SSA-Initiated Personal Earnings and Benefit Estimate Statement (SIPEBES), Social Security Administration, Office of Systems Requirements

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

System number: 60-0224

System name: 

        SSA-Initiated Personal Earnings and Benefit Estimate Statement (SIPEBES), Social Security Administration, Office of Systems Requirements.

Security classification: 

        None.

System location: 

  Social Security Administration 
          Office of Systems 
          6401 Security Boulevard 
          Baltimore, Maryland  21235

Categories of individuals covered by the system:  Any person:

•     Who lives in a state territory of the United States or the District of Columbia;

•     Who has reached age 25;

•     Who has had earnings posted to his/her SSN;

•     Who is not receiving benefits under Title II of the Social Security Act; and

•     For whom SSA can determine the current mailing address.

Categories of records in the system:  This system contains the following information about each individual:

•     SSN;

•     Date of birth;

•     Sex;

•     Disposition code (to indicate earnings discrepancy or refusal);

•     Date of SIPEBES issuance;

•     Whether the PEBES was issued at the individual's request or SSA's initiative;

•     Primary language (English or Spanish);

•     Address source (IRS, the individual, or other);

•     IRARN-CD (a code reserved for future use);

•     PROC-CD (a code reserved for future use).

Authority for maintenance of the system: 

        Sections 205(a), 205(c)(2), and 1143 of the Social Security Act (42 U.S.C. 405(a), 405(c)(2), and 1320b—13); the Federal Records Act of 1950 (64 Stat. 583), as amended.

Purpose(s): 

        This system is used for the following purposes:

•     To establish and retrieve specific records for PEBES processing.

•     To identify whether or when a person has previously received an SIPEBES;

•     To help SSA respond to PEBES inquiries; and

•     To conduct statistical studies.

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.  Information may be disclosed to contractors and other Federal agencies, as necessary, to assist SSA in the efficient administration of its programs.

2.  Information may be disclosed to a congressional office in response to an inquiry from the congressional office made at the request of the subject of the record.

3.  Information may be disclosed 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 when DOJ (or SSA, when it is authorized to do so) has agreed to represent the employee; or

                        d) the United States or any agency thereof when 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, or the other party before the tribunal is relevant and necessary to the litigation, provided, however, that in each case SSA determines that such disclosure is compatible with the purposes for which the records were collected.

4.  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.

5.  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.

6.  Information may be disclosed to the IRS, for auditing SSA's compliance with the safeguard provisions of the IRC of 1986, as amended.

7.  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, and disposing of records in the system:

Storage: 

        Records will be stored in magnetic media (e.g., magnetic tape and disc).

Retrievability: 

        Data will be retrieved from the system by SSN, name, and SSN.

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 information in performing their official duties.

        SSA's terminals are equipped with physical key locks.  The terminals are also fitted with adapters to permit the future installation of data encryption devices and devices to permit the identification of terminal users.

        Contractors will safeguard information disclosed to them consistent with the requirements of the Privacy Act.

Retention and disposal: 

        All tapes, discs, and microfilm files are updated periodically.  Out-of-date magnetic tapes and discs are erased.  Out-of-date microfilm is shredded.

        SSA retains correspondence for one 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 four years when it concerns information and evidence pertaining to coverage, wage, and self-employment determinations or when it affects future claims development, especially coverage, wage, and self-employment determinations.  Correspondence is destroyed, when appropriate, by shredding.  Magnetic media records are maintained indefinitely.

System manager and address: 

          Director 
          Division of Earnings Control and Processing 
          Office of Systems Requirements 
          Social Security Administration 
          6401 Security Boulevard 
          Baltimore, Maryland 21235

Notification procedure:

        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. 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 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:         

        Information in this system is obtained from the Numident File of the SSA system of records entitled "Master File of Social Security Number (SSN) Holders, SSA/OSR (60-0058);" and from the IRS.

Systems exempted from certain provisions of the Act: 

        None.