[Federal Register Volume 63, Number 56 (Tuesday, March 24, 1998)]
[Notices]
[Pages 14165-14169]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-7579]
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SOCIAL SECURITY ADMINISTRATION
Privacy Act of 1974, as Amended; Altered System of Records and
Report of New Routine Use
AGENCY: Social Security Administration (SSA).
ACTION: Altered system of records and new routine use.
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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and
(11)), we are issuing public notice of our intent to alter an existing
system of records and establish a new routine use, both in the 09-60-
0058--Master Files of Social Security Number (SSN) Holders and SSN
Applications, SSA/OSR, system of records. (For convenience, we will
refer to this system of records as the SSN System.) The proposed
alteration and new routine use will allow SSA to obtain the SSNs of the
parents on applications for SSNs for individuals who have not attained
the age of 18 and to share that information with the Secretary of the
Treasury for the purpose of administering those sections of the
Internal Revenue Code of 1986 which grant tax benefits based on support
or residence of children. We are also making non-substantive
housekeeping changes in the notice.
We invite public comment on this publication.
DATES: We filed a report of an altered system of records and proposed
new routine use with the Chairman, Committee on Government Reform and
Oversight of the House of Representatives; the Chairman, Committee on
Governmental Affairs of the Senate; and the Administrator, Office of
Information and Regulatory Affairs, Office of Management and Budget on
March 9, 1998. The routine use will become effective as proposed,
without further notice May 4, 1998, unless we receive comments on or
before that date that result in a contrary determination.
ADDRESSES: Interested individuals may comment on this publication by
writing to the SSA Privacy Officer, Social Security Administration,
Room 3-A-6 Operations Building, 6401 Security Boulevard, Baltimore,
Maryland 21235. Comments may be faxed to (410) 966-0869. All comments
received will be available for public inspection at that address.
FOR FURTHER INFORMATION CONTACT: Mr. Michael Walker, Social Insurance
Specialist, Office of Disclosure Policy, Social Security
Administration, 3-C-1 Operations Building, 6401 Security Boulevard,
Baltimore, Maryland 21235, telephone 410-965-8525.
SUPPLEMENTARY INFORMATION:
A. Discussion of the Alteration and the Proposed New Routine Use
Section 1090(b) of the Taxpayer Relief Act of 1997, Pub. L. 105-34,
amends section 205(c)(2)(B)(ii) of the Social Security Act, which
imposes a duty on the Commissioner of Social Security to require of
applicants for an SSN such evidence as may be necessary to establish
the age, citizenship, or alien status, and true identity of such
applicants. ``Such evidence'', for applications for SSNs for
individuals who have not attained the age of 18, ``shall include the
information described in'' section 205(c)(2)(C)(ii). That information
is the SSNs of the parents.
In addition, section 205(c)(2)(C)(ii) requires each parent to
furnish to a State (or political subdivision) the parent's SSN (or SSNs
if there is more than one) for the purpose of issuing a birth
certificate, unless the State, in accordance with regulations issued by
the Commissioner of Social Security, finds good cause for not requiring
the parents to furnish their SSNs. Section 1090(b) requires the States
to make those parents' SSNs available to the Commissioner of Social
Security. The Commissioner is required to share the parents SSNs,
obtained under sections 205(c)(2)(B)(ii) and (C)(ii), with the
Secretary of the Treasury for the purpose of administering those
sections of the Internal Revenue Code of 1986 which grant tax benefits
based on support or residence of children.
Categories of records currently collected in the SSN system include
name, date and place of birth, sex, both parents' names, and race/
ethnic data but does not include the SSNs of parents provided on
applications of individuals who have not attained the age of 18. In
response to the requirements of the Taxpayer Relief Act of 1997, we
propose to alter the categories of records in the system to include the
SSNs of parents provided on applications for SSNs of individuals who
have not attained the age of 18.
We are also altering our statement of purpose for the collection of
information to recognize that we collect the parents' SSNs for two
reasons:
1. As evidence with respect to an application for an SSN for an
individual who has not attained the age of 18, and
2. In order to share parents' SSNs with 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.
We are also proposing to add a routine use to the SSN system of
records allowing disclosure of the SSNs of parents provided on
applications for SSNs of individuals who have not attained the age of
18 to the Secretary of the Treasury for the purpose of administering
those sections of the
[[Page 14166]]
Internal Revenue Code of 1986 which grant tax benefits based on support
or residence of children. The routine use will read that disclosures
will be made:
8(c) To the Secretary of the Treasury for the purpose of
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. 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.
A notice of the SSN system, to which the routine use will apply,
was last published in the Federal Register at 61 FR 33791, June 28,
1996.
B. Compatibility of Proposed Routine Use
We are proposing the new routine use discussed above in accordance
with the Privacy Act (5 U.S.C. 552a(a)(7), (b)(3), (e)(4) and (e)(11))
and our disclosure regulation (20 CFR part 401).
The Privacy Act permits us to disclose information about
individuals without their consent for a routine use, i.e., where the
information will be used for a purpose that is compatible with the
purpose for which we collected the information. Consistent with the
Privacy Act, under 20 CFR 401.150 we may disclose information under a
routine use for administering our programs, or for administering
similar programs of other agencies. In addition, our regulation at 20
CFR 401.120, provides that we disclose information when a law
specifically requires it. The Taxpayer Relief Act of 1997, Pub. L. 105-
34, specifically requires disclosure of the information at issue to the
Secretary of the Treasury. Therefore, we find that disclosing the SSNs
of parents of applicants for SSNs who have not attained the age of 18
serves purposes that are deemed to be compatible with purposes for
which SSA collects the information and meets the criteria of the
Privacy Act and the regulation for establishment of a routine use.
C. Effect of the Proposal on Individual Rights
As discussed above, the proposed system alterations and new routine
use will permit SSA to disclose the parents' SSNs at issue to the
Secretary of the Treasury for administering those sections of the
Internal Revenue Code of 1986 which grant tax benefits based on support
or residence of children.
While disclosure will have some impact on the privacy of
individuals, (the SSNs of the parents will be known to the Social
Security Administration and the Department of the Treasury) the
Treasury will be better able to administer certain parts of the tax
code. SSA will follow all statutory and regulatory requirements for
disclosure. Thus, we do not anticipate that the disclosure will have
any unwarranted effect on the privacy or other rights of individuals.
Dated: March 9, 1998.
Kenneth S. Apfel,
Commissioner of Social Security.
09-60-0058
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. Secs. 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
[[Page 14167]]
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 were
collected.
Wage and other information that is subject to disclosure provisions
of the IRC will not be disclosed under this routine use unless
disclosure is expressly permitted by the IRC.
18. To State audit agencies for auditing State supplementation
payments and Medicaid eligibility considerations.
19. To the Social Security agency of a foreign country, to carry
out the purpose of an international Social Security agreement entered
into between the United States and the other country, pursuant to
section 233 of the Act.
20. To Federal, State, or local agencies (or agents on their
behalf) for the purpose of validating SSNs used in administering cash
or noncash income maintenance programs or health maintenance programs
(including programs under the Act).
21. To third party contacts when the party to be contacted has, or
is expected to have, information which will verify documents when SSA
is unable to determine if such documents are authentic.
22. Upon request, information on the identity and location of
aliens may be disclosed to the DOJ, Criminal Division, Office of
Special Investigations, for the purpose of detecting, investigating,
and, when appropriate, taking legal action against suspected Nazi war
criminals in the United States.
23. To the Selective Service System for the purpose of enforcing
draft registration pursuant to the provisions of the Military Selective
Service Act (50 U.S.C. App. 462, as amended by section 916 of Pub. L.
97-86).
24. To contractors and other Federal agencies, as necessary, for
the purpose of assisting SSA in the efficient administration of its
programs. We contemplate disclosing information under this routine use
only in situations in which SSA may enter into a contractual or similar
agreement with a
[[Page 14168]]
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. To student volunteers and other workers, who technically do not
have the status of Federal employees, when they are performing work for
SSA as authorized by law, and they need access to personally
identifiable information in SSA records in order to perform their
assigned Agency functions.
31. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, information necessary:
(a) To enable them to protect the safety of SSA employees and
customers, the security of the SSA workplace and the operation of SSA
facilities, or
(b) To assist investigations or prosecutions with respect to
activities that affect such safety and security or activities that
disrupt the operation of SSA facilities.
32. Corrections to information that resulted in erroneous inclusion
of individuals in the Death Master File (DMF) may be disclosed to
recipients of erroneous DMF information.
33. 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.
34. 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.
35. 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.
36. 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.
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.
[[Page 14169]]
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 EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
None.
[FR Doc. 98-7579 Filed 3-23-98; 8:45 am]
BILLING CODE 4190-29-P
