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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

Effective Date: January 11, 2006
(71 F.R. 1819)

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS
REQUIRED BY THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0059
System Name:
Earnings Recording and Self-Employment Income System, Social Security Administration,
Office of Systems.

Security classification:
None.

System Location:
Social Security Administration
Office of Systems
6401 Security Boulevard
Baltimore, Maryland 21235
Social Security Administration
Office of Earnings, Enumerations and Administrative Systems
6401 Security Boulevard
Baltimore, Maryland 21235
Social Security Administration
Office of Central Operations, Metro West Building
300 North Greene Street
Baltimore, Maryland 21201
Records also may be located at contractor sites and in Social Security Administration (SSA)
program service centers (PSC) (contact the system manager at the address below for
contractor and PSC addresses).

Categories of individuals covered by the system:
This system contains information about individuals who have been issued a Social Security
number (SSN) and who may or may not have earnings under Social Security; or any person

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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

requesting, reporting, changing and/or inquiring about earnings information; or any person
affected by the Coal Industry Retiree Health Benefit Act of 1992; or any person having a
vested interest in a private pension fund.

Categories of in the system:
This system contains records of every SSN holder, his/her name, date of birth, sex, and
race/ethnic data and a summary of his/her yearly earnings and quarters of coverage; special
employment codes (i.e., self-employment, military, agriculture, and railroad); benefit status
information; employer identification (i.e., employer identification numbers and pension plan
numbers); minister waiver forms (i.e., forms filed by the clergy for the election or waiver of
coverage under the Social Security Act); correspondence received from individuals pertaining
to the above-mentioned items; the replies to such correspondence; information about miners
and their families needed to administer the Coal Industry Retiree Health Benefit Act of 1992
and pension plan information (i.e., nature, form, and amount of vested benefits); and
information about the period during which an employee or self-employed person is exempt
from coverage and taxes under the social security system of a foreign country as a result of a
Social Security agreement between the United States and that foreign country.

Authority for maintenance of the system:
Sections 205(a) and 205(c)(2) and 233 of the Social Security Act (42 U.S.C. 405 and
433), the Federal Records Act of 1950 (64 Stat. 583), and the Employee Retirement Income
Security Act of 1974 (Pub. L. 93-406), and the Coal Industry Retiree Health Benefit Act of
1992 (Pub. L. 102-486, 106 Stat. 2776).

Purpose(s):
This system is used for the following purposes:
As a primary working record file of all SSN holders;
As a quarterly record detail file to provide full data in wage investigation cases;
To provide information for determining amount of benefits;
To record all incorrect or incomplete earnings items;
To reinstate incorrectly or incompletely reported earnings items;
To record the latest employer of a wage earner;
For statistical studies;
For identification of possible overpayments of benefits;
For identification of individuals entitled to additional benefits;
To provide information to employers/former employers for correcting or reconstructing
earnings records and for Social Security tax purposes;
To provide workers and self-employed individuals with earnings statements or quarters of
coverage statements;
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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

To provide information to SSA's Office of the Inspector General for auditing benefit
payments under Social Security programs;
To provide information to the National Institute for Occupational Safety and Health for
epidemiological research studies required by the Occupational Health and Safety Act of 1974;
To assist SSA in responding to general inquiries about Social Security, including earnings
or adjustments to earnings, and in preparing responses to subsequent inquiries;
To store minister waivers, thus preventing erroneous payment of Social Security benefits;
To make assignments of responsibility for paying premiums and to perform other
functions under the Coal Industry Retiree Health Benefit Act of 1992;
To issue certificates of coverage forms for United States citizens and residents who
qualify for a foreign coverage exemption under the terms of a Social Security agreement
between the United States and another country;
To determine whether an individual who requests a certificate of coverage, establishing a
foreign coverage exemption under a Social Security agreement, has been issued one or more
certificates in the past; and
To respond to inquiries concerning a worker's Social Security coverage status from an
appropriate agency in a country which has a Social Security agreement with the United States
.

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 employers or former employers, including State Social Security administrators, for
correcting and reconstructing State employee earnings records and for Social Security
purposes.
2. To the Department of the Treasury for:
(a) Investigating the alleged forgery, or unlawful negotiation of Social Security checks; and
(b) Tax administration as defined in 26 U.S.C. 6103 of the Internal Revenue Code.
3. To the Railroad Retirement Board for administering provisions of the Railroad
Retirement and Social Security Acts relating to railroad employment.
4. To the Department of Justice (Federal Bureau of Investigation and United States
Attorneys) for investigating and prosecuting violations of the Social Security Act.
5. To a contractor for the purpose of collating, evaluating, analyzing, aggregating or
otherwise refining records when the Social Security Administration contracts with a private

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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

firm. (The contractor shall be required to maintain Privacy Act safeguards with respect to
such records.)
6. To the Department of Energy for their study of low-level radiation exposure.
7. To a congressional office in response to an inquiry from the congressional office made
at the request of the subject of a record.
8. To the Department of State for administering the 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 Social Security Act in the Philippines and other parts of the Asia-Pacific
region through services and facilities of that agency.
11. To State audit agencies for auditing State supplementation payments and Medicaid
eligibility considerations.
12. To the Department of Justice (DOJ), a court or other tribunal, or another party before
such tribunal when:
(a) The 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.
13. 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.
14. 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.
15. To Federal, State, or local agencies (or agents on their behalf) for the purpose of
validating Social Security numbers used in administering cash or non-cash income
maintenance programs or health maintenance programs (including programs under the Social
Security Act).

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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

16. To officers and employees of Federal, State or local agencies upon written request in
accordance with the Internal Revenue Code (IRC) U.S.C. 6103(l)(7)), tax return information
(e.g., information with respect to net earnings from self-employment, wages, payments of
retirement income which have been disclosed to the Social Security Administration, and
business and employment addresses) for purposes of, and to the extent necessary in,
determining an individual's eligibility for, or the correct amount of, benefits under certain
programs listed in the IRC. These programs are:
(a) Temporary Assistance to Needy Families provided under a State plan approved under
part A of Title IV of the Social Security Act;
(b) Medical assistance provided under a State plan approved under Title XIX of the Social
Security Act;
(c) Supplemental Security Income benefits provided under Title XVI of the Social Security
Act, and federally administered supplementary payments of the type described in section
1616(a) of the Social Security Act (including payments pursuant to an agreement entered into
under section 212(a) of Pub. L. 93-66);
(d) Any benefits provided under a State plan approved under Title I, X, XIV, or XVI of the
Social Security Act (as those Titles apply to Puerto Rico, Guam and the Virgin Islands);
(e) Unemployment compensation provided under a State law described in section 3304 of
the IRC;
(f) Assistance provided under the Food Stamp Act of 1977; and
(g) State-administered supplementary payments of the type described in section 1616(a)
of the Social Security Act (including payments pursuant to an agreement entered into under
section 212(a) of Pub. L. 93-66).
17. To appropriate officers and employees of a State or local child support enforcement
agency, upon written request in accordance with the Internal Revenue Code (26 U.S.C.
6103(l)(8)), tax return information (e.g., information with respect to net earnings from selfemployment, wages, payments of retirement income which have been disclosed to the Social
Security Administration, and business and employment addresses) for purposes of, and to the
extent necessary in:
(a) Establishing and collecting child support obligations from individuals who owe such
obligations, and
(b) Locating those individuals under a program established under Title IV-D of the Social
Security Act (42 U.S.C. 651ff).
18. To the Office of Personnel Management (OPM) the fact that a veteran is, or is not,
eligible for retirement insurance benefits under the Social Security program for OPM's use in
determining a veteran's eligibility for a civil service retirement annuity and the amount of
such annuity.
19. To the Department of Homeland Security (United States Citizenship and Immigration
Services in accordance with 8 U.S.C. 1360(b), employee and employer name and address
information for the purpose of informing that agency of the identities and locations of aliens
who appear to be illegally employed.
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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

20. 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 this routine use only in situations in which SSA may enter into
a contractual or similar agreement with a third party to assist in accomplishing an Agency
function relating to this system of records.
21. To the Office of Personnel Management information derived from this system for the
purpose of computing civil service annuity offsets of civil service annuitants with military
service or the survivors of such individuals pursuant to provisions of section 307 of Pub. L.
97-253.
22. 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.
23. To the Office of Personnel Management, upon written request, tax return information
for the purpose of administering the Civil Service and Federal Employees Retirement Systems
in accordance with Chapter 83 and 84 of Title 5, U.S.C.
24. To 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).
25. To Department of Veterans Affairs in accordance with the Internal Revenue Code (26
U.S.C. 6103(l)(7)), upon written request, tax return information for purposes of, and to the
extent necessary for determining eligibility for, or the amount of, benefits under the following
programs:
(a) Any needs-based pension provided under chapter 15 of Title 38, U.S.C. or under any
other law administered by the Secretary of Veterans Affairs;
(b) Parents' dependency and indemnity compensation provided under section 1315 of Title
38, U.S.C.;
(c) Health-care services furnished under sections 1710(a)(1)(I), 1710(a)(2), 1710(b), and
1712(a)(2)(B) of Title 38, U.S.C.;
(d) Compensation paid under chapter 11 of Title 38, U.S.C., at the 100 percent rate based
solely on unemployables and without regard to the fact that the disability or disabilities are
not rated as 100 percent disabling under the rating schedule.
The tax return information which may be disclosed under this paragraph includes wages,
net earnings from self-employment, payments of retirement income which have been
disclosed to the Social Security Administration, and business and employment addresses,
except that information on payments of retirement income will not be disclosed for use with
respect to programs described in subparagraph (d).
26. To trustees of the United Mine Workers of America Combined Benefit Fund pursuant to
section 9706(e)(1) of the Internal Revenue Code as added by the Coal Industry Retiree.
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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

Health Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified at 26 U.S.C. 97019721 (1992)), the identity of each coal industry assigned operator determined to be
responsible for annual premiums, and the names and Social Security numbers of eligible
beneficiaries with respect to whom the operator is identified.
27. To the United Mine Workers of America Combined Benefit Fund pursuant to section
9706(e)(2) of the Internal Revenue Code as added by the Coal Industry Retiree Health
Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified at 26 U.S.C. 9701-9721
(1992)), the names and Social Security numbers of eligible beneficiaries who have been
assigned to a coal industry assigned operator responsible for that individual's annual
premiums payable and a brief summary of the facts related to the basis for such
assignments.
28. To the coal industry assigned operator determined to be responsible for an individual's
annual premiums payable to the United Mine Workers of America Combined Benefit Fund
pursuant to section 9706(f)(1) of the Internal Revenue Code as added by the Coal Industry
Retiree Health Benefit Act of 1992, Pub. L. 102-486, 106 Stat. 2776 (codified at 26 U.S.C.
9701-9721 (1992)), detailed information from an individual's work history and other detailed
information as to the basis for the assignment of that individual.
29. 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.
30. 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.
31. To Federal, State, and local agencies for determining alien applicants' eligibility for
programs or benefit programs covered by sections 402, 412, 421 and/or 435 of the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. 104-193, SSA will
disclose information regarding quarters of coverage (non-tax return information) earned by:
The alien applicant;
His/her parents while the alien was under age 18; and/or
His/her spouse during the marriage (if the alien remains married to such spouse or the
marriage ended with the death of the spouse).
32. 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
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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

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.
33. To the Department of Housing and Urban Development (HUD) in accordance with the
Internal Revenue Code (26 U.S.C. 6103(l)(7)), upon written request, tax return information
(e.g., information with respect to wages, net earnings from self-employment, and payments
of retirement income which have been disclosed to the Social Security Administration,) for
use by HUD in an initial or periodic review of the income of an applicant or participant in any
HUD housing assistance program.
34. To any source that has, or is expected to have, information that the Social Security
Administration needs in order to establish or verify a person's eligibility for a certificate of
coverage under a Social Security agreement authorized by section 233 of the Social Security
Act.

Policies and practices for storing, retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
Records in this system are maintained as paper forms, correspondence in manila folders on
open shelving, paper lists, punch-cards, microfilm, magnetic tapes, and discs with online
access files.

Retrievability:
Records in this system are indexed by SSN, name, and employer identification number.

Safeguards:
Safeguards for automated records have been established in accordance with the Systems
Security Handbook. This includes maintaining the magnetic tapes and discs within an
enclosure attended by security guards. Anyone entering or leaving this enclosure must have a
special badge issued only to authorized personnel.
For computerized records electronically transmitted between Central Office and field office
locations (including organizations administering SSA programs under contractual agreements),
safeguards include a lock/unlock password system, exclusive use of leased telephone lines, a
terminal-oriented transaction matrix, and an audit trail. All microfilm and paper files are
accessible only by authorized personnel who have a need for the nformation in the
performance of their official duties.
Expansion and improvement of SSA's telecommunications systems has resulted in the
acquisition of terminals equipped with physical key locks. The terminals also are fitted with
adapters to permit the future installation of data encryption devices and devices to permit the
identification of terminal users. Access
http://www.socialsecurity.gov/foia/bluebook/app_g.htm for additional information relating to
SSA data security measures.

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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

Retention and disposal:
All paper forms and cards are retained until they are filmed or are entered on tape and
their accuracy is verified. Then they are destroyed by shredding. All tapes, discs, and
microfilm files are updated periodically. The out-of-date magnetic tapes and discs are erased.
The out-of-date microfilm is shredded.
SSA retains correspondence for 1 year when it concerns documents returned to an
individual, denials of confidential information, release of confidential information to an
authorized third party and undeliverable material, for 4 years when it concerns information
and evidence pertaining to coverage, wage, and self-employment determinations or when the
statute of limitations is involved, and permanently when it affects future claims development
especially coverage, wage, and self-employment determinations. Correspondence is
destroyed, when appropriate, by shredding.

System manager(s) and address(es):
Director
Division of Earnings Correction and Use
Office of Earnings, Enumeration and Administration Systems
Social Security Administration
6401 Security Boulevard
Baltimore, MD 21235

Notification procedures:
An individual can determine if this system contains a record about him/her by writing to
the 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.

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Earnings Recording and Self-Employment Income System, Social Security Administration, Office of Systems

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. Also, requesters should reasonably identify the record,
specify the information they are contesting and the corrective action sought, and the reasons
for the correction, with supporting justification 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:
SSN applicants, employers and self-employed individuals; DOJ, the Department of
Homeland Security (United States Citizenship and Immigration Services); the Department of
Treasury; the United Mine Workers of America Combined Benefit Fund; an existing system of
records maintained by SSA, Master Beneficiary Record, 60-0090; correspondence, replies to
correspondence, and earnings modifications resulting from SSA internal processes.

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

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