Disability Studies, Surveys, Records and Extracts (Statistics)

Effective Date: August 1, 2000

(65 F.R. 46997)

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974

System number: 60-0196

System name:

Disability Studies, Surveys, Records and Extracts (Statistics), SSA/ORES

Security classification:

None.

System location:

Social Security Administration

Office of Systems Operations

6401 Security Boulevard

Baltimore, MD 21235

Bureau of the Census

Washington, D.C. 20233

Bureau of the Census

Jeffersonville, IN 47130

Contractor sites:

Addresses may be obtained by writing to the system manager at the address below.

Categories of individuals covered by the system:

Samples of persons who are present or potential recipients of Social Security disability payments/benefits, including specifically selected subsets of each category; applicants/participants in State vocational rehabilitation programs; and samples of other persons regardless of status for purposes of comparison in the above categories.

Categories of records in the system:

Socioeconomic, demographic, medical and disability characteristics, attitudes, earnings and employment history, benefit information, and use of medical and rehabilitative services.

Authority for maintenance of the system:

Sections 1110 and 1115 of the Social Security Act and 13 U.S.C. § 182 for Census participation.

Purpose(s):

The purpose of this system is to collect data by the following methods: (1) extraction from program records (including records compiled at the State level); and (2) through surveys which may be augmented with program data.

Researchers and statisticians in SSA use the data to examine the medical, economic, and social consequences of limitations in work activity for the disabled person and his/her family; for program planning and evaluation; for evaluation of proposals for policy and legislative changes; for determination of the characteristics of program applicants and benefit recipients, etc.

Access to micro-data files with identifiers comprised of data from this system is limited to researchers and statisticians authorized by the SSA Office of Research, Evaluation and Statistics (ORES). Public-use tapes containing micro-data or tabulations are furnished on request by mail to public and private organizations.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Disclosures may be made for routine uses as indicated below:

1) To a congressional office in response to an inquiry from that office made at the request of the subject of a record.

2) To a contractor under contract to SSA, or under contract to another agency with funds provided by SSA, for the performance of research and statistical activities directly related to this system of records.

3) 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 Archives and Records Administration (NARA) for the purpose of conducting records management studies with respect to their duties and responsibilities under 44 U.S.C. § 2904 and § 2906, as amended by NARA Act of 1984.

4) We may disclose information to appropriate Federal, State, and local agencies, entities, and persons when (1) we suspect or confirm that the security or confidentiality of information in this system of records has been compromised; (2) we determine that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs of SSA that rely upon the compromised information; and (3) we determine that disclosing the information to such agencies, entities, and persons is necessary to assist in our efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. SSA will use this routine use to respond only to those incidents involving an unintentional release of its records.

Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system:

Storage:

Records are stored in paper form (e.g., questionnaire forms and computer printouts) and in magnetic media (e.g., magnetic tapes and discs).

Retrievability:

Files are indexed by SSN or by SSA assigned case numbers. Files based on Census sample populations are indexed by Census assigned case numbers. These numbers are cross-referred at Census to SSNs which are available only to Census employees or SSA staff who are Census special-sworn employees.

Safeguards:

Safeguards are established in accordance with the Systems Security Handbook. Employees having access to records have been notified of criminal sanctions for unauthorized disclosure of information about individuals.

Magnetic tapes or other files with personal identifiers are retained in secured storage areas accessible only to authorized personnel.

Micro-data files prepared for purposes of research and analysis are purged of personal identifiers and are subject to procedural safeguards to assure anonymity. (See Appendix G to this publication for additional information relating to safeguards SSA employs to protect personal information.)

Retention and disposal:

Hard copy questionnaires are destroyed when survey reports are completed. Records with identifiers are held in secure storage areas and are disposed of as soon as they are determined to be no longer needed for SSA analysis. Means of disposal are appropriate to the record storage medium; e.g., erasure of tapes, shredding of printouts, etc. Periodic reviews are made to determine the need for retention.

In longitudinal studies, working files are purged of identifiers and given randomly assigned case numbers. A separate link file is maintained in secure storage areas for updating with individual identifiers.

System manager(s) and address:

Social Security Administration

Associate Commissioner

Office of Research

Evaluation and Statistics

9^th Floor, ITC Building

500 E Street, S.W.

Washington, D.C. 20254-0001

Notification procedure:

This system contains limited data selected for statistical analysis. Individuals inquiring about their records in SSA programs may wish to contact other SSA systems which contain more detailed information.

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, such as a voter registration card, credit card, etc. 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 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).

Record access procedures:

Same as notification procedures. Except in transitory stages of preparation, files at SSA which are based on Census samples do not have personal identifiers, and cannot be located on an individual basis. Records with identifiers maintained at the Bureau of Census are considered by Census to be exempt from access. 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 state 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:

Records are derived from other SSA systems (e.g., the Earnings Records System (60-0059), Claims Folders System (60-0089) (disability case folders), and Master Beneficiary Record (60-0090)); survey data collected by contractors; case service reports of the vocational rehabilitation agencies (R-300); the SSA OHA Records Locator; the Health Insurance Master Files (09-70-0502) of HCFA; and the SSA Administrative Awards File. Bureau of the Census records may be used as a sampling frame.

Systems exempted from certain provisions of the Privacy Act:

None.