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SORN 60-0090.pdf

Claim for Amounts Due in the Case of a Deceased Beneficiary

SORN

OMB: 0960-0101

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

Effective Date: January 11, 2006
(71 F.R. 1826)

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS
REQUIRED BY THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0090
System name:
Master Beneficiary Record, Social Security Administration, Deputy Commissioner for
Systems, Office of Retirement and Survivors Insurance Systems (ORSIS).

Security classification:
None.

System Location:
Social Security Administration
Office of Telecommunications and Systems Operations
6401 Security Boulevard
Baltimore, MD 21235

Categories of individuals covered by the system:
All Social Security beneficiaries who are, or were, entitled to receive Retirement and
Survivors Insurance (RSI), or Disability Insurance (DI) benefits, including individuals who
have received a RSI or DI payment since November 1978, even if their payment is not part
of an ongoing award of benefits; individuals (non-claimants) on whose earnings records
former spouses apply for RSI or DI benefits; persons who are only enrolled in the Hospital or
Supplementary Medical Insurance (SMI) programs; and claimants whose benefits have been
denied or disallowed.
The system also contains short references to records for persons entitled to Supplemental
Security Income payments, black lung benefits or railroad retirement board benefits.

Categories of in the system:
The Master Beneficiary Record (MBR) contains information about each claimant who has
applied for RSI or DI benefits, or to be enrolled in the Hospital or SMI programs; a record of
the amount of Federal tax withheld on benefits paid to nonresident aliens; and the aggregate
amount of benefit payments, repayments and reductions with respect to an individual in a
calendar year. A record is maintained under each individual's Social Security number (SSN).
However, if the individual has filed on another person's SSN, only a short ``pointer'' record is
maintained. Personal and general data about the claim is maintained under the SSN of that
claim. Data about the claimant can be accessed using the claimant's SSN or the SSN on which

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

benefits have been awarded or claimed (claim account number (CAN)).
There are three types of data in each CAN:
Account data: This includes the primary insurance amount, insured status of the SSN
holder (if no monthly benefits are payable), data relating to the computation (use of military
service credits, railroad retirement credits, or coverage credits earned under the Social
Security system of a foreign country when the claim is based on a totalization agreement),
and, if only survivor's benefits have been paid, identifying data about the SSN holder (full
name, date of birth, date of death and verification of date of death).
Payment data: This includes the payee's name and address, data about a financial
institution (if benefits are sent directly to the institution for deposit), the monthly payment
amount, the amount and date of a one-time payment of past due benefits, and, where
appropriate, a scheduled future payment.
Beneficiary data: This includes personal information (name, date of birth, sex, date of
filing, relationship to the SSN holder, other SSNs, benefit amount and payment status), and,
if applicable, information about a representative payee, data about disability entitlement,
worker's compensation offset data, estimates and report of earnings, or student entitlement
information.

Authority for maintenance of the system:
Sections 202-205, 223, 226, 228, 1818, 1836, and 1840 of the Social Security Act (42
U.S.C. 402-405, 423, 426, 428, 1395i-2, 1395o, and 1395s).

Purposes(s):
Data in this system are used by a broad range of Social Security Administration (SSA)
employees for responding to inquiries, generating follow-ups on beneficiary reporting events,
computer exception processing, statistical studies, conversion of benefits, and generating
records for the Department of the Treasury to pay the correct benefit amount.

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 applicants or 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 the
Social Security Administration 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.
2. To third party contacts (e.g., employers and private pension plan) in situations where
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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

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) He/she is incapable or of questionable mental capability;
(ii) 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) His/her eligibility for benefits under the Social Security program;
(ii) The amount of his/her benefit payment; or
(iii) Any case in which the evidence is being reviewed as a result of suspected fraud,
concern for program integrity, quality appraisal, or evaluation and measurement activities.
3. To third party contacts that may have information relevant to the Social Security
Administration's establishment or verification of information provided by representative
payees or payee applicants.
4. To a Social Security beneficiary/claimant when a claim is filed by another individual on
the same record which is adverse to the beneficiary, but only information concerning the
facts relevant to the interests of each party in a claim; e.g.:
(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 roll.
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 Social Security Act (including Social Security number verification services);
(b) Investigating the alleged theft, forgery, or unlawful negotiation of Social Security
checks;
(c) Determining the Federal tax liability on Social Security benefits pursuant to 26 U.S.C.
6050F, as amended by Pub. L. 98-21. The information disclosed will consist of the following:
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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

(i) The aggregate amount of Social Security benefits paid with respect to any individual
during any calendar year;
(ii) The aggregate amount of Social Security benefits repaid by such individual during such
calendar year;
(iii) The aggregate reductions under section 224 of the Social Security Act in benefits
which would otherwise have been paid to such individual during the calendar year on account
of amounts received under a worker's compensation act; and
(iv) The name and address of such individual;
(d) Depositing the tax withheld on benefits paid to nonresident aliens in the Treasury
(Social Security Trust Funds) pursuant to 26 U.S.C. 871, as amended by Pub. L. 98-21.
6. To the United States Postal Service for investigating the alleged theft or forgery of
Social Security checks.
7. To the Department of Justice for:
(a) Investigating and prosecuting violations of the Act to which criminal penalties attach;
(b) Representing the Commissioner of Social Security; and
(c) Investigating issues of fraud by Agency officers or employees, or violation of civil
rights.
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 Act in the Philippines and other parts of the Asia-Pacific region through the
services and facilities of that agency.
11. 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.
12. To the Office of the President for the purpose of responding to an individual pursuant
to an inquiry received from that individual or from a third party on his/her behalf.
13. To the Department of Education for determining eligibility of applicants for basic
educational opportunity grants.
14. To the Bureau of the Census when it performs as a collecting agent or data processor
for research and statistical purposes directly relating to this system of records.
15. To the Department of the Treasury, Office of Tax Analysis, for studying the effects of
income taxes and taxes on earnings.
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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

16. To the Office of Personnel Management for the study of the relationship of civil service
annuities to minimum Social Security benefits, and the effects on the Social Security trust
fund.
17. To State Social Security Administrators for administering agreements pursuant to
section 218 of the Social Security Act.
18. To the Department of Energy for its epidemiological research study of the long-term
effects of low-level radiation exposure, as permitted by SSA Regulations 20 CFR 401.150(c).
19. To contractors under contract to the Social Security Administration (SSA), or under
contract to another agency with funds provided by SSA, for the performance of research and
statistical activities directly relating to this system of records.
20. To a congressional office in response to an inquiry from that office made at the
request of the subject of a record.
21. To the Department of Labor for conducting statistical studies of the relationship of
private pensions and Social Security benefits to prior earnings.
22. 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.
23. To Federal, State, or local agencies (or agents on their behalf) for administering
income maintenance or health maintenance programs (including programs under the Social
Security Act). Such disclosures include, but are not limited to, release of information to:
(a) Railroad Retirement Board for administering provisions of the Railroad Retirement Act
relating to railroad employment; for administering the Railroad Unemployment Insurance Act
and for administering provisions of the Social Security Act relating to railroad employment;
(b) Department of Veterans Affairs for administering 38 U.S.C. 1312, and upon request,
for determining eligibility for, or amount of, veterans benefits or verifying other information
with respect thereto pursuant to 38 U.S.C. 5106;
(c) State welfare departments for administering sections 205(c)(2)(B)(i)(II) and
402(a)(25) of the Social Security Act requiring information about assigned Social Security
numbers for Temporary Assistance for Needy Families (TANF) program purposes and for
determining a recipient's eligibility under the TANF program; and
(d) State agencies for administering the Medicaid program.
24. To the Department of Justice, Criminal Division, Office of Special Investigations, upon
receipt of a request for information pertaining to the identity and location of aliens for the
purpose of detecting, investigating and, where appropriate, taking legal action against
suspected Nazi war criminals in the United States.
25. To third party contacts such as private collection agencies and credit reporting
agencies under contract with the Social Security Administration (SSA) and State motor vehicle
agencies for the purpose of their assisting SSA in recovering overpayments.

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

26. 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 the 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.
27. 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.
28. To the Federal Reserve Bank of New York for the purpose of making direct
deposit/electronic funds transfer of Social Security benefits to foreign-resident beneficiaries.
29. To the Department of Justice (DOJ), a court or other tribunal, or another party before
such tribunal when:
(a) 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.
30. To the 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).
31. To the Department of Education 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 Federal Student Loan Program) as authorized by section 489A of the
Higher Education Act of 1965.
32. 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.
33. 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 Social Security Administration (SSA)
employees and customers, the security of the SSA workplace and the operation of SSA
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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

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.
34. To recipients of erroneous Death Master File (DMF) information, corrections to
information that resulted in erroneous inclusion of individuals in the DMF.
35. 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.
36. To a Federal, State, or congressional support agency (e.g., Congressional Budget
Office and the Congressional Research Staff in the Library of Congress) for research,
evaluation, or statistical studies. Such disclosures include, but are not limited to, release of
information in assessing the extent to which one can predict eligibility for Supplemental
Security Income (SSI) payments or Social Security disability insurance benefits; examining
the distribution of Social Security benefits by economic and demographic groups and how
these differences might be affected by possible changes in policy; analyzing the interaction of
economic and non-economic variables affecting entry and exit events and duration in the Title
II Old Age, Survivors, and Disability Insurance and the Title XVI SSI disability programs; and,
analyzing retirement decisions focusing on the role of Social Security benefit amounts,
automatic benefit recomputation, the delayed retirement credit, and the retirement test, if the
Social Security Administration (SSA):
(a) Determines that the routine use does not violate legal limitations under which the
record was provided, collected, or obtained;
(b) Determines that the purpose for which the proposed use is to be made:
(i) Cannot reasonably be accomplished unless the record is provided in a form that
identifies individuals;
(ii) Is of sufficient importance to warrant the effect on, or risk to, the privacy of the
individual which such limited additional exposure of the record might bring;
(iii) Has reasonable probability that the objective of the use would be accomplished;
(iv) Is of importance to the Social Security program or the Social Security beneficiaries or
is for an epidemiological research project that relates to the Social Security program or
beneficiaries;
(c) Requires the recipient of information to:

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

(i) Establish appropriate administrative, technical, and physical safeguards to prevent
unauthorized use or disclosure of the record and agree to on-site inspection by SSA's
personnel, its agents, or by independent agents of the recipient agency of those
safeguards;
(ii) Remove or destroy the information that enables the individual to be
identified at the earliest time at which removal or destruction can be accomplished consistent
with the purpose of the project, unless the recipient receives written authorization from SSA
that it is justified, based on research objectives, for retaining such information;
(iii) Make no further use of the records except:
(1) Under emergency circumstances affecting the health and safety of any individual,
following written authorization from SSA;
(2) For disclosure to an identified person approved by SSA for the purpose of auditing the
research project;
(iv) Keep the data as a system of statistical records. A statistical record is one which is
maintained only for statistical and research purposes and which is not used to make any
determination about an individual;
(d) Secures a written statement by the recipient of the information attesting to the
recipient's understanding of, and willingness to abide by, these provisions.
37. 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
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.

Disclosure to Consumer Reporting Agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made to consumer reporting agencies
as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 as amended (31 U.S.C. 3701, et seq.) or the Social Security Domestic
Employment Reform Act of 1994, Public Law 103-387, 42 U.S.C. 404(f). The purpose of this
disclosure is to aid in the collection of outstanding debts owed to the Federal Government,
typically, to provide an incentive for debtors to repay delinquent Federal Government debts
by making these part of their credit records.
Disclosure of records is limited to the individual's name, address, SSN, and other
information necessary to establish the individual's identity; the amount, status, and history of
the claim and the agency or program under which the claim arose. The disclosure will be
made only after the procedural requirements of 31 U.S.C. 3711(e) has been followed.

Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are stored in magnetic media (e.g., magnetic tape and magnetic disk) and in
microform and paper form.
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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

Retrievability:
Records in this system are indexed and retrieved by SSN.

Safeguards:
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 microform 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. Access
http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?
from=leavingFR.html&log=linklog&to=http://www.socialsecurity.gov/foia/bluebook/app_g.htm
for additional information relating to SSA data security measures.

Retention and disposal:
Primary data storage is on magnetic disk. A new version of the disk file is generated each
month based on changes to the beneficiary's record (adjustment in benefit amount,
termination, or new entitlements). The prior version is written to tape and retained for 90
days in SSA's main data processing facility and is then sent to a secured storage facility for
indefinite retention.
Selected records also are retained on magnetic disk for on-line query purposes. The query
files are updated monthly and retained indefinitely. Microform records are disposed of by
shredding or the application of heat after periodic replacement of a complete file.
Paper records are usually destroyed after use, by shredding, except where needed for
documentation of the claims folder. (See the notice for the Claims Folders System, 60-0089
for retention periods and method of disposal for these records).

System manager(s) and address(es):
Associate Commissioner
Office of Retirement and Survivors Insurance Systems
Social Security Administration
6401 Security Boulevard
Baltimore, MD 21235

Notification procedures:

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

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.
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. Requesters should also 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:
Data for the MBR come primarily from the Claims Folders System, 60-0089 and/or are
furnished by the claimant/beneficiary at the time of filing for benefits, via the application form
and necessary proofs, and during the period of entitlement when notices of events such as
changes of address, work, marriage, are given to SSA by the beneficiary; and from States
regarding Hospital Insurance third party premium payment/buy-in cases.

Systems exempted from certain provisions of the Privacy Act:

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Master Beneficiary Record, Social Security Administration, Deputy Commissioner for Systems, Office of Retirement and Survivors Insurance Systems (ORSIS)

None.

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