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[Federal Register: April 1, 2003 (Volume 68, Number 62)] [Notices] [Page 15784-15789] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr01ap03-102] ======================================================================= ----------------------------------------------------------------------- SOCIAL SECURITY ADMINISTRATION Privacy Act of 1974; Alteration to an Existing System of Records AGENCY: Social Security Administration (SSA). ACTION: Notice of alteration to an existing Privacy Act system of records. ----------------------------------------------------------------------- SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4)) we are issuing public notice of our intent to alter an existing system of records, the Claims Folders System, 60-0089, by expanding the categories of records mentioned in the System. We discuss this proposed change in the SUPPLEMENTARY INFORMATION section below. We invite public comments on these proposals. DATES: We filed a report of the proposed alteration with the Chairwoman of the Senate Committee on Governmental Affairs, the Chairman of the House Government Reform Committee, and the Director, Office of Information and Regulatory Affairs, Office of Management and Budget (OMB) on March 25, 2003. The proposed alteration will become effective on May 8, 2003, unless we receive comments on or before that date that would warrant our not implementing the proposed alteration. ADDRESSES: Interested individuals may comment on this publication by writing to the Executive Director, Office of Public Disclosure, Office of the General Counsel, Social Security Administration, 3-A-6 Operations Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401. All comments received will be available for public inspection at the above address. FOR FURTHER INFORMATION CONTACT: Ms. Linda Thibodeaux, Social Insurance Specialist, Social Security Administration, Room 3-C-2 Operations Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, telephone (410) 965-9821, e-mail: linda.thibodeaux@ssa.gov. SUPPLEMENTARY INFORMATION: I. Background and Purpose of the Proposed Alteration to Existing Privacy Act System of Records, the Claims Folders System, 60-0089 A. General Background The Social Security Administration (SSA) plans to conduct several pilot projects designed to test and gather information on the use of photographic identification to address the issue of complicit impersonation in the disability and blindness claims process. The part of the disability and blindness determination process used by SSA to supplement existing medical evidence from treatment sources when there is not enough information to make a disability or blindness determination or decision is the consultative examination (CE). Complicit impersonation is accomplished when an individual posing as the intended claimant, and with the consent of the claimant, responds to a CE appointment in order to misrepresent the claimant's true medical condition or provides false or misleading information that affects eligibility during interviews with SSA field office employees. SSA is promulgating temporary regulations that will provide the authority for us to require individuals filing for title II or title XVI disability and blindness benefits in the pilot sites to have their photograph taken. Once these regulations are promulgated, failure to comply with the pilot requirements will result in denial of benefits. The claimant identification pilot projects will be in effect for a six-month period of time that will begin 30 days after final rules providing regulatory authority for the pilots are published in the Federal Register. The pilot sites include all SSA field offices in the States of South Carolina and Kansas; the Augusta, Georgia SSA field office; and nine SSA field offices located in New York City: Uptown (Manhattan); East Bronx (Bronx); Parkway (Bronx); West Farms (Bronx); Bushwick (Brooklyn); East New York (Brooklyn); Avenue X (Brooklyn); Flatbush (Brooklyn) and Flushing (Queens). [[Page 15785]] B. Pilot Methodology Individuals filing for title II and title XVI disability and blindness benefits at a Social Security office in the pilot sites will be required to participate in the claimant identification pilots. In addition, individuals filing via the Internet or by telephone and who are later required to undergo CEs will be included in the pilots. Each individual will be asked to provide some form of photographic identification. This identification will be photocopied and the copy will be made part of his/her SSA claims folder. If the individual does not have photographic identification available or does not wish to provide it, SSA personnel will not require it but will follow identification procedures already in place. Next, as part of the claimant identification pilots, individuals will be required to have a photograph taken by SSA personnel, regardless of whether the individual provides photographic identification for photocopying. (An exception to the photograph requirement will be permitted when an individual has a sincere religious objection.) A copy will be made of the image and placed in the individual's SSA claims folder. Images also will be stored electronically and accessed by authorized SSA and Disability Determination Service (DDS) personnel. If DDS personnel request a CE for the individual, a hard copy image of the photograph will be made available to the person conducting the CE. This will help to determine whether the individual appearing for the CE is the same individual who presented himself or herself as the individual filing for disability benefits. When the CE physician has not been provided with a photograph or a copy of a photographic identification previously made by SSA personnel, e.g., the claim was filed via the Internet or by telephone, the CE physician will copy the individual's photographic identification and place it in the claims folder. Additionally, this same requirement will be used to verify the identity of pilot participants during the duration of the pilots if they are required to appear for subsequent interviews including Continuing Disability Reviews, SSI Redeterminations, and appeals associated with a denial of a claim including any CEs associated with those appeals. II. Impact of the Collection, Maintenance and Use of Pilot Data on SSA Privacy Act System of Records: The Claims Folders System The Claims Folders System contains information that constitutes the basic record for payments and determinations made for program benefits under the Social Security Act. Included in claim folder records is identifying information about claimants for Social Security benefits. We are proposing to revise the description of the categories of records maintained in the Claims Folders System. In connection with the claimant identification pilot projects SSA is conducting, records specifically collected for the pilot projects will be maintained in the claims folders of those individuals who file for title II or title XVI disability and blindness benefits for the duration of the pilot. The records include: photocopies of identification documents, photographs taken by field office personnel or a report of contact or other documentation explaining why an individual refused to allow SSA to take their photograph, flag on the folder indicating the case is part of the pilot, and the evaluation forms developed for the pilot. III. Effect of the Proposed Alteration on the Rights of Individuals SSA's implementation of the claimant identification pilots will result in the collection and maintenance of information to test the use of photograph identification to address the issue of complicit impersonation in the disability and blindness claims process. SSA will maintain photocopies of identification documents and photographs. We will afford individuals suspected of fraudulent activities all due process and other rights to which they are entitled. There is potential for an adverse effect on those individuals who refuse to be photographed for reasons other than a sincere religious objection. Failure to comply with the mandatory requirements of the pilot will result in denial of benefits. Dated: March 25, 2003. Jo Anne B. Barnhart, Commissioner. 60-0089 System name: Claims Folders System, 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). This information can also be found on the Agency's Web site, Social Security Online. 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, 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, PO Box 7000, Wilkes-Barre, PA 18703. Retirement and Survivors Insurance (RSI) claims folders are maintained primarily in the 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 age 55 and over 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 to whom the claim pertains 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 [[Page 15786]] 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 claimants for 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 claims folder contains the name and Social Security number of the claimant or potential claimant; the application for benefits; earnings record information established and 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 claims 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). In addition, the claims folder may contain information collected in connection with SSA's Claimant Identification Pilot Projects. This information includes: photocopies of identification documents, photographs taken by field office personnel or a report of contact or other documentation explaining why an individual refused to allow SSA to take their photograph, flag on the folder indicating the case is part of the pilot, and the evaluation forms developed for the pilot. Authority for maintenance of the system: Sections 202-205, 223, 226, 228, 1611, 1631, 1818, 1836, and 1840 (42 U.S.C. Sections 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 claims 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 (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 (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 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 ``return 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. Share this page | Bookmark this page The leading immigration law publisher - over 50000 pages of free information!
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