System of Records Notices

Claims Development Record, SSA/RO

Effective 10/18/94 (59 FR 52309)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY
THE PRIVACY ACT OF 1974
60-0066

System name: Claims Development
Record, SSA/RO.
Security classification:
None.

System location:
Social Security field offices (see Appendix E 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 BL program.

Categories of records in the system:
The file contains the names, addresses, and SSNs of the individuals. It also contains
development notes concerning the request and receipt of documents required for a claim for
benefits. Benefit amounts and dates of entitlement may also be displayed.

Authority for maintenance of the system:
Section 205(a) of the 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:
1. To a congressional office in response to an inquiry from the office made on behalf of the
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Claims Development Record, SSA/RO

subject of a record.
2. 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.
3. To DOJ, a court or other tribunal, or another party before such tribunal when:
SSA, any component thereof; or
any SSA employee in his/her official capacity; or
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
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.
4. 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.
5. To Federal, State, and local law enforcement agencies and private security contractors,
as appropriate, information necessary.
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
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 stored on paper forms (8 x 10 1/2 cards) filed in standard file cabinets.
However, records also may be maintained in magnetic media (e.g., on disc, microcomputer).

Retrievability:

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Claims Development Record, SSA/RO

Records are retrieved by name and SSN.

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 G to this publication for additional information relating
to safeguards SSA 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:
See Appendix H for address information.

Notification procedures:
An individual can determine if this system contains a record about him/her by contacting the
most convenient Social Security field office (see Appendix E.1 for address and telephone
information) and providing 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, driver's license, or voter registration card). An individual
requesting notification via mail or telephone must furnish a minimum of his/her name, date
of birth, and address in order to establish identity, plus any additional information specified in
this section. These procedures are in accordance with HHS Regulations 45 CFR Part 5b.

Record access procedures:
Same as notification procedures. Requesters 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 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:

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Claims Development Record, SSA/RO

Applicants, Social Security beneficiaries, SSI recipients, inquirers and third parties.

Systems exempted from certain provisions of the
Privacy Act:
None.

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Effective Date: April 1, 2003

Effective Date: April 1, 2003
(68 F.R. 15784)

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS
REQUIRED BY THE PRIVACY ACT OF 1974
System number: 60-0089
System name:
Claims Folders Systems, 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). 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 Operations
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
P.O. Box 7000
Wilkes-Barre, PA 18703
Retirement and Survivors Insurance (RSI) claims folders are maintained primarily in the

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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 over age 54 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 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 claimant’s 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 claim folder contains the name and Social Security number of the claimant or
potential claimant; the application for benefits; earnings record information established and
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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 claim folder also may contain data collected as a result of inquiries or complaints,
and evaluation and measurement studies of the effectiveness of claims policies. Separate
files may be maintained of certain actions which are entered directly into the computer
processes. These relate to reports of changes of address, work status, and other
post-adjudicative reports. Separate files also temporarily may be maintained for the purpose
of resolving problem cases. Separate abstracts also are maintained for statistical purposes
(i.e., disallowances, technical denials, and demographic and statistical information relating to
disability decisions).

Authority for maintenance of the system:
Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, and 1840 (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 claim 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 and Special Veterans Benefits, 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, 09-70-0522 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

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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 “returns 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)
(ii)

He/she is incapable or of questionable mental capability;
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)
program;
(ii)

His/her eligibility for benefits under the Social Security

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.
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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 Secretary, 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
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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.
employment.

To RRB for administering provisions of the Act relating to railroad

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 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

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Effective Date: April 1, 2003

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

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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 section 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

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determines that such disclosure is compatible with the purpose for which the records were
collected.
Disclosure of any information defined as “returns 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 disrupts the operation of SSA
facilities.
35.
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 purposes 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.

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).

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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 period for claims folders are as follows:
A. RSI Claims Folders
Folders for disallowed life and death claims, withdrawals, and lump-sum claims in which
potential entitlements exist are transferred to the 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.

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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:
SSA Privacy Officer
Office of the General Counsel
Office of Public Disclosure
Social Security Administration
6401 Security Boulevard
Baltimore, Maryland 21235

Notification procedures:
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

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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 C.F.R. § 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 like 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 C.F.R. § 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 C.F.R. § 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
C.F.R. §§ 401.40(c) and 401.55).

Contesting record procedures:

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Effective Date: April 1, 2003

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

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

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
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 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

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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
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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:
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(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 United States and the other
country, pursuant to section 233 of the Social Security Act.
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.
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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.

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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 New York for the purpose of making direct
deposit/electronic funds transfer of Social Security benefits to foreign-resident beneficiaries.
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
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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:

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(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.

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.
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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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?
from=leavingFR.html&log=linklog&to=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
6401 Security Boulevard
Baltimore, MD 21235

Notification procedures:

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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:

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None.

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