Effective Date: January 11, 2006
(71 F.R. 1826)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY
THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0090
System name:
Master
Beneficiary Record, Social Security Administration, Deputy Commissioner for
Systems, Office of Retirement and Survivors Insurance Systems (ORSIS).
Security classification:
None.
System Location:
Social Security Administration
Office
of Telecommunications and Systems Operations
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 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 SSNs, 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 (42
U.S.C. 402-405, 423, 426, 428, 1395i-2, 1395o, and 1395s).
Purposes(s):
Data in this
system are used by a broad range of Social Security Administration (SSA)
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 defined as ``return or return information'' under 26 U.S.C. 6103 of
the Internal Revenue Code will not be disclosed unless authorized by a statute,
the Internal Revenue
Service (IRS), or IRS regulations.
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 the Social Security Administration 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 the Social Security Administration'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 Social
Security Act (including Social Security number 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 Social Security 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 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 Social Security Act in foreign countries through services and
facilities of that agency.
9. To the American Institute, a private
corporation under contract to the Department of State, for administering the
Social Security Act on Taiwan through facilities and services of that agency.
10. To the Department of Veterans Affairs,
Regional Office, Manila, Philippines, for administering the Act in the
Philippines and other parts of the Asia-Pacific region through the services and
facilities of that agency.
11. To the Social Security Agency of a
foreign country, to carry out the purpose of an international Social Security
agreement entered into between the
12. 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.
13. To the Department of Education for
determining eligibility of applicants for basic educational opportunity grants.
14. 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.
15. To the Department of the Treasury,
Office of Tax Analysis, for studying the effects of income taxes and taxes on
earnings.
16. To the Office of Personnel Management
for the study of the relationship of civil service annuities to minimum Social
Security benefits, and the effects on the Social Security trust fund.
17. To State Social Security Administrators
for administering agreements pursuant to section 218 of the Social Security
Act.
18. 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).
19. To contractors under contract to the
Social Security Administration (SSA), or under contract to another agency with
funds provided by SSA, for the performance of research and statistical
activities directly relating to this system of records.
20. To a congressional office in response
to an inquiry from that office made at the request of the subject of a record.
21. To the Department of Labor for
conducting statistical studies of the relationship of private pensions and
Social Security benefits to prior earnings.
22. To a party named in an order, process,
or interrogatory, in accordance with section 459 of the Social Security Act, if
a designee of the Agency is served with any such order, process, or
interrogatory with respect to an individual's child support or alimony payment
obligations.
23. To Federal, State, or local agencies
(or agents on their behalf) for administering 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) Railroad Retirement Board 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) Department of Veterans Affairs 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 Social Security Act requiring information about assigned
Social Security numbers 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.
24. To the Department of Justice, Criminal
Division, Office of Special Investigations, upon receipt of a request for
information pertaining to the identity and location of aliens for the purpose
of detecting, investigating and, where appropriate, taking legal action against
suspected Nazi war criminals in the United States.
25. To third party contacts such as private
collection agencies and credit reporting agencies under contract with the
Social Security Administration (SSA) and State motor vehicle agencies for the
purpose of their assisting SSA in recovering overpayments.
26. To contractors and other Federal
agencies, as necessary, for the purpose of assisting the Social Security
Administration (SSA) in the efficient administration of its programs. We will
disclose 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.
27. To the General Services Administration
and the National Archives Records Administration (NARA) under 44 U.S.C. 2904
and 2906, as amended by the NARA Act of 1984, information which is not
restricted from disclosure by Federal law for the use of those agencies in
conducting records management studies.
28. To the Federal Reserve Bank of
29. To the Department of Justice (DOJ), a
court or other tribunal, or another party before such tribunal when:
(a) Social Security Administration (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.
30. 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 Social Security numbers).
31. To the Department of Education
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) as authorized by section 489A of the
Higher Education Act of 1965.
32. To student volunteers, individuals
working under a personal services contract, and other workers who technically
do not have the status of Federal employees, when they are performing work for
the Social Security Administration (SSA), as authorized by law, and they need
access to personally identifiable information in SSA records in order to
perform their assigned Agency functions.
33. 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
Social Security Administration (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 disrupts the operation of SSA facilities.
34. To recipients
of erroneous Death Master File (DMF) information, corrections to information
that resulted in erroneous inclusion of individuals in the DMF.
35. To entities conducting epidemiological
or similar research projects, upon request, information as to whether an
individual is alive or deceased pursuant to section 1106(d) of the Social
Security Act (42 U.S.C. 1306(d)), provided that:
(a) The Social Security Administration
(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.
36. 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 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 the Social Security Administration (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:
(1) Under emergency circumstances affecting
the health and safety of any individual, following written authorization from
SSA;
(2) 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.
37. To the Secretary of Health and Human
Services or to any State, the Commissioner shall disclose any record or
information requested in writing by the Secretary 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 and Program Improvements Act of 1994.
38. We
may disclose information to appropriate Federal, State, and local agencies,
entities, and persons when (1) we suspect or confirm that the security or
confidentiality of information in this system of records has been compromised;
(2) we determine that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or
programs of SSA that rely upon the compromised information; and (3) we
determine that disclosing the information to such agencies, entities, and
persons is necessary to assist in our efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm. SSA will use
this routine use to respond only to those incidents involving an unintentional
release of its records.
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, Public Law 103-387, 42 U.S.C. 404(f). 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 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) has been followed.
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. Access http://www.socialsecurity.gov/foia/bluebook/app_g.htm for additional
information relating to SSA data security measures.
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(es):
Associate Commissioner
Office of Retirement and Survivors
Insurance Systems
Social
Security Administration
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.
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 information in 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(c)).
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 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 are furnished by
the claimant/beneficiary at the time of filing for benefits, via the
application form and necessary proofs, and during the period of entitlement
when notices of events such as changes of address, work, marriage, are given to
SSA by the beneficiary; and from States regarding Hospital Insurance third
party premium payment/buy-in cases.
Systems exempted from certain provisions of the Privacy Act:
None.