25 Nov 87 17:29:12 From: Barbara Bennett To: All Subject: Social Security Information I have worked for the Social Security Administration for the last 15 years. I worked in various local offices as a claims representative for 9 years, and have spent the last 6 years as a computer systems analyst at headquarters, 4 1/2 years of that in the Enumeration Systems Branch. I have put together several messages which will address the questions you have about getting information from the Social Security Administration for genealogical purposes. Sysops may wish to combine the messages into a file for people to download. Although I am employed by SSA, I am sending these messages as a private individual, not as a representative of the Social Security Administration. I hope they clear up a lot of the confusion about what is and isn't available and how to go about getting what is available. DISCLOSURE OF INFORMATION Disclosure of information by SSA is governed mainly by the Social Security Act itself, the Freedom of Information Act of 1974, the Privacy Act of 1974, and the Tax Reform Act of 1976. In general, information about a LIVING person MAY NOT be released to a third party unless the individual has signed a written authorization for release of that information. The fact of an individual's death, date of death, and place of death or burial may be disclosed to anyone. Any other information, other than tax return information, in a DECEASED individual's record MAY BE DISCLOSED as long as any information in the record pertaining to other living individuals is deleted from the record prior to disclosure. The Tax Reform Act of 1976 prohibits disclosure of tax return information without the consent of the individual to whom the record pertains. This prohibition continues even after the death of an individual. Requests for tax return information for a deceased individual may be released to the legal representative of the estate; surviving relative (spouse, parent, child); or heir at law, next of kin, or beneficiary of the deceased. Proof of one of the listed relationships must be provided with the request for information. REQUEST FOR EXTRACTS OF PRIOR SSN APPLICATIONS SSA originally maintained paper files of all applications for original SSN's and applications requesting a change in the record. In the 1970s, these files were converted to an electronic database. The application forms were microfilmed for retention and the paper forms destroyed. Current applications are microfilmed; the paper forms are retained in the Federal Records Center for 5 years and then destroyed. There are 2 types of SSN application extracts which can be furnished upon request. (1) The Numident printout is a computer printed record which contains all the information on the original application form except the address and signature of the applicant. (2) A microprint is a print of the microfilmed application form. Either of these items may be furnished to anyone upon written request and confirmation of death where this is not detrimental to the estate and there does not appear to be an unwarranted invasion of privacy of a living person; i.e., the parents of the deceased who are listed on the application form. There is no charge for this service. The microprint will not show the SSN assigned as a result of the application; thus, the requester will receive both a microprint and a Numident printout when a microprint is requested. TO REQUEST AN EXTRACT: call your local SSA office and request form SSA-L997 SOCIAL SECURITY NUMBER RECORD THIRD PARTY REQUEST FOR EXTRACT OR PHOTOCOPY. The form asks for identifying information as follows: 1) SSN, if known 2) full name of the person now used (or last used, for deceased ind) 3) name shown on last social security card 4) the individual's full name at birth 5) the individual's date of birth 6) the place of birth 7) sex 8) full maiden name of the mother 9) full name of the father The form does not provide a place to indicate which type of extract you want, so enter the following legend on the form: "Microprint Required, Printout Not Sufficient". The form also does not include a place to indicate that you are requesting information on a deceased individual. I would annotate the form with a statement that the individual is deceased. Attach proof of death, if you can, to expedite the request. Information about the death of an individual has not been maintained on the Social Security Number records, so your request may be delayed or denied if it is not obvious that the person is deceased. It will take from 4-8 weeks to receive a response to your request. The 9 items above are the same information you would provide if you went to apply for a social security number or a replacement card. Here's how the SSN system works (much simplified) - there are 2 major files: the numerical identification file which contains the information sorted by SSN; and the alphabetical identification file which is sorted by name. If an SSN is provided, the numerical file will be queried and the printout compared to the information you provided. If an SSN is unknown, the name file must be queried. The information you provide is compared to the information for each person with that name and a score is assigned based on which information matches or doesn't match, and how closely the information matches. For example, if the year of birth is within 5 years it will score lower than an exact match but higher than if they were 10 years apart. Possible SSNs will be identified based on the score. Someone must look at all the printouts for the possible SSNs to determine which record if any is the one you requested. The more information you provide, the more chance you have of getting the information you want. After all, there have been about 320 million SSNs assigned since Social Security began in 1937. SSA assigns about 500,000 new numbers each month. REQUEST FOR SOCIAL SECURITY EARNINGS INFORMATION Contact your local Social Security office and request form SSA-7050. Yearly totals of earnings will be provided free of charge. However, for genealogical purposes, you will want detailed earnings information. Detailed earnings information includes periods of employment or self-employment and the names and addresses of employers. A fee is charged for the detailed earnings information because you want it for purposes NOT directly related to Social Security. The fee chart is included on the form and varies, depending on the number of years for which you request information. The minimum fee is $15 for 1 year, and the maximum fee is $92 for 52 years. The fee can be waived if you show that giving the information to you will benefit the general public. You must attach an explanation of why the fee should be waived to the form. (If you are requesting your own earnings information, there is no fee if you have reason to believe that your record contains incorrect information. If this is the case, please contact your local office and discuss your problem with them. They will help you resolve any discrepancies in your earnings record.) You can request earnings information from the record of a deceased person if you are the legal representative of the estate, a survivor (spouse, parent, child), or an individual with a material interest who is an heir at law, next of kin, beneficiary under the will or donee of property of the decedent. Proof of death must be included with your request. Proof of appointment as representative or proof of your relationship to the deceased must also be included. You may have to wait a while for the information. Once the employer identification numbers and years worked have been obtained from the master earnings file, someone will have to sit at a microfilm reader looking at employers' quarterly and annual wage reports to find the individual. CONTACTING A MISSING PERSON Regulation No. 1 of the Social Security Act does not permit SSA to disclose information about the whereabouts of a missing person except as provided for the Parent Locator Service (service for locating a parent who has skipped out on child support payments). However, circumstances may arise when it would be proper to inform the missing person of information about which he would want to know. Where strongly compelling circumstances of this nature exist, SSA may forward a letter to him/her. The letter forwarding policy is restrictive because: 1) the inquirer can be helped only if the addressee replies to the letter. It would serve little purpose to forward a letter to an individual unless it contains information that he/she could reasonably be expected to want to receive and which would cause him/her to reply. This excludes requests which are primarily for the benefit of the requester rather than the missing person. 2) SSA does not want to burden employers. Most letters must be forwarded through the last employer of record. Some large employers have asked SSA not to send letters to the employees in care of the company. 3) If all requests to forward letters were honored, the volume would significantly interfere with normal SSA operations. 4) The addressee may consider receipt of the letter as an unwarranted invasion of his/her privacy. A letter will not be forwarded unless the following conditions are met: 1) There are strongly compelling reasons for wanting to get in touch with the missing person such as: a close relative of the missing person is seriously ill, is dying or has died; a child is left without parental care because of the death or incapacity of the remaining parent; a defendant in a felony case is seeking a defense witness; a parent wishes to locate a missing son or daughter; the consent of the missing person is needed in connection with an adoption proceeding for his/her child; the missing person is the beneficiary of an estate and the executor is trying to locate him; other instances where the missing person is due money or valuable property; a doctor or hospital wishes to contact a missing person for health reasons. 2) The missing person would want to know about the contents of the letter. 3) The missing person's disappearance occurred far enough in the past that SSA could reasonably expect to have a usable mailing address (wages are reported by employers only once a year, so the most recent information SSA has will be at least a year old). 4) All other possibilities for contacting the missing person have been exhausted. In order to forward a letter, SSA must have sufficient information to locate the missing person's record. The name and SSN are needed for this. The letter to be forwarded must be submitted in a plain unsealed, unstamped envelope bearing only the missing person's name and SSN. If the SSN is unknown, you must furnish as much identifying information as possible. The letter will be reviewed by SSA personnel to ensure that it is not inflammatory or derogatory, contains no obscene language, and will not cause embarrassment if opened by someone other that the addressee. SSA cannot be sure that the letter will reach the missing person or that he/she will reply. If SSA attempts to forward a letter, SSA cannot inform you of the results of that attempt. Subsequent letters for the same purpose will not be forwarded. No fee is charge for forwarding a letter for humanitarian purposes. The current charge for forwarding letters involving a monetary or valuable consideration is $3 per letter. Contact your local SSA office if you want to have a letter forwarded to a missing person. Please be aware that the situations described in these messages are not run of the mill requests that offices deal with all the time. The person you talk to may not be aware that disclosure of the information is allowed or may not be familiar with the procedures involved. In the 9 years I spent working in various local offices, I received 2 requests to forward letters to missing persons and no requests for detailed earnings information or for copies of Social Security number application forms. I was not aware until recently that you could get some of this information. If they refuse to give you the information, saying it isn't allowed, ask them to look it up in the manual. If all else fails, as a last resort, you can write to your congressman, describing your contacts with the local SSA office, and include a copy of your request. Congressional inquiries get special treatment, but the local offices don't like them. Anytime you have questions about Social Security issues, or need help with a Social Security matter, PLEASE, PLEASE, PLEASE call your local office. You will get the best information from them. Please don't waste time speculating or asking neighbors or friends (unless they work for SSA). I can still remember being on the receiving end of "but my Uncle Joe says" or "so-and-so told me thus-and-so and he ought to know because" and not being able to convince them that Uncle Joe and so-and-so didn't know what they were talking about. The Social Security Law is quite complicated and encompasses much more than just retirement benefits. No one can know it all, but your local office is the place to get official information. That's what they are there for. End of sermon. Each office should have a copy of the Social Security Laws and Regulations and the POMS manual (operational instructions to implement the laws & regs). These manuals, except for portions related to security procedures, should be available for you to use at the local office. I would think that all law libraries would also have copies of the law and regs and possibly the operations manuals. The Social Security Number SSA has continually emphasized the fact that the SSN identifies a particular record only and the Social Security Card indicates the person whose record is identified by that number. In no way can the Social Security Card identify the bearer. From 1946 to 1972 the legend "Not for Identification" was printed on the face of the card. However, many people ignored the message and the legend was eventually dropped. The social security number is the most widely used and carefully controlled number in the country, which makes it an attractive identifier. With the exception of the restrictions imposed on Federal and some State and local organizations by the Privacy Act of 1974, organizations requiring a unique identifier for purposes of controlling their records are not prohibited from using (with the consent of the holder) the SSN. SSA records are confidential and knowledge of a person's SSN does not give the user access to information in SSA files which is confidential by law. Many commercial enterprises have used the SSN in various promotional efforts. These uses are not authorized by SSA, but SSA has no authority to prohibit such activities as most are not illegal. Some of these unauthorized uses are: SSN contests; skip-tracers; sale or distribution of plastic or metal cards; pocketbook numbers (the numbers used on sample social security cards in wallets); misleading advertising, commercial enterprises charging fees for SSN services; identification of personal property. The Social Security Number (SSN) is composed of 3 parts, XXX-XX-XXXX, called the Area, Group, and Serial. For the most part, (there are exceptions), the Area is determined by where the individual APPLIED for the SSN (before 1972) or RESIDED at time of application (after 1972). The areas are assigned as follows: 000 unused 387-399 WI 528-529 UT 001-003 NH 400-407 KY 530 NV 004-007 ME 408-415 TN 531-539 WA 008-009 VT 416-424 AL 540-544 OR 010-034 MA 425-428 MS 545-573 CA 035-039 RI 429-432 AR 574 AK 040-049 CT 433-439 LA 575-576 HI 050-134 NY 440-448 OK 577-579 DC 135-158 NJ 449-467 TX 580 VI Virgin Islands 159-211 PA 468-477 MN 581-584 PR Puerto Rico 212-220 MD 478-485 IA 585 NM 221-222 DE 486-500 MO 586 PI Pacific Islands* 223-231 VA 501-502 ND 587-588 MS 232-236 WV 503-504 SD 589-595 FL 237-246 NC 505-508 NE 596-599 PR Puerto Rico 247-251 SC 509-515 KS 600-601 AZ 252-260 GA 516-517 MT 602-626 CA 261-267 FL 518-519 ID *Guam, American Samoa, 268-302 OH 520 WY Northern Mariana Islands, 303-317 IN 521-524 CO Philippine Islands 318-361 IL 525 NM 362-386 MI 526-527 AZ 627-699 unassigned, for future use 700-728 Railroad workers through 1963, then discontinued 729-899 unassigned, for future use 900-999 not valid SSNs, but were used for program purposes when state aid to the aged, blind and disabled was converted to a federal program administered by SSA. As the Areas assigned to a locality are exhausted, new areas from the pool are assigned. This is why some states have non- contiguous groups of Areas. The Group portion of the SSN has no meaning other than to determine whether or not a number has been assigned. SSA publishes a list every month of the highest group assigned for each SSN Area. The order of assignment for the Groups is: odd numbers under 10, even numbers over 9, even numbers under 9 except for 00 which is never used, and odd numbers over 10. For example, if the highest group assigned for area 999 is 72, then we know that the number 999-04-1234 is an invalid number because even Groups under 9 have not yet been assigned. The Serial portion of the SSN has no meaning. The Serial is not assigned in strictly numerical order. The Serial 0000 is never assigned. Before 1973, Social Security Cards with pre-printed numbers were issued to each local SSA office. The numbers were assigned by the local office. In 1973, SSN assignment was automated and outstanding stocks of pre-printed cards were destroyed. All SSNs are now assigned by computer from headquarters. There are rare cases in which the computer system can be forced to accept a manual assignment such as a person refusing a number with 666 in it. A pamphlet entitled "The Social Security Number" (Pub. No. 05-10633) provides an explanation of the SSN's structure and the method of assigning and validating Social Security numbers.