Sorn 60-0089

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 postadjudicative 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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Effective Date: April 1, 2003

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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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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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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