficiary), verified earnings data
(earnings data received by SSA from IRS is excluded under the
Internal Revenue Code), data on any dispute between the beneficiary
and any entity serving under the Ticket-to-Work Program, work review
data or timely progress data, and any data relative to suspension of
benefits (this information will be received from SSA).
Additional information will be added to the system of records for
each beneficiary as contact is made between him/her and the PM. This
data will include records of telephone and mail requests for
information.
Authority for maintenance of the system:
Section 1148 of the Social Security Act (42 U.S.C. 1320(b)(19)).
Purpose(s):
Information in this system of records will be used for management
information purposes associated with implementing, administering and
evaluating the Ticket Program. The PM will use this information to
fulfill their duties in assisting SSA in administering the Ticket
program. Information in this system will also be used to produce,
with the PM's assistance, management information data, program
evaluation data, and reports providing such information as:
Number and classification of beneficiaries being served
by ENs.
Number and classification of beneficiaries with
increased work activity.
Classifications of ENs providing service.
Status changes relating to the use of the ticket.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses.
Disclosures may be made for routine uses as indicated below.
However, disclosure of any information constituting ``returns or
return information'' within the scope of the Internal Revenue Code
(IRC) (26 U.S.C. 6103) will not be disclosed unless disclosure is
authorized by that statute.
1. To the Office of the President for the purpose of responding
to an individual pursuant to an inquiry received from that individual
or from a third party on his or her behalf.
2. To a congressional office in response to an inquiry from that
office made at the request of the subject of a record.
3. To 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.
4. Disclosure to contractors and other Federal agencies, as
necessary, for the purpose of assisting SSA in the efficient
administration of its programs relating to this system of records.
5. Non-tax 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 Management
(NARA) under 44 U.S.C. 2904 and 2906, as amended by NARA Act of 1984,
for the use of those agencies in conducting records management
studies.
6. To the Department of Justice (DOJ), a court, or other
tribunal, or other party before such tribunal, when:
(a) SSA, or any component thereof; or
(b) Any SSA employee in his/her official capacity; or
(c) Any SSA employee in his/her individual capacity where DOJ (or
SSA where it is authorized to do so) has agreed to represent the
employee; or
(d) The United States or any agency thereof where SSA determines
that the litigation is likely to affect the operations of SSA or any
of its components is party to litigation or has an interest in such
litigation, and SSA determines that the use of such records by DOJ, a
court, or other tribunal is relevant and necessary to the litigation,
provided, however, that in each case, SSA determines that such
disclosure is compatible with the purpose for which the records were
collected.
Wage and other information which are subject to the disclosure
provisions of the IRC (26 U.S.C. 6103) will not be disclosed under
this routine use unless disclosure is expressly permitted by the IRC.
7. Information may be disclosed to State or Employment Networks
having an approved business arrangement with SSA to perform
vocational rehabilitation services for SSA disability beneficiaries
and recipients.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system.
Storage:
Data are stored in electronic form, computer data systems and
paper form.
Retrievability:
Records in this system are retrieved by name and SSN of the
beneficiary.
Safeguards:
Only authorized SSA personnel and contractor personnel who have a
need for the information in their performance of their official
duties will be permitted access to the information in this system of
records.
Security measures include the use of access codes to enter the
computer systems and storage of the computerized records in secured
areas that are accessible only to employees who require the
information in performing their official duties. Any manually
maintained records will be kept in locked cabinets or in otherwise
secure areas. Also, all entrances and exits to the contractor Ticket-
to-Work Project Site buildings are controlled by card entry
(proximity) systems and receptionists. Contractor personnel having
access to data in the system of records and contractor personnel
involved in the evaluation of the Ticket Program will be required to
adhere to SSA rules concerning safeguards, access and use of the
data. SSA and PM personnel having access to the data on this system
will be informed of the criminal penalties of the Privacy Act for
unauthorized access to or disclosure of information maintained in
this system. See 5 U.S.C. 552a(i)(1). Further, this data will be
stored on a secure server separate from other health benefit
information the PM contractor maintains.
Retention and disposal:
Payment and management information maintained in this system are
retained 10 years or until it is determined that they are no longer
needed. Means of disposal is appropriate to storage medium (e.g.,
deletion of individual records from the electronic sites when
appropriate or shredding of paper records that are produced from the
system).
System manager(s) and address:
Associate Commissioner, Office of Disability and Income Security
Programs, Office of Employment Support Programs, 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 systems manager(s) at the above
address