U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

For sale by the Superintendent of Documents, U.S. Government Printing Office

Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800

Fax: (202) 512–2104 Mail: Stop IDCC, Washington, DC 20402–0001

78–179 2013

SOCIAL SECURITY’S DEATH RECORDS 

HEARING 

BEFORE THE

SUBCOMMITTEE ON SOCIAL SECURITY 

OF THE

COMMITTEE ON WAYS AND MEANS 

U.S. HOUSE OF REPRESENTATIVES 

ONE HUNDRED TWELFTH CONGRESS 

SECOND SESSION 

FEBRUARY 2, 2012 

Serial No. 112–SS13 

Printed for the use of the Committee on Ways and Means 

( 


dkrause on DSKHT7XVN1PROD with HEARING
ii 

SUBCOMMITTEE ON SOCIAL SECURITY 

SAM JOHNSON, Texas, Chairman 

KEVIN BRADY, Texas 

PATRICK J. TIBERI, Ohio 

AARON SCHOCK, Illinois 

RICK BERG, North Dakota 

ADRIAN SMITH, Nebraska 

KENNY MARCHANT, Texas 

XAVIER BECERRA, California, Ranking 

LLOYD DOGGETT, Texas 

SHELLEY BERKLEY, Nevada 

FORTNEY PETE STARK, California 

Jon Traub, Staff Director 

Janice Mays, Minority Chief Counsel 

Pursuant to clause 2(e)(4) of Rule XI of the Rules of the House, public hearing records 

of the Committee on Ways and Means are also published in electronic form. The printed 

hearing record remains the official version. Because electronic submissions are used to 

prepare both printed and electronic versions of the hearing record, the process of converting 

between various electronic formats may introduce unintentional errors or omissions. Such occurrences are inherent in the current publication process and should diminish as the process 

is further refined. 


dkrause on DSKHT7XVN1PROD with HEARING
iii 

C O N T E N T S 

Page 

Advisory of February 2, 2012, announcing the hearing ....................................... 2 

WITNESSES 

PANEL 1: 

Honorable Michael J. Astrue, Commissioner, Social Security Administration .. 6 

PANEL 2: 

Jonathan Eric Agin, Esq., Arlington, Virginia ...................................................... 61 

Stuart K. Pratt, Chief Executive Officer, Consumer Data Industry Association ........................................................................................................................ 68

John D. Breyault, Vice President of Public Policy, Telecommunications and 

Fraud, National Consumers League ................................................................... 77 

Honorable Patrick P. O’Carroll, Jr., Inspector General, Social Security Administration ................................................................................................................. 85 

Patricia W. Potrzebowski, Ph.D., Executive Director, National Association 

for Public Health Statistics and Information Systems, Silver Spring, Maryland ........................................................................................................................ 92

QUESTIONS FOR THE RECORD 

Honorable Michael J. Astrue .................................................................................. 110 

Stuart K. Pratt ......................................................................................................... 115 

Honorable Patrick P. O’Carroll, Jr. ........................................................................ 119 

Patricia Potrzebowski .............................................................................................. 123 

SUBMISSIONS FOR THE RECORD 

AAGHSC, statement ................................................................................................ 130 

AGRWD, statement ................................................................................................. 131 

Alex Friedlander, statement ................................................................................... 132 

Al Poulin, statement ................................................................................................ 133 

Andrea Dudley, statement ...................................................................................... 134 

Anita Scarborough, statement ................................................................................ 135 

Anthony DiBartolo, statement ................................................................................ 136 

APG, statement ........................................................................................................ 137 

APPFA, statement ................................................................................................... 142 

Arthur Whelan, statement ...................................................................................... 144 

Bette Ritchotte, statement ...................................................................................... 145 

Blanch Wallace, statement ..................................................................................... 146 

CAFG, statement ..................................................................................................... 147 

Charlene Pipkin, statement .................................................................................... 151 

Charles Green, statement ....................................................................................... 152 

Christine Rauckis, statement ................................................................................. 153 

Christopher Cowan, statement ............................................................................... 154 

Christy Bergen, statement ...................................................................................... 155 

Constance Shotts, statement .................................................................................. 156 

CPGC, statement ..................................................................................................... 157 

David Hogan, statement ......................................................................................... 158 

Debbie Gurtler, statement ...................................................................................... 159 

Dee Dee King, statement ........................................................................................ 160 

Doris Rodin, statement ........................................................................................... 162 

FGS, statement ........................................................................................................ 163 

Florence Stoneberg, statement ............................................................................... 166 

Frances Neuvirth, statement .................................................................................. 167 

Frederick Hart, statement ...................................................................................... 168 

Garbara Garrard, statement ................................................................................... 169 


dkrause on DSKHT7XVN1PROD with HEARING
Page

iv 

GRNC, statement ..................................................................................................... 171 

Hallie Garner, statement ........................................................................................ 172 

Helen Ullmann, statement ...................................................................................... 173 

IAJGS, statement .................................................................................................... 174 

James Brann, statement ......................................................................................... 180 

Janet Armstrong, statement ................................................................................... 181 

Jason Miller, statement .......................................................................................... 182 

Jay Fuller, statement .............................................................................................. 184 

Jay Johnson, statement .......................................................................................... 185 

Jerry Sherard, statement ........................................................................................ 186 

Joette Kunse, statement ......................................................................................... 187 

John Mackintosh, statement ................................................................................... 188 

John Wright, statement .......................................................................................... 189 

Judy Darnell, statement ......................................................................................... 190 

Karen Isaacson, statement ...................................................................................... 191 

Kathleen Johnson, statement ................................................................................. 192 

Kathryn George, statement .................................................................................... 193 

Keith Riggle, statement .......................................................................................... 195 

Kenneth Ryesky, statement .................................................................................... 197 

Laura Peritore, statement ....................................................................................... 203 

Leslie Lawson, statement ....................................................................................... 204 

Linda Dodge, statement .......................................................................................... 206 

Linda Vixie, statement ............................................................................................ 207 

LPCIGS, statement .................................................................................................. 208 

Marilyn Hamill, statement ..................................................................................... 211 

Marion Newey, statement ....................................................................................... 212 

Mary Langdon, statement ....................................................................................... 213 

Megan Peterson, statement .................................................................................... 214 

Melinde Byrne, statement ....................................................................................... 215 

MGC, statement ....................................................................................................... 217 

Michael Burnette, statement .................................................................................. 220 

Michael Diamant, statement .................................................................................. 221 

NBER, statement ..................................................................................................... 222 

NCISS, statement .................................................................................................... 224 

NCOIL, statement ................................................................................................... 227 

NGS, statement ....................................................................................................... 232 

Patricia Champion, statement ................................................................................ 236 

Patricia Stinson, statement .................................................................................... 237 

Patricia Wales, statement ....................................................................................... 239 

Raphael Whelan, statement .................................................................................... 240 

RPAC, statement ..................................................................................................... 241 

Ruth Foster, statement ........................................................................................... 245 

SAGS, statement ...................................................................................................... 247 

Sandra Miarecki, statement ................................................................................... 248 

Sandra Trapp, statement ........................................................................................ 249 

Scott Shenton, statement ........................................................................................ 250 

Sean Furniss, statement ......................................................................................... 252 

Selma Blackmon, statement ................................................................................... 254 

SHHR, statement ..................................................................................................... 255 

SIGI, statement ....................................................................................................... 257 

Stephanie Nordlinger, statement ........................................................................... 259 

STS, statement ......................................................................................................... 262 

Susan Lubow, statement ......................................................................................... 266 

Susan Williams, statement ..................................................................................... 267 

TCAS, statement ...................................................................................................... 268 

Terese Vekteris, statement ..................................................................................... 269 

Tina Daggett, statement ......................................................................................... 270 

VGS, statement ........................................................................................................ 271 

William Josey, statement ........................................................................................ 275 


dkrause on DSKHT7XVN1PROD with HEARING
(1) 

SOCIAL SECURITY’S DEATH RECORDS 

THURSDAY, FEBRUARY 2, 2012 

U.S. HOUSE OF REPRESENTATIVES, 

COMMITTEE ON WAYS AND MEANS, 

SUBCOMMITTEE ON SOCIAL SECURITY, 

Washington, DC. 

The Subcommittee met, pursuant to notice, at 9:09 a.m., in Room 

B318, Rayburn House Office Building, Hon. Sam Johnson [Chairman of the Subcommittee] presiding. 

[The advisory announcing the hearing follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
2 

ADVISORY 

FROM THE COMMITTEE ON WAYS AND MEANS 

SUBCOMMITTEE ON SOCIAL SECURITY 

FOR IMMEDIATE RELEASE CONTACT: (202) 225–1721 

Thursday, February 2, 2012 

SS–13 

Chairman Johnson Announces a Hearing on 

Social Security’s Death Records 

U.S. Congressman Sam Johnson (R–TX), Chairman of the House Committee on 

Ways and Means Subcommittee on Social Security announced today that the Subcommittee will hold a hearing on the accuracy and uses of the Social Security Administration’s Death Master File. The hearing will take place on Thursday, 

February 2, 2012 in B–318 Rayburn House Office Building, beginning at 9:00 

a.m. 

In view of the limited time available to hear witnesses, oral testimony at this 

hearing will be from invited witnesses only. However, any individual or organization 

not scheduled for an oral appearance may submit a written statement for consideration by the Subcommittee and for inclusion in the printed record of the hearing. 

BACKGROUND: 

The Social Security Administration (SSA) collects death information to administer 

its programs. Approximately 2.5 million death reports are received each year from 

relatives, friends, funeral homes, financial institutions, postal authorities, States 

and Federal agencies. Verified death information is then used to stop benefits to 

those who have died and provide benefits to surviving spouses and children. 

A 1980 Freedom of Information Act (FOIA) court-mandated settlement required 

the SSA to make publicly available the surname, Social Security Number (SSN) and 

date of death of deceased SSN holders. As a result, the SSA created the Death Master File (DMF), a file of all deaths reported to the SSA since 1936 from sources other 

than States. The public file includes 84 million records and approximately 1.5 million records are added each year. At subscriber request, the file also includes date 

of birth and first and middle name for each SSN holder, in addition to the information required under the settlement. 

The SSA makes the DMF, often referred to as the Public DMF, available to the 

National Technical Information Service (NTIS) of the Department of Commerce 

through a contractual agreement. There is a broad commercial interest in the DMF 

to prevent fraud, waste, abuse and identity theft. NTIS sells the DMF to private 

and public sector customers, including government agencies, financial institutions, 

investigative entities, credit reporting organizations, medical researchers, genealogical researchers and other industries. Workers’ compensation, pension, annuity, 

unemployment and other benefit plans use the DMF to detect improper payments 

sent to those who are deceased. 

In 1983, Congress amended the Social Security Act (P.L. 98–21) to require the 

SSA to enter into contractual agreements to obtain death records from States, established the conditions under which the SSA may provide State information to other 

Federal and State agencies and exempted death reports the SSA receives from the 

States from disclosure under FOIA. 

States play a key role in the death reporting process. The SSA is working with 

States who are building a streamlined death registration process known as Electronic Death Registration (EDR). 


dkrause on DSKHT7XVN1PROD with HEARING
3 

Certain death records that appeared to be coming from non-State independent 

sources but were in fact State EDR data were for years included in the DMF. Following a recent review of the EDR, the SSA determined that as of November 1, 

2011, all death records received through the EDR will be removed from the DMF. 

It is expected that as the use of the EDR expands through the States, the mandated 

FOIA settlement will apply to less death information and the number of records 

that may be entered on the DMF will be further reduced. 

As many news reports have accounted, incorrect death reports have created severe personal and financial hardship for those who are erroneously listed as deceased, including the termination of benefits and the public disclosure of information that the SSA normally keeps confidential. According to the SSA, each year approximately 14,000 individuals are incorrectly listed as deceased on the DMF. Those 

affected have experienced termination of benefits, rejected credit, declined mortgages and other devastating consequences while their personal and private information is publicly exposed. 

Further, the DMF reportedly has become a source for thieves to capitalize on the 

identities of children and others who have died. Criminals appear to be exploiting 

the easy access to death information to submit fraudulent tax returns that include 

the decedent’s SSN. Parents of the deceased child do not know their child’s identity 

has been stolen until the IRS rejects their legitimately filed return and the theft 

has been exposed. In fact, ‘‘The National Taxpayer Advocate’s 2011 Annual Report 

to Congress,’’ released on December 31, 2011, included a section entitled ‘‘The Federal Government Facilitates Tax-Related Identity Theft by Publicly Releasing Significant Personal Information of Deceased Individuals.’’ 

In announcing the hearing, Chairman Sam Johnson (R–TX) stated, ‘‘Since 1980, 

Social Security has been required to publicly make available Americans’ 

personal information through the so-called Death Master File. Nearly anyone can get this information, including identity thieves. Identity theft affects swindled businesses, American taxpayers and grieving families. Also 

any one of us could find ourselves on that list by mistake—a mistake which 

could cause severe financial hardship. Americans deserve better so I introduced H.R. 3475, the ‘Keeping IDs Safe Act of 2011,’ a bill that would stop 

Social Security from making this information public.’’ 

FOCUS OF THE HEARING: 

The hearing will focus on the history, accuracy, use and impacts of the Death 

Master File along with options for change. 

DETAILS FOR SUBMISSION OF WRITTEN COMMENTS: 

Please Note: Any person(s) and/or organization(s) wishing to submit for the hearing record must follow the appropriate link on the hearing page of the Committee 

website and complete the informational forms. From the Committee homepage, 

http://waysandmeans.house.gov, select ‘‘Hearings.’’ Select the hearing for which you 

would like to submit, and click on the link entitled, ‘‘Click here to provide a submission for the record.’’ Once you have followed the online instructions, submit all requested information. ATTACH your submission as a Word or WordPerfect document, in compliance with the formatting requirements listed below, by the close 

of business on Tuesday, February 16, 2012. Finally, please note that due to the 

change in House mail policy, the U.S. Capitol Police will refuse sealed-package deliveries to all House Office Buildings. For questions, or if you encounter technical 

problems, please call (202) 225–1721 or (202) 225–3625. 

FORMATTING REQUIREMENTS: 

The Committee relies on electronic submissions for printing the official hearing record. As always, submissions will be included in the record according to the discretion of the Committee. 

The Committee will not alter the content of your submission, but we reserve the right to format 

it according to our guidelines. Any submission provided to the Committee by a witness, any supplementary materials submitted for the printed record, and any written comments in response 

to a request for written comments must conform to the guidelines listed below. Any submission 

or supplementary item not in compliance with these guidelines will not be printed, but will be 

maintained in the Committee files for review and use by the Committee. 


dkrause on DSKHT7XVN1PROD with HEARING
4 

1. All submissions and supplementary materials must be provided in Word format and MUST 

NOT exceed a total of 10 pages, including attachments. Witnesses and submitters are advised 

that the Committee relies on electronic submissions for printing the official hearing record. 

2. Copies of whole documents submitted as exhibit material will not be accepted for printing. 

Instead, exhibit material should be referenced and quoted or paraphrased. All exhibit material 

not meeting these specifications will be maintained in the Committee files for review and use 

by the Committee. 

3. All submissions must include a list of all clients, persons and/or organizations on whose 

behalf the witness appears. A supplemental sheet must accompany each submission listing the 

name, company, address, telephone, and fax numbers of each witness. 

The Committee seeks to make its facilities accessible to persons with disabilities. 

If you are in need of special accommodations, please call 202–225–1721 or 202–226– 

3411 TTD/TTY in advance of the event (four business days notice is requested). 

Questions with regard to special accommodation needs in general (including availability of Committee materials in alternative formats) may be directed to the Committee as noted above. 

Note: All Committee advisories and news releases are available on the World 

Wide Web at http://www.waysandmeans.house.gov

f 

. 

Chairman JOHNSON. We are going to sit here for a few minutes. Our guys went to a prayer breakfast this morning, some of 

them, and they are on the way, but not here yet. And legally we 

can’t start a hearing without at least two of us. And so as soon as 

someone arrives, we will let Mr. Astrue begin his remarks. Until 

then, don’t attack him. 

[Laughter.] 

Okay, we have another Member, Mr. Marchant. 

Mr. MARCHANT. Good morning. Sorry, I got turned around in 

the basement. 

[Laughter.] 

Chairman JOHNSON. Did you? I get lost over here, too. 

Well, since my fellow Texan has arrived, we will begin the hearing. I want to thank all of you for being here this morning. The 

hearing will come to order. 

Social Security has always collected death information so it can 

stop benefits to those who have died and start benefits for their 

survivors. Today about 2.5 million death reports are received from 

many sources, including families, funeral homes, hospitals, financial institutions, States and Federal agencies. Social Security 

shares death records with other Federal benefit-paying agencies, 

like the Veterans Administration, for instance. 

The 1980 Freedom of Information Act court-mandated settlement 

required Social Security to also make information about deceased 

Social Security number holders available to the public. Under the 

Freedom of Information Act, deceased individuals have no privacy 

rights, so their personal information can be disclosed. In response, 

Social Security created the so-called Death Master File. Soon afterward, in 1983, Congress changed the law to protect death reports 

received from States. The information in the Death Master File 

comes from non-State sources and the file is sold to the public by 

the Department of Commerce. 

Over time, a broad commercial interest has developed in the 

Death Master File for use in private benefit management and as 

a tool to prevent fraud and identity theft. Many groups purchase 


dkrause on DSKHT7XVN1PROD with HEARING
5 

the file from the Commerce Department, including government 

agencies, credit reporting agencies, financial institutions, law enforcement organizations, and medical and genealogical researchers. 

But what made sense 30 years ago, no longer makes sense today. 

Identity thieves who get their hands on a Social Security number 

can reap instant rewards, while the rightful owner has no idea 

what has happened. And that is partly due to our technology today. 

With 84 million listed individuals and 1.5 million new individuals added each year, it appears that this File has become a resource for criminals seeking to capitalize on Americans’ identities, 

particularly the identities of deceased children. 

In her recent annual report to Congress, the National Taxpayer 

Advocate found that the Federal Government facilitates tax-related 

ID theft through the release of the Death Master File. In no uncertain terms, the National Taxpayer Advocate states in the report 

that she ‘‘is appalled that the Federal Government is making sensitive personal information so readily available, when such information can easily be used to commit identity theft.’’ 

We will hear the heartbreaking story of the Agin family, whose 

four-year-old daughter had her identity stolen shortly after she 

passed away. Only when their tax return was rejected by the IRS, 

did they learn that an identity thief had already filed a return 

claiming their child as a dependent. 

Worrying about a lost loved one’s Social Security number is a 

burden no grieving family should bear. That’s why I, along with a 

number of my colleagues, introduced H.R. 3475, the ‘‘Keeping IDs 

Safe Act of 2011,’’ to protect this information. Even Social Security 

reports that approximately 14,000 living individuals are wrongly 

placed on the Death Master File each year. Any one of us could 

find ourselves mistakenly on that list—an inexcusable mistake that 

exposes our personal information and could cause severe personal 

and financial hardship. 

Through our witnesses today we will learn more about the history of the Death Master File, its accuracy, and how it is used. 

Soon this Subcommittee will hold a joint hearing with the Ways 

and Means Oversight Subcommittee to more closely examine identity theft in the tax system. 

Americans rightfully deserve action to stop thieves from exploiting our deceased loved ones. 

Do you have any comments to make before we allow your witness 

to make his opening remarks? 

Mr. MARCHANT. Well, thank you, Mr. Chairman. I have looked 

forward to this hearing for some time. I apologize for being late. 

This issue really came to the forefront in my mind a couple of 

years ago, when I had a family contact me about the theft of their 

Social Security card from their mailbox for an infant that was just 

born. And of course, that does not parallel the tragedy of a child 

that has died having their Social Security number stolen, but this 

family was very distraught. And I became distraught as well, when 

I contacted the Social Security Administration on their behalf and 

was told that, unless we could prove that the child had come to 

some financial harm, they would not be able to be issued a new Social Security card or a new number. 


dkrause on DSKHT7XVN1PROD with HEARING
6 

I understand that a person that has had several jobs or has had 

a credit report and has had their number circulated for many, 

many years, I can understand that. We cannot just begin to issue 

Social Security numbers just because someone has had their identity stolen. 

But in the case of infants, which my two granddaughters—my 

son, one of the first things my son was told that he had to do when 

the grandbabies were born was, ‘‘You have to go get a Social Security card, and you have to have a Social Security number’’—when 

I tried to open a savings account for them to start putting some 

money in there for their college education, I had to have a Social 

Security number. I mean I had to do this. So, he didn’t feel like, 

as a parent, he had the option of not having a Social Security number. 

And so, I am looking forward to the hearing today. Thank you 

for doing it. I am very interested in learning more about the Master Death File. With the amount of fraud going on in the country 

today, I mean the amount of fraud going on in this system, and 

with trillion-dollar deficits, I, as a Congressman, feel like I owe it 

to my constituents and the American public to make sure that we 

are good stewards of Social Security. 

Chairman JOHNSON. Yes, thank you for your comments. 

Mr. MARCHANT. Thank you. 

Chairman JOHNSON. We have two panels today. And seated at 

the table is our first panel, and the only witness in the first panel, 

Commissioner of Social Security Michael J. Astrue. Welcome, Commissioner. You may proceed with your comments. 

STATEMENT OF HON. MICHAEL J. ASTRUE, COMMISSIONER, 

SOCIAL SECURITY ADMINISTRATION 

Mr. ASTRUE. Thank you, Mr. Chairman. Chairman Johnson, 

Ranking Member Becerra, and Members of the Subcommittee, 

thank you for this opportunity to testify about the Social Security 

Death Master File and identity theft. This hearing marks our first 

opportunity to express our views to Congress on this important 

subject, and I commend you for adding it to your agenda. 

Identity theft is a plague on our Nation, and one that is spreading. A hacker successfully targeted me just a few weeks ago, and 

so I know the frustration, anger, anxiety, and sense of violation 

that comes with this crime. 

The Federal Government must do all that we can to reduce this 

plague, and we certainly should not make it worse. As my written 

testimony explains in detail, unintended application of the Freedom of Information Act to data in the Death Master File has created a new opening for cyberthieves. This form of identity theft is 

fairly recent, but appears to be growing. Accordingly, we must 

move swiftly to shut this activity down. For that reason we support 

the principles of Chairman Johnson’s bill H.R. 3475, which would 

strike a fair and better balance between transparency and respect 

for privacy. 

I should note that the Office of Management and Budget has 

been leading a review of this issue by interested Federal agencies, 

and we expect to offer a few improvements clarifying the terms and 

conditions by which Federal agencies and certain private organizaVerDate Mar 15 2010 12:43 Feb 26, 2013 Jkt 078179 PO 00000 Frm 00010 Fmt 6633 Sfmt 6602 I:\WAYS\OUT\78179.XXX 78179

dkrause on DSKHT7XVN1PROD with HEARING
7 

tions would have access to these data. These suggestions, however, 

should not slow Congress from moving forward aggressively with 

this important initiative. 

In addition, we acknowledge that this legislation does not remove 

the need for us, at the Social Security Administration, to maintain 

the most accurate records possible. 

Again, I commend the Committee for holding this hearing, and 

I would be happy to answer any questions you may have. 

[The prepared statement of Mr. Astrue follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
8 


dkrause on DSKHT7XVN1PROD with HEARING78179A.001

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

I-I EAIUN(; IIt:FOIU: 

CO.\ 1MllTn: 0 .'1 W" YS "0'101\1 EANS. 

\I~ II Trn; ON SOCML SECURITY, 

U.S. HOUSE OF R.:PIU:SENTATI VES 

SOCIAI.. S .:CURITY ANI) Df:ATlII NFORMAl'IOi'i 

FWIW" KY 2, 2012 

MIClI" .:I...I. A ST KUE 

CO~ M Iss,Ol'm K OF SOCM '- S f:C UKIT\' 
9 


dkrause on DSKHT7XVN1PROD with HEARING78179A.002

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Chairman Johnson. Ranking Member ll<"Cerrn, and Members of the Subcommill"'" 

Thank you for inviting me to discuss the Social Security ,\dministmtion's (SSA) Death Master 

File (OMF) and some of the known conc~ms. This hearing marks Our first opportunity to 

express our views to Congress on this important subject. and I commend you for adding it to 

your agenda. 

How We Use Ilt:ath Infonnation 

We do IIOt generate death daw.; rather. we collect it fmm a "ariety ofsourees SO that we can rull 

our programs. We recd"e about 2.5 million "'pons of death each year primarily from family 

members. fUlleral homes. fillancial institutions. and States. When "''' n"Ceive infonnation about 

an individual. we updme our records. including the Numidem file. ' which allows Us to Stop 

payment of benefits to a deceased beneficiary and establish benefits for SUr\·i\'Ors. 

Experience shows that some sources. including family members and funeral homes. arc highly 

accurute and We use th.'m to administer Our programs without fllrtherde\'elopment. For other 

reports. such as those we rccciw from a non-family member. we verify the rcport if we need to 

use the death fC<.'Ord to administer our programs. If the deceased person is not a bo!nefieiary and 

no sUr\'i"or benelits an: payable. we do not verify the death repon. However. we update the 

Numident with the death infonnation. 

CrcatjQQ Qithe PMf 

Individuals alld cmities became a"'arc of the death infonnation wc gathered to rull our pmgmms. 

In 1978. Ronald I'emolt>; file<! a lawsuit against us under the I'reedom of Info rmati 011 Act 

(I'OIA) to gain acCeSS to this infornlation. lX"Ceascd illdi"iduals gern:mlly do not have privacy 

rights; therefore. after consulting with the Department of Justice. we senle<!thc case by agreeing 

to disclose certain infonnation about dc.:cased indi,'iduals to Mr. Perholtz. 

As legally mandated FOIA responses for death infonnalion increased. we decided in 1980 thaI 

the most eOicienl way to handle the growing requcsts was to create a file that we could make 

available to the public. ThaI file is comlllonly known as the Ilt:ath Master File. or OMF. Since 

1992. we ha,'c pmvided the file to thc Depanmelll ofeommeree's National Technkal 

Infonnation Service (NTIS) to &;tribute because NTIS functions as a national clearinghouse for 

a wide array ofGovcrnmcm data. NTIS rcimburses us for the file under a commctual 

arrangement and then sells it to over 450 entities including banks, hospitals. uni,·ersities. 

insurance companies. and genealogical scrvices. In addition, NTIS makes the file available for 

online searching by many organizations with similar n.,,<[uirements but who do not wish to lood 

the I'dW data On their internal systems. The financial scrvices community in particular expressed 

a desire for this ability when the Subcomminec and the Financial Services Subcomminec on 

Invcstig.1tions and Oversight held ajoinl hearing on the OMF in November 2001. 

, Tho Numide tll contai .. ide",i[)";ng inf"",,,t,,,,, .. """ i.to<l with . Social S«:uri')' Nwnbe-r. inc tuding. de.,h 

iook .. ,.. onJ pan·n .. · name .. 
10 


dkrause on DSKHT7XVN1PROD with HEARING78179A.003

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Md"tional Sta!UtoO' Requirements on Dealh InfoU!!aljon 

In 1983. C.,mgress added subsection (r) 10 $Celion 205 of the Social Security Ael. This 

subsection requires us 10 cot!eet death infornlalion from Stales 10 update our program recordS. 

provides the cireumstances under which certain agencies may receive such informal ion from us. 

and exempts Ihe dcath infornlation wc re<:ci\"c from Slales from FOIA and Ihe Privacy Act. 

Pursuant to scction 205{r). wc provide Federal b..'rn,fit·p.1ying agencies wilh all of the dealh 

inform3tion in Our records On a regular basis. inclooing the dealh information we receive from 

the Stales. We provide an ek'Clronic file witll at! of Our death ,,"'Cords 10 lhe Centers for 

Medicare & Medicaid. Department of Defensc. Government Accountability Office. Inlernal 

Rc,·cnue Service (IRS). Office of Personnd Management. Railroad Retirement Boartl. 

Department of Veterans Affairs. and Pension Benefit Guaranty Corporation. Federal benefitpaying agencies need death infonnalion to ensure accuracy of their benefil payments and prevent 

fraud. waste. and abusc. In addil;on. IRS has a complete copy of our Numident file. and we scnd 

them weekly updates. 

Electron;c Death ReBislration 

As explained. we need ac.:urate dealll information to properly administer our programs. Since 

2002. we have worked witll States and other jurisdictions to increase the use of Electronic Death 

Registration (EDR). EDR automates our rc.:eipt of deatll information and is highly accurate 

beeause the States ,·crify the name and Social Sc.:urity Numberofdeceased individuals against 

our records before they transmit the death report to us. Currently 32 states. tile City of New 

York. and Ihe Dislrict of Columbia participale in EDR. 

Our dealh information is becoming even more accurale as more SL1lcS participate in EDR. We 

realil.e.llowcver. that a [ow error rate is meaningless to tile living pt.'Ople ".t.ose information is 

erroneously divulged. We encourage Stales to particip.1te in EDR to enSnre our death records are 

as accurate as possible. 

Possible Cllangcs 10 the DMF 

Identity theft is a spreading plague on our Nation. The Federal government mUSI do all tllat we 

can to curtail this problem. and we certainly should not make it worse. Unfortunately. public 

access 10 the DMF has created opponunitics for criminals. Tile media lias reported incidcms 

involving the use of dealh data 10 commit tax fraud. The mOSI efficienl way to help curtail fraud 

is by ensuring il is nol released to those emitics or individuals who might misuse il. 

Witllout your support. any change we make to our procedures for diselosing information will be 

mel with resistance. especially given our obligations under FOIA. For example. we re<:ently 

remo,-ed tile l ll' cooe and quickly received a VOlA request for Illal infornlatioll. Trying to keep 

up with individual FOIA rc<[uesls for illfonnation Oil millions of deceased individuals is a 

resou",e issue at a time ,,·hellthe agency is struggling 10 keep u[> with rising demand for services 

in a lime of dwindling ,,",sourees. 

2 
11 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.004

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

We suppon 1he basic principles ofstriking 1he balance betw~n transparency and pro1e<:ting 

individl.lals from idemi1y 1heft tha1 underlies Chaiml3n Johnson's bill. II.R. 3475 "Keeping IDs 

Safe." and look forward to working wi1h Congress. the Administration. and 01her panics on 

legisla1ion that achieves that pUrposc.l The bill would continue to pennit the disclosure of our 

death information. as under currem law. to Fe<leral benefit-paying agencies. We are currently 

p.1n of an intemgency group revi ... wing legislative options in this area. and may have some 

funher suggestions that address the legitima1e needs of a brood spectrum of organi7..ations. 

including means by which oU1side panics with reasons to usc the DMF might do so. We look 

forward to working wi1h Congress to strike the proper balance between prewnting fraud and 

abuse. and protecting individuals from iden1ify thcft. 

Conclusion 

We appreciate Congress' interest in "'orking with us to protect Our fel low Americans. We are 

commitw<lto continuing to share death information with Our Fc<lcrnl panners and appre<:iate that 

there are other parties that. with vigilant oH'rsight. ha,·c reasonable and responsible purposes for 

obtaining <leath <lata. Under the provisions in subsection 205(r), the amOunt of publicly 

available data we share would continue 10 shrink if participation in EDR increases. We hope 

Congre.s willmo\'e quickly to address Ihis problem. 

I would be happy to answcr any questions you may ha,·c. 

, All $Ia1\J1d rnac,od al\.,- 0<,""'" 28, 2009. m"" at.., d,. 10 S U.S,C. S52(b)lJ) in ortkr '0 wilhhotd informalion 

from ,he public. 

) 
12 

Chairman JOHNSON. As is customary for each round of questions, I will limit my time to 5 minutes and ask my colleagues to 

also limit their questioning to 5 minutes. 

Commissioner, in your testimony you talk about your obligations 

under the Freedom of Information Act. And I am glad you did. In 

past audit reports, the Social Security Inspector General has criticized the agency for putting personal information of the deceased 

on the Death Master File, that the court settlement really did not 

require, according to him. 

For example, you list a person’s date of birth, the zip code, and 

the settlement did not require that information to be made public. 

You said you recently tried to do one simple thing, remove the zip 

code from the Death Master File, and you are already getting 

picked to death—excuse the pun—by inquiries and lawyers. Lawyers are going to pick you apart, regardless. 

Fixing the death data system to protect both the living and dead 

from identity theft, and to allow the agency to go on with its important business, is Congress’s responsibility, in my view. Isn’t eliminating the publication of the Death Master File, as I propose, the 

best way to make sure none of this information about deceased is 

made public? 

Mr. ASTRUE. Absolutely, Mr. Chairman. There has been some 

confusion. I think some of it has been fostered in the press. I think 

that some of the auditors, with all due respect for the Inspector 

General, are confused on this point. 

The Perholtz Settlement in 1980, is based on the view that the 

Department of Justice came to in that litigation, that basically we 

had no choice, that we had to turn over the specific items requested 

in that litigation, so we entered into a consent decree. 

The same rationale applies to other information. The legal analysis is exactly the same. So the fact that the settlement agreement 

does not specifically address certain data elements really isn’t relevant at all, nor does Mr. Perholtz, as some irresponsible reporters 

have suggested, have the authority to dictate this to the Federal 

Government. 

You are exactly right. Congress has said in the Freedom of Information Act, ‘‘You must release data of certain profile, unless Congress has provided you with an exception.’’ Congress had not done 

that in 1980, hasn’t done it now, and quite understandably, because it was not a problem back in that time period. But to your 

credit, Mr. Chairman, and to the credit of other Members of Congress, you have seen that the world has changed, you know that 

it is a problem now, and you know that we need action. And we 

support all that, and we want to support you in that action. 

Chairman JOHNSON. Thank you, sir. You know, information is 

almost instant today. And if you put the wrong stuff out there, you 

are in trouble. 

Mr. ASTRUE. That is for sure. 

Chairman JOHNSON. Social Security has also been criticized by 

the Inspector General for putting individuals on the Death Master 

File who are not dead; 20,000 people over a 3-year period ending 

in April 2007, to be exact, according to one of their audits. 

Your agency estimates the number to be about 14,000 per year. 

Countless news reports tell the horrifying stories of the personal 


dkrause on DSKHT7XVN1PROD with HEARING
13 

and financial hardship these people endure when these terrible 

mistakes are made. Isn’t eliminating the Death Master File the 

only certain way to prevent these errors and potential ID thefts 

from occurring? 

Mr. ASTRUE. Yes, it is, Mr. Chairman. And again, we have a 

remarkably accurate system overall, and we strive to make it more 

accurate. But it is a voluntary system. In some ways it is remarkable that we do as well as we do. No matter how we improve our 

own internal processes, we are not going to be able to eliminate all 

mistakes. 

And potentially, the cost of those mistakes could be substantial. 

I think, up to this point, the living have been fortunate in that the 

big problems have been with the theft of identities from people who 

have, in fact, passed away. 

But it is a horrible thing that people go through. And I have seen 

it. In one week, one of my closest relatives and one of my closest 

friends and neighbors were declared dead, one by our agency and 

one by one of our other Federal agencies. So I was right in the middle—it is a horrible thing to go through, and I understand that. We 

need to reduce that, irrespective of what we do on the Death Master File. 

But you are absolutely right. The only way to make sure that 

when we make a mistake it doesn’t have devastating public consequences, is to enact legislation that keeps the Death Master File 

more confidential than it is today. 

Chairman JOHNSON. Yes. The Inspector General also found 

that Social Security’s policy is not to inform Americans when they 

are victims of these kind of errors. Why can’t you tell the victims, 

and let them take immediate action to protect themselves? 

Mr. ASTRUE. Mr. Chairman, we are relooking at this now. We 

have been complying with OMB guidance in this area. We contract 

for monitoring of the credit of individuals who have had a brief exposure in the public. Then we notify them if there was any indication that there had been any irregularity in their credit or their finances. 

But we are relooking at that now. Hopefully, it will be irrelevant 

very soon, because some version of your bill will be enacted by Congress this year. 

Chairman JOHNSON. Thank you. Mr. Becerra has arrived. Do 

you want to question? 

Mr. BECERRA. Of course, Mr. Chairman. And I want to apologize for being detained, because this is one of those hearings where 

I think we actually can get some things done pretty quickly, because there is strong bipartisan support, we have demonstrated 

that in the past. And so my apologies. It is an important hearing. 

Chairman JOHNSON. You mean you agree with me? 

Mr. BECERRA. Absolutely, Mr. Chairman. Absolutely. And that 

is on the record. 

[Laughter.] 

And Commissioner, it is great to see you here. 

Mr. ASTRUE. Thank you. 

Mr. BECERRA. And thank you very much. I know that you have 

been trying to tackle this, as well. I think every Member who sits 

on this Subcommittee has heard the stories. And I know we are 


dkrause on DSKHT7XVN1PROD with HEARING
14 

going to hear a pretty devastating story from one of our witnesses. 

So I think it is one of those things that we have to tackle. 

Obviously, the issue is making sure we provide information out 

there to our government agencies and to the private sector entities 

that deal with personal data, so that they can make sure they have 

the tools to detect and prevent fraudulent use of personal information. But clearly, too much of the information is getting out to 

those who use it for the wrong reasons. 

And so, Mr. Chairman, rather than go into any opening statement, if I could just ask for unanimous consent to enter my written 

statement into the record, I will go straight to some questions. 

Chairman JOHNSON. Without objection, so ordered. 

[The prepared statement of Hon. Xavier Becerra follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
15 


dkrause on DSKHT7XVN1PROD with HEARING78179A.005

Opening Statement 

The Honorable Xavier Becerra, Ranking Member 

Subcommittee on Social Security 

February 3, 2012 

Thank you, Mr. Chairman, for convening this hearing. 

This Subcommittee has long been concerned about the problem of identity theft, where all too 

often it is the Social Security number which provides the key to committing the crime. For 

many years, we have worked on a bipartisan basis to examine and address identity theft. And, 

in a prior Congress, our Committee unanimously approved bi-partisan legislation designed to 

reign in the overuse of the Social Security number and to place limits on its widespread 

availability. 

But today's hearing, I believe, will be one of our most compelling on this topic. In a few 

moments, we will hear from Jonathan Agin, who just last year lost his young daughter to a 

terrible cancer - and then was dealt another blow when his child's identity was stolen and used 

fraudulently to collect a tax refund. 

No one should have to endure both the loss of a loved one and then the discovery that a 

heartless criminal has appropriated the deceased person's identity. 

In the future, Mr. Chairman, I hope we can join with our colleagues on the Oversight 

Subcommittee to address the interrelated issues of identity theft and the administration of our 

tax laws, the latter of which is not within the jurisdiction of this Subcommittee. 

Today's hearing will examine the use and availability of the so-called Death Master File, which is 

compiled by the Social Security Administration from the death records SSA obtains for the 

purpose of administering Social Security and SSI benefits. The File is made available for sale by 

the Department of Commerce to other public and private entities. 

The reason this personal information is available for sale is because our nation's privacy 

protection laws, it turns out, only apply to living persons. In most cases, there are no 

protections for the identities and personal information of individuals who are deceased. As a 

result, SSA was compelled to make the Death Master File publicly available as a result of 

litigation in the late 1970s. 

The data compiled in the File goes a long way in helping government agencies and private 

insurers, for example, to administer benefits, making sure that benefits do not continue after 

an individual's death. The File can also be used to detect and prevent fraud involving the 

identities of deceased persons. At the same time, that personal data is obviously getting into 

the wrong hands, too. 
16 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.006

I know this Committee is committed to solving the problems surrounding the Death Master 

File. We need to keep the personal data of Americans --living and deceased -- out of the hands 

of identity thieves. And, we should make sure there is a swift and stiff price to be paid for the 

transgression. Yet, somehow, fraud prevention tools must remain available to those who need 

them. 

The challenge for this Subcommittee is crafting a solution that achieves that balance. I look 

forward to hearing from our witnesses about the extent of the problem, the challenges of 

shutting down fraud involving the identity of deceased persons, and possible solutions. 

2 
17 

Mr. BECERRA. Thank you, Mr. Chairman. Commissioner, I 

guess the troubling aspect of this is that trying to find that balance 

in giving the information to those who need it so they can start to 

check records to make sure people aren’t filing false applications 

for credit cards and so forth, and of course figuring out a way to 

make sure that that information stays tightly in the hands of those 

who need it. Is SSA looking at the possibility of trying to limit access to the records of deceased individuals? 

Because my understanding is today the Master File essentially 

is sold once you have packaged it, once Commerce goes out there 

to sell it, they sell it to anyone who is willing to pay for it. 

Mr. ASTRUE. Right. I am not speaking for the agency now, I am 

speaking on behalf of the Administration. As I mentioned in my remarks, we have a group that OMB has been leading for a while 

working on this issue. We have a lot of interested agencies. 

So, we think the general principle—that the starting point is 

that instead of assuming that everything should be disclosed unless 

there is an exception, we should be moving the other way, with the 

presumption that information is withheld unless there are very 

specific rules as to who should get it, and what should be the protections and conditions that are built in to those arrangements. 

Also, within the Federal Government, there is a little bit of a gap 

in the statute that I know has frustrated the President. The President is very interested in what used to be called the Do Not Pay 

List, which is now called GOVerify, and has directed everyone in 

the executive branch who is participating in that to use the Death 

Master File for program integrity purposes. 

Unfortunately, the statute does not permit all the agencies that 

could benefit from program integrity efforts with the Death Master 

File to use those records, because right now we are only allowed 

to share with the benefit-paying agencies. We can, on a discretionary basis, share the Death Master File for research. But there 

is an area—I think very legitimate Federal use—where we can improve the operations of government significantly if we also have 

clearer and broader authority to share death information within 

the Federal agencies. 

Mr. BECERRA. Do you think there is—can you answer this 

question? Is there a problem with the disclosure of the Death Master File to Federal agencies? Is there any evidence that it has been 

misused or loosely guarded by the agencies, so that we would have 

to put constraints on Federal agencies? 

Mr. ASTRUE. I am not aware of any. From everything I 

know—— 

Mr. BECERRA. So it is mostly the fact that—— 

Mr. ASTRUE [continuing]. All Federal agencies have been careful in this regard. On the other hand—— 

Mr. BECERRA. So, let me ask this—— 

Mr. ASTRUE [continuing]. It would be appropriate to consider 

that. 

Mr. BECERRA. Right. So we may want to take a look at what 

we need to do to safeguard it when other Federal agencies get the 

information. 

Mr. ASTRUE. Right. 


dkrause on DSKHT7XVN1PROD with HEARING
18 

Mr. BECERRA. And making sure that they safeguard it as much 

as necessary as they use it. 

This issue of outside entities getting to purchase, that is where 

we really have to be careful, because there is less control over that. 

Is there something that we can do quickly, where if it is, as you 

indicate there seems to be general agreement within the Federal 

Government, that we have to try to figure out a way to not give 

it out, this information out, so quickly. 

Is there something that we can act on bipartisanly quickly so 

that we can not just send messages that we want to try to safeguard the information, but that we can actually get underway with 

something that actually requires those that obtain this information 

to keep it secure? And, quite honestly, punishes those who misuse 

the information? 

Mr. ASTRUE. Right. So—and I am not trying to be cute here— 

it depends a little bit on your definition of ‘‘quickly.’’ I know from 

participating in this interagency group, which has been working 

hard, that this is a lot more difficult than it looks at first. And if 

you do it quickly, as in a month, 6 weeks, the chances are pretty 

high that you will get it wrong, because there are hard and important balances here. 

Mr. BECERRA. I agree with that. 

Mr. ASTRUE. And this needs to be crafted extremely carefully. 

On the other hand, if you are defining ‘‘quickly’’ as can we get 

it passed this year, my answer to that would be yes, we have to 

go pedal to the metal, work in a way between the Houses, between 

the parties, between the Congress and the executive branch, that 

doesn’t happen very often these days. But I think that we can do 

it, because I have talked to a lot of Members, both Houses, both 

parties. I don’t think this is one of those issues where you are 

badly divided. 

Mr. BECERRA. I agree. 

Mr. ASTRUE. I think this is largely working out the technical 

issues. So I think that if we can focus, we get help, get the spirit, 

work openly with the group at OMB, I think that we can get this 

done. I think it probably will take a couple months to work through 

all the details and craft the actual language that draws these difficult balances the right way. But I think it is doable in a few 

months. 

Mr. BECERRA. Mr. Chairman, maybe one thing we can really 

concentrate on is working with the Commissioner and whatever 

agencies are appropriate to have at the table and see if we can— 

I wouldn’t want to rush it, either. I know you wouldn’t want to 

rush it, either. But to the degree that there might be a chance, I 

think we should explore that. 

Chairman JOHNSON. Yes, I agree. And I mentioned earlier, before you got here, that we are going to have a joint hearing with 

another Committee to try to see if we can’t figure something out. 

Mr. BECERRA. Excellent, excellent. 

Chairman JOHNSON. It is a continuous problem that can’t be 

solved right now, but needs to be addressed, certainly. 

Mr. ASTRUE. And I want to say I will do everything I know how 

to do to do this. I want to commend OMB, because I think Martha 


dkrause on DSKHT7XVN1PROD with HEARING
19 

Coven and Shelley Metzenbaum have done a great job trying to get 

agencies with very different perspectives to work on this issue. 

I had been hopeful that maybe I could come up with more specificity today. But I think it is more important to get it right than 

to get it fast. 

Mr. BECERRA. Yes, yes. 

Mr. ASTRUE. So I would encourage you, as you figure out the 

best way to work on it with your staffs, to also reach out directly 

to the folks at OMB who I think are doing a—— 

Mr. BECERRA. And let us know—— 

Chairman JOHNSON. You need to work on your guys down 

there and make sure they don’t make injuring errors any more. 

Mr. BECERRA. And, Mr. Chairman, let us—Mr. Commissioner, 

you should let us know if we can help you excite some of the other 

agencies to participate. And while they may be very busy, they may 

not be as enthusiastic or animated in moving this quickly. And let 

us know if we can help you animate them. 

Mr. ASTRUE. I think—— 

Chairman JOHNSON. Well, this is one of those issues that—— 

Mr. ASTRUE. I think there are occasions, Mr. Becerra, where we 

do appreciate that help. I think in this particular case it is fair to 

say that in the beginning it took a little while because it is a new 

issue, and I think we have the agencies, whose attention needs to 

be focused on this, very focused on it. 

Chairman JOHNSON. Yes. 

Mr. ASTRUE. And in fact, we have had very animated discussions about this. It is going to take us another month or so, probably, to give you the more detailed feedback that you probably need 

to go forward. 

Mr. BECERRA. Great. Thank you. 

Chairman JOHNSON. Thank you. And, Mr. Marchant, do you 

care to question? 

Mr. MARCHANT. I have one question. A constituent has contacted me recently, and this constituent is heavily into research of 

her ancestry. And I suspect that there are millions like her. How 

can we be careful in what we do to make sure that the people that 

are harmed are protected, but those people that are vitally interested in their ancestry can still access accurate information? 

Mr. ASTRUE. I know that there is concern with the genealogists. 

I think that raises some challenges that we don’t have when we are 

talking about large institutions that can be fined and penalized 

easily by the Federal Government if there is inappropriate use. 

I do think that in most cases, genealogists can find the information that they really want from other sources. I have seen some of 

the communications from those groups, and I do think it is an overreaction right now. 

I think that probably what we need to do is to talk about a different framework, in terms of perhaps eventual release. That is 

what happens with Census data. 

But I honestly am not persuaded that, in the short run, withholding it for some period of years is going to seriously impair 

genealogical research, which I have done myself. I have been working on a project in my own family. So I appreciate the dedication 

that people have to it. But at some point I think what comes first 


dkrause on DSKHT7XVN1PROD with HEARING
20 

has to be families that have four-year-olds whose identity is stolen, 

and those types of things. I think that is what comes first. 

And then I think the question is, is there a way, or what is the 

best way, to accommodate those other interests, and does that 

mean a delay in release for some extended period of time? Whether 

that is 10 years, whether that is 75 years, like the Census. Those 

are questions that we have talked about in the interagency group, 

but we have not come to resolution on those or a lot of the related 

issues yet, because they are hard issues. 

Mr. MARCHANT. Thank you. Thank you, Mr. Chairman. 

Chairman JOHNSON. Let me just ask a question that kind of 

follows up on what he said. When are we going to receive your recommendations to address this problem? 

Mr. ASTRUE. I would hope, Mr. Chairman, that it would be 

piecemeal in real time. I think that as many of these conversations 

that we can have as quickly as possible would be the best. 

I think there are certain ones that are fairly easy. If you go back 

and look at the congressional hearings in the wake of 9/11, Congress had a lot of interest in us getting more, better Death Master 

File data out faster to the financial communities to try to prevent 

money laundering and the kinds of things that can fund terrorism. 

There are court orders right now requiring life insurance companies to use the Death Master File so that they pay insurance 

claims that are due, and don’t use the fact that some claims are 

not pursued as a way of just making more money. So there is a 

bunch of issues. 

I think the financial corporations are probably the easiest. I 

think we have had a fair amount of usage from educational and 

health care institutions. I think those are probably fairly easy. I 

think questions like the genealogists are much trickier and will 

take some time. 

So what I would say is I would hope that we would be talking 

substantially more guidance on some issues within a matter of 

weeks. But maybe not everything, because we have a lot of agencies that, quite candidly, right now, have a different perspective on 

some of these issues. So I can’t come up and speak to you authoritatively until we coordinate agreement on that. In some issues that 

should be very soon, in some it will probably take a little bit longer. 

Chairman JOHNSON. Okay. Well, let’s work together and try to 

get it done as quickly as we can. 

Social Security, in the past, has provided funds to the National 

Association for Public Health Statistics and Information Systems to 

develop and implement the electronic verification of vital events. 

This is an online system that verifies birth and death information 

through a single interface. Does this system have the potential, in 

your view, to be the go-to agency for the death information now 

provided by the Death Master File? 

Mr. ASTRUE. We will certainly take a look at that, Mr. Johnson. 

I think it has been difficult enough getting a database the way that 

we are doing it now. I would be a little bit reluctant to start over. 

But I will certainly look into this. It is a question that just came 

to my attention recently. I was not terribly aware of this. So we 

will look at that in good faith. 


dkrause on DSKHT7XVN1PROD with HEARING
21 

What I will say also, regarding funding to support our electronic 

death registration, authority moved over to HHS on that, and there 

has not been money appropriated to accelerate that process. We 

have, I believe, 32 States and 2 jurisdictions that are at least partially participating in that system. The relatively small amount of 

money to get the other 18 States on board, I think, would do a lot 

to make the system more accurate, faster, and better for everybody 

that is using it. 

[The statement of Mr. Astrue #1 follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
22 


dkrause on DSKHT7XVN1PROD with HEARING78179A.007

TahleorConlen" 

Add.ndum to SF·1449 

Electron;, lkoth R«<H'd, r", SSA 

SoNion A _ Sia ndard Form 1449 (S.' 1449) 

Soclion " . Addend um 10 SI.nd.rd .·orm 1449 

Se.:(;OO IJ·I I'ric ~Cos(s 

Se"C.i"" 1J·2 I)..-scrip.ion of Serv;ce 

Sorlion C - Conlrat' ClauSf1 and Terms and Condi'ions 

Sec.ioo C·I 

Seet;"" C·2 

Se.:t;OO C·] 

Sect;"" C·5 

Seet;"" C-6 

FAR Clause 52.212-4. Coo.roct Tern,s 

and Condi.ions - Comme..-ciaillem< (JUNE 2010) 

Addendum.o FAR Clause 52.212-4. C"".ract Term. 

and Condi.ions - Commerciall.cm. (JUNE 2010) 

I'AR Clau"" 52,212.5. COOtl'OC1 Ten", ""d Condi.i""" 

RC'Iu;rcd.o Implemen( S(atu.es Of Execu.;,'. Ordas·· 

Commercialltcm. (JUI-Y 1010) 

Addi.ional FAR Clau>cs Incorporated by Full Tex. 

Addi.;onal Agcncy.Sp«:ific T enos and Condi.ions 

S«lion J) - Coniraci ihKumenfS, .: .hil>ill ond A 1Ia.hm~nfS 

Soc, ion E· Solidl.,ion Pro,'i, ion. 

Sec';oo E·I 

Se"C';"" E·2 

Sec(;"" E·3 

Seet;on 10-4 

Sect;"" E·5 

St."Ct;"" E-ti 

FAR l'IO,';sion 52.212·1. Instruct;""",o 

OfTcrors - Comm.rcialltcm. (JUN 200&). by Refercnce 

Addendum.o I'AR I'ro"isi"" 52.212'1, lnsmoc.ioos .o 

OfTerors·· Comm"",iall'em. (JUN 2OOS) 

FAR I'ro,';sion 52.212·3. OfTeT Rcpn."S<."IlWtions ""d 

Cenification •.• Commercial !tems (AUG 2(09) 

Addit;""al FAR J>ro"isions lncorporalc-d by Full Text 

Addi.ional FAR Provisioos IncO<j>Ot'ltted by Reference 

.""rI;On A· Standard .'orn' 1449 (SF 14491 
23 


dkrause on DSKHT7XVN1PROD with HEARING78179A.008

~c tion B dd~ndum to !itandud f orm lH9 

Add.ndum to SF·1449 

Electron;c lkoth R«<H'd, r", SSA 

In ott""",n"" ..... ilh Fedcrnl Acquisi!ion Regula!ion (FAR) 12,)(12 and 12,303, this adde'l1dum to (he 

Standard Form (SF) 1449 jlI'Q"ides fQt' "'lt1tinwl1i"., of (he schedule and desrnpliQll of the 

supplicsfscr\'iccs to be acquired , 

H· ( P1I.ICF.fCOSTTAflL.:S 

Tlte contractQt' shall pro"ide the designaled jurisdictioo's ,,;tal slatistic dealh .... 'C<:>I'd data by elcclronic 

trans,missioo mdlwds which conform 10 SSA's requiremenls and fQt'mal. Tlti. infonnation shall be 

pro"ided fQt' Ihe cQntra<:1 period (Calendar Year ICYI 20]2 Ihrough 20]6). 'l' ho data shall be in the 

formal prescribed in the attachment, Duplicale dcalh data pro"ided in Ihe same or subs\.'quenl 

transmissions shall be paid for 001)' oncc_ 

NOTE: For purJl'OSCS of Ihi ~ COO(racl. a jurisdiclion I\as lransilioned 10 Ihe Ek'Clroo;c Death 

RClliSiralioo ("DR) process ..... hen il has i""orpor'"lcd SSA's Onlinc Verification Software inlo its 

Ekelronic Dealh Registralion System AND has submitted 10 SSA one he death n.'eonl "im a 

\"crificd SSN. 

SlalCS m"y exoreise lhe righllO lransilion from the Non·EOR process to lhe EOR process during tho 

eourse of the ConlraCt period, If slate"; ~erc;sc Ihis uplioo. they will .... -ceiw one paymenl for 

-pro<:<:sscd ".'eonls-' SIlbmil1c'<llimcly in lhe applicable formal. If slales lransilion, Ihe')' arc nul 

entitled 10 both Noo·EOR .nd EOR paymenl rales for lhe same dCalh rttu.-ds, 

Stales "ill be paid lhc ful l unit price (sec chan belo ..... ) for processt.'<l n.'ConIs(Non·EDR or EOR) 

snbmilled wilhin 120 OOsine"Sl; days after lhe date of dealh, St81"" will only be enlilled (0 S,OI for fI.'Cu.-ds 

submilled 121 da)'s or more beyond the dale ofdealh, Tlte fl.'Conis submillcd after 120 day. " 'ill be 

prescnt on lhe dealh process notices in Ma), 2012 and will be effecl,,"o on in"oicos Slaning in Ihe 2" 

quarter of CY20 12 (April·lutH.' 2012). 

The following payment schedule shall be in accordance " -ilh lhe rtteipl of Electronic Dcalh RegisHlllion 

(El)R) ~ords("crir,ed and un\"erified) and Non·EllR r«onIs: 
24 


dkrause on DSKHT7XVN1PROD with HEARING78179A.009

" 

ill 

Option Yur IV: January 2016· Ott •• nMr 

2016 

Add.ndum to SF·1449 

Electron;, lkoth R«<H'd, r", SSA 

Unit Pri<~ 

, 
25 


dkrause on DSKHT7XVN1PROD with HEARING78179A.010

'" 

AcId.ndum I" SF·1449 

Elc<1ronk l)oa,h \!«ord. f"r 55" 

, 

The rille PCI' record will increase annually by 2.28%. IIhieh represents ,lie .""age Consumer ''rice 

Inde~ 10'1) pc«;cntagc in<",as.. f(H' It>c pre\'ious r,\'c-ycat period (2007-21)11 J. 

'l'rocessc<J Kecord: tk.,h rttOO'd data '"",smit1cd to Social !k<;uril)" Administration wilhin Ihc 

,;m.frames established in Se<:,ion B_1 This does 001. i!\elude duplicated n-conis. 

Sf:CT ION 8 _2 :S CR11 Tl0 N/s I)~:C NSJ STATF:MF:NT OF WOII.K 

B-2. I IlACKGROUND 

AS required 1»' Se<:lion 205(r)"f'l><: Social S<.-.:uril)' Ael. the Commissioner oflhe S....,i.1 Security 

Admini&lra1ion (SSA) is dirWcd ["seek '-olunlal)' coop£rIIlion <Jr,he Slatcs in providing death rttord 

informaliOll u,ldcr contrac1ual ag"''''''c"'' for use in Ihc .dminislralion of,he programs <s,.bli,he'd "rnle.,. 

!he Social Sec"ri,)" Ael. as amended. 5S" shall cany outlhi. pro,-ision orlhe law. The pUIJlOS<' oflhis 

program is 10 reduce errool'()US pa}'lnenl< 10 dl'Ceasl-d P<'rsoIlS recei\'ing Social Sl'CUri()' benefil', 

11-2,2 seo!'!: Of WOKK 

The contractor shall furnish lhe nrtcss.ruy personnel, mallmls.. scrvices. fxili(ics and i:\juipmtnl, cxc"l"l as 

may otherwise be specified bcrcin. stld perform all tasks neccs,sat)' for, or incidC11tall<>. tbe performance of 

the work SCI fonh berein, 

The contraclor shall provide "iLaI SlaliS!ic dc.."th n,eonl daLa 1»' electronic trsnsmis.<ion methods which 

confoml (0 SSA':. requirements and formal. Thedcalh dala ,hall be pn",idcd beginning npproximatol)' 

January 1.1012 Ihroogh 1)<,cembc1 31. 2016. The daLa ,hall be transmiued in til< Formal prescribed in the 

auachmcnt 

EDK Records are dealh rcpom (hal go Ihrough on oolil\C SSN wrification check prior 10 subinissioolo 

SSA, EDK records thai pass Ihe online SSN wrificalion are referred loa. -"erified EDR" rcoonls, EDK 

n.'Cords Ihm do 001 pass Ill< online SSN "crillcalion are referred to as "un"crillcd EBR" rl'OOl'ds, 

'Ilte Con(raclor shall prm'idc EDK n.'OOI'ds 10 SSA within six business day. from the dalc of dealh in order to 

reeei"" full paym"" .. Saturdays.. Sunday~ and Froernl Uolida)', will not be used in lhe ""leulation ofll'" si .• 
26 


dkrause on DSKHT7XVN1PROD with HEARING78179A.011

Addendum to SF-I 9 

El«tnm;'; Il<ath R«on.i. r", SSA 

busint.'SS days, For EDR "",ordsSltbmill<:ils,,,,," busincssdays or mon: beyond thedaleof""'uh. SSA will 

reimbu!'SC the contl'llctor at a lower I'lItc. 

fum"",1 homes.. hospilals_ coror.crs. Clc .. will iniliaily 'l.";fy these EDR "",ord, by !ltt<:SSing the onli"" SSN 

verification sysn.." Ihroogh 3 Strue/JurisdiC1ion H lR system_ Ifll1= isa data maleh. SSA $hall begin tbe 

le'1fl1inalOon proce'SS for lbe .... =1IS<.'d bc'flCficia,y ooce it rcc.:i,·cs !he Ve";lkd EDR "",ord from !he 

SlalelJurisdi~tioo Vital Records. 

1'1 .. V~rifi <a li on Au~mnl F:DR ~<o rtl ' 

No V.".ifkatioo Auempt EDR Re-cords an: electronic death "",ords that do 1101 go Ihrough the onli"" SSN 

w,ifiealion p,ocess bccaw;c they an: missing rrumdatOf)' ficlds(Scc Allachmem A) 0' bc'C.usc thc 

jurisdiction docs nor. ha,'e the onli ne SSN ve,ifiealion p,oce,;s integrated wilh their EDR .}.tem. For 

SSA purposes. No Ve"';tication Allempt EDR Re-cord, will be include'<l in the Non-EDR 'e'OOl"d eoonlS on 

Ihe lkath l'rOCt'SS NOli,..,. 

Non _F:DR Rrrord, 

Non_EDR ":,,ortIs an: death n'pons that do 1KII. go lh,oogh an online SSN ,-"rificalion check prior to 

submission to SSA. 

llH. .... may be some situations "1lcn thccontrnctorcan only pro"ide Non-EDR death ,,·conl>. 111c contrnC1or 

shall suhmit these "..,ortls alleasl once each month. Thisdcalh data is gc ........ I1)· rceonk'<l wi thin 90 days of 

ocrllrrellr~_ 111crefore. NQI"I-EDR deaths ocrlllTing bC1wttfl ~'" filS! and last day of a month .hall be 

iflCludcd in Ihc transmission submine'<l on or before Ihe lasl day of II><: month foll"";ng the 9O-day period. 

For c~ampk. deaths Otturring (11101 112 lhrough (1113 1112 shall be indud\.-d in the 1l1lrlsmi,;sion due to SSA 

00 or before the last day of April 2(112. 

Otalh cord Submi,;sio" RfiI"i..,m "I S 

All death records s~bm ucd 10 SSA should renecl .lleasl a I;rsl name and a lasl name. Middle names 

shoold be include'd where .,-.ilablc. Tbe Stme/Jurisdielion shall submit 10 SSlItilc nam~ oftl><: decedent 

as thcy n'Cci,·c il. wilhin lhe field limil< specified by SSA. Thc Stale/Jurisdiction shalillOl.ubmil 

decedenls whose n.me is unkoown . no, should -Jolm Do"s" or -Jane Doe· .. · be submiue'd. Sec lhe 

'([aehment for the Stat( Oeath Kt..,ont Fonnat, 

ll1c ,,'00I\I file'S arc lrnnsmil1cd IOlhe Nalional CoolpuleTCenler. Baltimore. Matyland, 111cconlrnctor shall 

"'his" !he ConlnlCting Offic .... ·s Technical RCprese1,lalive (COTR) alld the Contracting Ollke, (CO) of an)' 

change made 10 the conlraClOr'. ime-mal.ySlc'll1(s). "hich may impacl thcdala trarumil1e'<llo $SA. Such 

nOlice mUSI be made atlcast 7 days in ,,,h"lUl<."C oflr.rumissioo orUaIa whieh mil}' bealli."<:led by such a 

change. This ""Illiremeni is lIece-ssary 10 a\"Oid poIe1l1iai ad\l.""" cfTc'C1S 10 lhe SSA sySlems already in 

,,"xistcnce 10 process II><: COnlnl<lor'. dala. 

In,'ojee'S $hall iflClude information indicaled in C_2 Im-oi« Submission alld J>aYIlll'!11 Rcla1c'd Information. 

Section Co Con tract CI~u' ... And TunIS And Condilion. 

C_l FAR Clauu ~2.2 2-4 COnlrU! T~rn,. and Con tlili .... _ Comnlu("iol lI.nl< /Ju n. 20 10) 

, 
27 


dkrause on DSKHT7XVN1PROD with HEARING78179A.012

Add<ndum 10 SF·I ~9 

liI«I""'''' O .. ,h R«<>td. for 5SA 

In accord.nl..: wi,h FAR 12.301 and 12.302. the dause S2.212-4 is incorpor-oted h-n:in b)' 

reference ,"ia Block 27 of Standard Form (SF) 14~9. Solidtation!ContracllOrdcr for Conlm=ial 

hems. 

C·! Ad un, .n FAR Oau"" ~2.! 2-4 , e on.racl T~ . and Cond·.inn, _ en", .... ,..,i.II,.m, (.luor 

20111) 

• l'anlpapl1 (Il). In,-oi...,. is su[>pl""",ntcd as follows: 

/''''oiu Suhmi"ioll "lid PIJrll' 1I1 /IJI " /rrfi"mIJliorr 

The contractor ",ill receiH in>'oiees. prepared by SSA. (or re"iew and Hrilieation ,·i. email or fa~. The 

im'oke \\ill i""ludc all of.he clemen •• defined in the i"miee or payment dause llSe'<l in .his a",ard as 

weil as an)' OIhcr information rcq " ired below or in the contract. 

Othe ... R''<Iuin.'<Ilnformatioo: 

The (ollo .... ing infonnation shall be includ,'<I on all invoic.,.: in,"oice number. con.ract number: and 

ddi>'cry ordcr number (a "'-'W onc is designa.ed for cxh year of the contr1ltt.) In addilion. ,l>c in>'oiecs 

shall include: 

··Proccssing Datc(s) 

··Number orrttords tr~nsmiued for each J1f<xessing datc 

··Numb<... of rttords pr<Xl!SSCd for each pt"<xe'iSing date 

··Total numbcrofproccsscd records 

··Rate of I'a),mcn' 

··Total payment amount requested 

lhc YC(l( of PCTformal~ is broI;cn in'O) four quath.n: 

Quan", I: January. February. March 

Quan", 2: April. Ma}'. JIJJIC 

Quan", 3: July. AugUSI. September 

Qu"n",~: October. Nowmber. O.,ecmber 

I'a)'ment sI1.lI only be made for dearn n...:ord, that SSA can JII'O'C<'SS. In Olherwords. the eootmetor ..... ill ",f", 

to the 1\1'0) SSA DEATH I'ROC£ SS NOTICES lIS ",n«l<-d in All.:>chm;:nt D 10 tlctcnninc lhc number of 

processed de.:>th records. SSA will pa)' for 1l>c number of r«ortls indicat.-d under .Ite heading of 

"I'ROC£ SS£D" in the scction ·'R£I'ORT COUNTS BY YEAR". SSA 11';11 001 pay for tlte numbcrof 

crror ...,cords that arc i,\Cluded und<'I" the ilCadin): "EXCEPTED" 

UsinS a dim:( pa)'mcm system'. SSA lI'ill send in,'oil"t:S 10 the conln>etor in April. July. October and 

January. The in""ices \I ill summarize the dealh rcoord dal. lmnsmilled 8l1d 1"" proposed quan",,!)' 

paymcnt. The contraClor sI1all r«'iew the in""ices before payment is di!ihurS<:il. Aile ... r«'icw and 

concurrence. the Contn>eting Ollice" T«hnical Rep",,",ntoli,..: (COTR) will authori:.w the Di"ision of 

Finance to ""'ke the lilllli pa),ment. 

' I)irtttl'a)'mcnt SySlcm: A system by which in"oiees "'" =ot.'<I qUBne ... ly by SSA for each slate ba .... '<1 

on lhc number ofprottsscd death rttords recci'·cd. 

IF TilE CONTRACTOR AGREES WITI! TIlE INVOICE: 

Upon rcttipC oflile in,'oiec. if the Sta.c agrees tha.thc inform.:>tion;s correct. correspondence \'ia em.:>i! 

,hoold be sent 10 [X;O.OI'SOS.DRMI.EDR(itssa.g<I," statins.heir concurrence. 

, 
28 


dkrause on DSKHT7XVN1PROD with HEARING78179A.013

Addendum to SF_I449 

Electron;c p.,.,h Il«ord, for SSA 

IF THE CONTRACTOR I)ISAGREES WrnllllE INVOICE: 

Submit amcnded in"oi= \"ia cmail to DCO.OI'SOS.DIlMIE[)i{@ssa.go\"orfaxI0(410)965-7497 

ATI"N: EDlUNon-EI}i{ COTR. When sending .mended iO\·oiccs. plcase include )"oorT.xpaycr 

Identification Numb;;r(TlN). yoor Dun &BradstTCct Numb;;r (l>UNSN). and thc OrdCT Numbcroo each 

;n'·o;ce. 

I r lhere arc ;n,'o;eo discrcpancic"S.. payment ..... ;11 be determinc<l by the rece ipl of processed records 

",fleetcd in SSA's s)"stems. Final invoices will be scnt to: 

INVOICE SUBMISSION AND I'A YMENT RELATEl> INFORMATION (DEC 2011) 

The inHtice shall include . 11 clements ofa proper in"oiee as defined in thc in"oiee or payment d."", 

usc<l in this "ward and any other infoo".tion lX"tjuirc<l below or in an~' 0Ihc..,. contr1l<."t daysc. To llSSiS! the 

GO"cmment in making timely payments. indude the contractor's Ta.\pa)·crs ldentitication Numbt.T. DOia 

Uni,wsal Numbering S~ Slcm number. contr~Ct. and the Order Numb;;r. ifany. on each in,·oice. 

Facsimile (1' .. ,) rommunic.lion is the prcfcm."d method ofsubmissioo for in"oiccs and public '"OlIChcrs.. 

because Ihe inmicc will be reed,'ed direclly inlo Ihe SSA paymcm sySlem. If the in"oice cannot be 

fnxc<l. submit it elcelronically ~ia email. by "'gular mail. or b)' hand carr)"ing iltO the OtTocc of Finance at 

the add~ below. 

Ifsubmining by fax. use an)" one of the following fas numben: 

4 I 0 96S-8209 

410965-8251 

410 965· 8200 

41 0%5-8216 

410966-5425 

4 I 0 96(>..9940 

410965_3734 

410965-7533 

If submitting elcetronic.lly: 

Submitlhe invoice cilher as an auachmefll to an email message. or ,,·;thin the message itsclr. to: 

orAl'S PAl'S lo,'oim'ij'sf,3 gm'. 

Ifsent by mail. submil an original and threc (3) copics of the inwicc to: 

I fhand ~arried. <klivcr 10: 

Soc;al Security Adm;oislralion 

OtToceorF;naocc 

POSt om.c Ilox 47 

ilailimore. Maryland 21235 .. 0047 

Soci.1 Security Adminis1r.uion 

OtTo.c of Finance 

Customer Se,,·i.e Ilelp))cst; 

2 .. 11-4 East Lo\\" Rise lluilding 

, 
29 


dkrause on DSKHT7XVN1PROD with HEARING78179A.014

6401 Security Boul",-ani 

Baltimo«:. Mal)'land 21235.0047 

Addcooum '" SF·14~9 

Ek<:tronk o. .. h lI""on,I, for SSA 

The tclcphooe number ofthc lina",:e customer ",,,-ice hclp desk is (~IO) 965--0607. 

The Governmcnt will make paymcntlo the Comraclor using til<: Eleclronic I' unds Transfer (EFT) 

informalion conlained in li>c Centn" Coot!l!ClI>r Regi,u;nioo ICCR) dOl"base. In the c>"ent Ihal the EFT 

infQmlaiion changes. tl>c ConlraClor shall be responsible for pro"iding lhe updalcd informalton tolhe 

CCR database. The EFT informalioo ,ubmined mu<1 be Ihat ofille coolraclor unl",,~ there i, an onidal 

Assignment of Claims on file with the Onice ofFina""e. 

Remin811ce informatioo associate..! with EFT payments is available ,·ia the Intentell'aymenl l'latfonn 

(11'1') on Ihe Dcpanmcnt ofTreasu,)'·s Iniernc1 silc al http;!! .... ..-"'irp.goy. 

The Conlrac1or may also direct paymenl inquiries 10 SSA's Onicc of Finance by: 

• U,ing i" 'il1!lM llnIC[!IC c Voke R .... poog Sn lc'" (FIVR)_ FIVR is nn aUlomaled self·serviee 

lelephone systcm a'-ailable 24 hours. day Ihal .110"" direcl cie"'l"",ic accc-ss 10 admini,trali"e 

payment inf"""OIion using Ihe telephone keypad. The cOntruelor can acceSS FIVR by calling (410) 

965--0607. The ",,,·ice;; a,·ailablc throo&h FIVR are a"ailable Ihrough. Tdccommunicalions Device 

for ti>c Deaf(TDD) Line al ~10 597 1.l95. CUSlon,,,,. Sc,,·ice RCf'''''''ntali'·cs ",ill be a,·ail.ble 10 

anSWer "endor payment inquiri .... Monday· Friday. betll'C1!n 8 a.m. and 4:30 p.m .. Easlern Time, 

By sending an Clltailt!) pa,'mSm.inglliriCli1l'Ssa.gOl'. or visiling the imernet sile at 

hup·/fwww __ ials«urily@m-l\-cnd9{/rnntacthtO!. The contractor Can also aCcess thc [PI' systcm throo&h 

a link on this sile . 

C·J [ AK Clau.~ ;;2.2[2·;;. CQ"TRACf Tf:RMS ANIl Co;o,'[)ITIONS REQUI REIl TO 

IMI'LEMENT STATUTES OK t:XfCUTlvt ORnt:Rs---c0M Mt:RCIAL In:MS CAl lC 10 111 

(0) The Contractor shall comply with the following h..!Cr.l1 Acquisilion Regulation (FAR) cia"""". 

which arc incO<p<>r.>tcd in thi, conlraet b}' refcocncc. to implement pn"'i.,ons of la", or E~ceuli"e 

orders applicable t(> acquisitions of commercial items: 

(t) . Comb"ing "raflicking in Pc"rSOO' (I' eb 20(9) (22 !J <;.C 7 If1.!l g»). 

_ Alu:matc J (Aug 2007) of ~ (22 U Sc, 71Q..!{iJ). 

(2) .&.U.l:l. l'roIest After Award {Al.J(l 1996) (3 1 lISC. 35'3). 

(3) . Applicable I.aw for Breach O(Conlrac1 Claim (OCT 20(1) (I'ub. L 10g·77, 109· 

78). 

(b) The Contractor shall con'ply wilh Inc FAR clauses in Ihis paragraph (b) thatti>c Contracting 

Officcr has indicated as being incorporated in Ihis cOntraCt by refcrence 10 implement provisions 

of la .... or ExecUli,·c orders applicable 10 ""qui,itions of commercial ilen\.!: 

.JL (1) .I(estrictioos on SUbconlraclor Sales 10 the GovernmCTIt (Scpt 20(6). with 

Alt<:matc I 

(Oct 199')(4 1 U.S C. 253g and 10 U.S.C. 24021. 

_ (2) l2...ZQl:.U. ContraClorCodc of Business Ethics and Conduci (Apr 20]0) (Pub. L 110·252. Tille 

VI. Chapt .... I (41 U,S.C. 2" nOly). 

• 
30 


dkrause on DSKHT7XVN1PROD with HEARING78179A.015

Ad<koourn '0 5F·1440 

EI«:'!<)nic D .. ,h 1I...:oN5 for 5SA 

_ (3)~. WhiS1khlower Proltt1ions under the American RC'Co"ery .nd Rein"c>tment Ac. of 

2009 (June 20]0) (Section 1553 of Pub. L. 111·5), (Applies to eOl1traCl~ funde<! by Ihe American 

Recov.:ry and Reinves,ment Ael of2009,) 

-A..( )~. Reponing i'-'eeuli"e Cornpcns;l1ioo and First·Tier Subcontracl Awards (lui 2010) 

(Pub. 

l. 109·2112) (J I U.S.C. 6101 llOIe)~ (5) m2:l:ll. American Rc"CO\"Cry and Rein"c!lment 

Aol- Reporting RequiremenlS (Jul 2010) (l'ub. 

L 111.5). 

(6)~. I'rolc-cling thc G<>\-'ernment's Inten.'St When Subrontracling with COI11rUeto<s 

[)ebarred. Suspcnde<!. or I'ropose<! for l)ebarmenl (I)tt 201(1) (3 I USC. 6! 0 I llOIe). 

(7)~. Prohibition on Cootracting " 'i'h Inwned Domcstic Corpora'ioos ("'.'ioo 7~O 

ofDi,'ision C ofPub.l. 111·117. <c"\:lioo 143 ofDi"ision D of Pub. 1.. 111·8. and s<:<:lion 

7~5 ofDi\"ision D of Pub. L. 110.161). 

8) ~. NOilce ofTOIal llUBZone SC1·ASldc or Solc,Sour<:e A".r<! (Jan 2011) 

(!511SC657a). 

(9) lll.!!!::!. NOIice of Price E"alualion l'",f"",nce for 11UBZone Smallllusincss Concerns 

(JAN 20 II) (iflhe offeror ciccts 10 "'ai,'e Ihe prefercnce. it Sohall SO indieale in ils olTer) 

(!5 U SC 657a). 

_(IO)IResc .. wdl 

_ (11)(i) ill.l.2:!i, NOlice ofTOlaI Smallllusincss Scl·Aside (June 2003) ( 15 lJ S,C 644), 

(ii) Altemate I (Oct 1995) of 52.2 19-6. = (iii) Alternate II (M.r 200-t) or . 

__ (12)(i) ll.J..li:I. NOIice ufl'nrti.1 s"",n Busin('SS Sct·Aside (June 2003)( 15 lJ S C 644). 

(ii) AI,emate I (Oct 1995) uf~. = (iii) AI" ..-nate II (Mar 200-t) ofill.l2:1. 

__ (13).&llH, Ulili~.alion of Small Business COIlCcmS (Jan 2011 )( 15 U,S C, 637(d)(2) and 

(3» . __ (1 4)(i) . Small IlllSinCSll Subrontra<:ting l'l"n (Jan 2011) (15 U.S.C. 637(dIl4)). 

_ (ii) Alternate I (Oct 2001) of1U.l..2:2. 

(iii) Altc..-nate II (Oct 200]) ufll.ll2:2. = (iv) AI,ern.te III (Jul 2010) of ll.2l2:2, __ (15) ID.1.2:.l..!!, Limi,ations on Subcon'ra<:ting{Dec ]996) (I ~ It S C 63]Ca)([4»)' 

(16) . Liquidated Damagc:s- Subron-tracling Plan (Jan 1999) Ui.!.!.li&. 

637/dIH)(fl!il). 

(17)(i) ll..l.l.2:U. NOIice of Price " ,·,Iuation Adjustmen, for Small Disad"an,age<l 

--Business CUIlCC"fTI' (ocr 20(8) ([OUSe, 2323 )(ifthc oOe"" elcclS 10 ".i"e the 

adjustment. it shan so indicate in its offer). 

(ii) AI,enla,e I (June 2003 ) ufll1.J.2:ll. 

18) . Small Disad"antage<l nu,int.'Ss Panieipation I'rogram- Oisad,'.ntage<! 

S,atus and Reponing (D.:~ 20]0) (Pub. L. 103·355. s<:<:tion 7102. and 10!J S C. 2323). 

__ (19) . Small Disad,'antaged llusincss I'nnieipa,ion Program 

Incenti,·c Subcontracling (Ocl 2(00) (Pub. L 103·355. sC(:tion 7102. and [0 \J S,C 2323). 

__ (20) ~ NOIice ufTOIal SC"1"\·icc.Disabk-d V<:teran .. Owne<l Slnallllusiness S<:t·Aside 

(May200-t)m U S,C, 657 O . 

... 11.../2]) . Pust Award Snlall nusiness Program Rcrepreselllalion (Apr 20(9) 

(IS U,S.C, 6JUa)(2l). 

_ (22 ) iZ....ll2:Z2 NOIice ofT01al Set·Aside for Economically Disadvantaged Wornc-n· 

Owne<l Small Business (EDWQSll) Concerns (Apr 201 ]), 

_ (23) ml2:M! N01ice ofTOial SC1·Asidc for Woo,en.o.",e<l Smallilusine .. (WOSB) 

Con('ems Eligible Under lhe WOSllPrugr-~m (Apr 2(11). 

, 
31 


dkrause on DSKHT7XVN1PROD with HEARING78179A.016

Addendum '0 SF·1449 

I;loc,ronic {J<alh R«:<>rd. for SSII 

J (24) 52.222·3. Co,,,,ic, Labor (JUIIC 20(3) (10.0. I! 755), 

J (2S) ~ Child Labor-Coopera'ion \\'i,h IIUlhorilies and Remedies {Jul 2010) 

(£.0.13126). 

J (26) ll.22Z:2.1 l'rohibilion ofSegrega,cd Facililies (Feb 1999)_ 

J(27 . Equal Opponuni1y ( Mor 2(07) (E.O. 112-16). 

J(2g)~ Equal Oppon"nil)" for V(1crnns{Sep 201O)()8lJ S C 4212). 

J (29) ~ 11l11n".,i,·" AClion for W<rlors wilh Disabili'ies (Oc, 2010) 

(29 II S C 793). 

_ X (30) ll.lll.:lZ. Elllpl~ men' Repons on Vl1ernns (SI;I' 2010) (3& U.S.C. 4212). 

_ (31) ~ N01ifica,ion ofEmpl~"" Righ,s Undl"f Ihe National Labor Relalions Ac, 

(I)cc 2010){E_0_ 13496)_ 

J (l2) aJll:.H. Elllplo}lIIom Bigibili1y V"rification (JAN 20(9). (E.'lcculi,·o Order 12989). 

(NOI applicable '0 .he acquisilion of CQI'''ncrcial1)' l\'ailab1c olT.lhe·,h<:1f i.cms or cerlain 

OIhcr 1)"1"" of commercial ilen" as pn,.crib..'<1 in ill!!1l.) _ (33)(;) ll.Ul:2. r.s,imale ofl'l"fCcmagc ofRcro,,,,,;d Malenal Conlcnl for EJ'A- l)csignm<.-d 

helll, (M")" 20(8) (42 u Soc, 696US)(3)!A)!jil\. (NOI applicable '0 'he acquisi'ion of 

commercially .,'ail.ble olT·the-shelf ilelm.) 

(ii) Ahemale I (May 2008) ofll.Ul:2 (4 2 U,S C 62620)(2)(Cl). (NOI applkablc 10 'he 

;;quisi,ion of eommcrcial1y ,,·ail.b1c olT·IM·shelf i'ems.) 

_ _ {34) &n1:.J.l. Energy Efficiency in Encrsy-Consullling Produet< (1)1:( 20(7) ~ 

ill2!lJ. __ (35)(i) . IEEE 1680 Siandard for ,he En"i","me nlal Assessment ofl'CfS/)Ilal 

COlllputer Prod""'s (D~c 20(7) (10 ,0, 13423). 

_ (ii) Allem"," I (DEC 20(7) of~. 

__ (36)~. Encouraging Con,rac,or Polkies '0 Ban Te~, Messaging While Dri"ing 

(AuG201 1)(E.0.llSI3). 

_ _ (31) lll2i:J.. Uu)" American Acl- Supplies (Feb 2(09){41 USC lOa· lOtI). 

__ (38)(ij m1b!. Buy America" Ae,- Fn..., Trade Agn...,men,s-I.>n>eli Trade ACI 

(Junc 2(09)(41 USC !Oa·I(k!. 19 U S,C. 3301 nOle. 19 USC 2112 nOle. 19 U.s,C, 3805 

nOI". l'ub.1.. 10S-77. 10S.7&. lOS-2M. IOS.301. 109·53. 109.169. 109·283. and 110-138), 

_ (ii) Allemale I (Jan 200(1) of ~. 

_ (iii) Ahema,e 11 (Jan 200(1) ofmll:l. 

___ (39)mru. Trade Agn...,menl> (AUG 2009)(19 USC, 2501 ~I~ .• 19 U S,c, 3301 

nOle). 

_ __ (40)~. Restric,ion. on Cenain Foreign 1'urchases (Jun" 20(8) (E.O.·s. 

proclam,nions. and SllI, u,CS adminislercd 1»' the om .... of Foreign ASSClS Control oflhc 

!)cpanmcn, of'he Trcasury). 

___ (41) ~. NOliec ofDisa>1cror EmerS"ne)" Arca Sl1·Asidc (Nov 20(1) ~ 

lliID ___ (42)~. RCSlriClions on Subcoouae,ing Ou .. idc Disa>1er or Emergency A",a 

(Nov2007)(42 USC 5150). 

___ (43) ~ Tenns for I'in.""ing ofPurehascs ofCOUlln"rci.' ho,IIS (Feb 2002) 

HI USC mID. 10 U S,c, 2J07(fij, 

lnSlal1mcnl forCom"",reial hems (Ocl 1995) 

Funds Transfer--Ccnlral Con,ractor RegiSlr-.l1ion 

'",d,T"",r,,·--{,",, ""'" C,,",," Conlrdc lor 

2010){l! USC 3332). 
32 


dkrause on DSKHT7XVN1PROD with HEARING78179A.017

Adderdum '" SF_I./49 

Electron;'; IlI:ath R«ord, ror SSA 

_ _ 4S) ~. Prinlc)' or Securily Safeguards (Aug 19%) (5 U.S.C. S~2a l. 

_ _ (49)(i) ~ l'o:fcrcnec for Pri"ald)' 0.'1100 U.s.-!'!ag COlllrnco:ial Vessels 

(Feb 20(6)/46 IJ S,C ApR' 124!1hlnnd IIlIJ.S,C 2631). 

_(ii) Allcmale I (Apr 2003) of~. 

(e) The Conlraclor , hall comply wilh lhe I'AR douses in this paragraph (c). applicablc 10 CIlItImercial 

sc,,'iccs. Inallhe Contracting Omc.r has indicaled as being incorpor.lIed in Ihis OOntract by 

",ference 10 implemenl pro"isions oflo ... or Executive orders applicable 10 acquisitions of 

cOlllmereial ilems: 

C{mtr(lCli~g Office' .I,ed os oppropri(l!e, J 

_ _ (I) iU22:il. ServiceConlracI Act o fl%5 (No\'2007)(-I11J SC J51. eluq.), 

_ __ (2) 52 222-12, Stalemenl ofEqui"alenl RaICS for Fe<leralllircs(May 1989) (29 tJ S,C 296 

and 41 It S.C, 35 1. el.eq.). 

_ __ (3 ).ll..2ll:iJ.. Fair Labor Standards ACI and Sen-icc Contract Acl- Pricc Adjuslmcnl 

(Mulliple Year and Option C""lracts) (Scp 2009) (29 USC, 206 and 41 U.S C. JS I. el .eq,). 

_ __ (-\) lt2ll::H. Fair Labor Standards ACI and Sc,,,ice Contract ACI Price Adja' l,""nl 

(Scp2009)( 29 !JSC 206 and4 ll1SC 35I.elSeq,). 

_ __ (5) S2.222-~1. Exemplion from Applicalion oflhe Sc,,';ce COOtraCI ACIIO COOlracts for 

Mainlenance. C"libmlioo. or Repair ofCcrtain Equipmenl- I/."'1uircment. (No\' 2007) ill 

ill. el seq. 1- _ __ (6 ~. Exempli"" froon Appllcol;oo of the Se,."ice Contracl ACllOConlraClS for 

Cenain s.,,,·iccs-Require,,,,,ms(Feb 2009) (41 V.S.c. 35 I. e/ Jett.). 

_ __ (7) 52 226-6. l'mmoting Excess Food Donalionln Nonprofil Organi'''lioos (Mar 2009) 

(Pub. L 11().,247). 

_ _ (8) .1UlW, Accepling and Oisprosing QUI Coin (Scpl 2008)01 USC 51 12{xilII l), 

(d) Comptroller c.,,,erol ExumiltOtion ofRerord. The Conlraclor shall comply wilh lhe pro"isions of 

Ihis paragraph (d) if this Conlract WaS awatdcd using OIhcr Ihan sca led bid. is in exccss oflhe 

simplified a"'lU;silioo Ihreshold, and does nOl cQ",oin Ihe clause al ll.1ll:l. Audit and 

Rceorlb-NegOliation. 

(I) Tho: Complrollcr General of the United Slates. or an authorized rcpt('Scntali"c Qflhe 

Coolptrollcr Gcueral. shall ha,'e acces.1O and righllQ eX3lllinc allY Qflhc ContraClnr's 

diJ\.'Clly penincnt rcoords in,-ol<';ng lransaclions relalcd 10 Ihis contract. 

(2) The COOtraclor hall,~kc : ... ailable UI iiS omecs al all reasonable limes lite rttords. 

m.lerials. and OIncr e"idence for e.\llminal;oo. audil. or reproduclioo. until 3 years .fter tinal 

paymenl under Ihis c""lracl or for an)' shooer period spc<:ified in FAR Subpan 4.1. 

CQnlruclor R<'Conis Retelliinn, nflhe OIhcrciauS/:s nfthis cnnlra<:l, Irlhis conlra<:l is 

complelely or partially 1enllinOled. Ihe n.'Cord. relaling 10 Ihe " -ork Icnllinalcd shall be made 

a,'.ilable for 3 J'cars ancr any resulling f,nal lerlllin.lioo sdilcmcnl. Rc.:ords relaling 10 

appeals under Ihc disputes clause or In liligalion or Ihe <clliemeni nfcloitlt'l arising under or 

relaling 10 Ihis conlracl shall be made available until such appeal •. lili gation. orclaim."re 

finally rewh-cd. 

(3) As used in Ihis clausc. n. .... nrds include books. dOCUmenls. accounling procedures alld 

praclices. and other dota. regardless oflype and regardlcss nf for1ll. This does not require the 

COOlraclor IQ co:alc or maintain any rccnrd lhallhc Con lraclor docs nOl mainlain in the 

ordinary course nf business or pursualll 1'1 a provision of law. 
33 


dkrause on DSKHT7XVN1PROD with HEARING78179A.018

Add.ndum to SF·1449 

Electronic lkoth R«<H'd, r", SSA 

(eX I) Notwithstanding the requirements of thc clause, in paF.graph, (a). (b). (c). ar.d (d) of this 

clause. the CootraC1or is nOl required to flow down any FAR clause. OIher than t!>os<: in this 

paragraph (e)( l) in I subcootract f", com,,,,,,,,ial items. Unless otherwi"" indicated bclow. the 

e~tent of the lluw' down shall bc os rcquin.-d by the cI.u$<:-

(i) llJl!l:.ll. Contractor Code ofBusi""ss Ethics and Conduct (Apr 2010) (Pub. L 11()..2S2. 

Title VI. Chaptcr 1 (41 U.S C. 251 nOle». 

(ii) . Utili"<ltioo ufSmall Busioc!oS Concerns (Dec 2010) (! SUS C 6J7(d)(21 .nd (3)). 

in all subcontracts that offer funhcr subcontracting opportuniti<."S. If the ,ubcontrnct (excepl 

subcontracts tU sm.1I busi""s;; cunc<'11ls) c.,c«<ls 5650.000 (51.5 million for coo$lruction of 

8n)' public facility). the subcontractor mUSI include ~ in lower tiersubeootm<:tS that 

um,,. subcontm<:ting opportunities. 

(iii) (Rescr\"c-dl 

(i,·) R222.26. Equal Opportunity (Mar 2007) (E.O. 11246). 

(v) ~. Equal Opportunity for VC"icrans (Sep 2010) (JS U.S.C. 4212), 

(' i) ~. Affirmati,'c AClion for Wur\;ers with Disabilities (Oct 2010) (29 lJ S C 793). 

("ii) R 222-40. NOIitication ofEmployu Rights Under lhe National Labor Relations Aot 

(Dec 2010) (10.0. 13 496). I'low duwn required in accorda",",e with paragraph (I) ufFAR 

clausc . 

("iii) ll.lllli. Sen'ice Cootract Act uf 1965 (Nov 2007) (4 1 U.S.C J~ I. el seq.). 

(ix) RJ12.:.W.. Combating Trnfficking in Persons Web 20(9) (22 U.S.C. ZI(H{E»). 

_ 1\1I<=>t.1 (Aug 2(07) of.ll.lU.:3! (22 II S.C 71O'!( 2))' 

(x) &llHl. Exemption from Application ufthe Sen'ice Contract Act IU COnlrnCts for 

Maintcnan«. Calibrati"". or Repair ofCcnain Equipmcnt·RC<juirerncnlS (Nov 2007) ill II S.C. 351. ~1 $fq.). 

(~i) ll,llW. r",cmplion frum Applicalion ufthe Sen'ice Contract AellO Contracts f", Cenain 

Sen·;ecs·f(cqu;rcOlCntS (Feb 20(9)(41 lJ S C 351 . el seq.). 

(xii) , Employment IOHgibility Verification (JAN 20(9). 

(~iii) 52 226"". J>romoting Excess Food Donatiun to Nonpruflt Organi>.ations (Mar 20(9) (Pub. 

L. 1 1()"247). Flow down ""Iuircd in accordance with paragtaph (c)QfFAR clause . 

(xi' ~. Prefcn'1lCe for I'ri"ately Owned U.S.·Flag Con,",crci.1 V<."S""ls (Feb 2(06) 

(46 lJ S CApPS. IUI!bl and 10 lJ S C 2631 ). Flo\\" down ""Iu;rcd in :u:.:ordam."<: with 

parngraph (d) of FAR clause ~. 

(2) While 001 required. lhe COOtractor may include in its subcontracts focconlmereial items a minimal 

number of additional clau5C!; nl"c<'"s"")' IU satisfy its contractual obligatioos. 

C·4 Adt1 lion 1 FAR Cla","s Incorooraltd bj' Refcrc" ce 

52.252·2 Clauses Incorporated By Ref,....,n"" (Feb 1998) 

This <<mtract incorporates one or more c1aus<:s by reference. with the sallie force and eITect as if they 

were gi"en in full texl. Upon request. the ConlFotcting Ofliccrwill make their lldltcxt .. ·.il.ble. AI",. 
34 


dkrause on DSKHT7XVN1PROD with HEARING78179A.019

Add.ndum to SF·1449 

Electroni, lkoth R«<H'd, r", S5A 

the fulitexI ofa clause may be .e<:eSSC<! ciectronically allhis addn:ss: 

hllps"" ","", MQYisitifH)s,""far indc~ hMI 

52.2094i 

S2.232·IS 

I'roIe<:ling llIe Go,·cmment". Inlen.";1 Wilen Subconlracting wilh Conlractors Dcbam:d. 

Suspended. or I'rQPO<Cd for I)"banncnl (Sept 2(06) 

A ,·ailabilily o f Funds (APR 1984) 

c·~ Add·rional FAR Cla u ••• Inroroora rtd by Full Tn t 

The follo"'ing FAR daUSC'< arc t........,by inoorpora1<"il inro Ihis solidtmionl conrracl by full rexI • • follows: 

C- J HI6- 8 ORllt:RI1" C, (OCT J99~1 

(a) An}· supplies and se .... ·icts 10 be furnished under Ihis contracl shall be ordered by issuance of 

dcliwr)" orders or task orders by Ihe indi'"idlUlls or acti,·irlts dtsignaled in Ihc Sehedule. S""h 

orden may be issued from 

January 1. 2012through o.."<:cmber J 1.2012 for YcarOne (I) 

Januat)· 1. 2013through l~cmber 31. 2013 for Year Two (2) 

January I. 20141hrough l~cmber 31. 2014 for YcarTh",e (3) 

January I. 2015through Ik<:cmber 31. 2015 for Year l'our (4 ) 

January I. 2016 through D,"<:ember 31. 2016 for Year I'i,·. (5) 

(b) All deHver)" orders or lask orders arc subjecl to the tenns and conditions of this conlraCI. In 

Ihe e'·cnt of conniet bclWCCfl a deli"",," order or task order and this contract. the contract shall 

comro!. 

(c) If mail..-d. a deh'·ct)· onli.:r or la~k order is considered "issuc"il" when thc Go,·emment deposits 

Ihe order in Ihc rna;!. Orders rna)· be issued orally. by facsimile. or b)· clccttOOic conlmercc 

melhods only ifauthorized in lhe Schedule. 

(a) Mini~",,,, onk,. WhCfllhc Go>\,mmcm rcqui ...,; supplits or servicts co,·crcd by this cOntniet 

in an amount of Ie", than 100 record<. Ihe Go,"omment is nOi obliglt1..-d 10 purchase. nor is the 

Contractor obligotcd 10 fumis!t. those supplies or se,, ic~""S under the contract. 

(bl Mm:lnlllm ortln. The Contractor i. nOi obligatc-d to bonor· 

(I) Any order for a single item in exc~"SS ofltw w!al Q!imated gll;m!i!\" a' <Ilown in 

S~'£ O!! II"! for Lhe anplicable ordering period: 

(2) Any order for a combination of items in exces. "fthe WI-! estimated 

g\ll!mily a< sllown in Swion n ! fOC Ihe 'pplicable ordering r .... ;od: or 

(3) A series of orders from th~ same ord~ring mcc "'ilhin len (10) da~·$ Ihal 

togcth<'"I" c.lI for quamiti<."S excC<."ding the limitation in paragraph (b)(I J or(2) oflhis 

section 

" 
35 


dkrause on DSKHT7XVN1PROD with HEARING78179A.020

A<kl<ndum '0 SF·1449 

lil«,ronic Il< .. h R«:<>ru, for SSA 

(~) If this is a requirements CQntraCi (Le .. includes the RC<Jui=nts clause at subsection 52,216· 

21 ol'the Fede",1 AC<Juisition RegulOlion (FAR)).thc o.."cmment is IlOl required to order a pan 

o I' an)' on~ requiremenl from Ihe (:O<1lr,oclor iftlull requirement ~ttds the ma.~imum-(>(dcr 

limitnlions in pa"'graph (b)oflhis section. 

(d) NQI"ith518"ding paragraphs (b) and (~) Qflhis seclion. the Conlractor shall honor any order 

e.,cceding the maximum ordcr limimioos in paragraph (b). unl<.'SS Ihal oruer(or orders) is 

""t"med to the ordcting office within lru.Lill days aflcr issuance. with written nQliec Slating the 

Contractor's intent nDiIO ship 1hc item (or ilems) called for and the reasons. Upon recci"ing Ihis 

nDlicc. the Govcmmcnt may "C<Juin: the suWlies or sc ... ·iees from anDiher SOUrce. 

~.3 ~2.2 6- 1 RF.OU IREMENTS (OCT 99~) 

(al This isa n:quirements~ontlaC1 for1hc sU!'Pli"" orscr.-iC<.'Ssp,:cilled. and dT<.'CIi,·c for the p<"riod 

Slated. in lhe Schedulc. The quantities of suW1ies or services spccilied in the Schedule arc CS1imat<.'S 

ooly and are nDI purchased by thiscontmct. Except ... thi, contmct nllly ool<.'1'wisc "",,"ide. if1hc 

Go\'<.mmem's requin:m':lIls donDIl'CSuit in ordo.TS in lhe quantiticsdcscritx-d as "cstim:>led" or 

"maximum" in the S<:hedulc.lhat faet shall nDI ron<titute the basis 1(,. an Ctjuitable ~e adjl.lSlment. 

(b) 1):li, '<,\)' Of performan,-c shall Ix ,nad;: ooly as authorized b)' ord<.~ issued in ",:wrdwll.'C with 

the Ordt:ring clause. Subjcctlo any limitati""" in lhe 0nIcr Limitalions clause or clscuhcrc in thil; 

<ootract. the (:on1r1lClorshall fumish w the Gtw"",menlall suppliesOl"ser"iccs !lp<:eified in 1hc 

Schedule and "lied for by orders issued in atcordantt with lhe Ordering clause_ The o..,·""''''''''t 

may issue orders requiring dehcry 1<1 mullipk dcslinatioos or perform.""" .1 multiple IQe,"ion •. 

(cJ Except as this contrac1 OIhe ... ,-ise pro\'idos. the Om1:m"><,,, shall order from the Contractor all 

the suppli,;s or se ... ·ices spttif'ed in the Schedule that arc required to be purchased by the 

Gm'emme"l aeli"ity or ""li";ties specified in Ih<: Schedule. 

(oj) The Gm'"",mcnt is nDI required to purchase ff'()nllhe CoolractOf requircm<:nlS in C~eCSS of any 

limil on total orders under !hi. ro"'rnc1. 

(eJ Iflhe Govemment W'£.C1Itly rcquircsdeli\"cry Qfan)' quanti1yQfon item before the earlbcst dale 

lhal dcl;,cry ma), Ixspccified w>dcr this COOtrnet. and iflhe Contraclor will nDI accept an order 

pro,-i<ling forthe accderaled dcliv<.'\)'.lh<: G"""mm""t ",ay "'"'Iuire the urg.:ntly n:"uired goods '-'" 

""",ices lrom anDIhcr source. 

(I) Any order issued during the dTcct,,-e period of this cootract and nDI con,pll~<.-d ,,-ithin lhal pctiod 

shall Ix completed by 1hc Conmoclor wilhin the lime 'fl'C<"if'ed in the ord<.T. The coolmCI shall 

gD\'em the Colllraet""< and o..,,,m"'''''t'< righlS arid obligalions Wilh !'eSf!CCtto!ha1 ord,.,.l0 the 

same ext<.",1 as if lhe order wen: cornplcled d uring the conlract'. elTccli'-e p,:riod. 

The Gm'ommenl,na)' ""quire ~oolinul"<l pcrforma""" of any "" ... ·iees within the limits and at the 

",tes specif'ed in the conlnICl. These ",los ma)' be adjusled ooly as a resull Qf,.cvisions 10 

prevailing labor nUcS provided by the SttretaJ)' of t abor. The oplion provision may be exercised 

more than once. bullhe total extension ofpt.'1"formancc hereunder .h.1I nDI exc",:d six (6) monlh •. 
36 


dkrause on DSKHT7XVN1PROD with HEARING78179A.021

Add.ooum '" SF·1449 

El«;1ronk l)o:a,h R«:<>rd. f", 55A 

The COlllracling Office, may cX<Kisc Ihe oplioo by wrill'"I1 nOli<:<: '0 ,he ColllraelOl" wi,hin ''''' 

(10) days prior 10 the expiratioo date oflhe eOOlrael. 

~.S ~2 .2 7·9 Omion to F..lend lh~ Tern, oflhe Conlnorl. 

Option 10 E~lend Ihe T<:rrn of the COlllrac\ (Ma, 2000) 

(8) The G""emllleot rna)" ~XI"nd the l<:rrn oflhis cootract by wrillen nOlice 10 the ConlrnctOl" 

wilhin 30 days: pro"idcd thai the Go,'em""'l11 gi":5 lhe Contraclor a preliminary wrillen nOlice of 

il~ illlen! 10 eXI""d al kasllO da}'s befOlX: the COOHacl expires. The prc!imina,y nOlicc docs nOi 

eOlllmil the Go,-emmentlo 8n extension. 

(b) lrthe G",-cmmem exereises this optioo. Ihe eXI""dcd conlract sha ll be considcn.-d 10 include 

Ihis oplion clause_ 

(e) The tOl.1l1 duration oflhis contmel. including the exereise of'lIIY options unde, thi' clause. 

sha ll nOi eXl"Ccd 60 1Il00Ih •. 

C-6 Additional Ag n or Sp«ifio Torn" and Cond·lion. 

The fol lowing agl"1l<y.sp • ."cific Il"ml' and condition, In: hereby inco'porn1cd inlo Ihis 

""lie;mtion{contrael by fnlll<:<1 as follows : 

C-6.1 "ERion OF 1'.: R.·ORMANCr. 

The period <:>f po.:rfonnance under this l"(Kltrael shall be from 01 /0112012 through 1213112016. The 10011 

dUrali..,., Of lhis conlrael shall not eXIC11d beyond 60 nlO/1ll1s. brokrn down 8$ follows: 

Co6.I.1 Coolmc! YclIr (I I: 

JaIHJ.;\ry 1. 2012 through Dtt<:l1lber 31. 2012 

Co6.1 2 Coolracl YclIr (21 

)anu;ll)' 1. 201lthrough I)cc<r11ber 31. 2013 _ 

C:f! 1 l COOI(J(] Yw Q) 

January 1. 2014 Ihrough 1:>t=l1lber 31. 2014. 

C-6 1 "COOI!l!(;J Ytl\r(41 

January 1. 2015 Ihrough IA."CCI1lbt.T JI. 2015. 

C6 I 5 CQnlm!:! ycar (S) 

January 1. 2016 1hrough o.'CCI1lbt.T 31. 2016. 

C-6.2 IU:SIGNATlm .. • 0." COV.:RNMENT CO ~TRACT ~I'r.C!ALlST 

Deborah La""""",.Wilson. Contrael Sp<"Ciali;t. Division ofOperalions Contructs. has been &osig:nrd 

10 admini't,,,. the conlraclUal 8SpI."C1S of this contracl. 110" .. ',",,,.. chanscs in lhe Scope of Work. 

Conlract cOSl. price. quamilY. and qu. .. lity nr deli...,,)" sch«lulc .hall be made only by lhe Coolraeling 

Office". by.~)" e.xecUlrd modification. All com."spoodcnce thai in any IIay I."OOCCI1lS lhe 1~11ll'l 

or condilion, oflhis commcl sha ll be submillrd directly 10 the COOlnlCl Specialist al lhe foll",,-ing 

addn:os: 

" 
37 


dkrause on DSKHT7XVN1PROD with HEARING78179A.022

S<Xial Stturily AdminiWation 

Olliee of Acquisition alld Grants 

Att."'ion: Ilebonh La .... ~n«-Wi so n 

Contrart SpedaliS! 

I ~ Floor. Rear Fntrnr.ce 

7111 Sccurily lI<luk,·ard 

Ila llirnorc.M.ryland 2 12014 

Tclc'J'honc Number 410·965·%32 

Facsimile Number 4 10-966-931O 

Email: DcIgah.L""o:ng;. WjL<;on1i'<S!I.oo,· 

C·6 .. \ CONTItACTAnMI NISTRATION 

Add<ndum 10 SF·1 449 

Ele<:Ironk I>. .. h R«:OI<h for SSiI 

Th. ~OI1lraetor' . "'p"'sentali,·. responsible for handling eont,.,.,1 administration is: 

NAME: 

l ULE: 

ADDRESS: 

1'1 lONE: 

(II> I>r " mm/rIM U! am, uCq .... qrdl 

(II> I>r romp/tIM (!I (!!If ufrot'U'd) 

FAX: 

fie be rumrk!rd III (/!If ofm,-ard! 

rIO be romp/r iM qt rinK' o(au"Wd) 

EMAIL: fie I>( ron/rlmd al (/!If e ( mmrd) 

(a) The indi' idual (~ ) nanJC<l below is he",b)" dc'S ignatc"<i as the <J<""nll"eni Contracling om"",. 

Tc"\:hnieollkpn'SC1llali,,, (COTR). lf an Allcmalc COTR is also listed bel",,·. that pcTSOO will s ... ne in Ihc 

COTR·. Slead when ,'''' COTR is una,·ailable. The COTR i. responsible for thelcchnical administralion 

ef Ihis eontracl. 

NAME: 

ADDRESS: 

Kale Nagel 

6401 Sc"\:urit)' BI,·d 

4230 An~ 

Ilahirnorc. MD 212JS 

PHONE: (41 0) 965·8444 

FAX: (4 10)965.7497 

EMAIL: Kalc.Nagcl gssa.gov 

Allemate COTR NAME: Hellen Savoy 

ADDRESS: 6401 s..-curil), Blvd 

4243 Anx 

[Jalli"""". MD 212JS 

PI lONE: (410) 965·9976 

FAX: (4 10) 965·7497 

EMAIL Hcllcn.I.Sa.O)·@)sa.go.· 

(b) The COTR. or hislher aUlhorized repn:$Cnlnti,·c. shall be ,,""ponsiblc forcoordinaling wilh I"" 

contractor I"" technica! OSp<.'CIs o:tflhcconlr>tCl. The COTR is nOi aulhori,J:<llo make an)' ch"nges which 

afteet Ihc conlract amounl, ll'fTlls or conditions. The Conn""ti"g Oftie ... i, Inc only person with Ihc 

amhoril), to acl as agcn! of ,'''' Go'·cmmen! under this coolrac,. Onl)" Ihc Conlracl;ng Om""r has 

authority to: ( 1) di!!.'Ct or negotiate "'1)" change'S in Ihc Stulement o f Work: (2) modif)" or ~tcnd Ihc period 

of p<...,.r"""ance: (3) change Ihe deli' .... )· schedule: (4) autho,;," reimbursement 10 the contractor any cos .. 

incurred during Inc perfonnance oflhis contr~et or (S) OIner"';"" change any tcrms ~nd conditions of this 

contract. 

C 6.6 LIMITATION ON USE ANI) DISCLOSURE OF STATE RECORI)S 
38 


dkrause on DSKHT7XVN1PROD with HEARING78179A.023

LIMITATION ON USE AN)) DlSCLOSURli Of STATE RECORDS 

..-

Addendum to SF·1449 

Elt<:1ronk Death R",,<H'Il. f<>< SSA 

(a.) SSA n:cogrtizcs th.t Stal~ laws go"cming the collection. usc. and disscminalion of dealh n,eords may 

alfectlht conditions under which such rttords are made ,,"ailable to S5A Thcrcfore. SSA shall adopt 

policies and procedures to ensure thal infonnalion recei,'cd from Ihe StOle shall be u .... d b)' SSA in 

""cordan<:<: with Ft:dcrallaw. section 205(r) of the Social s....:urity ACI. and Ihis COOtrac1. 

(b.) The State ,·it.1 SlaliSlic. dala shall remain the propeny of the Slale. Except as .... ' fonh in Ihis 

contra<:t. the Slatc dal. shall JlOl he sh~red or otherwise made " ',ilable 10 an)" agency or individual 

outside SSA. and wort.ingcopics (ifany) shall be destro),<-d all",. they have Ix"<."n used to update SSA's 

f,les, 

Use of State R<"COrds 1\,. SSA S£n.ynins for ErroneouS B~"1lcfit Pa,'ments 

(c.) Ex<"<:pt as pnwided in federal Ian". Sttt;oo 20S(r)0rH"M: Soci.l Security Act. and this contract. d1ta 

from the State's death mes shall be used (01)' to screen SSA's pa)'OIent elTOllcously issued to benefidaries 

all",. thcirde.ths. The .... pa)"ment s)'stems include benefit enlillement information for Ihe rclircnM:IlL 

SUr'\'ivors. disabilit,· and hcalth insurance provams cstablished und",.tillcs II and XV1JI of the Social 

Se"Curity Act and cootain infonnalion p<naining to indi"iduals enlitled 10 Supplemental Sc"Curity Income 

and pan ll. BI3C~ l.ung benelits. which are programs . Iso adminislcn-.J by SSA. In performing this 

match, when a State n:<.'1)I'[! either rontains insufficiont informalion or matches a payment record but the 

individu.al's dealh was already reponed 10 SSA (and the month and year agree). the Stale record shall be 

dropp<-d from Ihe malch operation and destro)'ed. 

Usc ofS!nte Records by SM - lnd!;pcnden! VeriOea!ioo 

(d.) When a benefit record malcll occurs and SSA w" cilh",. p""'iousl)' unawa", of !he individual's dealh 

or the dale ofdcalh reponed to SSA difl"cTs materiall,· from tlW indicated in the State pro"id~d record. 

SSA will complete an independenl "erification of the fac! and date ofdealh before laking any aetion that 

would aff~"Ctlhc beneficia.)"s cntilicmenlto momhl)' pa)"""'u. StICh independent "erifica!ion shall. at. 

minimum. consist of an attempted CO!ltact "ith the beneficiary at hi~ or her last known address to '"Cri~' 

continuing entitlemcnt 10 bend'ts. In making such attempted cootaclS. SSA will nOI. under any 

circumslances. disclose the f.ctthat report of!hc beneficiary's death WaS letti'-ed from the S,ate. Aller 

SSA coolpletes an independent wrificatiO!l of tile State record. SSA will delete the St3t£ souree code 

trom the record , 1lH: Stole "-ai,,,,, the independent ",rillcalion requirement for any EDR record thai SSA 

rttei,"('S wilh a "erified SSN. 

IX.,II Maser file 

(c.) The [)cath "-iaSl<" File (OMF) is an e~tract of the death information from SSA's Numident. th. 

ciectronic d.,aba .... that cootain. SSA's n,eord. of e\"~ry individu.al "ho has appli~-d for and lx"Co assign~-d 

aSSN. Thc NumidCttt cootains dealh records SSA .....:;:ivC'S from Ihe States and from sourees OIh",.than 

the Slate". induding but not limited to a d""cdcnt"$ famil)" member. SSA will screen the Stat. death 

repons!o detemline iflhc SSN listed fore.eh repon "-as issued. according to SSA', n."eords. to the 

d<'Ce8S<'d person ide,,,ified in the report. De.th records with SSNs a.ssigncd to SOIIl<<)/\£ Qlher than the 

deceased will be droppo.-d from funhc" processing and destroyed IlJ1d will JlOl be included in the DMI'. 

itcciniCttI£ of SM 's Devh Mas!cr File 

(f.) SSA ",ill only disclose Sl.'e de.th intOrmaiion pursuant 10 Federal Is\\" Ind section 20S(r) of the 

Social Securit)" Ael. In accordance with scetiO!l 205(r) ofthc Social Se.:urit)· Act. SSA muSI. provide 
39 


dkrause on DSKHT7XVN1PROD with HEARING78179A.024

Addendum to SF·1449 

Elt<:1ronk Death R",,<H'Il. f<>< SSA 

Fcdend lJenelil paying agenei"" wilh a rompi<.1e copy ofSSA's DMI'. I'cderal and S,ate agencies 

rttei"ingdcalh rttords wilille required under lhe Icnns ofils ronlrael wilh SSA 10 us<: Ihe infonnalion 

only for Ihe agreed upon purpose and 10 indepc<1dcmly ,"","ify the facl and liJle ordealh ofan il\dividu.1 

Ilefore taking an)' aclion affe"Cling such person's emilkmem 10 benefits. 

The Publi c Dcalh Masler File shall nOl conlain any informal ion ... he.", Ihe SOIlree ofinfonnalion i. Siale 

Vital R«ords' office'S. 

KcoonJs NOT Indcl1<'ndcmh' V"rifi .. >d tw SSA 

(g,) In accorda,IC" wilh seclion 20S{,)oftlw Social Stturily ACl. supplied Siale dealh dala lhal i. 

um'crilie>d und"," Icnns ofthi, <o",mcl is excmpllrom disclo,",,,, und ..,.,h" Federal Frc .. >dOOl of 

Informalion Ae1 (5 U.S,c. 552) and lhe I',i"ae), Ael (5 U.S.C. 552.). SSA will n"fllO"c all Siale dealh 

dalO Ihal nrc un..."ifi .. >d from Ihe Public Dcalh Maste, I'He. 

EDR R«0r4< Wilh a Vcrifjcd SSN tl)' SM 

(h.) SSA will immediately and aUlOOlalieall), lenninale iIl"IICfilS for ""y beneficiary whose dealh record is 

sulmtill<d 10 S5A Ihrough lhe Slale's EDKs. pro"ided thallhe dealh record cornuin, a ,"e,ified SSN. 

C-6.7 SAFF:CUARllS 

1lII.' Social Securit)' Administration asn'" 10 the following conditions ",garding .. fcguanls to prot,"Ct data 

furnished by the Statc from unauthorized uSC or diSClosure: 

(a,) To limil access 10 the data only to those cmpIO)'c..'S and omcials woo need them 10 perform thei, omcial 

dUlies in C<'lI1l'IC'Cti{)() wilh this contract: 

(b.) To 51"'" thcd.ta in an an:a lhat is ph~ sk.l1)' Solfe tmm access by unauthori«<l pcrrons: 

(c,) To .,"'" and process data in such a",,)' Ihat u""'U1hori,,,"d pcrrons cannOi retri"",",, tile i~fonnal;on by 

means of a """'put"'". mnoIc tcnnina!. or 0Iht..,.",..,.ns.; 

(d,) To advisc all p.,rSOI1IlCI Woo "ill ha,'c access 10 the dala oftbc confidenlial nature of1he information. lhe 

.. reguards n''luircd. and tht: criminal sanctiOl'ti for nonrompliar.cc contai ..... >d in Federal strum"" (suclt as 

seclion ! 1000a) ofille Social Securil)' Ae1); 

(c,) To 1."fISun.". "hen any authorize'" I'<."dcrnl or State ag.,ncy gains ac",,"s to Social S<."Curity n-cords thai may 

ha,"" bttn CO<I'I:<.'lcd Ihrough the usc ofSlale supplied death infonnali",,- Ihal such agency abi<Jcs by Ftdt'ral 

law and the safeguard pr<t"i<ionscontaincd an agreement wilh SSA. 

(a.) The "'SIllts oflhc matching operation an: electronically 1ransmitlcd to the SSA omces SCl'\icing thr lasl 

"""1m ad<lr= of the iIl"11CflCiarico; id<.11liftcd. 

(b.) Each fldd oflie<: firsl " ... ·iews its rttords 10 delect .wentl)' n:porIed dealhs with aclion pending or 

rcc<."IlIl)' completed. (Tl>c match alen will not be processed in Ihce"entlhat an)" such aclion is del""! .. ,,,.) 

" 
40 


dkrause on DSKHT7XVN1PROD with HEARING78179A.025

Addendum '0 SF·1449 

EI«,,,,,,k [).oalh Rc<<>I'd. for 5SA 

(c.) Irno """h actioo isdo;u,elcd.lhe licldofr,ec .ucmpts 10 eoolUC1lhe ber.cficialY by pbooc or ktu,r. 

(d.) If. as 0 resull oflhe contact. a family member or OIIl.,r pany wilh n.'3SOItS 10 know confirms lhe match 

informalioo. le-mlin'lion aclioo;;; laken by lhe fteld oOke. 

(e.) If there is no n.-,;ponsc 10 the phone call or mail auempl'! Wilhin" reosooablc "m"um ofl;one. bo.."I1dil'! 

arc susl"'nde>d and Ihe benefici.,), is .Ih'iscd in "Tiling Ihal unless he/she conlaclS 5SI\. benefils \\'ill be 

lenninaled by 0 specified da.1". 

(f.) If someone responds 10 lhe <ootact and pu>pOfIS 10 be lhe beocfoci3f)·. a ttrlifioo C<>p)' of the death 

«:rlifoC.I" is s«urcd a,ld. iftloc id.:nli(ving inll""""lion indic.1<.'S thai il applies In Ihe beneficiary. a rO<'<'-I<>-

tioc<: tnC<"1ing i. schc>dukd wilh the indi,·id",,1 "Ito respond<.>d to the eonlact. 

(g.) The indi\'idual purporting In he lhe bencficia/)· is asked In presenl proof (lfidentily "' the mcctillg. If 

the field oftke is salisfioo Ihal the 55A beneficiary is .he. no furtltcr aclion is lake"l1. If 001. lhe inl.,,-ie\\' is 

cancelled and the indi,·idual is infonned lhal hcJ!Ihc will be re --con~1<too. lkncfit> are then susp.,ndoo and lhe 

case is rcf.",-"d I(llne Social s..X'III"ily AdminiSlr:llioo'sOfli"" (If the Ins.pc.'CIor " .. -neral for insp<."C1ion. In no 

case "ill the malch rccortI be lhe sole basis for u,nninming .n)' 'H'" (lfbencfits. Copi .. 'S ofSSA Ofl'-"f"iIling 

instructions for this process. are ., ... il.blc upon rt:qi>CSI. 

C-6.9 ISSUANCF. OF DF.LlVF.RY ORIlF.RS 

•. All ,uJIIlli", n.-q uired under this conllllCl shall be oro..'I"I.>d by iss""""" (lfdcliwry oro..'I"S place against 

lhe conlract. The Conln>eting Ofliccr is designatoo as the ooly amltorilcd """'ring official. IJeh<."Y 

orders will be issued ulilizing lhe foll"'\'i~g pror<"tlure' 

Wriucn <l.:hcl)' orders will he iss ... 'CI by lhe ConlllOCting Officcroo Optional Fonn (Of) 

347. Onlcrs for SUJIIllics ors..-n'ke"S. Orders may be issued orally. by rax. or by c·mail. 

b. Nnsupplies shall he pn)\'idcd ocyond Inc quantities specif,ed in the wrincn do;li\"CI)· onkr unless or 

unlil and modifICation or a new deli,,,,), order is issued by lheContllOClingOtTker. 

" 
41 


dkrause on DSKHT7XVN1PROD with HEARING78179A.026

~eti n D - Cont nod [locument .. E.hibiU and Attac hments 

AUaehment A - State Ot-.th fonnat 

Attaehment B - Ta ble I - Sourt. or !kath R«orn Sto'< Code. 

Auaohmrnt C _ Tobl<c 11 _ l'lao< or Binh Cod.,. S,ote Cod .. 

Au.e hment I) _ SSA !koth Pr(Ift'S$ N6Iioes 

Not.: Ua~bmen's 1\. Ii. C. and I) aO' 5fl a"'~le docunlen!s. 

AcId.ndum to SF·1449 

Elc<1ronk !ka,h R«<H"l.l. fQ< SSA 
42 


dkrause on DSKHT7XVN1PROD with HEARING78179A.027

Add.ndum to SF·1449 

Electron;, lkoth R«<H'd, r", SSA 

F.· I FAR I'co,·i.ion ~2.2 . In" ru"ion, 10 Offocon COmmtrria lltrm" (.Iun. 2008) 

In accord""ce wilh FAR 12.301 and 12.102. 'he cia"s.: a, 52.212.1. is incorporated by"'ferenco 

"ia llIod 27.ofli>c SF l-W9. 

F.·2 Addend utn to FAR Pro,·i. ion ~2 . In"ruol ion. to Offtrors _ Conlnluri. llT,m, (Jun. 

2008) 

In accord. nee with FAR 12.301 and Il.l02.lhe pro"i,ion al 52.212·1 is he",by tailored by this 

addendum as follows, 

• In pardgmph (1))(4) is deleled in ils entirel)' as 

it has l>ecn dc:tcnnincd to be n01 .ppli~ablc 10 this wlicit.,ion. 

• In paragmph (b)(5) is deleled in ils cnlirel)' as 

il has l>ecn <!rlmniocd 10 be n()\ applicable to Ihis wlidlalion. 

• In paragmph (b)(IO) is delcted in ils cnli"'IY as 

il has been drlrnnincd 10 be not applicable to Ihis solkilalion. 

t Para&,"ph (b)(12) is added 10 complete and submil Aua.hm."1 G in ~Iion D. 

• In pardgmph (d) through (il and (I) arc dclc1<.>d in their entimy as 

Ihcy have becn <!rlcnnincd 10 be nO! applicable 10 Ihis solicilation. 

F.·3 FAR 2.212 3 OFFF.ROR RF.I'RF.SF.r.'TAT10NS ANI) C F.RTIFICATIONSCOMMF.RCIAL 

ITEMS{MAY2011) 

An offeror shall compiele only paragrJph (bl oflhis pro"ision if the offeror has completed lhe ann .... 1 

representalions and ccni lieat .... elooronically al hup:llon;a .b"" .gO\·. If an offeror has not compleled ,he 

ann .... 1 "'pn."senIJlions and ccnilicalions elcctronically al Ihe ORCA website.lhe offeror sh.1I conlpkle 

onl)' p:ttagraphs (e) Ihrough (m) orthi. provision. 

~onomicall ' disad"anlaged wonten-owncd small husiness (EDWOSB) Cor>cCTIl" means a small 

busin<.,,, concern thaI is atleasl 51 percenl directly and uncondilionally owned by. and Ihe ntanagen,c.,,1 

and daily business operatioo. of which arc conlrollc>d by. one or ntO", wonten who.re c;lil.cns oflhc 

Uniled Stales and "I}o arc economically disadvanlaged in a.~onlan"e wilh 13 CFR part 127. It 

automalicall y qualiHes as a " ·olll<."n-{)wned smalt business eligible under Ihe WOSIl Progrant. 

""Forced or ;ndcntun.>d child labor" means all woO: or "" ... ·ice-

(I) EX9CI<>d from any JI'."fSOO under ti>c age of IS urnlcr Ihe m<."ace of any penalty for ilS 

nonperronnance and for "hi"h the wmer docs n01 olTer hintsclh-olunlarily: '" 
43 


dkrause on DSKHT7XVN1PROD with HEARING78179A.028

Add.ndurn to SF_1449 

El<c,,,,,,k l)e"h R«<>I'II. ro< SSA 

(2) I'e,fo,med by an}' persoo un(h;, Ihe age of 18 purs..amlo. eonlraCllhe enforce"",", of which 

can 1x acc(Hnplished by prOl'css or penahics_ 

"10"0,,<:<1 don'cstic cQl»Olll!ioo" means a foreign inco<porm<:<l enlily which is I",ak'<l as an in\'e,,~d 

domeslic corporalion undcr 6 U,S.C. 39Slh). i,e, a c...".,....lion Ihal used 10 be inrorponl<.'<l in lhe Unil<.'<l 

S,ales 0,- used 10 be a partnership in Ihe UnilCd StalCS. bUI nOW is i""...".,....tcd in a fo",ign .oum!)·. 0,- is a 

subsidiary " hose par,,"1 corporalion is inc...".,....'<.'<l in a for";gn eoonlry. Ihal me<15 Ihe erileria <pecHi<:<l 

in 6 U.S.C. J9"b). appli<:<l in accorda""e wilh lhe rules and def,nilions of 61! S C. 39Sld. 

'"Manufuelur<:<l CI1d rrodUCl' meanS any end prodUCl in Fedcral Supply Classes (FSq 1000-9999. 

cxccpt_ 

(I) FSC 5510. Lumber alld Relaled Ilasie Wood Matl ... ials; 

(2) Federal Supply Groop (I'SG) 87. Agricuhural Supplies; 

(3) FSG 88. U .. e Animals: 

(4) FSG 89. Food and Rdale'<l Coosumable .. ; 

(5) FSC 9410, Crude Grade .. ofl'l"nt Male"';als; 

(6) FSC 9430. Miscellaneous Crude Animal Products. In<:<lible; 

(7) FSC 9~~0. Mi50:eI1 ... "."oos Crude AgricullUral nnd Fnn:su)' Prooucts; 

(8) FSC %10. Ores; 

(9) FSC 9620. Minerals. Natural and Synthetic; and 

( 10) FSC 9630. Addili ... Melal Ma1<:ri81 •. 

-Place ofmanufaNure'" meanS Ihe place where an end product is assembled 001 nfcomponcnls. or 

olherwise made or proc.:sscd Irom raw malerial. ;nto Ihe linish<.'" producllhal ;s 10 be pn}\'ide'" 10 the 

Go,'emmem. If a rrodUCI is disassembled and reassembled. Ihe place ofrcassembly is OOllhe pl""e of 

manufueture. 

"ReslrieIN business "I"-..... Iion .. · ntcans busi ...... soperalion. in Sud"" Ihal i""lude power production 

aclivilies. miner .. 1 e~lraclioo o<li,·ilies. oil·related aclivilies, 0< the prodoclion ofmililary ""lUipmcnl. as 

lOOse le""s are deline'" in the Sud"" Accountability and Di,-esunefll ACI of2007 (Pub. I.. 110-174). 

RCSlr;ele'tl business operalions do nOl include busi"" .. operalions Ihallhc pt.'1"SOO conduclin81he business 

can demonSlrnle-

(I) Arc conducle'<l unde ... conlracl di=lly and e~clusi' ely with Ihe regional go'-emment ofsouthcm 

Sudan; 

(2) Are conducI<:<l pursU"n1 10 specific aUlhoril.alion from Ihe omcc of Foreign Asset.< Conlrol in 

Ihe [);;panmcnl of Ihe T ...,asUI)'. 0,- arc c~ptCSsly c~eOllpt<:<l und<... I'<.-d<:raII.w from Ihe n:quirc-mcnl 

10 be condueled under such aUlhori""tioo: 
44 


dkrause on DSKHT7XVN1PROD with HEARING78179A.029

A<ldendwn to S"·1449 

Ele<t""';" 1:I ... h R«ord. fa< 55A 

(3) COO';S1 ofpro,';d;ng goods or .C'f'/;CCS 10 marg;nali,ed pofl"lalioo. of Sudan: 

(4) COOS;SI of pro"iding goods or sC'f'/iccs 10 an inlemaliooally "",ogni, ... -d peacekeeping force or 

human;lnrian organi;rotion; 

(5) COOS;SI ofpro"iding goods or s<.'f'/iccs Ihat are used only to promotc hcollh oreduc"lioo, or 

(6) Ila>'c oc..'Tt voluntarily suspen<kd. 

(I) Me"",. small business cooe<:m-

(i) N011ess than 51 perc<"l1t of which is owned b)' ooe or more >Cf\·icc.disablc-d "elcrans or. in Ihe 

case of an)' publici)' ""Tied oosi".,ss. 001 less Ihan 51 perc<"l11 of the siock of"hieh is owncd by 

ooe or more se,,·;cc.disabled "ctcrans: and 

(ii) Th" management and doily business operat;oo! of"hkll are coolrollcd by ooc or more 

S\."f\'ice.disablcd "clcranS or. in the case of a scrvice-disablcd "o:1C"dn wilh permonent urn! se,-"", 

disability. the spouse or pen"ancnt caregi,..,. ohuch velemn. 

(2) s.c"'icc-disablcd n1cr,rn means a vele<an. as <lef,nC1.l in 38 \J S C 101(2). wilh a <lisabilil)' Ihal is 

service-<:onneclC"<i. os <kilned in lS V.S.c, 10]( 161. 

··Small business cooc,-m·· mcan, a concern. including its amlial.S. thai i. independently ",'nc"<i and 

operated. nOi dominanl in the field oful"-..... ,ioo in which it is bidding on Gu,-emm.nl coolractS. and 

q ualifiN D. a .. ""II bu,ine,. ",ok..- 'he <ri'~';. in 1) erR Port 121 an<.I.i"" " .. "Janb i" ,hi, ",Iid,.,ion, 

"VC1eran·owned ,mall businesseuncem" meanS a small b~iness cUl1ccm-

(I) Not!<.'SS Ihan 51 perccm ufwhich is uwn<.-d by OO( or more H:le .. dn. (as <kfincd"1 

38 \J S C, [O[(m or. in thc case ofan~' p<lblicl)' m\'Oed busincSii. "01 less Ihall SI pcrcenl Oflh~ 

slock ofnhich is OWIl<.-d by 00. or more \'Cleran<: and 

(2) The manasemenl and daily business operations of"hich are controlled by ooe or more 

'·elcrdOS. 

"Womcn-owned busincss cuncern" meanS a l'Or1l'Cm which is alleasl 51 pcrcenl uwned by une or morc 

wom"": or;n Ihe case of any publicly owncd business. 0.1 !cast SI percenl Oflhc ilS <lock is owned by Ot1C 

or more wom"", and whose management and daily bu.iness opcr.l1ioos an: cootrolk-d by one or more 

woo'o:tl. 

"Women·owned small busincSHonecm'" n",anS a small busirx:ssconccm-

(IlTh",;s Mlcasl 5 I percenl owned by 000 Or more women or. in 1he case of any publici)' owned 

businc'SS, al least 51 percent oflhe stock of which is owned 1»' 000 or more women: and 

(2) Whose management a,\d dail)' bu,i"" .. operalions are eootrolled 1»' ooe or more "'O,,,,,n. 

'"WOIllen-owned small businoss(W0511) cone ...... eligible under t/to.. WOSll Program" (in accordance wilh 

13 CfR pan 127). mcanS a small business cunccm Ihat is 0.1 k"" SI pcrcenl direct I)' o.nd uncondiliooal1y 

" 
45 


dkrause on DSKHT7XVN1PROD with HEARING78179A.030

Addendum to SF·1449 

EI«tronk u..ath R«ord. for SSA 

owncd b)'. and the managc"Illcm and dail)' business OJlCrnlioos of which are cool roiled by. OIlC or more 

women who ar.: citizens oflhe United States. 

(b)A"'IIIal RC{J'cselll(JlimlS am/Certijicalians 

(I ) Any ehanges pro\'ided by the oITeror in paragr .. ph (b)(2) of this pro\'ision do 1\01 aUlomatically 

change the representatioos and ecrtiflealioos posted 00 the Online Representations and Certifications 

Applicalion (ORCA) website 

(') __ "I'hc oITeror has completed the an" ... 1 reprt'SCmatioos and cl"rtiflcatioos cic"Ctronically "ia 

the ORCA website a, h!tp;/I<>rgI,hpp.gm . All ... "" 'iewing the ORCA dalabase infofmatioo. the oITeror 

,",rines by submission of this oITer that the representations and cenincations ."""",Iy posted 

elcctronicallyat FAR 52.212.3. Offeror Representations and Ccrtincationo-Commercialltems. haw 

bt."Cn entered or updated in the I"", 12 mooths. are current. accurate. completc, aoo applicablc to this 

solicitatiOil (including thc brniinc<s sizc !landaI'd applicablc to ,he NAICS codc refcrenced for this 

solicitaliOll). "" oflhe datc ofthi. oITer and an: incorporaled in this oIT ... by refcn:nce (sec FAR ±Jlill). 

cxcept for pa"'gr<lphs -c---cC-CC---

IQ{Ii>ror 10 id~mifj' till' appiiOXlbl~ paragraphs al (t:) t/oraugh (m) of tltis pn",isiall Ih<llihe offiror ""s 

romp/Clea for till' purpose. of Ihis solieitaliall anly. if any. 

Till' ... ommded repres~nwli(1l'(s) mtdfor ~ulificalion(s) are also incorpormed in Ihi. affu ww a,... 

curr~m. nccwale. a,wromp/etc nsoflhc da/C aflhis affer. 

Ally .-hallgCJ pravided by IIII' offunr nre npp/icabfe 10 Ihis salieiwliort ollly. alld do ,wi ""'U/I ill all 

"pdme to lhe representations ami Cf'rlijlcalians paSl~d an ORC'A.I 

(e) Ollcron must complC\c lhe fallowing representation, "hcn the resulting contract is \(J be pcrforrnc-d in 

Ihe Uniled StalCS or its oullying areas. Chcd an Ihat apply. 

(I) Small busilll'SJ cOIIC£rn. Thc oll">r<J< representS as p"n ofil~ oIT ... Ih.1 ill I is. I 1 is Mt a small 

bus;nc"SS cOilcern. 

(2) Vct"",n-owned small brniin<'SS concem.IComplete only if the offeror represented itselfas a small 

busim...,. concern in paragraph (cXI) Oflhi. p"",ision.j The olle"" repr<:Scnts as pan of it. ofter thai it I 

I is. [ I is n~ a \"<:tcran-owned small business cone<:rn. 

(3) Service·disabled vel"",n-owned snIlIli business cOOC<:m, IComplele only if the oITc-ror represented 

itselfas a \,etcrnn·<>wned small business concern in par3gr<1ph (cX2) of this pm"ision.1 The oITeror 

represents as pan ofilS oITer lhal itl 1 is. I 1 is not a S<:n'ice-di .. blcd "C\c",n-owm.-d small business 

concern. 

(4) Small disadvantaged business corn:ern.ICompklc only if the offeror reprcscmc-d ilselfas a small 

business COfICCrn in p"ragraph (c)( I) oflhis provision. I The ollc"" represents. for gct1cral Slatistical 

purposes. Ihat itl I is. 1 1;5 n~. a small disad\1mlagcd busin~'SS concern as denned in 13 CFR 

124_1002. 

(5) WOlllcn-owned small business coocern _IComplctc only if the oneror repl"<:S<:nled itselfas a small 

business cOilcern in paragraph (cXI) Oflhi. pr(J\'ision.] The oITeror "'presen!.> thai it I I is. I I is not a 

"-OI!1cn-owncd small business concern. 
46 


dkrause on DSKHT7XVN1PROD with HEARING78179A.031

Addendum to SF_1449 

1:le<tronic t", .. h R«ord. rOt SSA 

~: Complele palllgraphs{cX6) and (c)(7) ooly if this wliei."ioo is e'pc<:led!O e.'c<.'Cillhe simplified 

acquisilion threshold. 

(6) WOSlJ coocent eligible undo:r Ihe WOSIl I'rogmm. [Comple,e (01)" iflhe olTcror reprcscnted ilsdfas 

a wo",.,n_owned sm.1I busine .. concent in paragraph (e)(5) of Ihis pro,·i.ioo. J The offeror rcrrescms thal-

(i) It J [is. ( I is no!. WOSIl concem eligible under the WOSlll'rogram. has pro,"ided alllhc 

required documents to Ihe WOSIl Repository. and no change in lhe circumstances or ad,·erst 

d""isioo ha,·c been is>u<"<lthal offCC! its eligihilil)": and 

(ii) It [ [is. [ I is not ojoinl ,·.nlure Ihal complies wilh lhe rc4uircm<:n1 of 13 CI'R pan 127. and 

Ihe "'JI"'sentalioo in paragraph (c)(6 IIi) oflhie pro,·i,ion is a""urale in ref<.....,nce 10 the WOSIl 

Program in (e)(6)(i) of this pr,)\'isioo is accurale in reference 10 Ihe WOSIl concern or concerns 

,hal.", participa,ing in Ihe joinl \"enlu",. [Thc offer<)< shall rnler Ihe name or names oflhe 

WOSIl coocern oreoncems ,h., a", panicipaling in lhejoint ' ·enturc: .J r:.a<:h 

WOSil eOOcent pan icipaling in Ihejoinl 'cnlure shall submi, a sepamle sig.ned cop)" of the 

WOSIl representalion. 

(7) Economically disad,·.ntaged womcn-owned smoll business (EDWOSIl) concern. (Complete onl)" if 

Ihe offeror rcpn=nlcd i'self.s a WOSIl c,",cem eligible underlhe WOSlll'Togram in (cX6) oflhis 

provis;on.) The offeror rcrrcscntS Ihat-

(i) It [ [is. [ I is no( an EJ)WOSll coo,·em eligible under Ihe WOSH f>rogram. has pnwirled all 

Ihe rcquircd documents to Ihe WOSIl Reposilory. and in change in cireumstances or advcrse decision 

h,,·c been i>sued lhat alTeclS ils cligibi!it)·; and 

(ii) It [ [is. ( I is nOl _joint '·cnlun: thai complies wilh ,he requirements of 13 CFR pan 127. and 

Ihe n:pr=talion in paragraph (c)(7)(ii) of this pro,·isioo is accurate in n:f<-n::ncc 10 lhe EOWOSl! 

concern or concern, Ihal ore panieipat;ng in the joinl \"enture. The olTeror shall enter Ihe nallle or n.ntes 

oflhc EDWOSIJ concem or COOc.:mS Ih., participaling the joint H"Ttlure: Each EJ)WOSlJ 

c""cern panidpa,ing in the joinl ,·cn'un: shall submil a separalc sig.nc"<l copy oflhc EDWOSII 

represenlation. 

(S) WooICn-owned bu,inc""SS conccrn (Olher than small busirn.".s coo""m).IColllpkIC ooly ifll>c olTe,,)!" i. 

a women-owned business COllCCrn and did not represen' ilsel f as 0 small business coocern in paragraph 

(eXI) oflhis pr",·ision.]. The olTcrorrcpresenlS Ihal it ( [is. a wOIllcn-owned business COllCern. 

(9) Tie bid priorily/Of" I"bor ."rpl,u lIfea Moc.m ... Iflhis is an in,"ilalioo for bid. small bu~ ne"" olTcrors 

ma)' identif)" Ihe labor surplus .rcaS in which cOSts 10 be incutred on account ofm.nur"",uring or 

produClioo (b)" QlTeroror first·licr SObcoolmctors) amount to ",on: than 50 percenl Qf,he con,raCI price: 

(10) [Complete only I/IM solicitaNo" MmaillS II", d",ue '" FAR 51.1/9_13. Noti"" o/I'r;"" £""/""Iio" 

Adjuslmem/orSmali Disodwmlaged Business (;OIl«rns. or FAR 51.1129-25. Smol/ Diso<h"(J"I<Iged 

BlLfim:s~ ParlicipaliOll Pragra", - Dis"'h"(J"wg~d SI"'U! tm,) R'paNi"g. alllllM offeror tksires a MI"'fl 

fused 0/1 its disath"alt/oged stalas.] 

{il Ceneml. The olTerorreprcscn1S Ihal cil~er-
47 


dkrause on DSKHT7XVN1PROD with HEARING78179A.032

Addendum to SF·1449 

EI<c,,,,,,ic p.,,,h R«<>I'\I. ror SSA 

(A) II r J is. ! r is nUl «:ni/i<d 1>,' Ihe Small Busin.: .. Adminisu.l1ion as a sm.1I clisa<h-antaged 

business coneem and idenlified. on Ihe dale Qfthis ""presenlation. 8$ a certified small 

disadvantoged business concem in the database maintained 1>,' Ihe Small Business Admini'I"'tion 

(I'RO·Nc!). and Ihal 00 malerial change in disacl,'anlaged ownership and conlrol has oc<:um:d 

sinee ils certificalion. and. when: Ihe concern is owned 1>,' one or more indi"idu.ls claiming 

disad,'antagcd stalus. Ihe net II-onh of each ind ividwal upoo whom Ihe <erti ficalion is bast.-d docs 

not e,weed S750.000 after laling inlO accounllh/: applicable e.,elusions sci fonh at 13 CFR 

124.I04{c)(2): or 

(B) II I 1 has. I 1 h"-' not 5\lbmiuc>d a completed appliealion 10 Ihe Small Business 

AdminiSlnllioo or a l'rivaleCenifier to be certified asa smalt disadwnlaged business ':OO,',:m in 

accordance wilh 13 CFR 124. Subpan B. and a d, .... ision on Ihalapplicalion is J'Cnding. and thai 

00 malerial change in disad,-anlagc>d oWnership and conlrol has OKCum:d since its applic.lioo Was 

submiued. 

(ii) J".inl V~""""'$ "",k, ,'''' p,;"" £""/"""Km A'Ii''''I''''''''ji>rS",,,1I Di.U<A.,m"'lic-d 8"#_4. C<m<-e", •. 

The offeror ""presents. as pan of ils offer. Ih"t il is • joint "elliure Ih., complies ,,-ilh lhe "'quire",.,nt' in 

13 CFR 124.1002(0 and Ihal til<: repo:scnlalion in paragraph (c)(9)(;) oflhis pro"isioo is aCCUnl1C for Ihc 

sn,.11 disad"3l1taged business conccm 1001 is panicipaling in lhejoint "enlure, 1'1"M offuor .""11 mlu lhe 

name oflhe small disadwmtaged b",iness concern Ihal is parlicip<>ling in t/"'joim ~nl<,": 

I 

(II) I IUn Zooe small business cooeem, Compln~ wi)' iflhe offiror "",eUrll.,,, ilulf". '" smull 

burineuconcern in part'gmph (c)(/) of/his pro"ision.] The offeror "'presem,. '" pan ofil' otrer. llial" 

(i) It I I is.! ! is ,101 a IIUBi'..one small businesseooeem liSled. oolhe dale orthis represenlalioo. on 

Ihe lis, ofQu.lified HUBZone Sm.ll nu,;n"," Cooee,,,, m.i nlainc>d by the Sm.1I Business 

AdminiSlnltion. and no malerial change in ownership and conlrol. p<incipal office. or IIUnl..ooc 

elllploye<: percenlage bas occum.>d since il was certified by Ihe Smalillusinc .. Administralion in 

accordance wilh 13 CPR pan 126; and 

(ii) II! J is. ! ! n<Jt a IIUBZonc j oinl "cnlure (hal cQlnplics wilh the requirernenls of 13 (;1'11 part 126. 

and Ihc represenln1ion in paragraph (e)( I O)(i) of this pro..-isioo i, accurate for Ihe I IUBZonc slll311 

businc.s eoncem or eoncemS Ih", are panicipaling in Ihejoim l'Cnture. ITI ... offeror shall emer the Itam" 

01" I«Im", of II", HUB7""", small huri"" .. "",retrn OI"conce'ru ,''',, "'" parlicipaliNg in t/"'jQi'" W'nlwe: 

-;;;;;;;;",,0.1 Each IIUBZonc sm.1I business cooeem panicipaling in lhejoinl ,'entun: shall submila 

s,-,paratc signed copy oflhe IIUIli'.<>ne r.:pre-scnlation, 

(d) Represeltlalio"s (cqui",d 10 implemelll {Jf"U"isiOtU ojExecUli'''' Orde' IllJ6-

(I) I'rc'l'ious eonlracls and ,·QllIplianc., The offeror represents ,hal -

(i) II! J has.! ] has rIO!. panicipalcd;n a pre"ious ContrdCI or sullconlnlC( subjccllO 

Ihe Equal Opportunily crause oflhis ",Iicilalioo; and 

(ii) II] ] has.] ] has not. HIed all n,qu;""d compliance repor," , 

(2) -1l!irmu/;,.,. Ac/im, Compl;"""", The ofl'cror repn.-"enlS lhal·· 

" 
48 


dkrause on DSKHT7XVN1PROD with HEARING78179A.033

Addendum to SF_I449 

Electron;': p.,.,h Il«ord, for SSA 

(il II r J has de"ciop<.-d aoo has on file. r J has nOl den,lopcd and docs nOl 

have on file. at ea<:h eslablishmcnt. aflinnati,·c a<:tion prognuns required by rulcs 

aoo regulation. of the SecretaI')· of Labor (4 1 CI'R pans 60-1 and 60-2). or 

(ii) It I ] has 001 pre,'iwsly had contrucls subjc":llo Ihe 'Hillen "flinnali"e 

aclioo proV"ms requiremcnt oflhe roles and regulalioo. Oflh" Sttretal')· of 

Labor. 

(~ ) CUlijicalion Reg"rding P"yml'llis 10 bif/UJ'11Ce Federal T""'SMliollS (31 U.S.c. /35}). (Applies only 

iflhe tonl",ct i. exp<...:lc-d to ex<c..:d 5100.000,) lJ)' submissioo ofils 01T .... Ihc of!,oor eenifics to Ihc bcsl 

of its knowledge and bdiefthall'lQ Fooeral aPl'fOllrialed fund, ha,·e bern paid or will be paid 10 an)" 

pc~ for influeneing or .ltempling 10 influence an oflic"''''","plo),ee of an)' agency. a Member of 

Coog:rcss_ an ofliccr or employee of Congrcss or an cmployee ofa Mcmber ofCong:rcsson his or her 

behalf in conneclion wilh the award of an)' resultant <oolra<1. 

(f) BUJ"Amuira" Act CUlijicat~, (Appli •• only if'he cI.u,",., Federal AC«ui. ;'ion Regulalion (FAR) 

~ lJU)' American Act - Supplies. is inelud .. -d in Ihis solicilation,) 

(I) The olTcTOr conif,es Ihal each end produet. exccpl lhose listed in paraV"ph (f)(2) of this 

pro'·ision. is" domes,ic elld product and Ihot the olTcror has cOllsidercd components of unknown origin 10 

ha'" bc<:n mined_ produced. or nmnufaclured outside Ihe Uniloo Stales, The olTc-ror sh.lliist as foreign 

end produCi. those: end products manufactured in Ihc Uniled Stal<''S thai do r.ot quali"'· as dOO1cstic end 

producl.'i. The lenns ··component:· ··domeslic end product:' "end prodUCI:· ·'foreign coo product:· and 

"United Statcs·· nrc defined in Ihc cI • ..se oflhi. solicitalioo enlilled "lJu~ American AC1--Supplics:· 

(2) Foreign E~d I'mduct., 

UNE lTEMNO, 

i 

COUNTRY OF ORIGIN 

1 

[l.istasnccessary] 

(3)The Go,'emlnent will e,·. luate olTers in accordance with the policies and proccdulC'S of FAR 

I'an ~. 

\g)(l) Bu:; AmericoN Act-- Fru Trade Agreemmts -- !sraeli Trade Act CutifICale. (Applies only if the 

clause at FAR ill2i:.l_ Buy American Act - F"'e Trade Agrc<:nll'nl5 -- Israeli Trade ACI. is ir.cludcd in 

Ihis solicitation.) 

(i) The offcror cenifies thai each end product. except \h"", listed in paraV"ph (g)( I )(ii) 

or (g)(l)(iii) Oflhis pro"i.ion. is a dOO1CStie end prod""t aoolhatlhe offeror has 

considered conlponents ofun~nown origin to haw bccfl mined. produced, or 

manufactured oul.ide the Unilc-d Slate ... The lenns ··lJaltrainian end prodllCI:· 

··component:- -don":Slic COO prodt>CI.'· -·end prodUC1,- ··foreign cnd product:- ··F"", 
49 


dkrause on DSKHT7XVN1PROD with HEARING78179A.034

Addendum to SF-I ~49 

El«tnm;'; Il<ath R«on.i. r", SSA 

Trade Ag,,:cmcf1i coumry.- .nd ··United Stotcs·· arc defined in the clause of this 

so!icitation entitkd ··Buy American ACi- Fm: Trade Agm:mcnts- Isracli Trade ACI:· 

(ii) The offeror e<:rtir.es Ih.tthe f.,lIowing supplics "'" I'm: Trade Agm:mCOi country 

end prodllClS (mher than Ilahrainian or Moroccan end protIuct<) or Israeli end products .. 

dcfined in the clause of this solicitaiioo entitled ··Buy Amcric~n A<."I- I'"" Trade 

Ag""mcnlS_ lsradi Trade Ae!"·, 

Fn..., Trade AS"'emcnl Counl!)· End l'roouCiS (Other than Ilahrainian or 

Moroccan End I'rodUClS)or Isradi End I'roducts: 

U NEITEMNO. 

I 

COUNTRY OF ORIGIN 

(iii) The offeror shall list those supplies that arc foreign end produels (mher than those 

liSied in paragraph (g)( I )(ii) or this pro,·ision) as defined in the claus<: of this solicitation 

entitlcd ··Il"y Amcrican A<."I- F ... ., Trade Agm:mcms- Isracli Trade A<."I.-

The offeror shall liS! as other foreign ""d products those end products lllalluf.Clurcd in the United States 

lhat do not qualify as domestic end products. 

UNF.ITF.M NO I COUNTRY OF OK1G,' ----' 

-

(iv) The GO\..,m"",nt will c,·alu.te 01'\"", in accordanee with the polic;cs and procedures 

of FAR £i!!:I....U.. 

(2) BuyAm",icon ACI- Free T,.",k Agreements- I"",,/j Trode ACI Cerlijicole. AI,e,not<." I. If 

Alternate Ito the dause at FAK ~ is include<.! in this solicitat.on. substitute the fotlowing 

paragraph (g)( I )(ii) for paragraph (g)( I )(ii) of the basic provision: 

(g)( l )(ii) The offcrorcenifocs that the follo,..ing supplid arc Can.dian end products .. defined in 

thc clause of this solicit.tion ""titled ··Bu), Amcrican ACI- Fm: T<lId" Agm:ments-Isracli 

Trade Aot-: 
50 


dkrause on DSKHT7XVN1PROD with HEARING78179A.035

Addeooum 10 SF·I ~9 

Elo<lronk DUlh R""""'. forSSA 

Canadian End ProdUC1S: 

Linc hc~n No.: 

(l) BU)' Amuiron A~t_Fr~ Tru,k Ag'~trn!l1t.-lsrl1i'1i Truck A~t Ct"ifl~(II~. AltuM" II. If 

Alte",",e li to Inc clause al FAR mID is i""luded in Ihi' solici,",ioo. SUbslilUIC Ihe following 

parngraph (g)(l)(ii) for parngr.ph (g)(l)(ii) oflhc basic provision: 

(g)( l)(ii) The offerore".!if;"s Ihallhi: followingsuppl ic'S an: Canadian end producls or ISf1Icli end 

prod"elS as defined in Ihe dause Oflh;s solicilal;oo enlillc-d " Buy Amerkan Act··Free Trade 

AgreemcnlS.·I""cli Trade ACI": 

Canadian or Isr""li End l'roduclS: 

Linc hem No.: Counlry of Origin: 

(4) Track AgN'emelll' Cmiflc(IIe. (Applies only iflhc d."", 31 FAR . Trade 

Agreem"nls. is induded;n Ihis solicilatioo.) 

(i) The ofli...-or certifies Ih., cach end product CXeCpl Ihose lisled in paragraph (gX 4 )(ii) oftnis 

pl'O'l'ision. is. U.S,·made or designOied CnunifY end prodUCI as defmed in Ihc dause ofillis 

solieitalion entilled "Trade As".""mc"":· 

(ii) The ofli.'I'Or shall Ii" as OIher end prodUCIS those end prodUCIS Ihm al'l.' nOi U,S"made or 

dcsignaled counll)' end products. 

Other End l'roduclS 

Line hem No.: ICOIlnl!), of Origin: 

1 ] 

" 
51 


dkrause on DSKHT7XVN1PROD with HEARING78179A.036

Add<rwlum 10 SF·I449 

EI..,,,,,nio:; I)",~ Rewrds for SSiI 

(iii) The Go"crnmcnt will c'.-aillatc ofTcrs in accordance ",ith the policies and procc-durcs of FAR 

fllI:!.2..i. For tine items c,wem! b)" the wro Gl'A. theGo,'ernment will e"aluate ofTc ... ofU.S.· 

made or desif,ll'lcd coonlly end products without regard 10 the restricliorn; oflhe Buy Amcrican 

AC'.The Go\"Crnmcnt will consid.:r for a"'ard 001)" ofTers .. fU.S.·m.dc or dc"Sign.tcd country end 

products unl<"S$ thc CoolraCling Officer det<.-rmincs 'hal thc'1"C are no offers for such products or 

lh.lthe ofT"... for such products are in sufliek~ lllo fulftllthe n."quiremcn," of the soliei,atioo. 

(h) C~rtifkali'm Regarding RnpolISibiUry AlaI/us (~uriw Ord~r 116/fJ9). (Applil"s onl)" if the contmct 

"alue ;s expected to exceed Ihe simplified acquisition threshold.) ·In.: offeror eertifies. 10 the OCSl of ils 

knowledge and belier. Ihatlhe offeror and/or any ofilS prillCipals_ 

(1) I J Arc. I J arc n", prescnll)' debarred. suspended. proposed for debarment. or 

declared illCligiblc for the award of contrncts 1»' any Federal agency: and 

(2) I Illa"'.1 J ha,-e nOlo within a th"",·ycar period preceding Ihis olTer. been 

Con";cled of or had a ci,-iljudgnlCnt rcndlocd againSlthcm for: commission of fraud or a 

criminal offense in connectioo wilh obtaining. a1lcmpling 10 oblain, or perfonning a 

Federal. Statc or local go'-emllk."nt conllact or snbeonl",c!: ,,;olation ofFed<.Tll1 or Stale 

antitrust SWIUle'S relaling to Ihe submission ofoll"l.-rs: or commission ofcmbc~z1cmcnl. 

theil, forgery. bribe')". falsiliealioo or dc"StruClion of ,,:cords, making raise Slatelllems. tax 

",-asion. or n."tti"ing stolcn propo..'fly: and 

(1) I I Arc. I I arc n01 present I)' indicted for. or Olllerwise criminally or ci"illy charged 

1»' a Go\'crnment cntilY wilh. cornmissiO<l of any ofthcsc offenses_ 

(4) I Illa'·e.1 J have not. wilhin a thrce·)'car period p"-"'eding Ihis offer. been 

lI01ilkd of any delinquent Fc-deraltaxc"S in an amount that excc<:d, S3.000 ror which llIe 

li"bilit)' remains uns:l1i,ftl-d. 

0) Taxes arc considered d.:linqucnt ifboth of tile following critcna apply: 

(A) The lax /i"biliry ;sji""II}'tklermi,wd. Thc liabilily is finally del ermined ifit has 

b..--cn asS<"SScd_" liability is 1101 finally dclcnnincd iftben: is a pending 

admi"iSlrali,·c or judicial challenge. In the case ofajudicial challenge to the 

liability. the liabilily is nOl nnally dcl<.-rmincd until all judicial appeal rights ha,'e 

been exhausted. 

(B) TIu> laxpoyl'r is ikli"q''''''' ill ",ak;IIgpa)"ml'II/, A laxpa)'C1" is delinquenl if the 

laxpayer has f"ilc"<l1O pay the tn., liabilit), "lien full pal'lIlCnt was dllC and required. 

A laxpayc< is 1101 delinqllCnt in cases when: • .,,/l>rced collection action is p,,:c1uded. 
52 


dkrause on DSKHT7XVN1PROD with HEARING78179A.037

(ii) Examples. 

Ad<l<..oum '0 SF·1449 

Ele<:u"nk o. .. h R..:on:J. for SSI\ 

(A) Thc ta.xpa)'er has fI,eci,'ed a statutory notice of defici"""y. unde .... I.R.C. §ti212. 

which cmilles thc l~pa) Cr to sec~ Tax Coun n· ... iew of. p<OpOso.,d tax dc!icicney. 

This is noI a dclinqucnl tal< b.,,,.,,,,,, it is not a finat t •. x li.bili!)". Should the 

taxpayer s.,ek Tax Coon """ic"'. thi, "'ill not be a lina t~ liability until the 

taxpayer has exercised .11 judicial appt:al riglll<. 

(lJ)The IRS has filed ~ OOIiee ofFcd<.'r1Ilta.x lien with r>!'pt:<:1 to an assessed tax 

liabnity. and the taxpayer has bttn i'>Sued. OOIiec undcr I.R,C. §ti320 cntitli"g the 

taxpayer to n:ques! a hearing "'ith tl!<: IRS Omce of Appt:als contesting the lien 

filing. and to furthcr appt:at to II!<: Tax Court if the IRS determines to susl.in the 

lien filing. In the course of the heariflg. the taxpayt:1" is entilled to conlcst lhe 

underl)'ing tax liabilily because the taxpa)'cr has had no prior opportunity to cOnlest 

the li.bili,)'. This is 001 • delinquent tax because il is noI a final tax li.bilit~. Should 

the taxpayer seck tax coon ,..,,,ie,,,. Ihis will noI be a final tal< lisbmly untillhe 

taxpayer has cxe,..,ised all judicial appt:al riglllS. 

(C) The taxpayer has entered into an installment ag"""""nt pursuanl to I.R,C. 

§6159. The Ia.xpa)'er is making limely payments and is in rull compliance wilh Ihe 

agrcemCn1lerm,. The laxpaycr is not dc1inqucn1 I>"eaus..- the laxpa)'er is noI 

Current I)' n:qui...-d to makc full pa),!l1cnt. 

(D) Thc taxp,),er has fik'd for bankruplcy prote"Cti ..... The !a.'pa)'er is not delinquenl 

b«ause cnf"",cd colle-c,ion aClion is siayed undcr II U.sC. §362 (Ihe lI""kruplcy 

Code). 

(i) Cfrlijicalitm Rrgarding KtI()"'lrdge a[Child wl>or far LiSlrd End Prod,,,,,. (BUM;"'! OrdN 

I J /16). rn", Conlracting OjJiCf'r m'lS/liSI ill paragraph (i)( I) nny md product< Ix>ing acqt,;t'f'd 

untler lhis solieilatioll thul <Ire illduJed in II", LiJl u[Praducts Requiring COlltr(l('Or 

CUlijicatiOl' (jJ to F"fud or ",,,,,,,lured Childwb<Jr. ,mlell exc/u.led al llJ..illJ. ("),] 

(I) Listed End Produci 

Lisl<.'d End Produci U Sled Countries oFOrigin' 

-

(2) CcnWcalion. lifthi'" COlllrt"'ling Officu has i;/elllijieli elul pt"Oflu"u ami coulllrin ,,[ 

origi!! in poragraph (ij( 1) o[lhis p'm·I,ion. Ihen tI", offeror musl cerlify to either (i)(1)(0 

Or (i)(1)(II) by chl'"dr.IIIg II", appropriate blod.1 
53 


dkrause on DSKHT7XVN1PROD with HEARING78179A.038

Addo .... um to SF·1449 

E~tronic n.,ath R«ord. f'" SS" 

I I (i) The offeror will 001 supply any end product li'led in pamgl""ph (i)( 1) of thi. 

pro,·i.ion thai was mined. produttd. or manufactured in 111<: cOfl'CSpontling 

COUnlry as li.led for thaI produe1. 

I I (ii) The offeror tna)' supply an end producllisled in para&rnph (i)(l) ofthi. 

pro"ision thm "-as mined. produ<...,d. or manufaclUn:d in III<: eOfl'CSpontling 

CQumryas lisled Co, thaI produ~1. The Off<.TOf <e"ifoes Ihat is has made. good 

failh effon 10 ddcnnine IIhC1her forced or indenlUn:d child labor was used to 

mine. produce. or manufacture any such <''Tld produci fumish<.>d under this 

conlract. On III<: basi. oflhose cfforl" Ihc of1c' ''' certifies lhal it is nO! awa", of 

any such ~ of child labor. 

(j) PItK:l'" uf """,ufuClur~. (Docs no1 apply unl~. 1I,e solkilnlion is predominanlly for the 

acquisilion of manuf.ctu ... >d end producIS.) For SlaliS!ie.1 purposes ooly. lhe oftcror Shall indic.le 

"helher Ihe place of manufaclure oflhc end products il expt<:ls 10 p,ovide in response 10 lhis 

.olie;lalion is p",dominanlly-

(I) I I In Ihe Unill'" Siall ... (Check Ihi, box iflhe 100ai amkipalcd price ofof1"cred end 

products manufacm ... >d out,ide Ihe uniled Stnles): or 

(2) II OUlside Ihe Uniled Sl.les. 

(k) C~rrific",es regarding ert'mplions from 'hI' applklllion of lhe Ser ... iN! COtllra<:1 A~I. 

(Certif,~alioo by Ihc oflcror as 10 ils compliantt wilh respttl 10 lhe cOOlr .. Cl .Iso conslilules ils 

cenifkalion as 10 eOinpli8llcc by il. subcontraclor ifil <ubeonlraclS OUllhe exempl sen'iccs.) In", 

COIt/rocliog officer is 10 c!wek a !>ox 10 indicate if paragraph (k)(I) or (k)(2J upplies.1 

I I (I) Mainlenance. calibnuion. or ",pair of <crt. in cquipmtnl as described in FAil. UJ.il!U: 

:!.(c)(I)_ 

The (lfTcror II docs II docs n<>l cCo1ij)' lh,l_ 

(i) The ilems of C<]uipmcm 1(1 be sen'iced under lhis eonlract are used regularl)' for mhl"1"lhan 

(;,)"emmcnlaJ purposes alld are sold ortraded by Ihe of1,-'f"QI" in SU!)slanlial quanlilies 1(Ilhc 

general public ;n lhe coo"", (If normal business """ral;ons: 

(ii) The sen'ices will be f"",ish..-d al prices which arc. or are baso.>d on. cSiablished calalogor 

markct prices (SC<: F 1\ R l2J.OOJ:::!.( e)(2)(ii)) for lhe maimen.nce. ealibl"dlion. or "'rair (If such 

cquipn>enl: "nd 

(iii) The compensalion (wage and fringe bener,I~) plan for all SCt\'icc cmpl~ ccs perCorming woO; 

under lhe conl"",1 " ill be lhe .ame a. lh.l used for lh"'" emplo)"cc. and equ;"olem emplo)"e..,. 

SCf\'icing lhe sa"", equipmcm ofconlmerc;al cuSlomC11. 

r I (2)Cel"\3;n SCt\';ccs as d"",ribcd in FAR~d)(I). 

The offeror r r docs r I docs n01 ccnify Ih.t-
54 


dkrause on DSKHT7XVN1PROD with HEARING78179A.039

" 

Nil IOU~! p",,!nb;u :;>snv»q 

Nil SIl~ u""'I p~!ldde "OJ 

:NtJ. 

(f) WJw.I ... "(J!JlJ.>!/!t"~PJ ~"'1umN Nil) '(

J.:Ipun~J)4 ~VUJ p.;>4))ew:lq \\ . 41! Slll SPJO):)J 01 \I!>;>' . J41 \,..,n)J(I . >I11Jo .l(>JJlIo • ~ I.L 'N

l)"')lIOO " P<lfqn. 01 ",/1 IU"""(cd SU!uodOJ slu,u''',II"b", p.>q!J'IS"P U! }lV:I Ri6'F ' "41 NLL ,wd .L P"P

ifu!s!J. "4))0)no S,.iOJ'lIo d!q!;OO!IUI'" 'II!." ~41 lU)"'=.'(>D [0 jyh ' t)(5/1oll "« "41JI SU!llnSOU 

(<:) "'lL Ntl (I!W , "'I f"'Sn "41,(Q OlIU)WW",Oa 13'110) pUR uod", uo (U~ !U,nbu![,p SlUnowv 

I "nu"""llICUJ)lU ":>!; . oli '(Sl:IIJ 

)W",mb.:u IU S JO 9Z s"n ' j' '11'09 1'09 'VI pUR 'W509 ', puo jjUlHl:llU)ldIU' 'il3J nqn ,oo 1"'"'" '41"Q 

\wd . UO!Sl (>1 dwo) "I " . 'II! lqJp lIOPJ.lllO) ."}UIJ.I!nro.. $)U Jo tf J's'n ' (S)IOLL ",II' O'igtft ' i/u!uodOJ 

I) ( IIV s.>oJoJJo ISnUl ,!wqn, "41 UO!lI!lWOJU! JW!nb.:u U! .qd...srul!d ) I ([X IJ1'inoJ41 I) (~ JO '!41 

.10) ('1'"'-"" 

J()J~1l0 ! ' I'",!nro.. 01 wd " "Pl '!41 UO!IOUUOJU! 01 1"'1"')" .>01"",00' UOPBJ1S!'iI:>J =qUI." 01 "II q!li!l' ]J

([) (J) ~:>.<odXJ>l "(}.llro!/!JU~PI ~.>qlu"N Nil) ( 'IV n S .) 60[9 If sf) j !loa ' ION) ~lqeJ!ldd~ ~41J! 

SU!l)<>~II>O,) !>Il.J:IJ!UO ]»J!n!:>", U! 4dmr~oo ~) )( (! ~!qlJo -"",n~l) 

)In""~) )41 ""!Ie,!)!"", ul ![dmI!JEd l) (I)( J(} (~X~) JO '!41 "'n~l) J(} 01 "'111""100' 

(!!) L . "'I 'lIU!].JMooJ .J:IJWO 'ow . IOU .1~"U' U" II" . p.o" 01 '41 .10./'110 "'IIJI J()J)1l0 OISI!~J 

'oo"UIP!IOS '41 JOJ.'llo 11"4' \/!10U . "'Il ilU!IOltJ1UO,) .J:I)!UO .. 1I<lOS s. :'I'I!S9J<i puo 

SU!IOltJltlO,) .J:IJ!UO P!I' IOU 4J1!II" u ,-uS . ,,! 1=100:) IJV \\ )S~ UO!I""!WlJ].JP )4101 

('I '41)1 JOJ.:Illo s.x>p AJ'].J.).:IIOU 01 "'II ''''''1IPOO) UI ![dmllJod (I)(~) J(} (;:X~) pue )41 

If) 4dmI!JudJI II)(~) J() (Z)(~) JO 1 '!4 "",up !lddo -s:I

u", , iiu!,! I"'JJ)WWO) ''''''lOOl'n) 

J;!pun J41 ]J1!J1UOJ ! ' J41 .lUlt'S '"4I!>1l p;>Sn "''''II.IOJ {OldUIJ . S;", pun ,!n'" , lU.ll" ''''',(0ldUIJ 

("I) . "'1.1 UO!I1lSuJdWOJ ,,) . )ilu pu~ )ilu!-'J (S1!lJU:xj ""Id ~.IOJ tI u", . )J! dw) j \o, s;>J SU!UJ.I(IJ-':.J \\ . ,.,0

PlU1UO, P"!-,:>d SS>I'! "U41 (4IUD1U" "'-'" , J! ! ilu ,'41 :PlUllJO.llU'WUJJ.'<>D pUB 

"" ue P'Z't""uu. "!""I JO '''I U"41 0;: ]u.:>.:U:Kl 'lqel!"AUJO ,.m04 "'IllIu!mp lJIUIUD) P"!J:>d '41J! 

IlBU" ""!].J(>d !4Jo S JO JJ<j )W!1 uj "141UOU' ,o . J'lIIIJJ '''IJo U041 OZ lU)JJ.Jod "'IIJO )I'I"!!""" s,mo4 

(!II) 4"":1 ""I·""'"' """Oldw) " - 01.1 II!-\\ WIOJJ.>d ''II "'-'" . ""J! "pun "'I) IJlUIOO) \\ · II! P".xI< ""100 

JO "VOW SJJ!Jd ) J.1S }IV:! ~ ") )( :«(!!!X.

(!t) "'1.1 IJllJI00) U,," . ",,]I 111.\\ P"'4S1W"J:xj 1" ",,)lJd 1"41 ."'" JO "'" """"'I '00 1""1"1'1"1"" lIOI"I"' 

IIIJJUJS ')I'Ind U! 1"!I""'''In, .J!I!I"un!:> U! 1 )4 =00) JO 1"UlJ()U ,",,"!,nq :SOO!IIU.xlo 

pun ;).18 '>O.Id . P;!P! ('I , J41 J(}J)1l0 .(0) JOIJlUIUO:xjRS U! JI.II ""'., JO uu IduLJx) J1!J1oo:xjn, I( 01 )4' 

(i) "u. u"", ' .'''! J;!pun 41 ) IJlUI00) 1'=110;).1" puc rlOS "IJ"lnS", 01 'O~UOU I"IU)WWJ 'SJ:>tUO"nJ 

"'''''''»13 4IE>O 'p.><>:>.>~ VSS"'J 

wnpu'1'l'V 0, 6ttl'"S 
55 


dkrause on DSKHT7XVN1PROD with HEARING78179A.040

Addendum to SF_1449 

D • .,tronic t", .. h R«ord. fOt SSA 

Offer<>r i~ a "on",sidenl alien. for~ign eorponuion ..... foreign pannersh ip Ihal doe. not h",c 

incomc cffoxlivd)' connected with thl:: conduct ofa lrade or business in thC Uniled Slates and 

docs nOi M"C an oflke .... place of business Ot a fiscal paying ag""l in thc Unhe'd Siales; 

Offeror is an alle,lC), or inSirunlC"'alit)' of a r"",i!!'1 lIo,'crnmcm: 

Offeror is an allelIC), or inSirunlCnlality of Ihe Federal Go"crnmenl, 

(4) T)'p<' ororglm~ttlio". 

Sole proprietorship: 

Pannership: 

Corporale entity (not tax-exempl); 

Corporale entit)' (tax-eXC11lpt): 

Go"crnment emity (Federal. Stale. or local): 

Foreign governme nl: 

Intematioo,al organi""ion per 26 CfR 1.6Q.I94: 

OIIIC' ______________ _ 

(S)Commoll JX1rel1l, 

Offeror is not owned or controlled by a common parent: 

Nan.., and TIN ofco,nmon pan:nt 

Name ______________ _ 

T1N _________ _ 

(m) R€wicled busirressO(XTOlioll. in SII</on. By submission ofilS off • ., .• he offeror C<!nifics that il 00cs 

not cOllduc. any res.ricted busine.;s ope-ralions in Sud"n, 

(n) Prohibilion on Contracling with Im'ened Don..,Sli. Corporations. 

" 
56 


dkrause on DSKHT7XVN1PROD with HEARING78179A.041

Add<ndum Ii> SF_1449 

D"<lron;, nUlh Re<Qrd. rOt SSA 

(I) A I'or.:ign enlity th .. is treated a. an invened dome"ic C""Jl'O"'tion for purposes of the 

Intcrnal Revenue Code at 26 U.S.C. 7874 (or would be cxcqll lhat tile ;n\'C<sion lransactions "'ere 

compte-led on or before March 4. 2(03). is also an invcrlc"<l dom""lic rorpontlion for pul"f'OS"s of6 

U.S,C.3'15 and for this solicitalion pnwision (sc.., f AR '1.108). 

(2) RCl'I'CSCntation. B)' submission of its offer. the offc"TOl' r<pn:scnts that is not an in>'ened 

domestic c<l1"f/OC"'dlion and i, nOl a subsidiary of one. 

(0) San<"lioncd aCli"ilics relaling 10 Iran. 

(I) Unless a wai,w is granted or an c_,ccption awlies as pr""ided in paragr'.lph (,,)(2) Oflhis 

provision. by submission ofit'i olfer. lhe oil;'"" cenifics thatlhe olfcror. '" any person owned or 

controlled by the olfer()(. docs nOl cngagae in an activities f()( ",hieh sanctions may be imposed 

underscelion 5 of the Iran Sanction ACI of 19%. 

(2) The ccnificalion requirement of paragraph (oXI) oflhis provi.ion docs "'" apply if· 

(i) This solicilation includes a tr.>dc agm.-mcnlS certification (e,g_ 52 _212_3(g) or a 

""mparable ag"ncy provision): and 

(ii) the olfcror has certified {hat all olfered products to be supplied arc dcsignoted cOUl1try 

end prodllClS. 

(/) Al/crtUJI~ I (Apr }Oll)_ As prescribed in ll..1Ql(b)(2). add lhe following paragraph (cj( 12) 10 

the basic pro"ision: (Complne if 1M ojJeror hos ,~preselll~d ils~/f as "iwdl'OlIIag~d ill 

J>I""g'"I''' «)(4) 0' «)(fO) ofillis f"Y"'isiQ,,_) 

[TIw ojJ~ror slwfl c/w:k lire Cal~'OIJ' in ... hich jls o>"'re,ship f"fls[: 

l! ac~ American. 

__ Hisponie American. 

__ Nati.-c Amcrican (Arncrkan Indians. Eskimos. Alcut'i. '" Nal;.-c Ilaw3iinns) _ 

_ As;an·racific Amcrican (persons with origins from Bunna. Thailand. Malays;a. 

Indonesia. Singapore. liN"";. Japan. China. Taiwan. Laos. Cambodia (Kampuchca). 

Vic1nam. Korea. The rhilippincs.. U.S. TNSl TC"lTitor), of!he ]'.cific Islands (Rcpublic of 

I'a lau). Republic oft~c Marshall Islands. Federated Statcs of M icroncsia. lhe 

Commonwealth orthe Northern Mariana Island •• Guam. Sam"". Mac"". Ilong Kong. 

Fiji. Tonga. Kiribmi. Tu>-alu. or Nauru). 

m __ Subcontinent Asian (Asian_Indian) Ameriran (persons Wilh origins from India. 

ra~;slan. Bangladcsh. Sri Lanka. Bhutan. {he Maid;,,,,, Islands. or Nepal). 

__ Indi\'iduaUronccrn. other than 000 "fthe preceding. 

Allernal~ /J (Apr 101 I). As prescribed in ll..Nl(b)(2). add thc folloll';ng paragraph (e)(IOj(iii) t" the 

ktsk pro";s;on: 
57 


dkrause on DSKHT7XVN1PROD with HEARING78179A.042

Add.ndum to SF_1449 

Electronit I;"'"h It .. onl. fot SSA 

(iii) Add,... ... The otTe"fUf "'pn:$I.:ms Ihal ils aJdn'Ss 0 is. 0 is nO! in a region for which a small 

disad"anlagcd Wiiness proxuremcnl m~hanism is aUlhorilCd and ils address has n01 changed 

since ils ccniliealion as. sl1mll disad,·.l1lage'<l business concern or submission ofil. application 

for l .... rtiroealion. The lisl ofaulhori7.<:d small disadvanlaged business procurcmcm meehanisms 

and regions is posle"<i al h11!!;/"""" .arnC!.g",1RofcTI'ncnfsdhadju"mcnls.hlm. Tile otTeror shall 

usc Ille lisl in etT,",,1 on Ille dale oflhi. solici13lion. ··Addn"SS ~ as used in Ihi. pro,·ision. means 

Ihe I>ddrcss of Ihc (ltT<ror as lislM on Ihe Sm"lIllusincss Adminis,,,,,,ion's regiSler of small 

disad'-amagcd business cooc","" or Ihe address on Ihe comptclc'<l applicalion Ihallhe coocem has 

submiued 10 Ihe Smalillusinl"SS Adminisl""lion or a l'fi"ale Certifier in accordance wilh 13 erR 

Pan 124. subpan n . For joinl ,·entlll"<.'S. -addres'" refers 1(1 tho addressoflhe small disadvantaged 

busirn:~s concern Ihm is panicipaling in Ille join! '·enlun: . 

• :_4 Ad,rllnnol .·AI{ Prn,·,. inn s l nonr nnrl lrd h,· Full Tn l 

The foll(lwing FAR pro"isions ore hereby incorpornled inlo Ihis solicitalion by full 

lexl a. follows: 

£...4.1 2.209-7 In fnrn.31ion Rq:lnling R .. pon, ibil,!)" Mon . ... (Al'r2010) 

ra) o.ronilions. As umJ in Ihi$prr;Msil)ll-

"Admini"'ali'-e proc""ding" mean •• non·judieial process Ihal is adjudicator)" in nalun: in order 10 

make a delerminalion (lffauli 01 liabilil)" (~_g_. Securilies and Exchange eommi~ion AdminiSlrali", 

Proceedings. Ci"ili"n Boord ofConlrao;t Appc~ls l'f~edings. and Anned Se" i, ~ ll=d ofCo"",,_\ 

Appeals f'rocc.'<l;ngs). This indude'S admin;slral;ve procce'<!ings allhe FeMral and Slale level but only in 

conn~lion wilh performance ofa federal eonlrao;l or grant. Ii does nOl include all"ncy aelions sueh as 

conlracl audits. sile ,·isils. rorn'Cli,·c plans. or inspeclion of dcti,·crables. 

"Federal contracts and gram. wilh 100ai "alue grealer Ihan SIO.OOO.OOO·· means-

(1) The 10la1 .. alue of all Cum:nl, ac\iw l"Ol1lraclS and grants. including all priced options: and 

(2) The 10la1 ,·.Iue of all cum:m. aeli.-e orders includi"g all priced options unde"1" indefinile...Jcti .. cry. 

indo:fonitc-quanliIY. 8(a). or n~uirc",cnls COntraclS (induding lask and dcli,"CIy and muhiple-award 

Schedules). 

(b) The otTeror II has II does nO! h",'c cum,m "':ti,·, Fed.ral conlraelS and grants wilh 100ai ,-.Iue 

grealer Ihan $ 10.000.000. 

(c) If Ihe otTeror checked ""ha'" in paragraph (b) of Ihis pro,·i.ion. Ihe ollcror represents. by submissiOl' 

oflhi. otTer. Ihal Ihe informalion il has cmered in Ihe Federal Awardee I'crformancc and I nlegril)' 

Informali on SYSlem (I' APtlS) is currelli. accuralC .• ,Kl cO!nplelc as oflhc dale of submission oflhis ol'!cr 

wilh regard to Ihe lollowing informal;on; 

(1) Whelhe"1"lh( otTeror. alkllOl an)' ofils principals. has 01 has l1(li. wilhin Ihe lasl Ii,·c years. in 

conneclion w;lh the award 10 or perform.nce by Ihe (In""" of a Federal conl",el or granl. I><,,,n Ihe 

subj"-':I ofa procc<:ding. allhe Fc'<lcrnl or S,ale !cHI Ihat ICull<.-d in any oflhc following dispositions; 

(i) In a criminal proc"'-"<iing. a c",,,·iNion. 

(ii) In a c;"il proceeding. a finding offaull and liability Ihal """,II, in Ihe P")'m<:nt (If. monelary 

fIne. penalty. reimbursemenl. reslilulion. or damages "f55.000 or mnrc_ 

(iii) In an .dmin;slmli'·e proccc'<ling. a linding offau\t and liabililY lhal results in--

(Al The pa)"1TICTI1 ofa noonel"!)' tine 01 penalty of$5.000 or 1TIOrC; 01 

(11) The I'"y"",nl ofa n:imburse"",nl. reslilUlion. ordamage'S in exee~ ofS lOO.OOO. 

" 
58 

f 

[The statement of Mr. Astrue #2 follows:] 


dkrause on DSKHT7XVN1PROD with HEARING78179A.043

Ad<kndum 10 SF·1 449 

Ek<:lronic llo .. h Re<:<>r<J. for SSA 

(iv) In a criminal. ei"il. or adminislrUli,'c prn<:<:c..!ing. a disposilion oflhc mailer by eonsem or 

compromise wilh an aclnowkdgmcm offault by Ihe COIIIr.>elor iflhe prucc.:ding could ha .. e led 10 an)' 

of lhe oolcomes specified in paragraphs (el( I Xi), (el( 1 Xii). or (e)( I l(ii;) of lhis pro,·;"ion. 

(2) If the offeror ha. bccfl in'-o,,'ed in ,he laS! fi,'o years in any of lhe oceu""r.ces l;sled in (c)( 1) of 

thi, pro"isiOll. II helher Ihe offeror has pro"ided lhe requ<"Sled infonllaliQII wit h reganllO each occu,",,,,,,_ 

(d) The olleror shull enler Ihc inform,';QII in paragraphs (e)(1 X;) Ihroogh (eX 1 X;v) uflh;, pro"jsion ill 

fAI'IiS as required ,hrough maintainingan act;,'e regislflltion in the Cenlral COIIlrlIclor RcgiSlnlliQII 

dal.base at hllp ll wlI~, .c.: .s '''' (sec 52.2(}.1.]). 

" I'rine;par' means an officer. din"'tor. owner. partner. or. person h"'ing primal)' man.gemen! or 

SUJX"I""isory responsibililies "ithin a business entity (e,g .. general manager: plant manager: head (>f a di,'i,;oo or bu.;ness scgmel1l: and similar posilion,). 

52.216-1 Tyl'" (>r c ontnoct (APR 1984) 

The G(>,emmcnl conlcmplalcs award (>f.n Indcf,nitc·Dcli,·cl)'. R'-"<Iuircmcnts eOOlrael resulting 

from Ihis solicilaliun, Orders will be i",,,,-,,, on a lixed price basis. 

F. .~ _ "" "Iili onal FAR I'm,'i, iodO In oorro,awl It" R.renno. 

NOT AI'I'LiCAllLE 

F.'{; - Addilio".1 Agc"cy.$pccific Pro" i<ion ' 

NOT API'LlCAllLE 

n 
59 


dkrause on DSKHT7XVN1PROD with HEARING78179A.044

'" 
60 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.045

no" w"", IICHO ...... OF ........... " SISDMCU " " " " -"" ~, ~,-

-

... "'-'fT'<",COU,IWI< .......... 

STANDAAD FORM , .. , "'"" .... ,,' BACII 
61 

Chairman JOHNSON. Do you think that Social Security could 

develop a system that could be a source for death information? And 

should Congress change the law to prevent the Death Master File 

from being made public? 

Mr. ASTRUE. I do believe that Congress should start with the 

proposition that we should not be releasing this information, except 

for very specific purposes that the Congress has thought hard 

about, with protections for the public so that the Federal agencies 

have full authority to protect the data, as best as possible, if it is 

used for any other reason. I think the American people really expect no less from us. 

Chairman JOHNSON. Thank you, sir. I think that concludes 

your testimony, and we will proceed to our second panel. And while 

our witnesses are taking their seats, I just want to thank you for 

being here, and thank you for the job you are doing over there. 

Mr. ASTRUE. Well, thank you. We are really pleased that you 

have raised this issue, and that you have bipartisan support. And 

we are looking forward to working with you on the issue. 

Chairman JOHNSON. Thank you, sir. The witnesses in the second panel who are taking their seats are Jonathan Agin, from Arlington, Virginia; Stuart Pratt, who is the chief executive officer of 

the Consumer Data Industry Association; John Breyault, who is 

the Vice President of Public Policy, Telecommunications and Fraud 

at the National Consumers League; the Honorable Patrick 

O’Carroll, who is the Social Security Administration’s Inspector 

General; Dr. Patricia Potrzebowski, Executive Director of the National Association for Public Health Statistics and Information Systems in Silver Spring, Maryland. 

You are all seated. 

Mr. Agin, welcome. You may proceed. 

STATEMENT OF JONATHAN ERIC AGIN, ESQ. 

ARLINGTON, VIRGINIA 

Mr. AGIN. Good morning, Mr. Chairman, Mr. Becerra, and Members of the Committee. Thank you for inviting me to testify today 

on this issue that I believe is of vital importance. 

Our story begins with the diagnosis of our amazing daughter, 

Alexis Gina Agin, with a terminal brain tumor on April 10, 2008, 

when she was just 2 years old. This terrible disease took her life 

on January 14, 2011, just 2 weeks shy of her fifth birthday. Alexis 

was and is my hero. Fighting valiantly until the end, she has inspired thousands around the world with her journey. 

In 2010, my wife and I traveled with Alexis up and down the 

East Coast trying several experimental treatments in a desperate 

attempt to save her life. With each trip, Alexis’s medical bills grew. 

When our 2010 taxes were due, we filed an extension in order to 

focus on Alexis’s treatment, and compiled the vast medical bills 

that we had. 

As we finalized the return in October 2011, I received a call from 

our accountant to let us know that somebody had stolen Alexis’s 

Social Security number to file a fraudulent tax return. We were 

forced then to file a paper return, and then prove that Alexis was, 

in fact, our daughter to proceed with our tax filing. 


dkrause on DSKHT7XVN1PROD with HEARING
62 

Thankfully, with the help of our congressional representative, 

our personal tax situation was resolved favorably. 

Within hours of learning of this crime, I personally was contacted 

by no fewer than 14 other families whose children had died from 

cancer, and advised that the same thing had happened to them. 

Since that time, this number has grown significantly. That demonstrates to me that this community is being singularly targeted 

for this type of theft. 

In a matter of 30 seconds, I personally was able to find my 

daughter’s complete Social Security number, birth and date—death 

dates, full address, and zip code on several websites intended for 

genealogical research. 

After investigating more, we learned about the 1980 and 1982 

consent judgment with Mr. Perholtz. It because obvious at that 

point in time that the Federal Government, through the publication 

of the Death Master File, was aiding in the commission of this 

crime. It is my belief that the Federal Government is responsible 

for providing identity thieves the information to commit this crime. 

The common denominator in this story is the Death Master File. 

The Social Security Administration, as you have just heard from 

the Commissioner, makes this Death Master File publicly available 

to anybody who wishes to purchase it. Some of the intended recipients are government agencies. And some are services which allow 

people to do genealogical research. Some of these purchasers make 

the information free and available to anybody with a computer. 

As a taxpayer and a parent of a child who passed away from cancer, I am outraged that the most private information of our children is being made commercially available. Not only is this an invasion of my child’s privacy, but it adds to the tremendous grief 

that my wife and I live with on a daily basis. While trivial to some, 

Alexis’s Social Security number is one of the only things that we 

have left of her identity. 

Recently, the IRS estimated that approximately 350,000 fraudulent filings occurred in 2010. According to IRS officials, these fraudulent filings claimed $1.25 billion in refunds. 

One of the problems is that the Federal Government, as we have 

heard, is disclosing more information than is necessary, pursuant 

to the terms of the consent judgement. In June 2008, as we have 

heard, the Inspector General of the Social Security Administration 

issued a very critical report detailing how publication of the Death 

Master File, or the DMF, has resulted in the breach of citizens’ 

personally-identifiable information. The report concludes that the 

Social Security Administration discloses far more detailed personal 

information in the DMF than required under the original consent 

judgement. 

H.R. 3475 is a solution to a significant problem that affects not 

only grieving parents, but every family who loses a loved one. Some 

argue that this bill will not stop widespread fraud. Some argue 

that the DMF is critical to combat and conduct genealogical research. This bill is not intended to prevent or limit the lawful use 

of the DMF, and I think that is an important distinction that everybody needs to understand. Nobody is trying to limit the availability of the DMF to track down fraud. My point is that we need 


dkrause on DSKHT7XVN1PROD with HEARING
63 

to limit it to ensure that nobody else has to suffer as my wife and 

the vast number of cancer families have suffered. 

In closing, this is not a victimless crime. My daughter is a victim. 

She was victimized twice, once by the cancer that stole her from 

this Earth, and then by a coldhearted criminal who stalked her and 

utilized her death for profit. It disgusts me to no end to know that 

somebody preyed upon my daughter’s death for his or her own 

gain. It is nothing short of a despicable crime. And the release of 

Alexis’s complete Social Security number and other personal identifiers in the DMF to the general public facilitated this crime. I have 

no doubt of that. 

This simply is not an emotionally-charged issue, as some argue. 

Fraud is not something that we simply should accept as a necessary consequence of easy access to information. It is time that 

this loophole is closed, and this legislation is the manner in which 

to accomplish this aim. It is simple and to the point. And in this 

era, when our government is struggling to find ways to save money 

for the taxpayer, it is a very easy fix with little to no consequences, 

repercussions, or detriment to the citizens of this country. 

Thank you, Mr. Chairman. 

[The prepared statement of Mr. Agin follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
64 


dkrause on DSKHT7XVN1PROD with HEARING78179A.046

This Testimony is Embargoed Until Thursday , February 2nd at 9:00 AM 

FROM: 

TO: 

DATE: 

RE: 

CONGRESSIONAL TESTIMONY 

Jonalhwn Eric Agin, Esq. 

Iiouse Way. a lltlMh ns Comminee, 

Subcomminee on Soc 1 Seeurily 

Februa ry 2.2012 

II.R.3475 

Good morning Mr. Chaimmn and members of the Commi n~.., . Thank you for allowing 

me to be kere today 10 testify on this issue of vila I importance. 

My family's Slnry begins with the diagnosis of our amazing daughter. Alexis Gina Agin. 

wilh a tenninal brain tumor at the age of two on April 10. 2008. Ultimately. this lcrrible disease 

took her life on January 14. 2011.just two weeks shy of her fifth bi"hday. Alexis was and is my 

hero. Fighting valiantly unlil 1he end. she has inspired lhousands around the world wilh her 

journey. 

In 2010. my wife and ltr3vel1L-<:J with Alexis up and down the East CoaS! trying several 

experimental lreatments. in a desperate allempt to save her. With each trip. Alexis' medical bills 

mounted. When it came time to file our 2010 taxes, compiling all of our rcreipts for tke medical 

expenses was lime-<:Qnsuming and emotionally draining. Accordingly. my wife and I. through 

our aceouman1. filed with the IRS for an eXlension .• n (klorer 2011. after eompleling lhe 

difficult and grueling task of finalizing our 2010 taxes, I rcreived a telephone call from Our 

acconn1anl advising uS lha! someone had already filed a tax return for 2010 using Alexis' social 

securily nunlOCr. Beyond reing completely stunned at thai wry momCnl. we were advised that 

we would not be able to file an electronic return. Instead. our accountant would havc to 

complete lhe paper fonns and file lhem in the traditional manner. More imponamly for purposes 

of 11R 3475. he told us that we ultimately would have to prol'e that our deceased daughter was. 

in fae!. our daughter. In situations involving this type of crimina. fmud. the IRS credits the first 

filer and presumes that the inilial filing is accurate. 

ThaI same day, we reached Out !O the community of grieving CanCer parenlS thaI we haye 

come to know since April 2008 and told them what had happencd. With incredulous 

amazemem. we learned within a single hour of no fewer than founcen 01her families whose 

children had died and also had experienced the additional travesty of their child 's social security 

numrer being stolcn. Clearly we were not alone. We lhen learned through our own research and 

from Olher parents that this is, in fact, a very widespread issue impacting parents who lose a child 

due 10 any and all rea5!lOS imaginable. 

Not surprisingly. when 1 first learned thm Alexis' social security numrer had reen 

fraudulently used. I wanted to know how someone could hal'e found il. Within a maller of 

seconds 011 the internet, I was able to locate her eomplctc social security numocr and other 

personal identifying infomlation. including her binh and demh dmes. on sel'eml websites 

intended for genealogical researeh. I imm~dialely contacted one of the services. who directed 
65 


dkrause on DSKHT7XVN1PROD with HEARING78179A.047

This Testimony is Embargoed Until Thursday, February 2nd at9:00 AM 

me to the scrvicc's outside counsel. When I asked the anomey to remove my daughter's 

perwnal infonnation from the w..,!lsit.." he advised me that the servic.., was within its legal rights 

to display the infonnation and that it refused to remove her social security number. The allomcy 

cited as support for their pQSition a 1980 consent judgment between the United Stat<'s 

Government and a privat.., citizen, Ronald Perhollz. II was at that point that we truly reaLiz..,d 

how significant this problem is. and more importantly, how the federal governmelll is p.lnly to 

blame. It is my belief that tm" f~-dcra l government is responsible for providing identity thieves 

tm" infonnation required to comntit this costly crinte. By affording widespread access to this 

type of infonnation, the federal government provides the perfC(:\ platfonn for tm" commission of 

this crime. 

The common denominator in this story is the Death Mast..,r File (hereinafter "DMF"). 

The Social Security Administration makes the DMF available to the National Technical 

Inforn13tion Service (NTIS) ofth.., Depanmem of Commerce, who then sells the DMF to private 

and public sector customers, including government agencies, financial institutions, investigative 

entities, credit reporting organizations, genealogical researchers and other itldustries. Some of 

these purch.1S<'rs, namely organizations hosting w..,!lsites aimed at facilitating genealogical 

researeh, then make available the DMF for fr« to the public at large. It tm"refore is available 10 

nearly anyone and perpetuates identity theft atld fraud againsltm" federal and Slate governments 

at astronomical levels. As a taxpayer and parent ofa child who passed away from cancer, I am 

outraged m the most private infornlation of our children being made commereially available. 

Not only is this a significant invasion of my child's privacy, but it adds to the tremendous grief 

thm my wife and I live with on a daily basis and will continue to live with for the rest of our 

lives. While it may seem trivial to some. Alexis' social security number is one of the only things 

thm we have len of her identity. Thus. the theft ofit robbed us of something truly priceless. 

Due to an ongoing media probe and public pressure. the IRS for the first time recmtly 

responded 10 inquiries on this issue. atld estimated that there were approximately 350,000 

fraudulem tax filin~ in 2010. According 10 IRS officials, these fraudulem filings claimed 51.25 

billion in refunds. The cost to the federal govcnlllle111 to in\"estigate and prosecute that 

magnitude of fraud could be spent in much bener ways, including researeh 10 fund cures for ollr 

children. 

In addition, it is wonh 110ting that the federal government diseloses far more information 

than is required under Ihe 1980 sellicment. In JUl1e 2008. the Inspector General of the Social 

Security AdminiSlration issued a critical rcport detailing how publication of the DM F has 

resulted in the breach of citizens' personally identifiable inforntation.l The repon concludes that 

the Social Security Administraiion "discloses far more detailed perwnal information in the DMF 

than requi .... '(! under the original consent judgment that resulted in the crealion of tile DMF. 

Utlder the ternts of the agreement. SSA was to compile a list that identified dl~cased 

numberholders' SSNs, suntalnes and dates of death. How'e\"er, SSA expanded tm" information 

I Dale MeFe.lI ...... 00,·1. .hares bl.me os ID lhell worsen .. ,,·.HaMe 01 

hllp'" oost",,""rald..rom "'-"., "/,inion "P etl"wM'7011 I /O5~"1 ."",..., bI"m,- ill id '''''fi M."..'e .... 

(No'" mher S. 2011). 

, OffICe orlile tnsp«:IOT Gene"'l, StIC;"t Security Admin;""'li"". P<rsonally lde"'ifiQbI~ Inform<1lion .IIade 

A",j/abk ""It.: em.,al r~b1 e I'ill lhe /Xalh "".";'er Fil~. Audil Rcpon ,\-06..(1I-110-J2 (Juoc 2008). 
66 


dkrause on DSKHT7XVN1PROD with HEARING78179A.048

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

published in the OM!' to include the decedent's dale of binh, first and middle name, and last 

known residential slatehip cooe.") The report's conclusion is simple: less infonnation should be 

released. and grealer efforts at accuracy and protection must be taken. 

Significantly, Ronald Perhohz. the man who filed the lawsuit that led to the 1980 consent 

judgment resulting in creation of the OM!'. sought release of the infom13tion to help reduce 

fraud. Specifically. he wanted the infonnation as a tool for pension companies to identify theft 

of pension benefits. Soon after learning the OM!' was created. Mr, Perholtz learned that the 

OM!' frequently listed the social security numbers of people who were nOI. in fact . dead: Now. 

he believes that changes nl-cd to be made in order to stop this type of fraud. Indeed, 1\1<, Perhohz 

slated that he is willing to renegotiate the original sclliement as he feels so strongly that the OMF 

is being abused.l 

H.R. 3475 is a solution 10 a significant problem that affects not only grieving p.1TCnts, but 

also every family who loses a loved one. It also is a solution to a problem that was ne"er 

anticipated, and would eliminate dissemination by the federal government of extraneous 

infonnation that it is not required to release. This additional infonnation. along with the readily 

accessible nawrc of individuals' social security numbers, has provided identity thieves an avenue 

to commit this crime and defraud the taxpayers and government. 

Those " 'ho argue that the release of this infonnation is critical to combal fraud and 

conduct genealogical rescal'l:h fail to understand thai this Bill is not intended to pre"ent or limit 

the lawful use of Social Security Numbers Or genealogical research. First, I would say to any 

individual conducting genealogical researeh. why do you need to know my daughter's social 

security number? Why should it be publicly available to anyone with a computer? What 

purpose docs her full social security number, along with her binh and death (/atl's, add",ss. and 

Olher personal identifying infornlation have for your familial researeh? The clear answer is that 

it has absolutely no purpo5\'. Alexis didn't die a long time ago-sh<, dil'<l last year. While it may 

be difficult to find infonnation about your ancestors from generations ago, it should not be hard 

to confirnl your familial connection (or lack thereof) to SOmWne bornjusl six years ago. 

More imponantly, Ihis Bill will not prevent credit bureaus and financial inslitUlions from 

fulfilling their charge of protecting us from fraud. To the contrary. because access to this 

infonnation will be more restricled. these institutions will be more empowered knowing thatlhe 

potential incidence "'te5 of identity theft and fraud will be curtailed. I'ot<,ntially far f<,wer 

instances of fraud against lawful citizens will be commilled, thus reducing the amoun t of 

in\'esligalion necessary. The intent of this legislation is not to limit or prohibit fillatlCia! 

institutions from investigating fmud; rather it is to prohibit the widespread publication and easy 

access of personal infornlation that is utilized by criminals to defraud the government. As for 

hospitals and other institutions who claim to utilize the DMF to determine if their patiems are 

deceased. [ submit that there are other far less destruct"·c methods to make such detenninations 

and eonducl your research. Again, this Bill is not aimed a1those who have a legitimate need for 

, Id.,,6. 

'Thorn .. fla,S"" ·., Soci.1 S«u,ity 'Ixatn Fik' dc:sigl>Od to fight r,.ud but I"IOW aid, i1. ., .. itabt. 31 

M'M",,'.,eriW'''''M'U·O''' (Nowmbcr t4. 20tl). , /d. 
67 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.049

This Testimony is Embargoed Until Thursday , February 2nd at 9:00 AM 

access to individuals' 50Cial scrurity numbers and they will continue to have access to this 

infonnation. 

1 havc been told Ihat in most cases. the govcrnmenl does nOI havc Ihe resourees to 

prosc<:utc this crime. It either is too costly. or the governmem simply does not have the ability to 

track and punish Ihose who are stealing from it and taxpayers alikc, If this crime was prevented. 

to the best extent possible IIpfront with this simple measure. there would be linle concern 

regarding the cost to prosecute as more resourees could be made available, stifll-r penalties 

proscribed and additional deterrents fully understood. 

In closing. this is 110t a viclimless crime. My daughter is a victim. She was vietimi7.cd 

twicc. Once by the cancer that slolc her from Ihis canh, and Ihen by a eold-heaned criminal who 

stalked her and utilized her death for profit. 11 disgusts me to no end to know thm someone 

prn)'ed upon my daughter's death for his Or her own gain. 11 is an added insult for a grieving 

parent. II is nothing shon of a despicable crime and the release of Alexis' complete 50Cial 

securily number and other personal identifiers to lhe general public facilitated Ih;s crime. Bul 

this simply is not an emolionally charged issue. as some argue. Fraud is not something that wc 

simply should accept as a necessary conscq~nce of easy access 10 infonnalion. Yes, security 

breaches will al"'ays be possible regardless of the mcasures thaI we PUI into place. BUI when 

there is a simple fix 10 a significant problem Ihat afTeClS all laxpayers. Ihe fix should be taken 

seriously and enacted "'ilh haslC. II is time that this loophole is closed and this legislation is the 

manner in which to accomplish this aim. Nothing shon of this will accomplish the task. 11 is 

.impte and 10 Ih" poinl, and in Ihis era when our soVCmmenl is slruSStinS 10 lind way. 10 save 

money for the taxpayer, it is a very easy fix wilh linlc to no consequences or repereussions 10 

cilizens or this country, 

Thank you Mr. Chairnlan and distinguished members of the Commil1ee. 

Jonathan Eric Agin 
68 

Chairman JOHNSON. Thank you, sir. That is a beautiful girl. 

Mr. AGIN. Thank you. 

Chairman JOHNSON. Mr. Pratt, welcome. Please go ahead. 

STATEMENT OF STUART K. PRATT, CHIEF EXECUTIVE 

OFFICER, CONSUMER DATA INDUSTRY ASSOCIATION 

Mr. PRATT. Mr. Chairman, Ranking Member Becerra, Members 

of the Committee, thank you for the chance to appear and testify. 

Thank you for holding this hearing. And, candidly, thank you for 

the opportunity for the CDIA and its members to contribute to 

solving the problem, so that we don’t have other families who have 

suffered the way the Agins have suffered. And that is, I think, the 

balance that we are looking for. 

Mr. Becerra, in many ways, some of the questions you asked in 

the first round of testimony are just right on. And really, without 

going through all the testimony that we have submitted for the 

record, there are important uses for the Death Master File. 

In our world, it is a business-to-business transaction. In our 

world, it is a contractual transaction. In our world, it is a secured 

and closed transaction. And in our world, it is a nonpublic use. So 

the information and the data itself is subject to information security standards. So, in our world, it is using the Death Master File 

to stop identity theft, to stop entitlement fraud, to stop—to enable 

a life insurance company—in fact, in some cases, by law, but in 

most States not—to track down individuals who are the beneficiaries of life insurance, to ensure that claims are processed properly and effectively and quickly for individuals who have lost a 

loved one. 

Our members deliver approximately—our members’ data is involved in probably 9 billion transactions every year in the United 

States. We are probably the best channel of distribution for this 

kind of information in a private sector marketplace, to make sure 

that the data is used quickly. In fact, I testified on this very topic 

right after 9/11. The Commissioner mentioned this issue in his testimony, as well. 

And, in fact, we were involved in working with the Department 

of Commerce, and our own members were involved in working to 

ramp up the speed with which we could, in a secure manner, get 

the Death Master File, move it into data centers so that it could 

be used for all of these types of transactions we have just discussed. 

In our view, it is not the use of the Death Master File in the 

business-to-business context which is creating the risk. That is the 

reason we are here, and that is the reason we have already had 

some meetings with staff to explain how we think the bill could be 

clarified, to make sure that appropriate uses are codified, and that 

you can still protect the Death Master File from otherwise being 

subject to a Freedom of Information Act type of request that makes 

it available to anyone. We would support amendments to do that. 

We appreciate this opportunity to testify, and I am honored to 

be on the panel with Mr. Agin. Thank you. 

[The prepared statement of Mr. Pratt follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
69 


dkrause on DSKHT7XVN1PROD with HEARING78179A.050

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

STATEMENT OF STUART K. PRAlT 

CONSUMER DATA INDUSTRY ASSOC IATION 

WASHINGTON. D.C. 

HEARING ON 

THE ACCURACY AND USES OF HIE DEATH MASTER FILE 

Befon: the Suocommillce on Social Security of the Huusc Ways and Means Commillcc 

of the 

United Slates l'louse of Representatives 

Washington. D.C. 

Thursday, February 2. 20 12 
70 


dkrause on DSKHT7XVN1PROD with HEARING78179A.051

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Chainnan Johnson, thank you for this opportunity to appear before the House Ways and 

Means Subeommiucc on Social Security. For the ~ord, my name is Stuart I'rau and r 

am President of the Consumer Data Industry Association. 

CDIA is an international trade association with more than 190 member 

companies, pro~ ding our nation's businesses with the data tools necessary to manage 

risk in a wide range of consumer transactions. These products include credit and 

mortgage reports, identity verification tools, law enforcement in\'estigatil'e products, 

fraudulent check transaction identification systems, employment sc~ning, tenant 

sc~ning, depository account opening tools. decision sciences technologies. locator 

serviccs and collections. Our members' products and services ensure that consumers can 

engage in fair and safe transactions. enjoy broader competition leading to bener prices 

and to access a market which is innovative an(] focused on their needs. We estimate that 

the industry's products are uSt-d in more than nine billiontrnnsactions per year. 

Today. my testimony will focus on two important points: 

• The beneficial uses of the Social Security Administration's Dt:ath Master File 

(DMF) which need to be preserved. and the consequences of cutting ofTacccss. 

• Changes 10 the DMF that reduce its completeness. 

2 
71 


dkrause on DSKHT7XVN1PROD with HEARING78179A.052

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Before I address these two points it is imronanl to know that our members' products are 

subjcrt to a number of federal laws that regulate the usc of consumer data. For example 

many COlA members arc financial institutions regulated by Title Vofthe GrammLeaeh-Bliley Act. All members operatc a consumer reponing agency regulated by the 

Fair Cred it Reponing Act. Other laws may apply, as well. 

B~ndicill l Us~s or the Di\lF by CDiA l\1~mb~rs: 

Now let me tum to thc beneficial uses ofthc DMF and let's start with fraud prevention. 

Banks, employers, insurance companies, the healtheare industry and the government all 

rely on data obtained from the DMI' to identify dl~e3sed individuals in order to identify 

and ultimately prevent fraud. Our members are the k~hnological bridge betwecn OMI' 

data and billions of consumcr transactions. It is our private sector members that havc 

ensured thalthc OM!' data is available where it is nee(kd in the US economy. 

As an example our members which operate nationwide consumer reponing agencies 

obtain OMF data and load it into the databases used to produce credit repons. These 

data bases contain more than 200 million files on credit-active Amcricans. By loading 

the OMF it is dclivered along with credit repons so that creditors are made aware that a 

potential application is associated with a person whose social is on the DMF or that a 

current customer is dcrcased. Onc of our mcmbers shared with us that in a n..~cnt TCv1cW 

of financial transactions in a financial scrvices ponfolio 45 perecnt of transactions 

3 
72 


dkrause on DSKHT7XVN1PROD with HEARING78179A.053

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

connected to records of deceascd persons were found to be fraudulcnt PrCI'cnting this 

type of identity thcft relieves surviving rclatil'es of the burden of dealing with fraud ulent 

accounts resulting from misuse of their 105tlovOO ones and sal'es financial institutions 

tens of millions of dollars eaeh year. 

Insurancc companics similarly detect and prel'ent claims fraud by ide11lifying benefits 

claims from and payments to deceased indil'iduals. Fraud schClt1es have been identifIed 

using the names of deccased healthcare prol'iders, including having claims submillcd in 

their namc. Within a disability insurance carrier's pol1folio. fraudulent claims paid to 

deceased indil'iduals ean be as high as .1%; tllis represents a significant amount of money 

being fraudulently collected. 

The benefits for heahheare prol'iders are no different than for Ihe financial services or 

insurance industries. Knowing tllat someone is allempting to access IIcaltllcare using the 

identity of a deceased individual can prevent losses and confusion for relatives of the 

dcecased. 

GOl'ernment agencies providing benefits and entitlemcnts arc under allaek by fraudsters 

thm make use of the identities of deceased individuals. Benefit payments. tax refunds, 

and otller programs arc eXPQsed; by using OM F data and dma analytics it is possible to 

unCOl'er many oflhese sehemes. 

4 
73 


dkrause on DSKHT7XVN1PROD with HEARING78179A.054

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Beyond fraud there are other beneficial uses. Ufe insurance companies need access to 

reliable, comprehensive records identifying individuals known to have died. In the past 

life insurance companies hal'e waited until being contacted by a policy owner, 

beneficial)', or estate before beginning the process ofl'erifying a death, locating 

beneficiaries, and paying proceeds. 

Today, life insurance companies are under increasing pressure in the states to proaetil'ely 

monitor the SlalUS of insureds and to proactively begin the process ofvcrifying death, 

identifying and locating beneficiaries, and paying out insurance procceds. Ufe insurance 

companies arc required by scl'eral states to match their in-force and lapsed policies 

against the SSA OMF to detennine whether there are deceased insurcds for which policy 

proceeds have not been paid. If access to the DM!' is eliminated, then these carriers 

could not comply with the state mandates to conduct the requircd searches. 

Lenders and the reccivables management industry (first pany and third pan)' collections) 

use data from the OM!' in ordcr to appropriately handle indebted, deceased customcrs. 

For exam pic, accounts in collections which are associated with deceased individuals arc 

handled difTcremly from other accounts. This speeial handling includes both the 

sentimental and legal manner in which the bank or agcncy approaches collection. and a 

decision as to whether to auempt collection at all. 

5 
74 


dkrause on DSKHT7XVN1PROD with HEARING78179A.055

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Allowing CDIA's members to access the OMF in order for tllem to distribute it aeross tile 

US economy bri ngs clear benefits. Cutting off our members' access to the DMF will 

empower criminals. 

Thieves arc not perpetrating these crimes using OMF data, According to the Privacy 

Rights Clearing House identity thieves obtain infonnation about deceased individuals in 

various ways including: 

• Watching the obituaries and engaging in pretcxting to obtain critical identifying 

information. 

• Stealing or ordcring deatll certificates 

• The thief may also be a family member who may take advantage of the situation 

or who has already been using that identity. This may be especially true irthe 

deceased suffered from Icngtlly illness. mental confusion, or if there is 

disagreement among family members prior to the death. 

There arc few options ror preventing fraud and ensuring legal compliance if the DMF is 

cut orr, In fact, while thc DMI' is made available today as a result ofa 1978 Freedom of 

Information Act (FO IA) lawsuit filed in Federal District Coun, it is the position of the 

COlA that appropriate aceess to the OMI' should be codified into law and not left to 

future interpretations of FOIA. 

The Completeness of OMF 

6 
75 


dkrause on DSKHT7XVN1PROD with HEARING78179A.056

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

In 2002 the Social Sceurity Administration began disclosing certain statc records on the 

public DMF. HowCI'cr the SSA subsequcntly dctermincd that it can no longer diselose 

protectcd statc rewrds. The SSA points out that Scction 205{r) ofthc Social Security Act 

prohibits the SSA from diselosing State death records rece ived through contracts with thc 

statcs (somc limitcd e.~cep ions apply). 

In temlS ofthc effect on the DMF the SSA reports that the historical Public DMF 

contains 89 million records. SSA will removc approximately 4.2 million records from 

this file and add aOOm I million fewer records annually. This loss of 1 million records is 

consequential sincc our members estimate that this is appro,~imate y 35% of all ncw 

records added each year. 

We bclicl'c that in addition to codifying into law thc appropriate access to the DM !', II'C 

also bcliel'e that Scction 205(r) of the Social S~"Curity Aet should be amended to allow for 

this acc~'Ss to include all state death records as part of diSl:losurc. 

Conclusion 

In dosing let me emphasi~e some irnponant points: 

• Uses of the DM F for fraud prevention. legal compliance processes and for 

ensuring US businesses are aware ofthc status of their customers is not 

facilitating identity theft. 

7 
76 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.057

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

• There is no substitute for the DMF available in the marketplace. If the DM!' is 

not available US businesses will experience an increase in fraud and in some 

cases fail to comply with other state or federal requirements. 

• Identity thieves arc not obtaining access to the DM F via our members' businessto-business distribution of it. Our members vet their customers carefully and thc 

distribution of the DMF often is in conjunction with products regulated by other 

ti,'dernll~ws such as the FeRA or GL13 T itk V. 

We urge the Committe<: to consider amending the Social Security Act to codify 

appropriate business-to-business access and distribution of the DM !'. including state 

rC<:ords that cannot be disclosed today due to the SS/\'s interpretation of Section 205(r) 

of the Social St"Curity Act. 

Thank you again for this opportunity to appear before your committt'C. We look forward 

to working with your committee going fOl"\'o'ard and I am happy to answer any questions. 

8 
77 

Chairman JOHNSON. Thank you, sir. I appreciate your testimony. 

Mr. Breyault, welcome. You may proceed, sir. 

STATEMENT OF JOHN D. BREYAULT, VICE PRESIDENT OF 

PUBLIC POLICY, TELECOMMUNICATIONS AND FRAUD, NATIONAL CONSUMERS LEAGUE 

Mr. BREYAULT. Good morning, Mr. Chairman, Ranking Member Becerra, and Members of the Subcommittee. My name is John 

Breyault, and I am Vice President of Public Policy, Telecommunications and Fraud for the National Consumers League. 

Founded in 1899, NCL is the Nation’s oldest consumer organization. Our nonprofit mission is to protect and promote social and 

economic justice for consumers and workers in the United States 

and abroad. I greatly appreciate the opportunity to discuss the impact that the misuse of the Social Security Administration’s Death 

Master File data has on consumers. 

As the director of NCL’s fraud center, I hear on a daily basis 

about the personal and financial toll that identity theft and other 

fraud takes on consumers and their families. The statistics are sobering. In 2011 we received nearly 9,000 complaints from victims 

of a variety of scams. Consumers reporting fraud to NCL lost, on 

average, $990. And, in many cases, these unscrupulous con artists 

financially ruined their victims. 

NCL statistics represent only a small fraction of the fraud problem, however. In 2010, the Federal Trade Commission received 

over 1.3 million complaints, of which more than 250,000 involved 

identity theft. And even that number represents only those victims 

who knew enough to complain to the FTC. According to one estimate, 8.1 million adults were victims of identity theft in 2010, with 

each incident costing $631 to resolve. 

Despite these numbers, it never ceases to amaze me, the lengths 

to which scam artists will go to defraud consumers. As the father 

of two young daughters, the reports I have seen of the misuse of 

dead children’s identities to commit tax fraud sickens me. The vulnerability of children to identity theft is well established. It is estimated that as many as 140,000 minors fall victim to ID fraud annually. According to Carnegie Mellon researchers, 10.2 percent of 

children have had their Social Security number misused by someone else, a rate 51 times higher than the rate for adults. 

While it is unknown how many deceased children’s identities 

have been used to commit tax fraud, the volume of news reports 

about this scam, and anecdotal evidence from their parents, such 

as Mr. Agin, suggest it is not limited to a few isolated cases. It is 

also clear that by using websites that publish DMF data, identity 

thieves can quickly and cheaply gain access to recently-deceased 

children’s full names, dates of birth, and full Social Security numbers: the so-called holy trinity of personally-identifying information. 

Clearly, the role that the public availability of the SSA’s DMF 

data plays in these scams requires additional study. Consumers are 

also harmed when they are mistakenly listed as deceased on the 

DMF. The SSA has stated that approximately 14,000 living Americans are affected by these errors annually. Such mistakes can lead 

to frozen bank accounts, canceled cell phone service, loan denials, 


dkrause on DSKHT7XVN1PROD with HEARING
78 

and refused job interviews. It can require months for the SSA to 

correct these errors. And even then, living individuals’ personallyidentifiable information may still be exposed. 

The public availability of the SSA’s DMF data is certainly not 

the sole driver of identity theft. Indeed, many organizations use 

DMF data regularly to deter fraud, administer pension benefits, 

and conduct medical research, among other uses. That said, it is 

clear that reform is needed to address the likelihood that identity 

thieves will continue to make use of the public DMF to harm consumers. 

While NCL generally supports transparency of government data, 

in this case we believe that the risk that the public DMF could be 

used for nefarious purposes outweighs the benefit. However, in the 

interest of protecting legitimate uses of the DMF, we do not believe 

that a total ban on the sale of this data would be in the best interest of consumers. Instead, we would urge Congress and the SSA to 

undertake a number of reforms. 

First, personally-identifiable information included in the public 

DMF should be limited, and alternatives to the inclusion of the full 

Social Security number in the file should be explored. 

Second, living Americans who have been mistakenly listed in the 

DMF should be notified that their personally-identifiable information may have been compromised, and steps to safeguard their 

identities should be recommended. 

Third, access to the DMF should be restricted to organizations 

that can certify they have a legitimate need for the information, 

such as for fraud prevention, or benefits administration purposes. 

Fourth, penalties should be increased for DMF recipients who 

fail to keep DMF data up to date, or who misuse or redisclose DMF 

information. 

Finally, the SSA should undertake a study, in conjunction with 

DMF data recipients, to evaluate the usefulness of DMF data in 

preventing identity theft. 

In conclusion, I would like to take this opportunity once again to 

thank you, Mr. Chairman and the Members of the Subcommittee, 

for inviting me to testify today on behalf of the National Consumers League, and consumers nationwide. 

I look forward to answering your questions. 

Thank you. 

[The prepared statement of Mr. Breyault follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
79 


dkrause on DSKHT7XVN1PROD with HEARING78179A.058

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

TESTIMONY BEFORE THE HOUSE OF WAYS AND MEANS COMM ITTEE'S 

SUBCOMM ITTEE ON SOCIAL SECURITY 

"HEARING ON SOCIAL SECURITY'S DEATH RECORDS· 

FEBRUARY 2, 2012 

9:00A.M. 

JOHN D. BREYAULT 

VICE PRESIDENT OF PUBLIC POLICY, TELECOMMUNICATIONS AND FRAUD 

NATIONAL CONSUMERS LEAGUE 
80 


dkrause on DSKHT7XVN1PROD with HEARING78179A.059

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Good morning Mr, Chairman, Ranking Member Becerra and members ofthe 

subcommittee. My name is John Breyault and I am the Vice President of Public 

Policy, Telecommunications and Fraud for the National Consumers League (NCL). 

Founded in IB99, NCL is the nation's oldest consumer organization. Our non-profit 

mission is to protect and promote social and economic justice for consumers and 

workers in the United States and abroad. NCL's connection to the Social Security 

Administration runs deep. Frances Perkins, who was elected Secretary of the 

League in 1910, was the nation's first female Cabinet member and was one ofthe 

architects of the Social Security Act of 1935. 

I greatly appreciate the opportunity to discuss the issue of Social Security's death 

records and the impact the misuse of these records has on consumers. As the 

Director of NCL's Fraud Center, I hear on a daily basis about the personal and 

financial toll that identity theft and other fraud takes on consumers and their 

families. [n 2011, we received nearly 9,000 complaints from victims of a variety of 

fraud. Consumers reporting fraud to NCL lost, on average, $990.1 In many cases, 

these unscrupulous con artists financially ruined their victims. NCL's statistics 

represent only a small fraction of the fraud problem. For example, in 2012, the 

Federal Trade Commission received over l.3 million complaints, of which more than 

250,000 involved identity theft. 2 And that represents only those who knew enough 

to complain to the FTC. According to research firm Javelin Strategy, 8.1 million 

adults were victims of identity theft in 20 10, with each incident costing $631 to 

resolve.l 

I Source: NCL fraud complaint statistics. 2(l11. 

' Federal Trade Commission. Consumer S~ntjnel Network Data Book/or January-December 2010. Pgs. 

3, S. March 2011. Available online: http,!!www.ftc.Gov!sentinel/reporrs!sentinel·annual· 

reporrs/sentincl'cy20 1 O.pdf 

• Saranow Schultz, lennlfer. -The Rising Cost of Identity Theft for Consumers: New York Times. 

February 9. 2011. Online: hllp'lIbycks blogs nytimes cpmI201 1/02/09l1bg_risingpst.o(_jdgntjty_ 

theft·for·consumersl 

2 
81 


dkrause on DSKHT7XVN1PROD with HEARING78179A.060

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Despite these sobering statistics, it never ceases to amaze me the extent to which 

scam artists will go to defraud consumers. As a father of two young daughters, the 

reports I have seen of the misuse of dead children's personal information to commit 

identity theft sickens me. 

The vulnerability of children to identity theft is well established. According to 

recent estimates, 140,000 identity frauds are perpetrated on minors each year.· 

According to researchers at Carnegie Mellon University, 10.2% of children have had 

their Social Security Number used by someone else ~ 51 times higher than the 0.2% 

rate for adults.5 While it is unknown how many deceased children's identities scam 

artists have misappropriated, the volume of news articles about this scam and 

anecdotal evidence from parents of the deceased children suggest it is not limited to 

a few isolated cases. 6 

The role that the public availability of the Social Security Administration's Death 

Master File (DMF) plays in these scams requires additional study. However, it is 

clear that identity thieves can quickly and cheaply gain access online to the so·called 

"holy trinity" of identifying information of recently deceased children ~ full name, 

date of birth and full Social Security Number ~ using websites that access DMF data. 

On its face, the public availability of a remarkably complete set of personally 

identifiable information of83 million deceased Americans for as little as $995 is 

extremely troubling. 

Additional consumer harm arises when individuals are mistakenly listed as 

deceased on the DMF. Due to "inadvertent keying errorsff by federal workers 

' 1.0. Analylics. "Mo", Than 140.000 Childre" Could Ilc Viclims of ldenlily Fraud Each Year:' f'rcss 

"'lease. July 12. 2011. Online, hl1[>, II "ww ;da ,I)"lics,cQm nc"s-and-e cnJsJnc"kNlea.~sI2011 -1 2-

~ Power. Richard. "Child ldemity Theil: New E"idencc lndicales ldenli!y Thie\'es are Targeling Children 

for Unused Social Scruril>' Numbers." Carnegie Mellon Cylab al 4. April!. 2011. Online: 

bI1Wl/w",,, c\'lab emu cdylGlc./OOfm oon$l2011Ichild-idcOli!Hbct) pdf 

• Sec e.g. Goldberg. Eleanor. " Why Thi,,'cs Arc Slealing Childhood Cancer Victims' Idemi!i cs.-

l1ufling!on Post. )\"~mber 18, 2011. Online: hl!p" l/www,hufling!onOOS1.comI201 III 1117IwhHhje\C'S· 

an;-slcaling.childhood·caocCT.yiqims-ideOliljes n 109348 1 ,hlml 

3 
82 


dkrause on DSKHT7XVN1PROD with HEARING78179A.061

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

entering death information, the Social Security Administration has stated that 

approximately 14,000 living Americans are listed as deceased in the DMF annually.7 

Such mistakes can lead to frozen bank accounts, cancelled cell phone service, loan 

denials and refused job interviews.8 Due to the DMF's public availability, these 

individuals are also put at increased risk of identity theft. [t may require months for 

the SSA to correct these errors and even then, living individuals' personally 

identifiable information may still be exposed.9 

The public availability of the Social Security Administration's DMF data is certainly 

not the sole driver of identity theft. Indeed, its wide availability has clearly 

benefitted security firms that use it to deter fraud. tO In addition, pension funds, 

insurance organizations, and medical researchers use DMF data for completely 

legitimate reasons. tl That said, it is clear that reform is needed to address the 

likelihood that identity thieves will continue to make use of the DMF to harm 

consumers. We also believe that more should also be done to alert consumers who 

are falsely listed as deceased on the DMF so that they can take action to protect their 

identities. 

A number of commentators, including the SSA's Office of Inspector GeneraP 2 and the 

Internal Revenue Service's National Taxpayer Advocatell have recommended ways 

' Harsr<>,·e. Thomas. "Graw mistakes: SSA silent OIl pri"me data breach.- Scripps 1·lo"·ard New. Service. 

Nm'em""r 6. 2011. Online: hlLp :llwww.couricrpreS$.comlnew..r201 Ilnov/()6lgra,·e_miSlnkes·ssa_silent..on_ 

F,vatc-data-bn:ac h/'?pri nl- I 

Id . 

• Social Security Administration. -Personally ldentiliable InformaliOll Made A".ilable 10 the General 

Public Via Ill\: Death Master rile.- Oftkc of lhe InspcclorGcncral Audit Repon. Pgs. 4·5. June 2008. 

Online: hllnjjojg SSg goyfsjleWcfaullllilesItJydjllfullfpd!M.Q6.08· 180::12 pdf 

,. Sce c.g. ID Analylics. - Kc"<:p the l"kalh MaSler File 3Ii\"e.- m og posting. Dc"<:cmbcr 21. 2011. Online: 

hur:lfjdanah'liu,rornljdillabsl20[ If\;ee!Hhe·death-mastcc-Ii[c-alive/ (staling Ihal "We usc Ihis SSA Death 

Maslcr File as an upfronl defcn'll' I!) weed OUI such applieati!}ns. and our process successfully SlOPS Ihe"" 

attemplS."). 

"Nalional TechniC311nfonnatitm Sen'iee. "Social Sceuril)" Adminislralioo's Death /I.·lasler File." Online: 

bl1r-""'W" mjsgQofprodw:uJSSj!-dmf",px 

" Sec genernll)". Social Security Adm;nis1r.l1iOll. " I'crwnally Idcmiliablc Information Made A"ailable 10 

the General Public Via the Ikath Master File:' OOlce !}flhe Ins!",<1or General Audit Repon. June 2008. 

Online: hllpjjoju;a gm'fsjlesldefay1tlliles/audil/fullfpd/?A-Q6.08. 180::12 pdf 

4 
83 


dkrause on DSKHT7XVN1PROD with HEARING78179A.062

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

to better protect consumers from identity theft stemming from personally 

identifiable information made available via the DMF. Several reforms that the 

National Consumers League supports include: 

Limiting the personally identifiable information included in the public DMF 

to the absolute minimum required and exploring alternatives to the inclusion 

of the full Social Security Number; 

Notifying living consumers who have been mistakenly listed in the DMF that 

their personally identifiable information may have been compromised and 

recommending steps to safeguard their identities; 

Restricting access to certain personally identifiable information in the OMF 

to organizations that can certify that have a legitimate need for the 

information for fraud prevention or benefits administration purposes; 

Increasing penalties for failure of OMF recipients to keep DMF data up to 

date or the misuse or re-disclosure of DMF information; and 

Requiring the SSA to undertake a study, in conjunction with DMF data 

recipients, of the usefulness of OM F data in preventing identity theft. 

While NCL generally supports transparency of government data, in this case, we 

believe that the risk that publicly available DMF data could be used for nefarious 

purposes outweighs the benefit. However, in the interest of the timely provision of 

survivor benefits and the use of this data for fraud protection efforts, we would not 

support a total ban on the sale ofDMF data. Instead, we believe that SSA and the 

Department of Commerce should take steps to ensure that DMF data is made 

Il Scc Lcgislali,'c Rc"CommcndOl ion: RCSlnCI ,\ cccss 10 Ihe Ikalh Maslcr f ile. inf .... Sec a lso Idcnlify 

The n and Tax Fraud P",venlion ACI. S. I S34. 1111h Congo § 9 ( lSI Sess. 2011 ) Onli ne: 

bllr'II,,",,"", W,MNWCradnx;alc irs gm-!yS£clj)c!ilfilel2011 A]tC MSI,%20J odf 

5 
84 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.063

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

available only to organizations that can demonstrate a legitimate need. OMF data 

recipients should likewise be held to a higher standard of accountability for 

maintaining the integrity and security of this sensitive data. 

In conclusion, [would like to take this opportunity to once again thank the members 

of the subcommittee for inviting me to testify today on behalf of the National 

Consumers League and consumers nationwide. 

6 
85 

Chairman JOHNSON. Thank you, sir. I appreciate your testimony. 

Mr. O’Carroll, you are recognized. Thank you for being here. 

STATEMENT OF HON. PATRICK P. O’CARROLL, JR. 

INSPECTOR GENERAL, SOCIAL SECURITY ADMINISTRATION 

Mr. O’CARROLL. Good morning, Chairman Johnson, Mr. Becerra, Mr. Marchant, and Members of the Subcommittee. Thank you 

for this invitation to testify today. 

My office believes that limiting public access to the agency’s 

Death Master File, or DMF, to what is required by law, and taking 

all possible steps to ensure the file’s accuracy are critical elements 

in preventing SSN misuse and identity theft. 

Only Congress is authorized to alter what the law requires, so 

my office works closely with SSA on the second element, ensuring 

the accuracy of the DMF. 

We have conducted multiple audits and made many recommendations with this obligation in mind. In a 2008 report on 

SSA’s death records, we reported that thousands of living individuals were mistakenly listed as deceased on the DMF. These errors 

can have a serious financial impact on the affected individuals, and 

the errors can lead to identity theft. 

To protect personal information and improve SSN integrity, we 

recommended that SSA consider implementing a several-month 

delay in the release of the DMF updates, so the agency could correct erroneous death entries before they are made public; limit the 

amount of information included on the DMF to the absolute minimum required by law; and explore alternatives to the inclusion of 

a person’s full SSN on the DMF. 

The agency has not taken action on these recommendations for 

the following reasons: SSA said government and financial organizations depend on the DMF data to combat fraud and identity theft, 

so they must have timely, up-to-date death information; and SSA 

said that the DMF data does not have to be limited to what the 

law requires, because a deceased individual does not have privacy 

rights, according to the Freedom of Information Act. 

There are about 1,000 cases each month in which a living individual is mistakenly included in the DMF. We have found that 

these errors usually occurred when SSA processed death information that came from a family member or a funeral home. SSA said 

it moves quickly to correct the situation when errors occur. The 

agency reports it has not found evidence of past data misuse. However, we remain concerned that these errors can lead to premature 

benefit termination and cause financial hardship and distress. 

Death Master Files with active SSNs belonging to living persons 

can serve as a source of information that would be useful in committing SSN misuse and identity theft. DMF updates reveal to potential criminals the personal information of individuals who are 

alive. The information could be used to apply for credit or benefits, 

or assume a whole new identity. 

Limiting or discontinuing the availability of the DMF is a serious 

legislative and policy decision for Congress and the SSA. In November 2011, Chairman Johnson and several Members of the Subcommittee introduced the Keeping IDs Safe Act. The bill would end 


dkrause on DSKHT7XVN1PROD with HEARING
86 

the sale of the DMF to the public. The public distribution of SSA’s 

death records raises serious concerns. 

Valid SSNs can, in essence, be purchased from the government 

by clever identity thieves. However, DMF data has important productive uses in government and in the financial industry, including 

verifying deaths, ensuring benefit payment accuracy, and identifying and preventing ID theft. The SSN’s key uses in government 

and finance make the SSN a valuable commodity for criminals. 

And both SSN misuse and identity theft remain a significant public 

risk. Failure to take action creates an unnecessary public hazard. 

In conclusion, we encourage efforts to limit public access to the 

DMF through legislative or policy changes, such as the Keeping the 

IDs Safe Act. Pending such changes, we will continue to examine 

the issue and recommend steps to limit the information made 

available to the extent permitted by law, and advocate a risk-based 

approach to the distribution of the DMF. 

We look forward to continuing to work with the Subcommittee 

and SSA in these and future efforts to protect personal information, and to prevent identity theft. Thank you for this invitation to 

testify today, and I will be happy to answer any questions. 

[The prepared statement of Mr. O’Carroll follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
87 


dkrause on DSKHT7XVN1PROD with HEARING78179A.064

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

U.S. House of Rellrescntativcs 

Comminee on Wa)'S and Me~ns 

Subcommillee on Soci~ 1 Security 

Statement for the Rccord 

Hcaring on Social Sccurity's ncath Rccords 

The Hononble Patrick P. O·Carroli. Jr. 

Inspcdor Genuwl. Social Security Administration 

February 2. 2012 
88 


dkrause on DSKHT7XVN1PROD with HEARING78179A.065

Good morning. Chairman Johnson, Ranking Member B~crra. and members oflhe Subeommiltec.ll is a 

pkasure 10 appear before you. 3nd I thank you for lhe invilation to Icstify today, I have appeared before 

Congress many limes to discuss issues critical 10 the Social &<:urily Adminislration (SSA) and lhe sc,,·;';es 

lhe Agency provides 10 American citizens; I appeared before the Subeommiuec lasl week to discuss SSA 's 

DisabililY Insurance program. Today. we arc discussing SSA's Dealh MaSler File (DMI') and the Agency's 

process fordislribuling dealh rerords. 

SSA MS. on the Numident- the Agency's maSler database of Social Se<;urity number (SSN) holders-a 

record ofrel"'rtcd deaths. B~'Causc ofa 1978 Fr~lom ojilliormmioll Act (FOIA) law:suit- Perholt; ,·S. 

Ross-SSA in 1980 was required to make available 10 the public death .... 'Cords that includc<lthe SSN. the 

lasl name. and the date ofdealh ofdeceascd number holders; the .....;ult was the creation of the OMF. an 

extracl ofNumident data. Each DMF record usually indudes the following: SSN. full name. date of birth. 

and dalC ofdealh. 'The Ilk contains about 85 million records. and il adds about 1.3 million .... 'Cords each 

year. SSA re<:elves dealh informal ion from many sources. including family members. fUrlCral homes. and 

some (bul nOI all) Stales. SSA dOC'S not have a dealh rerord for all deeC3sed indi,·iduals. thus SSA does no! 

guarantcc the Ilk's veracity. A person's absence from thc Ille docs noc guarantcc the person is ali,·c. 

SSA provides the OMF to 1M DeJlllrtment ofCommercc 's National Technical Information Service (NTIS). 

a C051-1"Co"el)' agency, which, in Ium. sells D,\II' data 10 public and privalc induslrics--go.-cmment. 

fmanciaL in>'estigali'·e. credit reponing. and mlXlical cuStomers. TIlOSe customers use the daUilo "erify 

death and 10 pre"ent fraoo, among OIncr uscs. TIle OMF Ihus contains more infom,alion Ihan required by 

lhe Perholt= ruling.' 

'Thc publk distribulion ofSSA's dealh records and personally identifLable informalion (PII) miSC'S concerns 

relallX110 SSN misuse and idenlily Iheft. Your Subi:ommillee has discussed ways to improve SSN 

proleclion wilh SSA and the Office oflhc InSpeclor General (OIG) before. bul wilh SSN usc widespread 

IhroughOUI governmenl programs and financlal transaClions. and lechnology conSlanlly "" 'olving, t~ ~hreat 

ofSSN misuse and idenlit)' Iheft persists. We in 1"'= OIG are well aware of~he central role Ihe SSN plays in 

American society. and part of our mission is \0 protcc~ i~s in~egrity. Th<;:",forc. while limi~ing or 

discon~inuing ~he OMI" s a,'ailabili~y is ultimately a legisla~i"e aOO policy de.:ision for t~ Congress and 

SSA 10 make, III<: OIG has long laken the posilion that to 1he eXlent possible, public access 10 1he DMF 

should be limitlXllo Ih31 requirlXl by law. and Ihal all possible sleps should be laken 10 enSure ilS accuracy. 

We have made numerous recommendalions 10 Ihis efTecl. 

n.e Congress has recognizlXllhe imponan~ oflhis issue, as cU""ni bills for consideration address access 

10 Ihe DMF. Chairman Johnson aOO se,'cral mcmbersofyour Subi:omminee in Nowmber 2011 introduclXl 

lhe Kl!<'ping IDs Slife A"t, which wwld end lhe sale oflhe DMF. While some gO"emmenl and law 

enfon:emenl agencies would slilI have access 10 the file 10 combal fmoo, the bill would help prot~ll~ 

dealh dala of311 number holders, 

1 In November 2011. SSA made a change \0 OMF records it provides 10 NTIS. The Soci,,! Sl,curityAct 

prohibils SSA from diselosing Slale dealh records I~ Agency recei"es Ihrough ils contracls wilh the Slaies. 

excepl in limilc<l circumstances. SSA thus remo,'c<I abou14.2 million Stale death records from Ihe OMF. 

SSA currently distribules Numident dala uOOer agreemenls wilh eighl governmenl agencies. including the 

Cenlers for Medicare & Medicaid Services and the Inlemal Revenue Service. 
89 


dkrause on DSKHT7XVN1PROD with HEARING78179A.066

Another House bill. introduced in October 2011 to prevent identity thell and tax fraud. calls for the 

Commeree Department to de"elop a certification program for individuals to complete Ix'fore accessing the 

OMF. Ac;:ording to Ihe proposal. any certified person who disclosed DMF data 10 another individual. or 

any certified person who misused Ihe data ..... -ould be fined $ 1.000 for each illegal disclosure Or use. 

The O.\1F data has important and productive uses. Medical researehers and hospitals track fDmler patients 

for their Sludies; investigalivc finns usc the data to verify deaths related to investigations; and pension 

funds. insurance organizations. and Federal. State. and local governments need to know if they are sending 

payments 10 deceased individuals. The fmancial community and State and local governments can identify 

and prevent identity theft by running financial and credit applications against the OMF. However. in the 

form in which the OMf is cum:ntly dislributed. mcthods exist for individuals to misuse SSNs and commit 

identity theft. We ha"c made =ommendations to SSA thaI would improve the protection of PI I available 

in the DMF through both decreased inclusion of data and incrcased accuracy; SSA has agreed with some of 

our =ommendations and disagreed with others. 

Our Mareh 2011 report. Follo'NlP: PcrsOItolly Identifiable "iformatio," Mode Ami/able ro lhe P"blic \'io 

III(; Death Master File. amined whether SSA took corrc;:tive actions 10 address recommendations we 

made in a June 2008 report On the OMF. In the June 2008 report. we detennined that. from January 2004 

through April 2007. SSA's publicalion of thc DMF resultl"<l in the potential exposure of PI! for more than 

20.000 living individuals erroneously listed as deceased on the DMF. In some cases.. these individuals' Pil 

was still a"ailable for f"", viewing onlhe lnternct- <m ancestry sites like genealogy.com and 

familysear<:h ,Qrg- atthe time of our report. 

In June 2008. we =ommendcd that SSA: 

1. Work with the Commerce Department 10 implement a risk_based approach for distributing DMF 

infonnation. such as implementing a sel"eral-month delay in the release of DMf updales. so that 

SSA could correcl erroneouS death entries; 

2. Limillhe amount ofinfortllalion induded on Ihe OMF to Ihe absolute minimum re<[uired. and 

explore ahematl,·cs to the inclusion of an lndividuars full SSN; 

3. Initiatc re<[uired breach nOlifieation procedures upon learning thatlhc Agency mistakenly included 

living individuals PII in Ihe DMF; and 

4. Provide appropriate nOlification to living indi"iduals whose PH was released in error. 

In our March 201 1 report. we found that SSA had taken actions on recommendalion. 3 and 4. SSA 

implemented procedures 10 report erroneous death cotry-related PI! breach<:s to the Department of 

Homeland Sc;:urity's U.S. Computer Emergency Readiness Team each week. The Age ncy also hired a 

conlractor 10 provide ongoing review'S ofOMF exposure related to Ihousands of individuals whose PI! W3S 

inad"ertemly exposed from July 2006 through January 2009. The COntractOr evalL.llltcd a"ailable data for 

paltems Ihat could idelllify organized misuse. and according to SSA. as ofMareh 2011. the contractor 

identified no PII misuse. Thus. SSA did 001 provide breach notifications to any indi"idual numlx'r holders. 

We recommended that SSA nolify all individuals whose PI! was exposed. regardless ofthe detection ofPII 

misuse. 
90 


dkrause on DSKHT7XVN1PROD with HEARING78179A.067

SSA did nQI take actions on recomm~ndations I and 2. SSA did not implement a cklay in the release of 

OMF updat~s. as the Agency indicated that public and private organizations rely on the OMF to combat 

frllud and identity thell. To be effcctive. those organizations must ha'·c immediate and up-to-date 

infonnati<m. SSA said. The Agency also did not anemptto limit the amOunt ofinfonnation induckd on lhe 

DMF. and it did nOt cxplore altcmatives to the inclusion of an individual's full SSN. ciling the P"rho/I; 

consent judgment and potenlial litigalion undcr FOIA. SSA added that a de<:eased indi,·id..:.1 does not have 

a privacy int.,.,st. according l(} FOIA. 

Our March 2011 follow_up rc,·iew rc,·u led that in addition to the recommendations with which SSA did 

not agree. se,·eral iss""S remained: 

:0- SSA cominucd 10. inad,·crtemly. c~pose the I'll oflhousands of living individuals each year. 

because Ihe Agency released death information without a short delay to idemify and com.-c1 mOSt 

death·report errors. 

:.. SSA·s efforts 10 delele errone1)US death entries from the OM!' did 1"101 completely miligate 1M 

exposure of living indi'·iduals· I'lL At the time of the report. we sea",hed severlll 8n=ll)· 

Websites. like familysea",h.org. and thcre We", instances in which living indi'·iduals· I'll remained 

accessible. This likely occurred because the Website was nOt timely processing OM!' updates. 

:0- SSA continued lodisclose far more delailed I'll in the OMF (including Ii,,;! name. middle name. 

and date ofbinh) than required under the original Perholl; consentjudgrnem. We cOlllinue 10 

belie,·e thaI reducing !he 8mOUm of detailed I'll included in !he OMF would allow Ihe conlinued 

legilimat. use of valid death information. while at lhe same time limiling Ihe inad,·onelll I'll 

exposu", of living indi,·iduals. 

Ae<:ording 10 SSA. Ihere are aoout 1.000 cases each momh in which a living individual is mistakenly 

included in the DMF. SSA said that when the Agency becomes awa .... il has POSled a dealh rcpon in error. 

SSA moves qukkly 10 correct the silUalion. and the Ageney has nQI found .,·idence ofP"'5t data misuse. 

However. We ",main conccmed aooutthcse errors. because erroneous death enlries can lead l(} benelit 

lemlination and cause se,·ere linancial hardship and distress to affccted indi,·iduals. We also have eoncems 

that OM!' update liles. somc with aClive SSNs. are a potential SOUrce of information that would be useful in 

perpc1r.ting SSN misuse and ident;IY theft. including the theft of child ident;lies. DMF updates can 1"<:,·ul 

to potential criminals the I'll of individuals who are still ahe. 

We have several other ongoing repons ",lalcd to DMF dala: 

:0- In Til/e 1/ 0..'(:<'(1$<'Il &m.ficiIJries Wlro Do Not I/m.., /)e(lth "ifornl(l/ion on Ill(? N"mi<kl1l. we ha'·e 

identified about 1.2 million Title II beneliciaries who have a date ofckath on the Master 

Beneliciary Re<:ord (MBR). bUI they do no! have ckath informal ion on SSA·s Numident. SSA uses 

death informal ion from lhe Numident to create Ihe DM!,.lfa person kllCw an individual was 

deceased and that the death record was nOt On the Numident. the person could use the deceased·s 

information to fraudulently iii" for bcnclils Or credit. 

:.. In Dece(lsed IktWjici(lri,,~ W/>(I /1m.., Differenl 1)(11"1 oflXuliron the SSA·s N,,,ni,knl (md PIJyme'" 

Records. we identiliC1.l aboul 11.000 deceased beneliciaries who have a dale of death on lhe 

Numidenl thaI differs by at least one month from the dalc of death on the MBR or Supplemental 

Se<:urily Income Rcro«! (SSR). We also ickntified 39 e~s in which the date disc"'pIlncics resulted 

in potemial improper pIlyments ofmo", Ihan 572.000. 
91 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.068

~ In U.ing McdiC(l,.., CI<lim f)(,,,, 10 Ilkmifj' Dece<lsed !kllcjid"'ic" we will match SSA ber.<!ficiary 

records with CMS databaSc.'S comaining Medicare non-utilization information to determine ift~ 

beneficiaries are ali.'e. 

We in the OIG also remain conceme<! with the o,'erall accuracy ofSSA's death data. SSA receives aOOUl 

2.5 million death reports each year from many sources. including family members and funeral homes. In 

addition. to identify improper payments to deceased beneficiaries, SSA has computer matches of death 

infomWion from Olher I'e<!cral Agencies, such as the Dcpa"ment ofVeleran Affairs. Howcver, before SSA 

can terminale ~filS based on a com put",. match. it mtm "erify the accuracy of the death information. 

SSA has ,,'orked with the National Association for Public Health Slotistics aMi Information Systems to 

develop standards aOO guidelines for a nationwide system of electronic death registration (EDR). aOO 

Congress authori~cd the Dcpa"mem of Health and Ilum"n Services to provide grants to help States set up 

their systems. Under EDR. SSA ,-e,ifies the decedent's name and SSN with the State at the beginning of 

the death registration process. th=by allowing SSA to take imme<!iate action to terminate be""filS without 

nee<!ing to ""'ify the accuracy of the death rep<)I1, Currentl y 32 States, the District of Columbia. and New 

Ymx City have implcmcnte<! f DR. SSA cX!"-'C1S to work with eight additional States that plan to 

implement EDR over the next two years. 

We ha,-c ronducte.:l se,'eral audilS in n.'Cem )'ears related to the accuracy of \):>.11' data: 

~ In a September 2011 report. we found that SSA paid $644.000 in nlonthly su ... ·ivor bencfjts to 

family members of642 living (but mistakenly listed on the DMI') wage earners, c,'cn though the 

AgCrll'Y had deleted the wage eal1\Cf'l' death entries from the OMF, and SSA's Numident me 

indicate<! the wage earners were still alive_ 

~ An Apri12011 repon found SSA needed to impn»'c controls to enSure it takes limely and proper 

actions to rt$(>lvc death information on the Numidellt for SUSpended Title II benefj~iarie s. 

~ We found that SSA issued payments to deceased beneficiaries after recording ~alid dates of death 

on the beneficiaries' Numident record in June 2009. 

~ In Febntary 2009. we found that about 98 percent of erroneous death entries on the O:>'1F were 

death reports from non_State SQurces.11Icrcfore, e"en ifall State. Were to submit death reports via 

10\)11., there eould still be some erroncous death entries on the DMF. We also found that some deathrcporting errors occurred for EDR States. 

In conclusion. the OIG has coOOuct~-d. aOO continues to conduct. significant audit work to identify methods 

SSA could implement to prot""t PII aOO death data and to impro"e the accuracy of its death repo"ing. 

While we eneourage eITo"s to limit public access to this data through legislative or policy changcs{such as 

the Keeping IDs Slife ACI). barring such changes, SSA should implement a risk_based approach for 

distrii>Yting OMF information. and the Agency should attcmpt to limit the amount of information included 

on the OMF. These actions would protect PII and potcntially limit the misuse and abuse ofSSNs and 

identity theft. 

We will continue to pro"ide information to SSA 's decision-makers and to your Subcommittee. aOO We look 

fo","'ar<l to assiSling in this effort and future efforts. Thank you again for the in~itation to be here today. I 

would be hawr to anSwer any questions. 

, 
92 

Chairman JOHNSON. Thank you, sir. I appreciate your testimony. I hope we can resolve that. I didn’t realize until we got started on this that Social Security was responsible for that Death File. 

You know, it seems to me if Commerce is selling it, they ought to 

be responsible for it, or the States, not Social Security. Do you 

agree? 

Mr. O’CARROLL. Or just restricting the use, in general—— 

Chairman JOHNSON. Yes. 

Mr. O’CARROLL [continuing]. Is what—— 

Chairman JOHNSON. Thank you. 

Mr. O’CARROLL [continuing]. Helpful. 

Chairman JOHNSON. Dr. Potrzebowski? 

Ms. POTRZEBOWSKI. Very good. 

Chairman JOHNSON. Got it. 

[Laughter.] 

Ms. POTRZEBOWSKI. Thank you. 

Chairman JOHNSON. You are recognized. Please go ahead. 

Thank you. 

STATEMENT OF PATRICIA W. POTRZEBOWSKI, PH.D., EXECUTIVE DIRECTOR, NATIONAL ASSOCIATION FOR PUBLIC 

HEALTH STATISTICS AND INFORMATION SYSTEMS, SILVER 

SPRING, MARYLAND 

Ms. POTRZEBOWSKI. Thank you. Good morning, Mr. Chairman, Mr. Becerra, and Members of the Subcommittee. My name is 

Patricia Potrzebowski, and I serve as Executive Director of the National Association for Public Health Statistics and Information Systems, or NAPHSIS. 

NAPHSIS represents the 57 jurisdictions responsible for vital 

records in the United States, including the 50 States, the District 

of Columbia, New York City, and the 5 territories. I am pleased to 

offer this testimony on the important civil registration function of 

vital records, and more specifically, enhancements the vital records 

jurisdictions are making to improve the accuracy, security, and 

timeliness of death registration. 

Vital records are permanent legal documents, and include live 

births, deaths, fetal deaths, marriages, and divorces. The 57 vital 

records jurisdictions, not the Federal Government, have legal authority for the registration of these vital events. As such, the 

records themselves, how they are collected, with whom they may 

be shared, and how they may be used are governed by State laws. 

The Federal Government does not maintain a national database 

that contains all of this information. 

Many organizations and millions of Americans use vital records 

or certified copies of them for legal, health, personal, and other 

purposes. Birth certificates are used to obtain official IDs, such as 

driver’s licenses and passports, as well as for school entry and 

qualifying for State and Federal benefits. Death certificates are 

used to collect life insurance, stop benefit payments, and settle estates. 

The information contained on birth and death certificates comes 

from a variety of sources. For birth, these are primarily hospitals 

and the mothers of newborns. Funeral directors are generally responsible for completing death certificates, based on information 


dkrause on DSKHT7XVN1PROD with HEARING
93 

supplied by next of kin. Physicians, medical examiners, or coroners 

certify the cause and manner of death. 

After data providers submit these data, the vital records jurisdictions then review process and officially register the event. The jurisdictions maintain the official registries of vital events, and issue 

certified copies of birth and death records. The jurisdictions also 

provide the Federal Government with selected vital records data to 

compile national health statistics, to facilitate secure Social Security number issuance for newborns, and to report individuals’ 

deaths. 

Paper-based death certificate systems contribute to inaccuracies 

and delay data availability. In such systems, funeral home staff 

often hand-deliver records to physicians for signature, which is 

both time-consuming and costly. Electronic death registration systems, or EDRS, are now replacing manual systems to better meet 

administrative and public health needs. To date, 37 vital records 

jurisdictions have implemented an EDRS. A chart showing that 

EDRS implementation by jurisdiction is included in my written 

statement. 

An EDRS solves many long-standing issues related to accuracy, 

security, and timeliness of death data. An EDRS includes built-in 

real-time edits and cross-checks. Automatic reminders and workflow prompts notify the physician by email when a death certificate 

is ready for electronic signature. This results in more timely registration of the death, as well as faster submission of death records 

to SSA. 

While vital records jurisdictions have made great strides in implementing EDRS, there is still much to be done. Installation of an 

EDRS in a vital records office is just one part. To be effective, all 

data providers, especially funeral homes, health care facilities, physicians and coroners must also use the EDRS. Full implementation 

of EDRS may take years, and involves a significant financial commitment by State health departments. Lack of adequate resources, 

both financial and human capital, are the biggest barriers to more 

widespread EDRS adoption. 

In the past, SSA provided funding to many vital records jurisdictions to help support their EDRS implementation efforts. NAPHSIS 

estimates that $20 million is needed to complete EDRS implementation in all 57 vital records jurisdictions, and to increase EDRS 

use among data providers. 

For your consideration, my written statement provides information about another electronic system, the electronic verification of 

vital events system, or EVVE, that Chairman Johnson mentioned. 

Developed by NAPHSIS with initial funding from SSA, EVVE is an 

online system that quickly, reliability, and securely verifies birth 

and death information in any participating vital records jurisdiction, without the need for a national database. 

Several State and Federal agencies, including SSA, are currently 

using EVVE to verify birth certificate information. EVVE is a significant tool that can be used to verify the authenticity and accuracy of death certificate information. 

Thank you for the opportunity to testify. I am happy to address 

your questions. 

[The prepared statement of Ms. Potrzebowski follows:] 


dkrause on DSKHT7XVN1PROD with HEARING
94 


dkrause on DSKHT7XVN1PROD with HEARING78179A.069

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Statement for the Record 

submitted by 

Patricia W. Potrzebowski, Ph.D. 

on behalf of 

National Association for Public Health Statistics and 

Information Systems 

foe 

U.S. House of Representatives 

Committee on Ways and Means 

Subcommittee on Social Security 

February 2, 2012 
95 


dkrause on DSKHT7XVN1PROD with HEARING78179A.070

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Mr. Chairman and Members of the SubcommitteeThe National Association for Public Health Statistics and Information Systems (NAPHSIS) 

welcomes the opportunity to provide the House Committee on Ways and Means, 

Subcommittee on Social Security this written statement for the record on vital records 

and specifically, the reporting and electronic verification of deaths, Established in 1933, 

NAPHSIS is a non-profit membership organization representing the S7 vital records 

jurisdictions that collect, process, and issue vital records in the United States, including 

the 50 states, New York City, the District of Columbia and the five territories. NAPHSIS 

coordinates and enhances the activities of the vital records jurisdictions by developing 

standards, promoting consistent policies, working with federal partners, and providing 

technical assistance. 

Vital Records Serve Important Civil Registration Function 

Vital records are permanent legal records of life events, including live births, deaths, 

fetal deaths, marriages, and divorces. Their history in the United States dates back to 

the first American settlers in the mid-l600s, and in England as early as IS38. 1 More than 

8 million vital events were recorded in the United State in 2009.

1 

Many organizations and millions of Americans use these records-or certified copies of 

them-for myriad legal, health, personal, and other purposes. 

• Birth certificates provide proof of birth, age, parentage, birthplace, and citizenship, 

and are used extenSively for employment purposes, school entrance, voter 

registration, and obtaining federal and state benefits (e.g., Social Security). Birth 

certificates are the cornerstone for proving identity, and as breeder documents are 

thus used to obtain other official identification documents, such as driver licenses, 

Social Security cards, and passports. 

• Death certificates provide proof of date of death, date and place of internment, 

cause and manner of death, and are used to obtain insurance benefits and cease 

direct benefit payments, transfer property, and generally settle estates. 

Data providers-for example, hospitals for birth information and funeral homes, 

physicians, and coroners for death information-submit birth and death data to the vital 

' U.s. Vital Statistics System: Mojo. Activitie. and ae.e!apments. J95O- J99S. Center. for D< .... seCantra l 

"nd Preve ntion. H"tion,,1 Center for He"lth St"tlstlcs, Feb 1997, Avail"ble online "t, 

hllp:l/www,cdc ,gov/nchsldata/m;sc/ums.OOf 

, N"tion,,1 Center for Health St"tistlcs. Centers for Oisea ... Control and Prevention. Av" lIable on li ne "t 

hllp:I/WWW.cdc ,gov/nchsidataldatabriel!/db16.hlm .nd 

hlUr I/www·cdC,gov/nchs/dm/nysr/nw58inw58 25 pdf 

NAPHSIS February 2, 2012 
96 


dkrause on DSKHT7XVN1PROD with HEARING78179A.071

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

records jurisdictions so that the vital event can be reviewed, edited, processed and 

officially registered. The jurisdictions are then responsible for maintaining registries of 

such vital events and for issuing certified copies of birth and death records. 

The federal government does not maintain a national database that contains all of this 

information. Consistent with the constitutional framework set forth by our founding 

fathers in 1785, states were assigned certain powers. The 57 vital records jurisdictions, 

not the federal government, have legal authority for the registration of these records, 

which are thus governed under state laws. The laws governing what information may be 

shared, with whom, and under what circumstances varies by jurisdiction. In most 

jurisdictions, access to death records is restricted to family members for personal or 

property rights, to government agencies in pursuit of their official duties, or for research 

purposes. In other jurisdictions, release of death record information may be subject to 

less restrictive limitations; and in a few states identifiable information from death 

certificates is publicly available. 

In an e~ample of effective federalism, the vital records jurisdictions provide the federal 

government with data collected through birth and death records to compile national 

health statistics, facilitate secure Social Security number (SSN) issuance to newborns 

through the Enumeration at Birth (EAB) Program, and report individuals' deaths.l.' For 

example, the National Center for Health Statistics obtains de·identified vital events data 

from the jurisdictions to compile national data on births, deaths, marriages, divorces, 

and fetal deaths. These data are used to monitor leading causes of death and our 

nation's overall health status, develop programs to improve public health, and evaluate 

the effectiveness of those interventions. In addition, the jurisdictions provide SSA with 

fact of death information-including the decedent's name, date of birth, date of death, 

and SSN as filed with the jurisdiction-for use in the administration of the programs 

established under the Social Security Act to reduce erroneous payments to deceased 

persons receiving Social Security benefits. 

Electronic Systems Enhance Death Reporting Accuracy, Timeliness, and Security 

A death certificate contains both demographic (personal) information and medical 

(cause of death) information about the decedent. Over the last century in the United 

States, death certificate completion has mostly been the responsibility of funeral 

• The National Cente< for Health Slati51k., Cente" for Oi ....... Control .nd Prevention. Dep.rtmenl of 

Health and Human Services purchases de_identified d.ta f.om the vit.1 recordsju.isd ictions through the 

Vital Stati.tics Cooperative Pr<>&ram to produce nation.1 vit.lst.listksand for rese.rch purpoSes.s part 

of the Nation.1 Outh Index . 

• Th e EAD p.ogram allows parents to complete applications 10' S5Ns for their newbo.ns as part of\he 

hospita l birth registration process. About 96 percent of SSNs for inf.nts are ... igned through the fAS 

process. 

NAPHSIS febru.ry 2, 20n , 
97 


dkrause on DSKHT7XVN1PROD with HEARING78179A.072

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

directors, with physicians, medical examiners, and coroners providing cause and manner 

of death information. Once the demographic data and medical data are complete, the 

death certificate is then filed with the vital records office. In some states, the death 

certificate is filed at the local vital records office, and then sent to the state office; in 

other states the death certificate is filed directly with the state office. The data are then 

reported to state and federal entities for public health and administrative purposes. 

Manual certificate preparation, including the personal delivery of records to physicians 

for signature, extensive and costly travel by funeral director staff to file certificates, and 

labor-intensive proceSSing of paper records locally and at the state vital records offices, 

all contribute to slowing registration and delaying the availability of death data. 

Furthermore, even though each state has laws requiring the registration of death 

records within a specific time period, a significant number of certificates are not 

appropriately filed, may contain incorrect or inconsistent entries, or are not finalized 

until many weeks after the death occurred. In addition, incomplete death certificates 

and coroner cases may take weeks or even months to resolve. These late-filed and/or 

partially completed death certificates are not generally acceptable for use by family 

members, nor do they meet federal administrative needs or satisfy the information 

demands of local, state and federal agencies. 

In January 1997, the report, Toward on Electronic Death Registration System in the 

United States: Report of the Steering Committee to Reengineer the Death Registration 

Process was prepared by a task force of representatives from federal agencies the 

National Center for Health Statistics and SSA-as well as NAPHSIS and other professional 

organizations representing funeral directors, physicians, medical eKaminers, coroners, 

hospitals, and medical records professionals. The Committee e~amined in detail the 

feasibility of developing electronic death registration in the United States. The 

conclusion of the report was that the introduction of automated registration processes 

in the states is a viable means to resolve several historical and continuing problems in 

the process of death registration. 

The advent of technology has facilitated the automation of death registration and 

reporting, which is the key to addressing these long-standing issues related to accuracy, 

security, and timeliness of data. To date, 37 vital records jurisdictions have implemented 

electronic death registration systems (EDRS) to better meet the public health and 

administrative death information needs (see Appendi~ 1). For states using an EDRS, 

death reporting is: 

• More Accurate and Complete. An EDRS ensures that all required fields are 

completed before the death certificate is filed using built-in, real-time edits and 

crosschecks on the data entered. For eKample, it can ensure that the individual 

recording the data does not inadvertently indicate that a two-year old decedent has 

a college education. For purposes of SSA, an EDRS incorporates a real-time check of 

NAPHSIS february 2, 2012 
98 


dkrause on DSKHT7XVN1PROD with HEARING78179A.073

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

the decedent's SSN against the SSA data files to ensure accuracy of the SSN recorded 

before the death certificate is registered and filed. s 

• More Timely. An EORS allows different death data providers, e.g. the funeral director 

and physician, to complete the death record concurrently from their computers. It 

eliminates the need for a paper death certificate to be hand·delivered by funeral 

home staff to the physician's office for completion. Automatic reminders and 

workflow prompts are built into an EDRS so a physician is notified via e-mail when a 

death certificate is awaiting completion. Once the electronic death record is 

complete, state vital records offices may submit fact-of-death records to SSA daily 

(Monday-Fridayl· 

• More Secure. An EDRS requires a distinct username and password for each death 

data provider to access the death records. An EDRS also has built-in audit trails to 

monitor the users' activity. 

While vital records jurisdictions have made great strides in implementing EDRS, there is 

still much to be done. In some of the 37 vital records jurisdictions that have 

implemented EORS, not all physicians or funeral directors submit death records 

electronically. Implementation of the EORS in the vital records office is just one piece of 

the puzzle. To be effective, all data providers-funeral homes. hospitals, physician 

offices, nursing homes, hospices, coroners and medical examiner; -also must use the 

system. These users must then adjust their workflow processes and make themselves 

available for training. From start to finish, the full rollout of an EORS may take years and 

a significant financial commitment on the part of the state and local health departments 

and the death data providers themselves. The lack of adequate resources-both 

finanCial and human capital-are the biggest barriers to more widespread EDRS 

adoption. This is particularly true for death data providers who do not report a 

significant number of deaths each year, and therefore do not see the value of the 

required investments. 

Between 2001 and 2006, SSA provided funding to many vital records jurisdictions to 

help support their EDRS implementation efforts. Based on a late-200S survey of the vital 

records jurisdiction, NAPHSIS estimates that $20 million is needed to complete EDRS 

implementation in all S7 vital records jurisdictions and to increase use of EORS among 

death data providers. Some additional funding may be required on an annual basis to 

facilitate death data provider training. 

' Among th e 37 vit~1 re<:Ofdsjurl sdlctlons with [DRS. three have not Integrated the capability to verify SSN 

into their £DRS: Illinois. Maine, and Wyoming. 

NAPH$IS february 2, 2012 • 
99 


dkrause on DSKHT7XVN1PROD with HEARING78179A.074

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Preventing Fraud, Identity Theft through Electronic Verification of Vital Events (EWE) 

Because vital records are essential legal documents linked to identity, and because 

criminals need new identities, vital records are sought out and used to commit fraud, 

identity theft, and even terrorist activities.6. 7, 8 It is therefore essential that birth and 

death records be protected, and that federal and state agencies have the abilitv to verify 

the source data contained therein. In addition, the abilitv to quicklV catch and stop the 

fraudulent use of Social Security and other public benefits would reduce wasteful 

spending, and restore public trust in government. 

Recognizing the need to verify benefit eligibilitv in a timelv and secure fashion, SSA 

awarded NAPHSIS a grant in 2001 to develop and implement the Electronic Verification 

of Vital Events (EWE) system. EWE is an online system that verifies birth and death 

certificate information. It provides authorized users at participating agencies with a 

single Interface to quicklV, reliablV, and securely validate birth and death information at 

any vital records jurisdiction in the country, circumventing the need for a national 

database of such information. In so doing, no additional personal information is divulged 

to the person verifying information-EWE simply relays a message that there was, or 

was not a match, with the birth and death records maintained bV the state, city, or 

territory. In addition, EWE has the capability to flag individuals who are deceased, 

eliminating a key loophole whereby thieves use a valid birth certificate of a deceased 

individual to create a new identity. 

Today, SSA uses EWE to verify proof of age and place of birth as a program policy 

requirement before issuing Social Security benefits. EVVE is used by other federal and 

state agencies to verify or certify identification and authenticity of birth certificates: 

• Passport Fraud Prevention Managers began USing the EWE system in March 2009 

for birth certificate verifications. In their first six weeks of use, there were two 

instances where the Fraud Prevention Mangers used the EWE system to 

electronically verify the birth certificates, and EWE returned a 'no match: Upon 

further follow up with the vital records offices that 'issued' the birth certificates it 

was determined that indeed the birth certificates presented with those passport 

applications were fraudulent. Based on these and other successes, NAPHSIS is 

' The 9/11 Commi"ion Report, Final Report of the Nation al Commission on Terrori't Attacks upon the 

United Stales, JulV 2004, p. 390. 

, Department of Health and Human Services, Office of Inspector General, Birth Certificote froud, Sept 

200910EI·07·99·00570j . 

• Government Accountabilitv Office, Deportment olSlore, UMercover Tests Reveal SignifICant 

Vulnerobiliries in Slat"" s Passport 'nuance Pr""""" Mar. 2009IGA0.t)9447) and State Deportm",nr: 

Undercover T ... ts Show Passport Issuanc", Process R"'m<Jin. Vulnerob/", to Fraud, lilly 2010 lGA().1Q.922T) 

NAPHSIS F",bruary 2, 2012 , 
100 


dkrause on DSKHT7XVN1PROD with HEARING78179A.075

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

working with the Department of State to integrate EWE into the standard passport 

adiudication process. 

• The Office of Personnel Management (OPM) is responsible for processing federal 

employment applications and at times security clearances. To reduce the 

administrative burden of applicants submitting certified birth certificates, OPM uses 

EWE to electronically certify an individual's citizenship in lieu of obtaining a paper 

copy of the birth certificate. OPM conducted a pilot in parallel with their manual 

voucher process of requesting certification information from the vital records 

jurisdictions. The match rat e for those same queries was 84 percent in both manual 

and EVVE mode. In addition, the response time was just 10 se<:onds using EWE 

compared to 42 days using the manual process. 

• The Deficit Reduction Act of 200S requires the verification of citizenship and identity 

for enrollment in Medicaid through a birth certificate or other official document. The 

South Dakota Medicaid Office was the first to use EWE for this purpose in 2007, 

followed by Medicaid Offices in Mississippi, Minnesota, and Washington, as well as 

the Mississippi Health District Offices. Since then, several other states have inquired 

about using EWE for determining Medicaid eligibility. 

• In response to the 9/11 Commission's recommendations for secure identification 

documents, Congress enacted the REAllD Act in May 200S, requiring that drive(s 

license applicants present their birth certificates to the Department of Motor 

Vehicles (DMVI to validate U.S. citizenship and date of birth, and that DMVs verify 

the authenticity of those birth certificates using EWE. Three state DMVs-North 

Dakota, South Dakota, and Iowa-used EWE in this capacity as part of a federallyfunding pilot program t hrough the Department of Homeland Security. 

These users are enthusiastic about the EVVE system, citing its ability to: 

• Provide protection against the potential use of birth certificates for fraudulent 

activities. 

• Improve customer service by facilitating rapid access to accurate and verifiable vital 

record data in real-time. 

• Safeguard the confidentiality of birth and death data. 

• Offer a secure mechanism for communication between agencies and vital records 

offices via the Internet. 

• Easily integrate with current legacy systems that the federal or state agencies may 

already be using, and for serving as a user-friendly interface for agencies that seek a 

stand-alone query system. 

NAPHSIS februarv 2, 2012 6 
101 


dkrause on DSKHT7XVN1PROD with HEARING78179A.076

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

In April 2011, the Office of the National Coordinator for Health Information Technology, 

HIT Policy Committee Enrollment Workgroup Committee recommended the use of EWE 

as a potential tool to facilitate enrollment in federal and state health and human 

services programs, such as offerings by new health insurance exchanges established 

through the Affordable Care Act. 

As of February 1, 2012, EWE is currently installed in 36 vital records jurisdictions (see 

Appendi~ 1). NAPHSIS is working to install EWE in the remaining 21 jurisdictions, with 

11 jurisdictions currently in progress. NAPHSIS has also procured a data analysis and 

quality control tool that all jurisdictions can utilize to analyze their EWE database for 

anomalies, inconsistencies, accuracy, and completeness. This tool and the analysis of 

EWE data has been completed in 30 jurisdictions, as of February 1, 2012.9 

Despite EWE's security, speed, and ease of use, the system is only as good as the 

underlying data infrastructure upon which it relies. Digitizing paper·based birth and 

death records, then cleaning and linking those records, will provide for secure, reliable, 

real-ti me identity verification uSing EWE. For example, there are cases where an 

individual has assumed a false identity by obtaining a birth certificate of a person who 

has died. Therefore, it is important that all jurisdictions' death and birth records be 

linked to flag individuals who are deceased and identify fraudulent birth documentation. 

The vital records jurisdictions' efforts to digitize, clean, and link vital records have been 

hindered by state budget shortfalls. In short, the jurisdictions need the federal 

government's help to complete building a secure data infrastructure. Specifically, 

resources are needed to help vital records jurisdictions digitize their birth records back 

to 1945, to clean these data to support electronic queries, and link birth and death 

records. 

NAPHSIS appreciates the opportunity to submit this statement for the record and looks 

forward to working with the Subcommittee. If you have questions about this statement, 

please do not hesitate to contact NAPHSI5 Executive Director, Patricia Potrzebowski, 

Ph.D., at ppotrzebowski@naphsis.orgor(301)563-6001. Youmayalso contact our 

Washington representative, Emily Holubowich, at eholubowich@dc-crd.comor(202) 

484-1100 . 

• Potential EWE , ... ,,' inter .... ted in obtaining additional information about applving to become an 

app roved EWE user for eil he rverlficalion or certification of vilal events should conlact Rose Trasatti 

Heim via email a l rtrasal1i@lnaphsi •. org. 

NAPHSI$ February 2, 2012 
102 


dkrause on DSKHT7XVN1PROD with HEARING78179A.077

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Appendix 1: Status of Electronic Oeath Registration System (EORS) and Electronic 

Verification of Vital Events (EWE) System, by Vital Records Jurisdictionl 

Jurisdiction EORS EWE 

Alabama ./ ./ 

Alaska 

American Samoa 

Arilona ./ ./ 

Arkansas ./ ./ 

California ./ ./ 

Colorado ./ 

Connecticut ./ ./ 

Oelaware ./ ./ 

District of Columbia ./ ./ 

Florida ./ 

Goo ;, ./ ./ 

Guam ./ 

Hawaii ./ ./ 

Idaho ./ 

Illinois ./ 

Indiana ./ ./ 

Iowa ./ 

Kansas ./ ./ 

Kentuck ./ ./ 

louisiana ./ 

Maine ./ 

Maryland ./ 

Massachusetts 

Michigan ./ ./ 

Minnesota ./ ./ 

Mississippi ./ 

Missouri ./ ./ 

Montana ./ ./ 

Nebraska ./ ./ 

Nevada ./ 

New Hampshire ./ 

New Jersey ./ ./ 

New Mexico ./ 

New York City ./ ./ 

New York State 

North Carolina 

North Dakota ./ ./ 

NAPHSIS bruar; 2, 2012 
103 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.078

This Testimony is Embargoed Until Thursday, February 2nd at 9:00 AM 

Jurisdiction EDRS EWE 

Northern Marianas ./ 

Ohio ./ ./ 

Oklahoma ./ ./ 

Oregon ./ ./ 

Pennsylvania ./ 

Puerto RitO 

Rhode Island ./ 

South Carolina ./ 

South Dakota ./ ./ 

Tennessee 

Texas ./ 

Utah ./ ./ 

Vermont ./ ./ 

Vir in Islands 

Vir inia 

Washington ./ 

West Vir inia ./ 

Wistonsin 

W oming ./ 

Total 37 36 

, Implementation status as of February I, 2012. 

" This column Indicates In whichjurlo;dlC\ lons the vital records office has adopted an EDRS. It does not 

Indicate total penetrance 01 EDRS among death data prov iders In that jurisdiction. The Implementation 01 

EORS II In prog,ess In th ree vital ,e.:o,dsjurlsdlC\lons, IncludlnS LouiSiana, Mississippi, and Wisconsin. Ten 

jurio;dlctions are in the planning stases, Including Alaska, Colorado, Iowa. Maryland, Massachusetts. New 

York State, North carolina, Penn$V~van a. Tenne"ee, and Virginia. 

~ As of February I, 2012, tile implementation of EWE Is also In prosress In 11 vilal re.:ords jurisdlctions, 

Including AJaska, Florida. MassaChusetts. Neyada, New Mexico, North (aroll ..... South Carolina, 

Tennessee, U.S. Virgin Islands, Virg in .. , and Wyoming. 

NAPH$IS February 2, 2012 
104 

Chairman JOHNSON. Thank you, ma’am. You know, Mr. Pratt 

recommended we change the law to codify certain business access 

to the Death Master File, including State records. Can you tell Mr. 

Pratt the history of the powers assigned to the States and their 

legal authority? 

Ms. POTRZEBOWSKI. Well, I am certainly not a constitutional 

lawyer, Mr. Chairman. 

Chairman JOHNSON. No, but you do understand that. And 

what is the legal authority regarding vital records concerning the 

States? 

Ms. POTRZEBOWSKI. Right. So the States have the legal authority, because it is not mentioned in the Constitution. So that is 

clearly the States’ authority, to set the rules for registering the 

vital events, for determining how the data shall be used, the confidentiality of the information, and the sharing of that information 

with whomever they wish. 

Chairman JOHNSON. Yes. So each State is different, is it not? 

Ms. POTRZEBOWSKI. And every State is different. You know 

how that works. 

Chairman JOHNSON. Yes. And they probably have different 

records, too. 

Ms. POTRZEBOWSKI. Unfortunately, there is a little bit of variation. Most of the States have a general basic data set that they 

follow. 

Chairman JOHNSON. Mr. Agin, how did you connect the theft 

of your daughter’s Social Security number to the Death Master 

File? 

Mr. AGIN. I mean this is my personal belief, based upon my research and based upon our discussions with other families. 

When the information is so readily available to anybody with a 

computer, there is only several manners in which somebody could 

have found, number one, that my child died—we do maintain a 

blog, so anybody who is following along, or people, I believe, troll 

these blogs to see how children are doing, could have connected the 

dots. And then I believe that people know that that information is 

readily available on these genealogical websites. So I think that 

that connects the dots, in terms of the readily available information. 

The only other possible explanation for obtaining her Social Security number could be somebody at one of the institutions where 

she was treated that maintain her medical records. But, you know, 

I would like to believe that that is not the case. 

Chairman JOHNSON. No, I kind of agree with you on that. 

You have heard the testimony of the other witnesses. Is there 

any reason that Social Security, the Commerce Department, or any 

Federal agency, for that matter, ought to be disclosing private 

death information to the general public? 

Mr. AGIN. To the general public? In my opinion, no. I think that 

the Death Master File does have its obvious stated purposes, which 

include foreclosing fraud, as Mr. Pratt discussed. And I think that 

is a vital use of the Death Master File. 

I think that the publication of the Death Master File in the manner in which we do it today is serving identity thefts with this type 

of information on a silver platter. There are several ways to try to 


dkrause on DSKHT7XVN1PROD with HEARING
105 

go about foreclosing that: withhold individuals recently deceased 

for a period of time, disclose only a handful, the last four digits of 

the Social Security numbers. There is a number of manners and 

methods that I think would satisfy all the communities involved 

that use the Death Master File. 

So, as it stands, does somebody need my daughter’s full Social 

Security number, date of birth, date of death, full address, and her 

zip code? Absolutely not. 

Chairman JOHNSON. I hear you. Thank you for your testimony. 

Mr. AGIN. Thank you, Mr. Chairman. 

Chairman JOHNSON. Mr. Becerra, you are recognized. 

Mr. BECERRA. Thank you, Mr. Chairman. Mr. Agin, first I 

would like to begin with you and ask, because you have gone 

through this, it seems to me that our biggest issue is going to be 

in trying to convince a lot of the private sector entities that use 

this information that they have to covet the information once they 

get it. 

You—I would assume you believe that some of these private sector businesses need to get accurate information so that they can 

make sure that people don’t receive benefits, income that they are 

no longer eligible for, because someone has died, is deceased. But 

how do you constrain the use of the information? 

And I am looking at this chart. I wouldn’t have guessed this. It 

shows the major customers for the Death Master File. We talked 

about those who help determine our genealogy. One percent. They 

constitute 1 percent of the customers who purchase this Death 

Master File information, your daughter’s information. The biggest 

customers for all those bits of data? Businesses. Then you have the 

Federal, State, city, county governments, financial organizations, 

health care organizations, insurance, education, research. And, at 

the end, genealogical. 

[Insert of The Honorable Xavier Becerra follows:] 


dkrause on DSKHT7XVN1PROD with HEARING78179A.079
106 

And so, I would imagine Mr. Pratt would say, ‘‘This is valuable 

information that helps us avoid fraud from the other side.’’ And so, 

is there something that you—and you mentioned legislation that 

you are supportive of. Some people think that it is a little too narrow in its scope. And Mr. Pratt suggested, I think, some possible 

ways to address that. 

Mr.—is it Breyault? 

Mr. BREYAULT. Breyault, yes. 

Mr. BECERRA. Mr. Breyault also suggested some potential 

changes. 

Having heard your testimony, do you agree with what they have 

said could be a good way forward to try to have legislation that 

avoids the situation you and your wife faced? 

Mr. AGIN. Thank you, Mr. Becerra. Absolutely. I think there is 

no question of balance that can be struck with respect to the lawful 

stated purposes for the use of the Death Master File. 

As a parent who has gone through this, I am not interested in 

foreclosing the use of the Death Master File to go after other fraudulent uses and the financial institutions in the business sector who 

rely upon that data in ensuring that their claims are managed 

properly, that they are paying the right individuals, that they are 

not paying the wrong individuals. 

Again, I think there are a number of ways to do that: stiffer penalties, registration for anybody who is interested in purchasing the 

information, certifying that they will not use it for widespread distribution. 

With respect to the chart that you showed, regardless of whether 

or not the genealogical services only make up 1 percent of the purchasers, they are still the individuals who are putting it out for 

free on their websites. So anybody sitting in this room with a computer can find my daughter’s Social Security number. Anybody can 

find any of your relatives who have passed away. They can find 

their Social Security numbers. 

Mr. BECERRA. Good point. 

Mr. AGIN. So, regardless of the amount on that pie chart, I 

would submit to you that that is the largest factor for the commission of this type of fraud against individuals in my community. 

So, I am very interested to strike a balance so that the lawful 

use of this information is not foreclosed. 

Mr. BECERRA. And, Mr. Chairman, to me, when we passed that 

bipartisan bill out of this Committee a while ago dealing with identity theft—actually dealing with those who are still living—we ran 

into a brick wall with the Financial Services Committee, because 

so many financial services companies were very concerned that we 

would close the door to their access to information they believe 

they need. And before you knew it, the bill was dead. 

Mr. Pratt, my sense is that there are going to be a lot of folks 

out there in the business community who legitimately make use of 

this, including the folks who do genealogical studies, who say, 

‘‘Wait a minute, you know, this information is out there.’’ What do 

we do to make sure that we address the legitimate concerns of 

those in the private sector that need this information, but still constrain its use? 


dkrause on DSKHT7XVN1PROD with HEARING
107 

I happen to agree with Mr. Agin, that I think you have—and, 

Mr. Chairman, I would say that I think you have to act with a 

swift and stiff penalty against anyone who abuses this information. 

And I would love to have someone, some entity, be the poster child 

of what happens to you if you take Mr. Agin’s daughter’s information and use it the wrong way. 

Mr. PRATT. Again, I think we are starting to move down into 

the details of exactly how you accomplish—I think the big goal— 

there seems to be a lot of agreement on the large goal. There is a 

difference between the problem we have, which is, because of 

FOIA, the Social Security Administration, through Commerce, is 

disclosing the record to anybody. And some are making it available 

in a very public way, so that there is no process on the front end 

to evaluate why I want to have access to that record. 

We are somewhere else on that pie chart that you held up. And 

that is why we feel very confident that there is a way to draw a 

distinction between, yes, I understand there may be some process 

by which we have to validate who we are and why we need the information for those reasons, and to stipulate those reasons. We live 

with some of that in the data world, always. And we are happy to 

work in that context, to try to find a way forward. 

You are absolutely right. We need the information. We need the 

full Social. We have done studies where common names, amazingly 

enough, you can find two different Smiths with the same last four 

digits of a Social. And because a Death Master File annotation is 

a big event—you either are dead or you are not; consumers generally don’t appreciate being declared deceased when they are 

not—we really feel a full Social is important. 

But we are happy to live—like I said before, we live in a contract 

world, we live in a data security world. We live in a business-tobusiness context. We want to stop fraud. That is the motivation for 

doing this. There is no other business model we are trying to build 

that sort of colors outside those lines. I am really confident that 

there is a way to get this done. And it is different than perhaps 

the debate that we went through last time. 

Mr. BECERRA. Yes, I think it is. I appreciate your words. 

Thank you, Mr. Chairman. 

Chairman JOHNSON. Thank you for your questions. Mr. 

Marchant, you are recognized. 

Mr. MARCHANT. Thank you, Mr. Chairman. Mr. Breyault, is 

that the way you say it? 

Mr. BREYAULT. Yes, that is correct, sir. 

Mr. MARCHANT. I thought I heard you say that 10.2 percent of 

children have had their identity compromised in some way. 

Mr. BREYAULT. They have had their Social Security number 

misused by someone else. 

Mr. MARCHANT. Okay. Do you have that from a study? 

Mr. BREYAULT. Yes, sir. It is from Carnegie Mellon University. 

It is a researcher by the name of Richard Power. The full citation 

is in my written statement, sir. 

Mr. MARCHANT. Okay. Well, thank you very much. For that— 

Mr. O’Carroll, for that small group of people, or children that for 

some reason have not gotten an assigned Social Security number, 


dkrause on DSKHT7XVN1PROD with HEARING
108 

how do they appear, when they pass away, on the Death Master 

File? Or do they not appear? 

Mr. O’CARROLL. What will happen is with the State match, the 

State is going to match against Social Security numbers. And if the 

child wasn’t issued a Social Security number, that wouldn’t then be 

part of the Death Master File for SSA, since they weren’t recognized with an SSN yet on that one. So that is part of the matching 

process that we do. 

But as you said before, in the case of your grandchildren, virtually every child now is, at the time of birth, being enumerated. 

And it is an extremely rare occasion that a child wouldn’t be enumerated. 

Mr. MARCHANT. So any parent that found themselves in the 

same situation as Mr. Agin, there would not be a situation where 

they could protect themselves—probably because of your health 

benefits, enrolling them in a health care plan, you would have to 

get that information? 

Mr. O’CARROLL. The enumeration of birth has been a process 

with Social Security now for a number of years. It has been accepted by most of the medical institutions, and it is a very effective way 

of enumerating people. What was happening in the past was, within the first year for tax purposes or whatever, the parents were 

coming in for a Social Security number. So, by doing it this way, 

it is a more controlled way and effective way of doing it. 

So, there really isn’t an opt-out, at least to my knowledge. I am 

sure you could, but it is very, very rare that anybody has. 

Mr. MARCHANT. Well, I think that parents find themselves in 

the situation where this information is out there. I think it is vital 

that we move quickly on this. I do understand the—I think we will 

find—I think this Committee will find very quickly that that 1 percent group that is on that chart will begin to be very vocal, and 

we need to make sure that they understand the difficulty that we 

are dealing with. 

We faced a similar problem at the—when I was in the State legislature about the release of vital information. And we experienced 

a—it was a—quite a fight to ultimately strike the balance between 

these groups. But I am committed to do it. 

Mr. Chairman, I appreciate you bringing this issue to the forefront, and committed to help you with it. 

Chairman JOHNSON. Thank you, Mr. Marchant. 

Let me ask one more question, Mr. Pratt. The Death Master File 

has always been an incomplete record of deaths, as Social Security 

will admit. The Death Master File may be a starting point for 

death databases, but you have to confirm the data. What are your 

other sources of death data? 

Mr. PRATT. For example, in the case of credit reporting, when 

an individual passes away, then the trustee or the executor of the 

estate will likely begin to notify financial institutions in order to 

pay out that last bill. And those financial institutions will report 

that data back into the credit reporting system, as well. 

But it is an incomplete system. Our concern here, of course, is 

losing the Death Master File removes just another critical component, and we are more blind than we otherwise would be. It is true, 


dkrause on DSKHT7XVN1PROD with HEARING
109 

there are going to be times where we will still, in this country, not 

know that somebody is deceased until much—— 

Chairman JOHNSON. Aren’t you able to get the death data from 

the State? 

Mr. PRATT. States are—you know, it is a very disintermediated 

process. It is very hard to go out and gather that information on 

a State-by-State basis. There are—we have even heard here testimony about new technologies that may be making that easier on 

a go-forward basis. Some of these technologies appear to be lookup—in other words, a record-by-record, rather than bulk types of 

delivery technologies. 

And so, Mr. Chairman, there may be ways, going forward, to improve and build on what we have today. We are just trying to preserve what we have today. 

Chairman JOHNSON. Well, you, I am sure, are willing to pay 

something for it. What price do you think Mr. Agin would put on 

his daughter’s Social Security number? 

Mr. PRATT. Yes, I don’t think there is any price. I am a parent 

myself, and I have had a number of my board members who are 

parents call me directly about this very same thing, Mr. Chairman. 

We all are focused on trying to find the right way forward. 

Chairman JOHNSON. Okay. Well, we are going to work on it, 

and Mr. Becerra has agreed to help me. And we will do that. 

I thank you all for being here today, and for your testimony. We 

do need to act now to stop thieves from exploiting our deceased 

loved ones. And, Mr. Becerra, I look forward to working with you 

on this issue. 

With that, I thank you all for being here; the Committee stands 

adjourned. 

[Whereupon, at 10:23 a.m., the Subcommittee was adjourned.] 

[Questions for the Record follow:] 


dkrause on DSKHT7XVN1PROD with HEARING
110 


dkrause on DSKHT7XVN1PROD with HEARING78179A.080

Enclosure - Questions for the Record - February 2. 2012 I'learing 

1. It has been suggesteu that yo ur current notific ation polk)' (related to lo meon ~'s Social 

Security number being mauc 11Ubli" by mistake) violates the Prj"acy Act anu the Orfice 

of Manageu,cnt a nu nuuget's guiuance, What is )'our resllOnse? 

OMI.! guidance (M..()7.16) pmvidcs that an agency should notify individuals when there is a 

reasonable risk ofha"". but should a"oid creating unnecessary concern or confusion when 

the risk le,,,1 is low. We do not notify an imlividual unless we idemify misuse, If we find a 

case of misuse. we will notify the affecte<l individual immediately and offer credit 

monitoring Or other appropriate idemity theft pl'(>tection $Crvices, However, since 2008 when 

we began review-ing pen;ons erroneously listed on the DMF 10 look for paUems of misuse. 

we have not identified any cases of misuse. 

We a", ",viewing Our policy to dete""ine whether it strikes the risht ooJance and is 

respectful of public perception. We expect to complete Our ",vi"w in 90·120 days. Not 

having to ",lease death infom13tion to the public would largely resolve thi. issue with ",gard 

to the Death Master File. 

2. Your I'"pector Gelleral has criti eized the agell")" for nut notifying the 14,000 li,-ing 

p-eoplr who a re erronwusly put un the Iluth Master Fil e ( 1l:\lf) eaeh yea r. I 

unuerstand the Social Securit)" Auministration (SSA) has a euntractor re,-ie,",' these 

caSH fur patterns ufp",uihle misuse. Woulu yo u tell us more abo ut that I,roces.? " uw 

much time dM!! it take fur the SSA to discover and ..,mon the erro ... for thust li,-ing 

from the 0,\, F? If then an paUern. of mi, u,,", wuulu }'OU then nut if)' the inui,-iuua l 

dirKII)"? ¥uu mentioneu during the hu rin g thaI you w-ere rt" 'iew-ing your nulifiealiun 

IlOlicy. When can we upect the result. of your review? 

We contracl with 10 Anal)1ics, a leading idemity risk management finn. to review the cases 

in which we have erroneously placed a living person On the DMF. 1D Analytics operates the 

10 Network, a cl'(>ss·indu.try collaboration of data sharing for ,he purpose ofidcntity fraud 

prevention. 10 Anal}1ics examines risk events, primarily neW account opening or account 

changes. for the likelihood that these eventS represent identity fraud. ID Anal)1ics reviews 

these cases quanerly for a period ofthrcc years. To date, it has not idenlified any pa"l'rns of 

misu$C. If it were 10 idenlify misuse. We would promplly notify individuals ami offer cn,.-:iil 

moniloring. 

While we do nol track how long it lakes to identify an error on Ihe OMF. w-e act quickly 10 

oom,CI an error when we discover il. We expecl to complete Our review in 90·120 days ami 

will share the results w'ilh you. 

Page I ofS 
111 


dkrause on DSKHT7XVN1PROD with HEARING78179A.081

Endo.u", - Questions for the Record - February 2. 2012 Hearing 

J. I unde rsland Ihe SSA offers & consent-hased SS,," "erifk~Ii n s)"~ nlthat indudes 

dea th inform&I;on. Would rou lell uS more aboul Ihis s)"slem and )"our " iews rega nling 

whether it cou ld b<> a source for duth information should COlI gre . cha g~ Ihe Is .. ' to 

p""" ntthe J)~ al h Muter File fr(lm ill g mad~ puhlic? 

I'rivale eomp<1nil'S and Fedeml. ~te. and local agenc ies pay 10 use our Consent Based Social 

Security Numb<!r Verification Service (CBSV) to wrify Social Scx:urity numbers (SSN). In 

order to use CBSV. entilies must haw a properly signed eonsenl foml. and they may only usc 

the veri!ieation results for the reason the client specifics. 

CBSV veri lies whether a name/SSN combination matches data in our rttords. Each 

name/SSN combination submilted to CBSV is returned with a "yes" or "no" ,'erifieation 

code. which indicates lhat the submission either docs or docs not malch our records. Iflhe 

nal11c1SSN match and our rttords show that the SSN holder is deceased. the response 

includes the fact of death but not the date of death. 

We do not believe CBSV would be a satisfactory altenlalive to the DMF in most cases, 

Unli ke the DMF, CBSV requires the consent of the Social Security number holder and 

provides only an indication of death, nmtlt<: infonnation most us<:rs want, such as date of 

death. [n addition. CBSV is 3 one_time verification process. Us<:rs enter one name/SSN 

combination at a time. In conlrn:it. the DMI' is a database of death infonnalion. which can be 

run against til<- purehasers ow-n records. 

4. Under the Social Security Act. the SSA may gin Sla les death dala 1(1 administer 

b<>nefils M" 'ho[Jy funded by The Te.~ In The case of state reTirement benefits. The 

emploJ'ees help fund Th e pension Ihl'tJ ugh their c(lnlrib"ti(lns. Since Slale re lirement 

benefils are n(ll Mw holly" funded by Ihe STate, STate benefil reliremcnl ~gencies must 

(lbtain dUlh record~ 1(1 administer their programs by Imn:hasing the n eath ~la er 

File. I don't think Ihis wu the inlent of the la \\'. What is your (l1,ini(ln? 

Section 205(r)(3) of the Social Security Act provide. thai we may .ha", our death 

inFonnation w'ith F~-dcrnl and State agenties to enSure proper paymenl of Fedc",II)'-Fund~-d 

b.!ncfils. whilc section 205(r)(4) states thai we may provide Our death infonnation to States 

for their use in programs only iFthosc programs are wholly funded by Ihe Siaies. By 

including ",,-holly:- Con!I,Nss lell no discretion to shm-" the full DMF with Stale agencies to 

administcr progrums thaI are funded by employees as well as Siale go\'emmenlS. 

However. Stale retirement systems should be able 10 get Slate demh. from their Stale 

department of "ita I records. 

Page 2 of 5 
112 


dkrause on DSKHT7XVN1PROD with HEARING78179A.082

Enclosure - Ques!ions for!he Record - f ebruary 2. 2012 Ilearing 

5. W,)Illd you nplain your policy of issuing nrw Socia l Sccuri!y numbers (SSNs) !o 

child",n ~ iden!i!i ... han b.,.,n comprnmiu d ? Child ren usually ha. ~ no ,,'ag ... 50 

,,'hy no! ",spec! a pa",n!'! wishes !o pro!tc! !htir child ? 1I0w do JUU kno ... that !h. 

number " 'on'! br " s..d in!he futu re for rome harmful purpose? Docs your Agenc), a! 

leas! nag the number AS s!nlen in )'our "triflu!inn prncesses? 

In ligh! oflhe in<:rease in identity theft. We are curren!ly reviewing our policy!o ensure i! is 

responsive, especially!o children. 

Our curren! SSN policy !ries!o balance appropriate and rl(.'CesS.1ry con:rol over !he issuance 

ofSSNs .... i!h the need!o address unique c"en!s !ha! .... arran! a ne'" number. We assign a ne .... 

SSN when a person provides evidcn<:c that criminal or harmful misuse of!he number has 

caused recen! economic or personal hardship. We also advise !he person that a new number 

may nO! solve all problems. Ile.:ause oflhe widespread use of!he SSN. the person may have 

diflicul!y !ransi!ioning to !he new number with employers. banks. erc<li! bureaus. and other 

en!i!;es. Evcn !he SSNs of children who havr no earnings may have a'ready been shared 

wi!1l many entities. beginning with p,:dia!,icians and heal!h insuran<:c pN,widers. 

Once we assign a new number. we refer!he person !O!he Federal Trade Commission 10 

request a fraud alert be placed on cn.-di! n.'Cords. We also flag the old number in Our records. 

Employers. SU!e agencies issuing dri"cr's licenses and iden!if,ca!ion cards. and CBSV users 

see this fl ag when !hey use our verification routines. 

6. HAS !he N. !ional Assoc ia!ion for Public Ilu l! h Statistics and Informa!ion Sy~ l 

participated in the in!cr g~ncy ... orking grnup~ Furth~r, "'h~n }' ou con!r.c! ... ith !ate s 

for their death data, ... ha! kind of agrc-cmen!s are there? Pl en e indica te !he genera l 

t~rn' s of these agreements. Arc a ll !~ agreements similar'! Are thert restrictions on 

!ht nn and sharing of this da!. !o other pa rti ... including olher federal ag~nd, ? 

To Our kno" ledg~. !he Na!ional Associa!ion for Public Heahh Statistics and Informa!ion 

Systems has nOI participatc<l in !he OMB-led revie ... oflhe policy behind the a"ailabi1il)' of 

death information. 

Our contractual agreements witll the States 10 provide deatll inforn'alion an: based on the 

provisions Ofse.:lion 205(,) oflhe Social Se.:urity ACI. These agrccm~nts outline the data we 

can exchange and its permissible uses, including rules for sharing the data. Each S!ate 

contract contains Ihe same language. regardkss ofwhetller the State porlicipalcs in 

Elec!roni~ lXath Regislra!ion (EDR), an initiative 10 automate !he paperbound death 

registration process. 

Seclion 205(r) prohibits us front rcdisclosing death information proviQ.,d to us by !he Slates. 

exceplto Federal and Stale agencies that provide fc<lerally-funded benefits and Swtes that 

administer benefit programs wholly funded by the Stale. Additionally, the law provides us 

with discrc!ion 10 provide death infom'ation to Federal and State agencies for researeh and 

stalistical purposes. 

Page 3 ofS 
113 


dkrause on DSKHT7XVN1PROD with HEARING78179A.083

Enclosure - Que,tions for the Record - February 2. 2012 Hearing 

We ha"e attached a blank copy of a SUIte oom....:t for your infomlation. 

7. Social ~c uri! }' ~h ts Ihe dealh informalion in ils inlernal dalabases wil h olher 

agencies Ihal also pro"ide benefils, such as Ihe I}epa nmenl of Velerans Affairs (VA). 

1)0 Ihne agencies make Ihis informalion a" a il able 10 Ihe public? 1)0 YOIlr dala slla rin g 

Mgreemenls pre" cnl Ihese agenci es sharing Ihis informalion publicall}' or wilh a ny olher 

agency? 

Wc share death infomlation with Federal benefit-paying agencies following the computer 

malching and privacy protection requirements of the Privacy Act. These agn:emellts prohibil 

agencies from redisclosing the data we send them. 

8. Wllat would il cosilo bring all ..... maining nici ati g slates inlO Ihe EleClronic 

I)eal h Regislralion syslem? 

We defer to the Depanmcnt of Health and Human Services (HHS) with respc<:lto Ihe costs 

im-olved in the development ofEDR systems. 

9 . In considering Ilolenlial solU lions ~s 10 how we ensure Ihal enlilies using Ihe 

information conta ined on the Death MaSler t'ile a ..... slill able to access the data , wonld 

there be a way for the SSA to work din'd ly wilh the entilies Ihat han a need for tile 

Ilu th Master File 10 ..... cei'·t the informalion din-c lly front Soci al Secu rit y r ather than 

through a Ihird pany? 

OMO has been working with us and the I)cpanmcnts of Treasury. Justice. and Defense 10 

cmll a legislative approach to limit the public availability ofdeath infonnation. The 

Adminislration has previously presenled Ihe spo...:ifications for a draft bill to COmmillee slafT. 

and will SOOn fonnally submit that draft bill for the consideration of the Congress. which 

renects our preferred balance bet-Hoen prot~..:tion of personally identifying infommtion (PII) 

and allowance oflimiled acccss with strict accountability. We look forward to working with 

Ihe Comminec on Ihat draft bill. Please nole that there is no benefit 10 SSA 10 share this 

infomlation. We do so beeause FOIA l\.'quil\.'S it. 

10. I learned a bout M Nonh I)akolan who is ha" ing a simibr issue lo some ofl heone's 

we" 'e been discussing ",ilh the Uu th Master rile. The perso n "'as notified for the 

second time of his wrongl)" r"e]>Ort ed death listing by Ihe VA. The incorrcct information 

regM rding his death a lso mMde il onto tile Inlernel. Ilo"'en r. we did recein a notice 

from Ihe VA aboul the error. I wou ld like 10 know, if tile VA u n cMtch this kind of 

error. a nd then nOlify the affecled indi"idua l, do )"ou think the SSA cou ld ust a simil ar 

llrocess so that the indi " idoal can ta ke slclIS to protcci their perso nal information ? 

We will contactlhe V A during our notificalion policy review \0 learn more about ils breach 

notifi,alion processes. We will adopl any cost-efTective measures 10 more quickly idemify 

Page 4 of 5 
114 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.084

Enclosure - Questions for the Rcrord - February 2. 2012 Hearing 

errors on the OMF. without relying on self-rerons. Early identification of these errors would 

limit I'll exposure and lessen any hardship for alTected individuals. 

Attachment 

Blank State contract 

Page 5 of~ 
115 


dkrause on DSKHT7XVN1PROD with HEARING78179A.085

1. If vital statistics constitutionally belong to the States and they guard its privacy very 

strictly, how would access by private parties keep these two important principles in 

place? To provide this data to private parties there should be a significant price to 

compensate the Stales and heavy penalties for those who break the law. Would your 

members be willing to pay the States a price dose tQ what yQU pay Qther providers for 

personal data? OfyQur cost Qf dQing business. pUl"I;hasing personal data for inclusion in 

your databases is what percent of the eost of the l'nal product? 

A.l - It is COIA's IQng-held view thal recQrds Qbtained by gQv~nllne11l shQuld be public 

reeords and nQt hidden from view. The fQllQwing excerpt from a paperl aUlhorcd by 

l'rofesSQr Fred H. Catc and Richard J. Yarn sets an important cQnlext thal5Upports 

CQntinued Qpen access tQ state reCQrds and tQ federal recQrds systems including access tQ 

the Dealh Master File (OM F): 

""The open public record system has been the mainstoyo/the 

US. democrocy and economy since the earliest Colonial days. 

During the last350 years. this open system has become as 

essential on in/ros/ructure as roods, telephone lines, and alr(XJrts. 

The American open public record allows citizens to oversee their 

governmenl./ocilitotes a vibront economy, improves efficiency. 

reduces costs. creotesjobs. and provides valuable producfSand 

services that people want' 

I Fred 11. CalC. Richard J. Vam. Thc I'ublic Rc<:ord: Informal ion I'rj,·acy and Ace . .. - A New Fmmcw,"", 

for Finding Balance. p. 5. 
116 


dkrause on DSKHT7XVN1PROD with HEARING78179A.086

As discussed in our testimony our members' need for the Death Master File (OM F) is set 

into the context of responsible uscs that involve business-to-business transactions. These 

uses arc erilicallo proteCling eonsumo;-rs and COlHributo;- to compliance with federal laws 

and the safety and soundness of the financial services industry. Thcy also include 

rcconnc{;ling consumers wilh assets Ihat in some cases may be life-changing (e.g., 

discovering a pension income you didn't know you had or a life insurance policy 

payment thaI you did not know about). It is critical thaI such data be availablc in an 

casily accessible and ccntmlizc manncr to ensure that il is loaded quickly since misusc of 

a deceased person's data can occur soon after demh. In fact just following the nmional 

tragedy of9-ll COlA was asked to testify as to why DMF data could not be loaded even 

more quickly to ensure Ihat terroriSls. including some involved inlhis auack on US soil, 

could not take advantage of US assets such as access to thc financial services industry. 

Wc do not believe that it is in Ihe best interests of the country [0 shut down the OMF and 

assume Ihat a similar systo;-m for gathering death records can be created on a state-by·stale 

basis. 

OUf members' uses of the OMF do not contribute to Ihe tcrrible problems. parlicul,(rly 

those faced by parems who have lost a child. thm result from making DMF data 

accessible to the general public. 

State vital records are critical to a full and complete DMF. Where a stmc assens its 

control ovcr such dma we would urge them to lift any embargo for the types ofpurposcs 

enumerato;-d in our testimony and in draft language we have shared with your staff. 

Where the SSA has the powcr to do so, it should be directed to make the DMF available 

and encourage stmes to lift rcstrictions thm impede our country's ability to address a wide 

rangc of risks that are lime-sensitive. 

2. I understand that to get access to this data. you are willing to undergo some kind of 

unspedfied 'accreditation' process? How would you sec accreditation process beginning 

and in your experiencc, how long does it take agencies 10 havc this process up and 

working? 

A.2 We assume that the SSA and NTJA therein would adopt a risk-based approach to 

allowing access to the DMF based on reasonable criteria and direction by the Congress to 

ensure that access is given. Such access could include a contractual agreement 10 use the 

data only for purposes pemlined. We assume such a proccss would not be complex and 

il should not operate as an artificial barrier to providing access for legitimJte uses that 

protect consumers. In terms of details the SSA and NT1A arc in J beUer position to 

answer this question. 

J. As you koow, the Death Master File (DMF) is 001 totally accurate. The SSA and 

Conuneree make this clear when the file is released. Do you confinn the listings for 

accuracy? How do you do this and what other sourees do YOll use to confinn the DMF 

data? Based on your analysis. how accumtc or inaccumle is lhe DMF? How has that 

accuracy, based against your other death data sources, changed wilh the removal of the 

Electronit Death Records (EDRs)? 

, 
117 


dkrause on DSKHT7XVN1PROD with HEARING78179A.087

A.3 Our members employ a variety of proprietary means of ensuring that the correct 

infomlation is associaled with correct record. In tenns of details. these practices are 

treated as eonfidcntialtrade secrets. 

As to accuracy we would only say thaI the DMF is truly .. vital record necessary to 

business-to-business transactions and that it has been successfully used and thcrc's no 

basis for shulling down access for these uses which protect consumers (including parents 

of deceased children) and prevent fraud and terrorist access to services. 

Finally, note that if the reported 15,000 errors per year in the DMF's is roughly correct, 

that amounts to an error rate 01 05% (based on an annual reporting 012.8 million 

records). 

4. The National Association for Public Health Statistics and Infonnation Systems runs a 

query system call Electronic Verification of Vital Events that cenilies binh and death 

information from all fifty $Iates. No information is revealed in the query, thereby 

p«.Il«ting all private information. The SSA also runs a consent-based system that is also 

a query system that confirms private information against the SSA databases? Would 

either one of these be a possible useful souree of information for your members. Speak 

to the issues in terms ofyolume. accuracy and costs. 

A.4 If. as your question suggests, the Elcctronic Verification of Vital Events docs nOi 

provide access to full identifying infomlution then it would be unworkable for our 

members. Our members cannot be dependent on a third-pany technology to interface 

real-time with our mcml:1crs who are delil'ering billions credit reports. red flags/fraud 

prevention tcehnologies and the like instantly across the US economy. Funher. our 

members when operating as consumer reporting agencies as defined by the Fair Credit 

Reponing Act emlllot abjure thcir direct duty to cmploy reasonablc procedures to cnsure 

m3.~ imum possible accuracy of the reports they produee to a third-pany technology 

plutfoml. 

With regard to the consent-based system there is no such thing as blankct consent in 

anticipation of death. and it is not otherwise clear what type of consent could be 

associated with 3 dcath record. The CUlTCnt SSA system is lI1anual and eumbersome and 

not suitable for how the U.S. economy operates. 

Thank you for this opponunity 10 answer additional qucstions. CDIA beliel"cs that 3 bill 

can be enacted this ycar that shuts dOll'n gcneral public access to the DMF. which 

relieves the SSA of a FOIA duty Ihat .... 'quircs access by all and which also codifies a duty 

to provide access for legitimate purposes such as those enumerated in our testimony. 

Sincerely. 
118 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.088

Stuan K. l'rnu 

I'residem & CEQ 
119 


dkrause on DSKHT7XVN1PROD with HEARING78179A.089

~ \ ... " .., ... .1 

SOCIAL SECURITY omce of the l ... pector General 

April S, 2(112 

Tho HCIIIOfabIe Sam Jolin""" 

Chairman, Subcornmiuce on Sod" s..c:urity 

Commi"""'"' Wa)l lind Mrln$ 

U.s. IiQuseof R0J'R'«'tl'''''''' 8·317 RI)'t>oIm Iiouse Off"", lJuilding 

Ww.ln,ton, D.C. 2O!I15 

"an: Kim IWdral 

This I, in rcsp<me to YOU' kllCl' clawl M"",h 22.2012. in which )'OU ""Ioested InfOl'lllltion 

'd ..... to !lie Sociol S<curi'y Adminiu .. I;",,', {SS" ) diwib<llion 01 dealh dau 100 pmonolly 

identifiable information. followin,)'OO' Subc:ommin ... •• FcbNlry 2. 2012 llearing OIl Soci. 1 

Security', 0e>1h II""",,,,,. I ' ppr«:iale llIe Oppo<Iuni,y to provide informalion .. wed LO thi, 

<:ririell i ....... IkkrN.,., ~POOICS 10 YOU' .pedro" questi ... ,. 

I. TheSoci"l Stnorll1 A<lJttJnklralion (SS" ) I< only ~~Ired hanter"," namo,l"" 

Sodol Sownty numbo. Inti ."'- ...... or <loath"" II>< o. .. U. M .. , .. me. aocoN;!lnl to 

.ho ..... " .. ule"",nl. 1I ...... ·.r,.1>< SSA indlOdts other 1nl'"n">I'ion. irx:ludi"tl d ... 

of bil"lh a .... rlp C<><k. Vou b,'. """""""' ....... th •• the l"f<)m>alioD ...,c rtquirftl 

unci ..... 11 ...... 1 bt ... ",,,'0<1. 11 .... ·._. u.. Commis$l ...... ... Y' h.1ried '" .......... ., 

Ihe rlp..- do' a, ,,1>11 thai only .... ulled in " f "rndmft II/ fro/lHrrUIIiiM .... , (FOIA) 

rtquOSl 10 uIr_ 1M clalO I nl""',OJ'. n.. C"",,,,issIo .... Indicated lit< 58A 0III<e <If 

II>< l ... ptrtor "" ........ 1 (O IG) ... I!:hl be e<mro!i<d on ' his I ...... C. n)_ ,peak to Ibat 

rtmark? I. lbe .... ny .... 1 'b .... ...,. .. " ... """,e tb .. dOlO ""thout bring '0 

<MII.,lon of ."01101 I. til< ... tho poosIblllty <If _n'~¥ the "0"""" 1 d<dslo~? 

The <:QnIeOt __ ment LIIIII. wablUbrd tbe t;\<o.th Mast ... Fil ~ (DMF) ""Iuirt>d SSA to "",.'de 

onlyohc de«:dat,., last IWTI<. Social Security number (SSN). OJ>([ daI~ of dath. SiDOe tho! time. 

SSA 6pondc.:t D).1F In'""""tion '0 i""hod< the indi.idu.ol·, r~t lind middl< nlmO. ~ or binh • 

..... donoal .talC lind ~ip o:>6c. Effcaive Sow:mber 2011. SSA temI»"<d the -.n .• rt:<idontial and ... Ie rip code iofomw;oo from .... b<tqucnt DMF publioati<Jru. 

Durina ou, audit C(lQ)pIeI<d in ["lit 2(X)8. Aaom<y official, .. ploinod Wt SSA ""~ thc 

"""",01 of information inclLlCled in the OMF butd on D.\lF $Ubs<:riber ""ILJe$l$. How.""._ 

SOCIAL SECl/RJT\'" ADMlNlSrRAnON 

78179A.090dkrause on DSKHT7XVN1PROD with HEARING

I F 'S "'·" "l<r'fP ",. 'I 

&& 

__ • • - w w 

. !iiJ 

f 

, 

, 

f i ! 

I .. "- 'r'! ,',. 'I" I' '[ 

-

5'r..U§ 1 [A[if i: i r ! ., jI"-.ll f - i- --/Ill .. i· I I 

f 

H -. ,I;.{ 'p;<l hHI lB • C;F. i!!!;;:: ." e, -<:_ . __ . !!: .If._,-! > 2,i 

;ie,il as'! hoe: .. b -

II !Iill! 11;111 Ij!rti Iii i "l a: It ': 'I >, I':l: l' I 

1-, :" " ..... , t J!8 :.!:{ <. 

;. 

11"il. Iii ,. ,-E I J:;t fs·n! ! I il •• I •••• i,i"i f' I J e It i ·l!i I I . I llilill· 'I III III I a n 

8 i 

I i(J!'!!il !III;I tii f 

, !,I Ii-g· " ol t 0 .. So.i 

78179A.091dkrause on DSKHT7XVN1PROD with HEARING

'iZ

"il' " • .,'rT 3:l ff 11 S" t" 

I· " , 111'I!i !II II I 

- 

1bt- .'.' .'1"< a b ['g,.a . ".!: "1 s· " 

fp 1- 'gg i I i l• .1 0,. I . » 1 •• .. .. ,.-! • I'i'! r' _.l ( •• 

!I"' . .. 1 '" -

_

. > <>--'!it Q. i"'" 

a if I .:: .. iH" £, 

5 >I .. _0 " _11"1" ,l-O'j .... 

i ;;"9 ' i - ;"g iirf q Il ! ii U I ". mu Hum vt H ! i.e, - II !I is: ir-R" · 3 . ", '" r'" !!. ... =&. ... [II' I . •. .-., 

- i '- "11010 "" 1. Pi&. C-;':II §.': 5; I 0 ;:: --:a"" !i ... . .. "'12,- '" s' " ;.. g!: 

, ,.' • "1-' .j'. -;:! ' ["j I -=i[ i; c i -- " ., "' . ;ri s ." . "§ 50 • "& " 1 i If !. ; tif...;§:iir_ 9,<>- •• Iil li.II' ·c • -'.'i·li " 

1: 

i 1<. . 5 _ !; a!" is '" is. c g" if l,ij" c aj ;;'f&";.?5 ; ' il 
122 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.092

10 any dille individual. ,..bose PU WII:i .............. Iy p.lbli.htd in lilt DMf. SS".wed WII if. in 

lilt fulUr~. lilt conlrXlO< ideIl.if ... lilY indi.iduol woo hoI I>eeIl tile .k1im of milu~ SS ... will 

""'ify lilt indivillull """ offer <:mI.i. """'iIM", '" 1IK:m. 

Witb ... gWl<> your question 01 .. ·_ S5" , .... 1<1 i""lemen' • prooeo •• imilar to V" for 

noIifyiDg indi.idu.al .... ·lIaIlheir PI1 i. erro<>eoU.ly puI>li>lled in the ~lF. yes.. SS" could 

implemenl •• imil .. ptOCCSI. 

Thaak )"OU for lhe """""unity to od<trw; IIIe>e ......... I trust lhol I ",", .• been =po<I,i..., to ywr 

n:quest.. If you ~ .. ·e fUMher Questions. pl .... e r..,1 r .... lo """,oct ..... or )"OUr S(afl" may """'""" 

Milh. Kelly. Cona-sionll and Int .. ~mmentll UailOll.11 (202) 358·631 9. 

Si~ly. 

Pa<l'ick 

~t0~ P. O·Carmll.1r. 

IMPCCIo< General 
123 


dkrause on DSKHT7XVN1PROD with HEARING78179A.093

MEMORANDUM 

To: 

from: 

Dale: 

Subject: 

The Honorable Sam Johnson, Chairman 

Kim Hildred. Staff Director 

Subcommittee on Social Sec~riIV. Committee on Ways & Means 

U.S. House of Rep esenl~l ~es 

Patricia W. Pomebowski. Ph.D., Execul",e Dirfilor 

National Association for P~bllc Health Statistics and Informalion SySlems 

April 4, 2012 

Responses 10 Questions from Hearing on Social Securlly Death Master FHe 

Allached please find responses 10 question. for Ihe 'fiord Irom the National Association lor 

Public Health Statisti" and Information Systems (NAPHSIS). NAPHSIS greatly appreciates the 

opport~nity 10 contribute to th is important dialogu e. 

Ilyou have add itional questions. please do not hesilale to conlact our Washinglon representative, Emily 

Holubowich at eholubowich@dc...:rd.comand202.484.1100. 
124 


dkrause on DSKHT7XVN1PROD with HEARING78179A.094

National Association for Public Health Statistics and Information Systems 

Responses to Questions from Hearing on Social Security Death Master File 

Subcommittee on Social Security, Committee on Ways & Means, U.S. House of Representatives 

1. You have indicated in your testimony that under our Constitution, States have the responsibility 

and the rights to manage vital statistics, which of course includes death records. If a system of 

accreditation is developed for sharing data amongs certified users, what should be the role of 

state death data and what considerations should be given to state sovereignty over this data? 

What suggestions would you have for making sure the states retain control of vital statistics both 

legally and in regards to personal privacy of their citizens? 

Any system of accreditation that is developed for sharing state death record data among certified 

users would need to preserve the authority of each State for permitting access to the vital statistics 

data they provide to this system. That is, each state should have responsibility for and control over 

who accesses their own state provided death records. That consideration should be paramount, that 

is, it should override any other considerations. 

The easiest way to do this is to exclude all state provided death records, as is currently being done 

with the public DMF, but other alternatives are possible. The EVVE system allows each State to 

approve each data use r. That means, for example, that State X, an open record state, can permit 

access to its death data by any certified requestor, but that State Y, which permits fact-of-death data 

to be provided only for government agency use, can limit access only to certified users that are 

government agencies. State Z, may permit access not only to governmen agencies, but also to 

organizations that can demonstrate a direct and tangible interest in the record (e.g. a credit card or 

life insurance company). This type of system would make sure that the states retain control of vital 

statistics both legally and in regards to personal privacy of their citizens. 

What level of reimbursement to the States should users pay? 

It is difficult to say exactly what level of reimbursement to the States users should pay for access to 

state death records, because different States set different fees. Many state vital records offices are 

funded solely through fees collected primarily from the sale of certified copies of birth and death 

records. In other states, the fees collected are used to offset state appropriated funds to support the 

vital records operation. This fee based revenue must cover ~ of the costs of collecting and 

processing the information that is contained in vital records, including the purchase and 

maintenance of computer systems; staff to operate data collection and quality control systems; staff 

to educate and work with the data providers (i.e., physicians, funeral directors, hospital and other 

health care facility staff, coroners, etc.) to ensure that vital records are complete, accurate, and 

submitted on a timely basis; staff to provide services to the public and other data requestors, 

including correction and amendment of records and issuance of certified copies, analyses and 

preparation of statistical reports and special requests for data; and other related costs. 

To protect state vital records offices from losing essential revenue, it is recommended that each 

user of state death data pay a fee to the state vital records office for each access to the death data. 

This fee would cover the loss of revenue that states incur and is consistent with the State position 

that they are providing a license to use the data for a specified purpose. 

ll Page 
125 


dkrause on DSKHT7XVN1PROD with HEARING78179A.095

The current EWE pricin, model indude. ~ month ~ maintenance fee and a !r ",~ction fee for each 

que"", as well as a fee when a match occurs, The match fee. differ if the request i. a verific~tion 

(i.e., the u.er ~Iready has a birth or death certificate for the person be ing queried) or a certifk~tion 

(i.e., the pers.on que""in, does not have a birth Or death certificate fo r the person be ing queried). 

Match fees are set by the individual states, NAI'HSIS would be happy to work with the States to 

evaluate and consider revisions to the current EWE pricing model based on new uses of EWE. 

2. I anume that your group, that tepresents all the vital statistic bureaus throughtout the US., Is not 

a pa t! ofthl. Interagency wotklns,toup. Yet, VOU have cleatly .hown us that undet our svstem of 

fede tali.m, .tate. have the re.pon.ibility for manalllnil their vital .tati.tlc. re cord •. What .hould 

thl. IIroup keep in mind a. they con.ider option. and what recommendation. would you have for 

thl. Interagency ,roup? 

NAPHSIS is not part of the inte ragency work ing group. NAPHSIS would be pleased to participate On 

or meet with the working grou p to provide information and to answer questions. NAPHSIS 

recommends that the inte ragency wo rking group keep the fol lowing key points in mind as they 

conside r options and recommendations for use of state death data: 

(1) A$$ure that State Provided Death Records are Not Relea$ed to the Public 

The interagency working group .hould understand that access to identifiable death record. differs 

ba.ed on state .tatutes. In a few S1~te. this information i. public information, while in mo.t .tate. 

acce .. to identifiable death record data i. limited to family members o r others with a direct and 

tang ible interest, government ~gencies, or for medica l re.e~rch purpose •. Some .tate. prohibit 

commercial use of it~ 1 records data. It should be noted that this is different from the Federal 

Privacy Act under which a person who is deceased is no longer afforded the right to privacy. 

Beciuse state statutes dlffe •. it is critical that state death records continue to be excluded from 

public ,elease by SSA Or any other government agency, without the prior approval of the 

appropriate state Vital records office. 

(2) P,event State Loss of Essential Operating Revenue 

Many state vita l records offices a.e funded sole ly through fees collected primarily from the sale of 

certified copies of birth ~nd death r""ords, In other .tates, the fee. collected a re u.ed to offset state 

app ropriated funds to suppOrt the vital records operation, This fee based revenue must COver !II of 

the costs of coll""ting and proceSSing the information that is contained in vital records, inCluding the 

purchase and maintenance of computer systems; staff to operate data collection and quality control 

systems; staff to educate and work with the data providers (i.e .. physicians, f~ne(a l directors. 

hospital and other health Ca re facility staff. cotoners. etc·f to ensure that Vital records are complete. 

accurate, and submitted on a timely basi~; .taff to provide .ervices to the public and othet data 

requestors, Including correction and amendment of record. and i<suance of certifled copies, 

an.lvses and preparation of statistica l teports and .p""ial reque.t< for data; and other related cost •. 

To prolect .tale vita l record. offices from losing essential revenue, it I. ,ecommended that the 

interagency workgroup require that e~ch prOpOsed new government u.e, of st~te de~th data pay a 

surcha rge to the state .ital records offiU! for each new use. This surcharge would not increase SSA·s 

cost., but would be passed through to the other ,overnment agency users 01 the state dat~. This 
126 


dkrause on DSKHT7XVN1PROD with HEARING78179A.096

surcharge for the state vital records offices would cover the loss of revenue that states would incur 

by the expanded use of state death data for government agency use. This is consistent with the 

State position that they are providing a license to use the data for a specified purpose. 

(3) Prohibit Re-Release of State Data 

Again, consistent with the States providing a license to use their data for a specific purpose, the 

state vital records offices recommend that any provision of vital records data to a government 

agency after payment of the negotiated surcharge (license fee) must not be permitted to be rereleased for the same use to any other organization/entity, either public or private (e.g., local or 

state government partners or any other grantees) without prior state vital records office approval. 

Nor can a government agency use the state death data provided for an additional use not specified 

in the initial request. Prohibiting such re-release will protect state vital records offices from the loss 

of essential revenue and help assure that the data are used only for allowable and approved 

purposes under state law. 

(4) Limit Use to Administrative, Non-Research Purposes 

The National Death Index (NDI) was established in 1979 by the National Center for Health Statistics 

(NCHS) in the Centers for Disease Control and Prevention (CDC) for use by medical or health 

researchers to determine if study subjects have died anywhere within the United States without the 

researcher having to contact each state vital records office. State vital records offices provide their 

death record information to the NDI, including cause of death information (NDI Plus). When 

researchers use the NDI Plus, they pay a surcharge to NCHS that is then shared with state vital 

records offices. The state vital records offices are concerned about loss of existing revenue if their 

death data is permitted to be used for research purposes. They therefore recommend that no state 

death data be permitted to be used for research uses and that government agency use be limited to 

administrative uses only. 

(5) Delay Public Release to Allow Time for Birth/Death Matching by States 

The Intelligence Reform and Terrorism Prevention Act of 2004 requires state vital records offices to 

match birth and death records once a death has occurred, and to mark the birth record "deceased." 

This is critical for protecting against identity theft, but it cannot happen instantaneously, particularly 

when a person dies in a different state than s/he was born. It takes some time for the death record 

to be transmitted to the state of birth and for the birth record to be marked as deceased. Not all 

states are currently participating in the electronic State and Territorial Exchange of Vital Events 

(STEVE) system, so in nearly half the states, this is still a manual process. In order to protect publicly 

provided death records from being used for identity theft, the state vital records offices recommend 

that a time lag of 60 days after the date of death be considered for any public release of death 

records. This time will allow state vital records offices to match the death record with the 

decedent's birth record and to mark the birth record "deceased," thus preventing the birth record's 

use for identity theft. 

3. With 57 different vital record jurisdictions managing death data, I am sure there are many 

variations. Can you describe for us in general the policy States use to govern data? 

31 Page 
127 


dkrause on DSKHT7XVN1PROD with HEARING78179A.097

Access to identifiable death records differs based on state statutes. In a few states, this information 

is public information, while in most states access to identifiable death record data is limited to 

family members or others with a direct and tangible interest, government agencies, or for medical 

research purposes. Some states prohibit all commercial use of vital records data. 

In most states there is a charge for providing death information (similar to a license to use the 

information) and generally-with the exception of a family member or their legal representative 

who must submit an application for a certified copy of the death record-a requestor must also sign 

a data use agreement. The data use agreement specifies the data provided, the purpose for which 

the data are requested, prohibits re-release, and requires the requestor to agree to a number of 

conditions to protect the confidentiality and security of the information provided. 

4. Do States allow access to their data? If so, to whom and for what purposes and are certain data 

elements redacted or restricted? 

A few states allow public access to their vital statistics death data. In some states the access is 

restricted at the state level but is concidered to be public information at the local government level 

(e.g., town clerk or local registrar). 

All states permit family members or next of kin to apply for and purchase a certified copy of the 

death record. Most states permit government agencies to obtain selected data elements, but only 

those needed for the specific government agency use. Many states permit medical or health 

researchers to obtain selected data elements, but only those data needed for the research. For 

medical/health research or for government agency use, many states restrict access only to certain 

needed data elements. In some states, the cause and manner of death are restricted or redacted 

for almost all purposes, unless specifically authorized. 

5. Do some States sell data to other government or private buyers? 

Yes, some states "sell" data to government agencies, but this is more accurately characterized as a 

"Iicense" for the government agency to use the data for a specific purpose. Some open record states 

may sell data to private buyers, generally on a record by record basis, although it is possible that a 

few states sell entire data files. 

6. You spoke about a system, similar to a computer hub-like system, that takes electronic queries 

from government agencies to confirm birth and death information from the records of the other 

states. You called this the Electronic Verification of Vital Events. Tell us exactly how this works, if 

it might open some day to commerical users and if this system might be the solution for certain 

types of data authentication problems. 

Many Federal and State agencies rely on birth certificates for proof of age, proof of citizenship, 

identification for employment purposes, to issue benefits or other documents (e.g. driver's licenses, 

Social Security cards, and passports) and to assist in determining eligibility for public programs or 

benefits. NAPHSIS has developed and implemented the Electronic Verification of Vital Events (EVVE) 

system, which provides the capability to quickly, reliably, and securely validate birth and death 

information. Via a single interface, authorized Federal and State agency users can generate an 

electronic query to any participating vital records jurisdiction throughout the country to verify the 

contents of a paper birth certificate or to request an electronic certification (in lieu of the paper 

41 Page 
128 


dkrause on DSKHT7XVN1PROD with HEARING78179A.098

birth certificate), irrespective of the place or date of issuance. An electronic response from the 

participating vital records jurisdiction either verifies or denies the match with official state or 

jurisdiction records. 

EVVE also provides an indication to the requestor if the birth record matched via EVVE has been 

marked deceased . The EVVE system is also capable of supporting the electronic verification and/or 

electronic certification of death records. The EVVE system supports real-time queries as well as 

batch queries. If the state of birth or death is not known, a broadcast system is available for 

electronic certification requests. 

The EVVE system works by accepting a query from an approved agency user. That query is sent to 

the EVVE hub, which will then forward the query to the vital records office where the birth or death 

occurred. There is a piece of EVVE that is installed in each vital record jurisdiction infrastructure that 

accepts the query and checks the data entered as part of the query against its birth or death 

database. The results of the query are sent back to the EVVE hub, and then forwarded onto the 

originating requestor. Queries and their responses are sent over the internet, in an encrypted 

standard XML messaging schema, so confidential data is secure and protected. The EVVE system has 

also been certified and accredited by an independent organization to be compliant with the NIST 

800-53 moderate level security standards. 

The following Federal and State agencies have used the EVVE system: Department of Motor Vehicle 

Agencies, Medicaid Offices, Social Security Administration, Office of Personnel Management, District 

Health Offices, Army National Guard, and Department of State Fraud Prevention Offices. 

While the EVVE system is currently limited to government agencies, it is possible that it may in 

future become available for commercial users, and would then be the solution for certain types of 

data authentication . The reason this approach would work is that with the EVVE system, each vital 

records office has the capability to approve or disapprove each requested user of EVVE for their own 

state's data. 

NAPHSIS is currently developing possible solutions that would establish alternatives to assist 

authorized public and private sector entities to access state fact-of-death data for legitimate needs 

where state laws permit. 

7. The future of good statistic management seems to lie in more use of electronic death record 

systems. As more States send electronic death records (EDRs) to Social Security, there should be 

fewer erroneous reports of living persons put on their death roles, correct? 

Each State/jurisdiction submits to SSA death data for each death record filed in their 

State/jurisdiction. The development of an EDR system will improve the timeliness of receiving death 

data, along with its completeness and accuracy, especially if the EDR system has incorporated the 

process of verifying the decedent's SSN. If the EDR system incorporates a verification check of the 

SSN, the results of that verification are submitted to SSA with the death record. 

Generally state death records are very accurate and complete, and only rarely do errors occur. 

However, if SSA continues to use sources other than EDRs from state health departments for 

reporting of deaths, and if the EDRs from those states do not override reports from other sources, 

51 Page 
129 

f 

[Submissions for the Record follow:] 


dkrause on DSKHT7XVN1PROD with HEARING78179A.099

~ffoneou, r~pom of the de ath, of living per",n, could ",II exist in SSA death file ,. 

8. You me ntioned that 5o<ia l Se<:urlty once helped und erwrite lunding for e ledronic death 

registration syslems in the various Slates, butlhat lunding has ended. You also staled that $20 

million could Insure the se eledronlc systems In a ll Slates and jurisdictions. That capability would 

not onlv be Eood for 5o<Iai Security but Ihe other nine fede ral agenices that share 5o<ial Security's 

database lor benefit management. Describe in mOre detail what Ihe lunding would support. 

Additional lund ing would be used 10 support Ihe developmenl and implementation of electronic 

death registration ([DRI systems in Ihose StaleS/jurisdictions thaI do nol currently have an [DR 

system. The additiona l lundinE would a lso be used to support the rollout of the EOR system to the 

death data providers, in those states/jurisdictions Ihat need 10 develop their EOR 'ystem. and Ihose 

"ates/jurisdiction. that have alre ady developed the ir EOR system but need to brinE add itional death 

data providers on-line so that the death record, can be comp ed and filed e lectronically. With an 

EOR system, there are many death data provide rs that need acee" to the EOR ,y"em and training 

on how to u,e the EOR system. In most states and jurisdictions, this include, funeral directors, 

funeral home d e rk', medical e , aminer and coroner offices, ho,p itals, physician" nursing ho ~' , 

and other entilie, that may certify Ihe cau,e of death. ,1, 1'0, , tate and local re,i,lrars need to be on· 

line wilh Ihe fOR ,y.lem. So thi' fund ing will be u,ed for development, implemenlation, a nd rollout 

of EDR system. in the slates/juri,dictions. 

Would the de velopme nt 01 EORS eventually bring down the co.t of atcessing death data while 

in"u'ing its securily and iI ' 0, e,plain lurther these po' iitive laclOrs? 

The deveiopment of an [DR .ystem will Improve the timeliness 01 receiving duth data, along wilh 

its completeness and accuracy. Ed it check. on the data are inco rporated into an EOR syslem 10 

ensure that data qua lily i, ma intained. For e , ample, an EORS will prompt the user if the use, 

indicate, that a two year old decedent has a college education '0 they can r~vlew the data they 

have entered. An fOR ,ystem can a l,o be integrated with the on-line verilication 01 SSN IOVS) 

system 10 I>f!rform a real-time verification olthe decedent" s SSN. 

An EOR system wlilln",,"se the security of death data. along with timeliness and quality. but 

NAPHS IS does not envision an [DR system bringing down the costs of accessing death data. EDR 

systems are costly to develop. implement. rollout. and maintain. There are add itional IT costs 

assoc iated with an EOR wstem that you wou ld not have In the 'paper' manual registration 

environment. In other word" the CO$ts are not decrea,ed, but are ,hifted. 

9_ If a thIrd party such as your orga nloallon I. a ble 10 provide the Informallon to entilies usln. vita l 

5Ial1stl" for le, itlmate a nd lawful rea son., is there a way to have dala thai Is sea rchable a nd 

compalible with 1M enlitle. Ihal need th l. lnfo,matlon? 

We are not aware 01 any serious technical baffie" to havin8 data that are ,earchable and 

compatible with the entitie, that need identifiable fact·of-death death info rmation for le,itimate 

and lawful rea",n •. Ralher the critical issue i, related te the differin, State . tatutes and regulations 

that,overn access. That i, whV the EWE system. which allow, each State to decide on a case by 

case basis which users wou ld be permitted to acce .. their State's death data is a feasible a lternative 

lor some users. 
130 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.100

_ .... f 

"""'" 

".., I,.. .......... .-

~,.., c.. __ S, h~ • ....., 

,--...,. 

~-

._ ........ "'''''''''~'-­ ~~~ _I.""" ~,~ 

"""'" F .' "","", .............. 

Afro-Amerkan Genealogkal & Historkal Society of 

Chicago, lnc. 

January 3(1. 2012 

Jud ith Samuel. l""sident 

Afro-American Gcr.oalogkal & IlislOrical SocictyofChicago 

P.O. Ho, 377651. Chicago. II. 60637-7651 

TclCJ>lIonc: 773-602_2743 

Em,iI: !!'1i!hsc1l','ahoo.CQ!J) 

Rc: Choirm. n J ohn ... n ","; ~ on So.:ial SKuril,· n ea lh R.""rd •• r " hru . .. y 2. 2012. 

To: "The House Comminc'C "" Wa)'s and Me"art •. Suboomminec "" Social Securily 

u.s. Congressman Sam Johmon (R.l"X). CMirman of Ill. HCHm Commi"ec on Wa)'s and 

,\ Icans. Suboomminec on Social Securily will hold a hearing on the ""curacy and uses of the 

Social Se<:urit)" Administrnli",'. Ik'th Master File. 1 am ."bmining lhe follow'ing ;nf"""ali",, 

lOb< $ubmilu:d inlo the h<:aring rtt<>rd 

The Afro-American {icnealogy & Hislorical Society of{_"ic3go Sl3rKls with lhl: Rccord$ 

i'rescn'ation and Access Comminec (RPAC). an umbre ll a organization representing lIle 

genealogical community. in maintaining access 10th<: Social Security Ikath Index (Ik.th 

l\-13$lcr File). 

Genealogists rely on Social Securit)" numbers to correctly identify indi~iduals. 

We 'M'" Coogress· COIlCI.'m about pro!ecting Americans from identit}' Ihen. In th.t "."g3fd. 

RPAC not<1lhat ,.,..,1)" Ius i. b<."CtI <Iocumenlcd thai an indi.id",,!' $ i<lenlil)" is ,·iolatcd try' OC<:<'S$ 

'0 lhe SSI>I; rather. the ,·iolation. occur due 10 comput ... breaches from go,·ernment and prj.'at. 

enl""';scs. 

Pic$!." consid ... lhe legislati'·. suuesliOl\'! s"bmined try' ItPAC '0 address dcliei"""i .. in lhe 

cu ........ 1 operati"" oflhe lkath Mast ... "'I •. 

Wc as~ lh .. )'OU p«)!ccIgcn<alogiili' ""COSS 10 lhe Death astcr f i\c wh ich i, ,'i\altO 

documcnling our family hi"ori.,.. 

Sinecrciy . 

Jud ith Samuel. J'rcsidcm 

Afro-American Gcooalogical & lliil<>rical Soc',I)" o f Chicago 

cc; Board of Dire<:l<ln 
131 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.101

Comment On Hearin, on Social Security's Death Re<ords 

Name: 

Or,anllation: 

Address: 

Pbone number: 

Email: 

Title of Hearin,: 

Mary Ann Boyl , PhD, CG 

Amerkan Genealoalul Research and 

World Data 

g Whittier Place, Suite 23G, Boston, MA 02114 

617-742-6063 

maryann@agrbogoncom 

Social Se,urity's Death Re<ords 

I am writing to state the importance of the identifyin, information included within the Social Securiw 

Administration Death Index (5501). I use the SSOI every day in my forensic ,enealo,ical practice. 

To gain an appreciation of the value of the SSOI fo r the accomplishment of my work, I would like to offer 

a brief explanation of my business. I have worked full time for 22 yea rs exclusively conductin8 fo rensic 

genealoaical investisations for attorneys and trust officers. Wh ile I wo rk on a variety of types of le,al 

cases: all involve identifying, locatin8 and documenting people for the purpose of distribution of asselS. 

My expert testimony, written and/o r oral, is required for the purpose of identifyin8 individua ls defined 

by approp riate statutes. In Ihe tase of an administration of an estale, the individual Slate statues define 

in senealoaical te rms the heirs-at-Iaw who are e ligible for in heritance. By collectin, documentation 

about the family members and analysis of the data, we are able to olferlhe court·qua liW evidence to 

mp~rt thr hrirs. Each prr>on in Ihr bmily mu.1 be idrlllilied u.illS as many primary documrnt; B. 

possible. The SSOI is critical to Ihe performance oflhis research. Often we are workinS with no clues 

from the family about the fate of other family members many of whom may be deceased. In each case 

Ihe available idenlifyin8 data for individua ls va ries but commonly we have almost nothing. Each 01 the 

components of the SSOI are useful in identifying family members. 

Other types of cases on wh ich we are asked to provide expert testimony are probate of wills, W!i!l.8 

titles to real estate, 8uardianships, ownership of intellectual propertY, and distribution of assets Irom 

l!l!ill,. 
132 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.102

Feb. 13. 2012 

TO: House Ways and Means Comminee 

FROM: Alex E. Friedlander 

53 Tidy Island Boulevard 

Bradenton, Florida 3421 0 

941-792-9618 

aefgen@aol.com 

STATEMENT CONCERNING HEARING ON SOCIAL SECURITY'S DEATH RECORDS 

The purpose of this statement is to register my strong opposition to the possible discontinuation 

of public access to the Social Security Death Index. which I understand is being considered by 

>'our committee as a means to reduce fraudulcnt use of deceased person's names in filing false 

income tax returns. 

The Social Security Death Index is accessed by many different companies, non-profits and other 

entities besides individuals like mysclf who are rescarching their family history. Forensic 

specialists utili7.e the SSDI when reuniting remains of military velerans with their ncxt-<lf-kin 

and descendants. Law offices. banks and insurance companies ulilizc the SSDl lo resolve probate 

cases and to locate heirs. Organizations that help child SUlVivors who were orphaned by the 

Holocaust to find family use the Social Security Dealh Index in locating relatives. The loss of 

this resource will be a major setback for the work of all these varied panics. 

To penalize all the legitimate users of the SSDI in order to prevent the fraudulent use of the SSDI 

by a few persons is not the best way to solve the problem. One solution being proposed is to 

have the government itself use the SSDI to match against filings to check for false claims. 

Anothcr would be to redact the Social Security numbers from this index. A diffcrent al1hough 

less helpful solution for those who use this index legitimat .. ly would be to delay the addition of 

names to the index for a specified time period after the dcath of the individual. 

I hope you wi ll seriously consider my comments, and those of many others who are concerned 

with the possible loss of this valuable resource. and find better ways to solve the problem you 

have identified without restricting access to this imponant index . 

Dr. Alex E. Friedlander 
133 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.103

I am seriously concerned with the potential negative impacts ofH.R. 347S 

introduced by Sam Johnson (R-Texas). Because of tax fraud and other abuses of the 

publicly available Death Master File (DMF) and the associated Social Security Death 

Index (SS DI), the bill, according to Rep Johnson's press release, would "would stop 

Social Security from making this information public." 

This would harm legitimate research such as for: 

Family medical history in tracing inherited conditions, 

Associating DNA of dead soldiers with the correct family, 

Helping coroners find next of kin, 

Use as a tool by credit reporting agencies, merchants, and private 

investigators, 

A data asset available to over nine million genealogy hobbyists. 

There are many legitimate public research uses of the DMF and the SSDl. The 

data aids in resolving probate issues, in finding relatives, and in working genealogy. 

Congress should investigate methods of improving the documentation of reported 

deaths. The Internal Revenue Service should verify that Social Security Numbers 

belong to individuals old enough to legally work and that SSNs do not belong to 

individuals previously reported as youthful family members in previous years. 

Institutions in the commercial sector must make better use of the data available to 

them. 
134 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.104

I am doinS my lamily tree and i would like you to know how important this is to me that you do not 

block ",,<e •• to the social security number dead file. i rely on these numbers quite a b it to locate family 

members who have passed away. i am not alone. many of your constituents are senealosists and we all 

would like you to reconsider your bill. we are lotally aSainst it and il willsreally .tunl our conlinuins 

research. 

please look lor another alternative 10 your plans. there are olher ways to stop i.d. fraud, and all of the 

olher reasons you save lor moving forward with your 

proposal. 

thank you, andrea dudley, 38456 16th Sl. wyandotte mi. 48192 

734·250.-1678 
135 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.105

February 3, 2012 

House Ways and Means Committee 

Subcommittee on Social Security 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their 

personal information, and to protect them from identity theft. However, genealogists DO NOT 

support restricUng access to public records that have very little to due with identity theft 

Currently, four bills are pending in the US Congress that would eliminate or curtail access to the 

Social Security Death Index (5501) on the Internet. I oppose all of these bills, which are: 

- HR 3475, Keaping IDs Safa Act of 2011 http://tinyurl.comi6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534, the tdentrty Theft and Tax Fraud Prevention Act http://tinyurl.comf75de809 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://tinyurl,com/83p4b4p 

(I f enacted, this bill prohib~s disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3215, To prevent identity theft and tax fraud http://tinyurl.comf7fgsd5s 

(II enacted. this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

Rarely has ~ been documented that an individual's identity is violated by access to SSDI; rather, 

the violations occur due to computer breaches from government and private enterprises. In 

fact, SSDI is actually a deterrent to identity theft. As posted on the National Technical 

Information Service (NTIS) website (http://tinyurl.comlyb6e49e), itstates. thattheDeath 

Master File (SSOI is the commercial name of this list) prevents identity fraud, as it verifies a 

person's death. The SSDI is used by credit reporting agencies, merchants, private investigators 

looking for missing heirs in probates, media reporters, university research!!fs, and others. 

Genealogists doing US research located both in and outside the United States rely heavily on 

the SSDI. The Death Master File is a computer database fi le that has been made available by 

the United States Social Secur~y Administration since 1980, 

I oppose HR 3475, S 1534. HR 3482, aocl HR 3215. 

Thank you, 

Anita Scarborough 

105 Sturbridge Lane 

Chapel Hill, NC 27516 
136 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.106

Dear Commin.:e members - I am not sure tlmt J understand the reasoning behind the debme to 

close off the Social Seeurity Death Index. This a valuable source of infomlation for those of us 

who are pursuing our pas\. Social Security records have enable many of us to tracc our ancestry 

and locate living relatives. It would seem thm this infonnation should be available to us by way 

of the provisions ofthc Freedom of Infornmtion Act which was cnacted many years ago to make 

our government more transparent. You might also be clIning off an important source of revenue 

since accessing these genealogical rccords r('quill,'S a fee to possess. I am co-president of the 

Italian Gcnealogical Group. We host a tremcndous data baSI' of vital records for our ancestors on 

our weh site. These records have enabled our membership to make the journey back to their 

ancestral roolS. Sealing the SSDl would rob us of these essential ancestral Tet:ords and make our 

journey back to the future that much moll,' difficult. I urge you and the members of your 

comminec to recommcnd that the SSDI continue to be available to us. 

Yours turly. 

Anthony Di Bartolo, 

Co-president of the Italian Genealogy Group 

V.P of I'ublic Relations 

www.italiangcn.Org 

516-672-8980 

\on\'hp 13@'gmail.com 
137 


dkrause on DSKHT7XVN1PROD with HEARING78179A.107

Association o f Pr o f essio nal 

G ENEALOG ISTS 

161'cbruary2012 

STATEMENT FOR THE RECORD, HOUSE COMM llTEE ON WAYS AND MEANS, 

SUBCOMMllTEE ON SOCIAL SECURITI', WRllTEN COMMENTS ON 

PROVISIONS RELATING TO SOCIAL SECURITY ADMINISTRATION'S DEATH 

MASTER FILE,ALSO KNOWN COMMERCIALLY AS THE SOCIAL SECU RITY 

DEATH INDEX. 

I. INTRO DUCTION: 

The Hom" COlIunincc on \VA)'S and Mc"n~. Suocommincc on Social Security, hdJ " h,'aring on 2 

bru~ry 2012, rCI.,'.nling the accuracy amI usc~ of the Soci.1 &<:urity Administration', [kath Moste[ 

File. "Il,e b",ncalogical cOllunu,,;t)' wa< infonncd that no in\'it~lion to tesrify at the hearing \\xlUld be 

forthcoming, but "..., wen: invited to submit a statement. This slalc""'nt is accordingly submitted on 

IJ.,;,h"l( of the Association of Profcn ional Genealogists (APG). 

II, APG BACKGROUND & CONTACT INFO RMATION: 

The Association of Profcu ional Gcncalogi51S (Imp:/ / www.aPb>cn.org). cstablisheuin 1979. 

repreSl"tl11' more than 2,.100 b>cnealogi<,<.librari~n~. wriTe11'. cui TOrs. hi~torians. inStnJCIO<1'. 

book<clle<1'. publi<hc<1' and o thers i,,,,,,I\'cd in 'C ne~IOg)'- rdatl-.J bu<inc<scs. APG c"courat.>e~ 

ge!ll:~logiCllI c.~cdlcnce . ethical practice. mentoring and educaliun. The "'Wni~ati(>n ~lso supporn 

the presc{,\'ation and accessibilit}' of records u,;cf,,1 to the fields of genealogy and history. Its 

nll'mbcrs rcprcSl"tlt 011 fiftr state., Canad •. ~mJ thiny ulhn COUntric •. 

The missiun of the Asooc;ation of Professional Genealogist. i, to .uprort thooe enW'b>Cu in the 

business of b>cncalogr through ad\'{>cacy, collaboration, education, and the promotion of high ethical 

standarus. 

,\.wciluion of Professiunal cnc~l()giSls 

1'0 BOll: 350998, We'lmi'mer. CO 80035·0<)98 

tel. 303-465·6980 fax 303·456-8825 

m~il: admin@a]lb>cn.ol); - Kcnyatrn D. Berry. APG President 

Contact for purposes of this srnt~'fTlmt: 

Debbie Parker \,\Iayne, c.;nific..J Uenc.!ogist "nU APC Region 2 Director 

1'0 Box 397, Cu.hing, TX 75760-0397 

lei. 936·326.910] 

c_mail: uebbieparkerw'yne@gmaiLcom 
138 


dkrause on DSKHT7XVN1PROD with HEARING78179A.108

l\s:«l<:iotion of I' rofcssional Genealogists 

SratetnCnt on 2. Feb"",r\' 2012 Hearing on 5.'iA !)eath I\bsrer File 

III. APG STAT EMENT: 

Thank rou [or th~ oppornmicy to prc,;cnt our COne • .'mS T<'garJing th~ proposed elimination or 

,eduction of pubUc access to the e",nmercial ven<i"n of the Death Ma,tcr File (D I\I1'). the Sueial 

Security Dca,h l"del< (55!)I). For ,he I'urpo""~ of Ihis ~ta,eme",. we will be: addressing access 10 Ihe 

SS!)I nuher than Ihe D I\IF. as the &"DI i~ Ihe "en;ion Ihal ~,'encal''b~$ts arc pcnn ,,~-d to ",c .,;s. 

\'\'e W~= disappointed and conc~m~-d that the !l"nc"I"b~cal community w". not u",it~-d to participate 

at th<· Feb"""y 2'"' hearing. The Records P'e,;c"'·ation and Access Comminee (RPAq is a 

conwrtium of OT),,,,ni~~tions of the !,'enealngical communit)'. an imponant stakeholder in the 

proposed legislation. RPAC h.< been "'orkinI,' lircle"l)' "ith the Su1x:ornminee staff since mid· 

N""L'fI1ber _ prm'iJing information on genealogi''''' USc of ,he .'iSDI anJ >11ge,""-"Sting k#slati,·c 

lanb'U~h""-' to <kwr identity Iheft while relaining public ace<·S,. The Association of Professional 

Genealogists is c"en more concerncd as many of our members cam aU or pan of their 

income from genealogical research. Acccss to thc SSDI is critical to thc socccss of many of 

oor cases. 

II is ironic that a system Ih.1 ,houtd be used to pr~'vent identity theft (by permitting employers, 

financi31 oT),>anizations. in.o"mc" comp3nies. f>"nsion fund •• and olhen< thc abilit)' to check nameS 

"J.,>ainsc those deceased as reponed on the Dealh Master File).' is nO\\' being dctennin~..Jinapproprialcl)' and "ith no e,·iJence sopl">rting the condusion-llS 3n ins1n.unem of itlenlity Iheft. 

We .uPI")f! ,he Su1x:ommirree's imem 10 prol.-C' the re8idenlS of the Unit ~..J SlateS from impmf>"r 

u"'g~ of th~ir pe"",nal information, and to prolect them from identity theft. Bot rnrct)' has it been 

documcnl"J lI13t 3n inJi,.;Juat's identity is viola ~..J b)' access to "ital r~-cords or the SSDI; rather. Ihc 

violations occur due to computer breaches from h"wenuncm and prin te enterprises and thdts fn)ln 

indi,·ido.l homes, A 2009 srudy ,Iated "Ul the last five years. "pproximately 500 million R'Cords 

containing f>"rsonal identifying infonnatio" o[Uniled Stales rc.idents "ored in ~,,)\'~mm~nt and 

curponm' database~ w;ls ' {sic] cich"r loot or stokn.'" Man), of these cumpot<'r breaches ha,·c 1X'.:n 

well document~..J in ,he pres •. ' 'Ine Fedeml TraJe Cn1lllni&<ion ro:pons iJenli!)' Ihdt i~ more 

commonly the re.utt of Iheft from di=nIcd mail. Iheft of purses .nd watlcts. and con job!; where 

thi 've" obtain confidential information through decl.'pti'·e schetnC •. ' 

Removal of the SSDI from public aCCe% "'oold n01 necessarily reduct· the problem o f fraudulent uSe 

of a Social s..'Curi!)' number. As it ,,';l! no lon~oer be: ,,·.ilabtc a~ a reference check t<> many who uSC it 

as an idemi!)' theft dderrrtlt. it ""')' weD increase idemi!)· theft. If b",,"cnunem aJ.,>encics and bu~ine<s 

firms used the &'iDI to confirm Social s..,curi!)· numbers of deceased p"lSons arc not being used 

imp1Uf>"rly or ilk-gall)' the SSDI coold reduct, Ihe probkm. 

, ""p:II ........ ,"'"',p/"""""' .. I ... _dmf .. ,p, , h"p:II ......... .Mlm';'f'h<f,""fo/b«II<h<'OO .• 'I'. 

, h«p:II ......... ,_oo.oom/buoi ...... 1 orocksl !J.»8/0l/18/r;:ro«'_"'"'" ro"U .... b)' _rompu<<t b«'><hi 

h" 1"11 ......... """""'.roml ,....~/ 1oeoJJ ."",1<-..Jb'.l8«J8.RJ.I3. Y17~·'h 76 -I7l21 ol t t l~6, h,m! 

b"p:II ....... ' "fC ....... ,roml "",,~/1o<o!I .....,l<-jJt.dJ8< 2·1·1 -160. t t olr·9 t c6- 001 ,<-I<O.ll86.h,m! h"I'II ........... -.u."""""""L<urn/ puIi"'.I...,. .. ·moIi"'Y.br ... fOOlntO.b.int\-u'lfonn<;l _al .. t<>Irnp<""""'. 

do <>J~1 t/ ll /23/K1Q.\<R:-.:t ftN_."")",htm! h''T'II • .,..j.I'h ... ki''''''' ..... / ... ..M'''~ ./ di,pI>f,'..,,2HU2S,llO .php (:or«. t I. • 

.,..J \';.-.., ... IM\l_ (200'1). lJ"""",.oo;ng i..knoly , ... r" 0«,"';""'"""""",, Qf '''',dn-", .00 ''''''''''' c..--I J"""" ~. )I(l). 

l::>9·J.l9_ 

, ""1"11 ...... ,. ("""" /lxpl Nul micro;j,<>! ;',1< "'i, II "",,,,,,,,,,,I.""', .oJ,;""'l"'''' ft, h, o~ 
139 


78179A.109dkrause on DSKHT7XVN1PROD with HEARING

1bo-too<J><I1"""'I""'11:dJ,~ • 

Sm~J "'-i=..li 

-lu'l·""'JJ<>-I""""" .... ~' .. IlU I"'<wwo> :fu~" ...",.. ....... ,-'"mwJ·""PI"'"1." .. I""I6(n.'·()IIXI..."·""'...,,.u.11:dJ l~ , 

IOU sf '''':"I~~Jo Iu.JW:"l~JOJ"., '\\~I J~'P0 '11~'" \1u!I!lJ."lo()~ .'r.'1'" '~I ~'1"U'l' p~~!~~d< .. "",.>..I:"IlU! 

''','W~'''oJ'''''''''1·.:"Iu .{EII udu,".L "'1' "! u")luudo pn"'J ~O<l •• 0:." '(n.l.0(pn.L ""!J!lJ ..uo •• u.""U'l 

""l~) ,P~.UIU]"lI "01l...,0>d0.. ·sl"np!."p"! p"".~""p 01 spunpJ \1"",.8 1',o.,. 1'I\1nll ,b'l' <li~pU! 

'1'"~p J'I' 1S<~oi!u 'Wm;)l "'" U! p'"'pnpu! "'",[Uflm '\ llIn~"S 1"P''S UN ,(p")lnOJ 0) ;'1:>." ~"1I1 "'I' JI 

;)A!l:lllOJd ;)J0l'<l;)O 0) SP;)"N SH I 

·s~<O<.!Jnd "0!lEUI"d"" JOJ 1'''" .... E" ~IU"" 01 s.T.><:Jwaw '{IIlUI:J ~I":>OI 01 s:>'"pU"tIl 

'I'!'" SJp""ii.I",uaun"a" o:'! 1"'1,0 pUB 'SlInO" ',U.'!r.W sn "'I' 01 SISO" "'I' """"I"U! • 

1'''" ',(.pol ,tuuno:> ,no S"p") 

s;>().\\ "!W{)UO;),l '''I' OJ ~U! PI'" 1"'1Ury: ss:>ur."q J" IllO s,sFioIE.,,,:>:j I"UO!ss"JOJd ,(U"W ,",;)JOj • 

:,(r.'." plno:> laSS ~lp JO S'O[ "'u. 

's,,>,,:"Iu!snq lluWS ''''"''I' JO sue"w "'1' puo,{",[:u. -,.b'Ull))" .(q p""n 's!l'''NS!~7"l SB 'pns ,,,,,eq.'.p 

01 '"O)ld!-,:>sqnj; 's~SS",,!snq UOSJ;x! ~liiu!s 'Il.ws s. ~Jo.", s]&>l"",,~ii le"o!s."JOJd JO :i..l!-'O!UUI "'lL 

'W'"''11 ;lop '1~.'U,"l :"1,')";),11 0, W:"I'II IOJ ':"1[>10 U! sl~np!,,!p"! 

ftU!"!lJo u0!l""~!l""l') aJ!"h.11 '"'1' <:"'S<! sl'lll1' i!"!" 1'''" .1l,.ximJ '''E.),ooll'! J:"I'I'" """I~ • 

. , .... "J .1li""OJ lllJ:"I"!w P"" .,ulj'r." "! "':"Iu."" ["Jl~1' JO "O!'"~~!'''JpI • 

'SlU"OJ~" ~~""Jns,,! 

1'''. l'tuJ ,oJ 1'''. sjJno" "'1' ,oJ S."." ,"JUJajlJ,lS ",.,S,' pUB JI"qOld "! "'!"'1 JO "O!J"~~!l"JpI • 

'S"0!l"""[:U ,U.lJJ"''''' OJ lOud SJ!r."'"J '~!l"" 01 U!~ JO ,Kau J" "O!'"~~!l"JpI • 

'1"1'"q JO ".",xiK" :"I'l' lU=",'(~ ~'1J s"" .. S!'I' 'punoJ "'[ ".J '~!l!'l'"J "'I' ""'L:>'\ ;.xI"" 

"nw SJ.lUOlo.:> 'P!'1'\\ '1'~" UJJlqmJ I''''''!'E''" "! 'I 'p~",!"pun .il[l'lJl!].U • • b'll os S~!1!'''EJ 

"'1' P"!1 01 ~Iq~ d""'I" IOU """ ''',:>0:>3. )u,",Wl1T.>,'o:'! ~'1' lOq 'U l\O"~ :uu JIJo.xI ;):;"'1' 

JO ~"!Jnu.Jp! '"''IJ. 'suoSJ:xl p~ t:>J.lp p"",!"pun JOj untjO lX,",U J" u0!lool puc u0!l~J!l!'u,'p[ • 

'I"~UJW".w.i 's'n "'II 'OJ ,:s:uJ a_'!I!rod snmWOl1.' """"""",'1 I""(OJJ 

l1o!l"!'l"J:u p"uO!:I:>d VII\1 / &O<I S!'ll'u"",o,,, puc U;lW~J! >..I:r;; .tlH1!l!w U.J!-';lWV p;):; ~J.'p 

,ol .11 !l""p!J" "O)lVLW~"OJ ''<'<OIl" <>l ~JOuop VNO I")lu",oo JO uo!l"~<Jl P"" "O!'~J!l!'U"pl • 

:Jl'np"! ' '''"J .lro'l' 

JO :>rut'S "[01>'S "'1' "! "IQ" I!"'w ""!'OLW"J"! "'I' )o0'l'~" "".'loS ",[lOlI""J 1"'1' psu -'''BW un ¥(~" 

SJ'~"l.Ju",i I"U")SPJOJJ ·.uo)S!'I .ir.w"J i""""';x! '!~'1) U! I}"""l,"") SJu·,!P 'OJ '1"'"""'"" ll"!'ll'0),Jd 

01 "o!'!pp" "l 'P""''1'P''!1 JIlO 'OJ laSs "'1' 01 "~"J" ~'I' ''0 pl1:xl"" "'FioI",","Jil ["UO!S<.lJOJcl 

f ,,;jetl 

S,S~OI"J""~ l11"O!SS;)}OJd 

"IH '''lS"N 'P""O V~'S uo i"j"!-'""H ,10Z G"ruq~d Z lI0 "''''''''I.'S 1>!*>IPU"!) ["UO!ss"JOJd JO IIOP"!"''''''' 
140 


dkrause on DSKHT7XVN1PROD with HEARING78179A.110

,\ssociation of [>rof~s~;onal GencalogisfS 

S.aremem on 2 Febnmy 2012 He~ring on 5.-;,\ I).:a,h MaS'cr File 

au,horized .0 share ;nfonna,ion wi,h local law enforc~'men, d~"[>arunenrs, hampering efforts ,0 

protect ,he;r citizens. If ,he federal gm'en,meo, is scriol1s about addre«ing id"",i,}' ,hef, tha, uS<..,; a 

pe,.,..,n·. Social Sccuri'}· ~umber, th~'fl ,he IRS needs to be given legislative au,hori'}' to share 

information "ith local. coumy aod sta,e law cnfor<:<.'fTl<·n! organilationS. It was al<o ",ated tha, filing 

,aX refunds fi>r under 510,000 "ill nO! b"'t an)' attention. 1\5 "Operation Rainma~ct" found the 

a"erage tax fraud " '3S about 59,500, bdO\>.· the 510.000 threshuld." This is .nuther practice that the 

Conb'l'<!SS needs '0 re,·i~"" .. as ,he criminals who "re perpetrating ,h;. fmud know rh~")' "ill I,., 

uodetec'ed. 

It a10.0 became "ppar""t in Mr, Agio'. te"timoo), to the Subeommittee hearing on 2 February 2012 

that the IKS assumes the first person filing i~ the "kgitimate" filer and by inference. the s~~ond fikt 

is the fraudulent pany. The IRS needs to amend thdt practice when the filing in"okes a deceased 

child. to re'lu;re some ,·erific •• ion to delennine "'hich is a ".Iid filing_ Unforruna,eI),. $;nce the IRS 

ad\"{>cat.-d ek..;rronic filing of ,ax rerum., one unexpec,ed con"'-'<luence i. the remarkable increase in 

tax ideno,}' thefr. 

Suppon For ErrORS to Ceasc Identity T heft 

Genealogis,s arc strongl)' oppos..-d ,0 idemi,)' (heft and suppOrt efforts!O StOP it immedia(e1y, using 

,ool~ already available to go"'en~m ab",ncies. For ~xampk: 

• lfincomc r:t~ retun" "'en; ek~'n>rlicaU)' compared ,t> ,he I-bsrer Dea,h File, matching C1l~C;; 

could be fla)!:!,'t.x1 for s(",cial proce,,,iol\,, and (he ("'''''''' auemptiog w creatc a tax fmud could 

be stop(",d before the fmud occurs. 

• A p.rent·s "'>cia! ",-'COri')' number should be rL'<luired ",hen filing a I"" rerum for '0), minor. 

lr is .0 extremel), mre occurrence that. minor child vmuld not be listed 3S a tk:l"'ndent on 

the parent or guardian'S t.~ f~jng. If Ihe minor dic~. the IRS could ha,·<' a procedure to flag 

any ftlin!,>'!' w;lhout the parenrs social S<.~uri'}' number. ag:lin pre"encing Ihe fmud. Draft 

kgisla';"e languab'C "'3S prO\';d~-d to the SuocomrniUee ~taff on Janu.ry 24, which "'ould 

facilitate jus, ,hi. pre,""n,;on of idenri'}' theft 1"''f'C,m'LxI on children_ 

• '[1'e NalionalT aspay" Adl'fXd/t! &port 10 COHgrmfor lOll l"-~ificallr highliglm the bencfil< 

of the lit.., Is,ued Ident;'}' PmU,ction PINs' and suf'w'"'s rllaI ,axpa),,,,,, should be aUow~d '0 rum off their abili'}' to file tax retun,s ek-.:,ronically. '\ny familr that suffers a death could 

e1ecl '0 rum off the ciec,rooic filing abi~'}·. 

• Criminal penal'}' ",aru,es for tirosc who fraudulenrl)· use Social $<.'CUri'}· Nwnbers. including. 

but not restricted to. those who misuse their f'O"icions (/.t, hospit.l, m~-dical inslimoon and 

office (,<'rsonnci. financial and credit card organizations personnel. prisun cOfr ~ciuns 

officer. coUege or un;"e",i,)' registrar etc.) 

, ht'l"II .. " ... ·. y<:>UIUb<_coml .. ~!<h ;. ~1t;I'S 11'0 7 \t~ • 

• 1"'p:lI .. " ... " ... .go<·/"""'/ ... pd fl ~l(J.I ,I'M 
141 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.111

Association of Profe~sional Genealogists Page 5 

~!aten'enl on 2 l'ehroa'1' 2012 Hearing on SS,\ Death 1I.laSIcr File 

• genealogists are NOT the cause of identity theft; 

• genealogists ha,'c legitimate. professional ~nd lifesaving reasons to hal'c immediate access to 

the SSDI; and 

• pro.ctil'e measures are needed to pre"cnt identity theft and '~ gorouslr pursue and punish 

the T RUE identity thit'ves. 

AI'G respc.:tfully and "chemernl)' encourages Ihe ~ulxornmiuee 10 COOlinllc Ihe commercial "c\'Sion 

of the Dcarh ~Iaster File, kno"", as the Social Securitr Dcath Index, [Q be ~'':lilablc to thc public. 

On behalf of th .. Association of Professional Genealogists we appreciate the opportunity 10 sub,nil 

our COr1'lffi<'nts. and for the occa,ion to bring 10 the Sulxommittce's ,mention the man)' sen;ces the 

professional genealogical communit), perfonns for local. state and federal gO"emrnent offices, 

\X'e look forw"d to working wilh the .sulxommirree ~nd Staff 10 find .n ~ccommodarion rim 

pro,ides genealogist.< with continued munedialc access 10 the SSDI. 

Rcs~ctfull)' submincd. 

Kenyana D. Ikl1')' 

AI'G President 

D~bbie Parker Wayne, Ccrtific<l G"""alogisr 

AI'G Region 2 Director 
142 


dkrause on DSKHT7XVN1PROD with HEARING78179A.112

APPfA 

PO Box 16064 

Columbus, OH 43216·6064 

House Committl!(' On Way<; and Means Office 

Subcommittee on Social Security 

ll02 Longworth House Office Building 

Washington, DC 20515 

Dear Committee Members, 

You are receiving this letter today tJecause we, the members of the Association of Public Pension Fund 

Auditors (APPFA) are seeking your assistance to protect the finances of public; pension funds throughout 

the United States. Since you may not be familiar with our group, we wi. provide some background 

information. APPFA's membership is comprised of the internal auditors of over 85 state and local pulllic 

pen~ion ~y~lern~ throughout the United St"te~. The org"ni!"lion provide) serni·"nnu,,1 wnferenu,~ to 

provide members with continuing education and a forum for networking nd sharing concerns allout 

the risks facing each of our respective systems and/or the pulllic pension system industry. 

While as a group we help oversee more than a trill ion dollars In auets, the common misconception is 

that the predominant risk con<:erns the protection of our investmenll. However. our systems' 

investments are well diversified and appropriately controlled. Public pension systems face an enormous 

amount of risk In prot&ting the outflows of funds. We must ensure that benefit payments are 

accuratety calculated, are only made to eligillie rec ipients, and are termin.ted upon the death of the 

recipient. It is the last point that prompts uS to write this letter seeking your ass istance. 

Advancements and access to electronic pulllic death records in the U.S. over the past 30 years has 

allowed each of our pension systems to greatly improve controls to guard against overpayment of 

Ilenel'its resulting from the death of Our memllers. Often times thes~ overpayments are being 

fraudulently converted for personal use by those individuals close to the d&eased beneficiary. Many 

different approaches are employed I'>y the nal ion's penSion sy<;tems. Most pension funds use One Or 

more of the following approaches to obtain death Information of their members: 

Direct interfa<:e with state or local vital statistics agencies. 

On· line access to public records through services such as LexisNexis or Acturint. 

Contracting with bUSiness partners such as Pension Benefits Information (PBI), the Berwyn 

Group, or others that accumulate national death records and match the funds membership data 

against their death files to identify matches (potential member deaths), 

Access to this data through these agencies and services has saved APPFA's member systems millions of 

dollars in potential losses due to overpayments and fraud. 
143 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.113

APPFA is v"rv concerned atlout rec"nt r"stdctions on th" data that t~ National Technical Information 

Servic" (NTIS) provid"s in th" Social Security Administration ($SA) Death Mast"r fil" (OM F), the primary 

source of death data. A recent interpretation by the Social Security Administration of the legislation 

contained in Section 20S (r) of the Social Security Act has created a gap in the death information that is 

provide-d to our pension systems. Our members no longer have access to death data that is provided 

under contract to the SSA from various states. As a result of this change, the amount of death 

information has declined by approximately SO%. This has undoubtedly le-d to overpayments to deceased 

annuitants and beneficiaries at a time when the public pension industry can least afford to erroneously 

payout millions of doliars. 

Prior to November 1, 2011, our organizations had access to the complete Death Master File which 

helped to ensure that we were only paying monthly benefits to live annuitants and beneficiaries. On 

behalf of the members of the Association of Public Pension Fund Audit ors throughout the United States, 

we urge you to pass legislation to al low authorized government users such as public pension funds and 

authorized death verification vendors' unrestricted access to the complete Death Master File. 

AuthOrized government and death verification vendo~ will have no hesitation to agr~ing to any 

confidentiality clauses In any contract with the Social Security Administration because these users do 

not publish anyone's Social Security Number living or dec"as"d and take these confidentiality clauses 

very seriously. Should you have any further questions about this letter, please contacl me. 

Thank you for considering our '''Quest. 

Sincerely. 

Steve Hayward 

APPfA President 

Website: www.APPfA.org 

Email: shaywa.d@su,s.o'g 
144 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.114

U.S House of Representatives 

Washington, DC 

RE: SSOI · Social SKurity Death Index 

Dear Congressional Rep,: 

Keep it Public 

Arthur Whelan 

285 Borel Circle 

Palm Bay, FLA 

32907 

FEB, 2012 

This is to urge you Not to pass HR 3475, which would close public access to the SSDI, which fs a 

resource of great value in several areas. I believe you have reports from RPAC ' the Rocords 

Preservation & Access Committee, This details the public use of the SSDI. which is a Pro-security 

asset in preventing identity theft. Someone using the SS 1/ of a dead person - unless W()(king on 

probate - may be up to no good. Businesses and law enfOfcement agendes can readily use the 

SSDI in checking on such cases. 

I am an amateur genealogist - Of family hfstorian - with 15 years of experience, and a member of the 

Genealogical Society of South Brevard since 2000. This society, with a website at gssb.net , is 

located in Melbourne, FLA. 

Accredited professional genealogists use the SSOI for important purposes. These include assisting 

coroners in finding kin of deceased persons, and helping families with medical history and DNA 

investigations - which can Help Save Lives. They also help families of mfssing/deceased milrtary 

members. Please contact RPAC for more infO. if needed - though I hope you already have that 

Myown use of the SSOl over the years illustrates another important use: 

The SSOI fosters Family Values at their best. 

Using the "final Iocations- on the SSOI, I have been able to order many oMuaries, which usually list 

survivors, whom I can then contact with a friendly letter and one or more pictures of common kin. 

Those survivors are free to respond, Of not - most do respond and are glad to hear from me. This 

has led to ongoing correspondence, sharing of photos and other information, and even in·person 

viSits and gatherings. Following are three notabie examples of that. 

Via the SSOI, we contacted a CT family. They visited NY, where we were able to take 3 cousins to 

the Brooklyn home where their father lived as a young man-a very moving experience for them. This 

family had been looking fOf us. They were delighted to hear from us, and we have been in touch ever 

since with these wonderful people. 

This family had 6 branches. Because of SSDI access, I was able to contact surviving members of the 

other 5 branches and send them prints of this grand classic portrait All were most grateful. 

The lady at front right is a living 1st coosin of my father Adrian Whelan (1912-1957), contacted via the 

SSDI. We have met in person and exchanged many pictures and stories for several years now. 

These are outstanding examples of the value of the Public SSOI for family history and Family Values. 

For this - and the other positive uses of the SSDI - I urge you to keep this Index pUblic. 
145 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.115

Respected Leaders, I am writins today to voice my dismay and disapproval in resards to this bill. 

Restrictins public access to such information will cause much disappointment. In keepins these records 

closed up as information not to be accessed by the public many of us will know our family linease This 

may not seem to bother you on the surface but, the stress one feels when they seek answers abooout 

their ancestors is very real. Please do not cut out one more place in which to search for the outside. 

Have a sreat week. 

8ette Mae Rilchotte 

80 South Main St Shickshinny. OA 18653 

bettemae@pa.metrocast.net 

I pray you keep the thousands of us who wade throush so much information in search of one more 

piece, Oon'l fr~ze yourself tonisht in the cold ... be careful in decidins. 

feb. 02,2012 
146 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.116

February 4, 2012 

Blanche M. Wallace 

1420 W Harvard St 

Orlando, Florida 32804 

407-423-0094 

blanchew@bellsouth.net 

Re : Social Security Death Records Hearing - "Keep IDs Safe Act'" 

ThiS is written on my own behalf as a family historian who uses the Social Security 

Death Index (SSDI) to research the history (especially. the medical history) of my family. 

Using the SSDI to obtain the place and date of death allows me to request the correct 

death certificate from the appropriate state agency. The medical histories created from 

this research allow the living to better inform and plan ahead with their physicians. 

Without access to the SSDI, this type research would be eliminated or severely 

hampered. 

Obituaries (print and digital) provide date of death and can easily be used by criminals 

for the purpose of identify theft. However, obituaries rarely mention the cause of death 

so they can't be used for the purpose of tracking ancestral medical history. 

In fact, the SSDI is a deterrent to identity theft according to the National Technical 

Information Service (NTIS) website (bn p-jltjnyur! com/yb6e4ge) which states that the 

Death Master File (SSDI is the commercial name of this list) prevents identity fraud. as 

it verifies a person's death. In addition to fami ly history researchers, the SSDI is used 

by credit reportin9 agencies, merchants, private investigators looking for missing heirs 

in probates, media reporters , university researchers, and others. 

Rarely has it been documented that an individual's identity is violated by access to the 

SSDI ; rather, the violations occur due to computer breaches from government and 

private enterprises. A 2:009 study stated -in the last five years , approximately SOO 

million records containing personal identifying information of Un ited Stales residents 

stored in government and corporate databases was [sic) either lost or stolen"'. Many of 

these computer breaches have been well documented in the press.' 

, httoJIwww.idenfMhef\.infoibreacbespg.asDx 

,. 

http:I ............... bo$l00.com/business/articleV2QQ8JQ3JI8/grooer hilnnaford hit by computer breach! 

htlp:llwww.ncfmes.com!r.ewsIlocallartjc!e 3b98ce38-fO<I8-597e-9a76;-47321 d11 432S.html 

htlp:llwww.gcfmes.com!news!!ocallartjc!e 06c!38e24-146a-lldf-91c6-001c04c0328§.hlml 

Your consideration of these points in favor of maintaining open access to the SSDI will 

be appreciated. 

Thank you. 
147 


dkrause on DSKHT7XVN1PROD with HEARING78179A.117

Leslie nrinkley Lawson. 

President 

Council for Ihe Ad"aneement of foren sic Genealogy 

5 180 SW 198thAv 

Aloha OR 97007-2964 

503-649-6679 

Lesli e@LawsonReseareh.net 

Dee Ilee King. C~ ... ,r.t'1l Cenull>\:,SI, 

Secrela'1'-Trcasurer 

Cou ncil for the Advancement of forensic Genealogy 

1'0 Box 1085 

Ma nvel TX 77578 

28 1-431 -3525 

King@ ro rensicgeneaIOI:)'serl'ices.com 

Chairman Johnson Announces a Hearing on Social Secu rity's Death Records 

Submission for Ihe record: \\laysandmcans.submissions@mail.house.gov 

The Council for Ihe Adv3rtCemeni of Forensic Genealogists supports open public access to lhe 

SSDI, Social Seeurity Death Index. the eommerciallCml for the Social Seenr;ty Administration 

(SSA) Dealh Master File (DM F). 

As professionals lrained to eile the sources of facts us..-d in our reports. WI' find it alarming Ihat 

testimony presented during Ihe House Ways and Means Sub-eomm;lIee on Socia l Security's 

Death Reeords failed 10 eile a single source which proved Ihal access to the DMflSSDJ was used 

10 perpetrate fraud. Indeed. a minority of such cases may exist; however recent studies fail to 

memion DMF/sSDI as a proven source for fraud. I 

The hcart-wrenching lestimony of Mr. Jonathan Agin concluded wilh his open admission Ilmt he 

could nOI prove that the DM FISSDI was Ihe source for the fraud perpetrated upon the Social 

Seeurit), number or his deceased daughter. Mr. Agin clearly admilled that it was only his 

(l;'.wlllpriQ" thai DMF/SSDI was Ihe sonrce and thai othe r possibilities existed. 

Social Securit)' Commissioner MichaelJ. ASlrue testified thallhe original purpose of the 

DMF/SSDI \\las 10 prcvent fraud Ihrough ils open access by banks and other financial 

institulions, Commissioner ASlnle weill on 10 state Ihallhe use of the DMF/SSDI has changed 

over Ihe years. and tha! some oflha! change has included use for fraudulent purposes. However. 

the Commissioner faiicd to c ile a single source of evidence Ihat proved DMFISSDI was Ihe 

I Fc-deral Trade Commi .. ion (hlll':lI"ww.flc.govlbcplt'1luimicrosilesfidlhcfllconsumersiabool·idcnlily·lhcfl,hlml : 

accessed 15 February 20 12),I'ri"acy Rights Clearing house (hlll':lI"",,w.pri"ac}'rights.orgiarlldlhcfl'lln'O)' •. hlm : 

accessed 15 February 20 12).N'lional lnslluJIr of Juslice (hllp:llnij.go''/Iopics/crimelld.lhefll''·clcome,hlm : accessed 

15 I'cbrutlJ)' 20 12)Ja"ciin Slral<iIJ" & Kc"""",h (hllps:l/www_javdinsH",ciIJ''.comlbroc:hurell 'J2 : ao<:«sed I S 

I'cbruar)' 2012). 

Coor.cil for the Ad,'anecmenl ofForensk Genealogy, I<Slimony for Chai,man John ... n Announc •• a Il ea ring on 

Social s..;o"ly·, Dealh. 16 February 2012, Page I of4 pages 
148 


dkrause on DSKHT7XVN1PROD with HEARING78179A.118

source for fmud. 

DMFfSSDI has evolved into a tool used to prevent fmud by many more entities than those 

originally intended. the banking and fi nancial institutes. Human resource depanments large and 

small depend upon access to the DMFfSSD I in order to meet federal guidelines on hiring. These 

federal hiring requirements nO! only address fmud, but also aSJlC'!ts of our nation's war against 

terrorism. 

DMF/SSDI has also become an invaluable resource to those who conduct gCJl calogica l research. 

both privately and in the public and business seetor. Testimony during the Sub-commillee's 

hearings appeared to make scapegoats of tile genealogists and the use of DM F/SSDI for 

genealogical purposes. 

Genealogical research is a mauer of using various tools to accumulate data to discover the truth. 

DMF/SSDl is an irreplaceable resource used across the commercial spectrum, such as allorneys, 

b.lnk and trust companies, title com panics. oil and gas companies. medical rescarchers, forensic 

genealogists, and others. 

A few examplo:-s of genea logical usage arc: 

The Department of Defense is mandated by Congress to rep.ltriate the remains of our 

unaccounted-for service personnel. The vast majority of American losses date from World 

War II. Researeh for family members of servicemen in World War II and the Kore~ln conflict 

is eSJlC'!ially dependent upon access to DMFfSSDI. Many servicemen from this time period 

wcre born prior to state vital records. as certainly were their parents. With the mass 

migmtions during the I 930s, I 940s, and to some extent the 19SOS. DMI'/SSDI is very often 

the only resource that military contract genealogists have to trace relatives whose genea logy 

is vital to identifying family members eligible to submit DNA Family Reference Samples. 

Ocpanment of Defense currently estimates that 83,000 Americans are unaccounted-for from 

World War II , Ihe Korean War. Ihe Cold War. lhe Vietnam War and the 1991 GulfWar.2 Our 

government. our citizens. the fami lies. and our service personnel rely upon the services of 

gcnu logiSI$ to accomplish the missions oflhe Defense Ocpanment and the casualty 

divisions of each of the military branches. 

OrganiZ3tions which work wilh coroners 10 find Ih .. f3mili .. s of unclaim .. d servie .. ]>I'rsonnel 

and other deceased persons depend upon genea logical research to solve thesc cases. 

The DMF/SSDI is a vital tool among legal professionals. especially in probate and other 

cases which involve proving heirship. In states with closed death records and no published 

dealh indexes. the DMF/SSDI may be the only resouree for tracing and proving heirship. In 

closed records states.lhe DMFfSSDI record may be the only source available that meClS 

evidentiary rules for admissibility for documenting deaths to the satisfaction of the eoun. 

Title companies, oillgas and mineral companies usc the DMFfSSDI for the same reasons. 

When oil companies cannot trace and identify lineages from original mineral owners, the 

unknown heirs cannot be identi fied. In these cases. couns often issue orders allowing drilling 

and produclion. Heirs 10 the minera l rights are in effe<:t cheated out oftlleir economic benefit. 

Next of kin in guardianship cases, yomh lransitioning from foster care, adoption require 

1 Ocf""", Pri""""rofWar. M;"";ng I'e,sonnet om"., \http://,,·ww.dtlc.m;Udpmol,ac:ce,,,,,,d t5 February 20(2) 

Coo",,;t for Ih< Ad,."""cmonl ofl'on,"s;< 0'"",310g)". lesl;mony for Chairman John ... " Anno,,"«. a " oa ring on 

Soci. 1 $«"rily'. Dc • • h. 16 Febr ... "ry 2012. Page 2 of4 pages 
149 


dkrause on DSKHT7XVN1PROD with HEARING78179A.119

gcnca logiu l kinship detennillation. 

Capital mitigation in death sentence cases relies upon genea logica l repons among others 

submilled for oonsideration by the coun. 

Genea logica l researeh and facts ure often used in immigmtion and citizenship cases to prove 

or disprove citizenship or residency. 

Determination ofhcirs to civil pension. Social Security. and vetemn's benefits depends on 

genea logica l research. 

Identification o f next of kin prior to cemetery removal is mandated in many states. This may 

involve genealogic a l research over several generations. 

Provenance. class action claima nts. intellectual propeny-rightseases may a lso heavily 

depend upon ge ~l og ca l research. 

On 15 February 2012. Council for the Advanct'mt'nt of Forensic G~nt'alogy polled a d07.en of its 

associates. asking for a descri ption of the usage of the DMF/SSDlm just one rccem case that 

each has worked o n: 

Tina S. in Tennessee - Intestacy case for estate valued at $200.000 in which DM I'/SSDI 

was the sole source for proof of death for thineen maternal aunts and uncles. 

Conni e S. in North Ca rolina - Korcan War MIA case in ,,·hieh DMF/SS DI was 

accessed for both his parents. three of his four sisters and tt.eiT husbands. five paternal 

uncles and their wIves. one maternal aunt and spouse. and five maternal uncles and 

spouses as well as some oftllc children of these persons. DMFISSDI accessed 25-30 

times for this one case. 

Cathe rine I). in Vermo nt - AmlY rcpatriation case. accessed DMFISSDI approximately 

12 times in a search for siblings. half-siblings. parents. aunts. and uncles. 

Michael R. in Pennsylva nia - Adams County intestate estnte that had 22 citations to 

d ifferent persons' DMFISSDI records (out of 154 citations). These helped find a ll 26 first 

cousins once-removed - all of whom will share in the estate. 

Micha el 1-1 . in I)dawa rt - National l'ark Service. at Monocacy Nationall3anlefield 

(Frederick. Md.). Used the DMI'/SSDI multiple (imes to dctennine date and place of 

death of d.:scendants offomler slaves who were owned and lived on this plantation. 

When no other death record could be obta ined. the DMI'/SSDI rceord was cited 7-9 times 

as proof of death. 

J a nice S. in Ca liforni a - He ir search case for propeny to b~ sold. tracked forward three 

generations. Illultiple children in each genemtion. used DMFISSDI for about 20 

individuals in the case. 

Kch·in I'l l. in Texas - Probate case where the decedent was only child. her parents were 

only children. so case goes back to the great grandparems. At present. 172 heirs identifil'ti 

and used DM FISSDI multiple times daily for this case. 

Lesli e L. in Oregon - Quie( title, bank needs to fort.'Close on estate but first needs to 

identi fy heirs. Accessed DMFISSDI 7-8 times during initial stage ofresearch. 

I~"di u R . in ' ''us hinglon . tule - Working with u local police deporlmcnt (0 identify the 

family of a woman whose ashes were found in abandoned storage unit. Accessed 

Council for the Ad, ."c~""'nt ofForcnsic Geneatogy. t~slimony for Chairman Johnson Ann un~"" a lI.ari ng on 

So<:i. t SKudly'$ t)o>. lh. 16 Fcbruar)' 20t2. Pogc J of 4 pages 
150 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.120

DMFISSDI 7 limes for the de.:cascd. her husband. their threc children and daughter- and 

son-in-law. 

Dee I)C(' K. in TuBS - Capital mitigation in a death penalty case. genealogical research 

owr !hree generalions. acecssed DMFISSDI 22 !imcs. (Ms. King has provided the 

Dcpanmem of the Navy Casualty POW/MIA Branch with Family Reference Sample 

dOllors on 279 cases. Her gcnealogical master database shows more than 3.000 citations 

to DMF/SSDI during the course of!hat researeh.) 

Lien II. in Massach llsel!s - Pro bono case. altempting to reunite a Vietnam veternn with 

Ihe surviving family ofanothcr "etemn who died in his arms, The veteran has wanted to 

speak !o the family of his fallen colleague for morc than 40 years. DMF/SSDI accessed 4 

times during inilial stage of research, 

Barbara S. in G~Orgi9 - Georgia estate and have thus far used Ihe DMF/SSDI 36times. 

One living first cousin in her 90s and scvcrnl first cousins once removed have been 

identified. 

Council for the Advancement of Forensic Genealogy respectfully requests that the Cornmill<:e 

please consider measures thaI will he lp the DMF/SSDI mectlhe potential it was designed for - to 

prerell/ identity theft. Loss of public access to this im:placeable resouree will have NEGATIVE 

financial. legal. and other impacts. 

<.:ouncil forlho Adm"oc"",nl nfForrnsio aen<al"ID'. It'<Iimon), for <.:hairman John ... n nn un~u a Hu ring on 

$«i. 1 Sfcudty·. DU lh. 16 t'cbn~ry 2012. Page 4 of 4 p<lS<"S 
151 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.121

N~me, Charlene M. Pipkin 

AddreSS: 328 SOuth 900 East, Orem, UT 84097 

Phone Number; 801-225-5370 

Email: genealo&Ysuide@ymail.com 

Title of hearing: Hearing on Social Securitvs Death Records 

I appreciate the opportunity to provide my per~pective on the ~ccur~cy and u~e~ of the Social Security 

Admini~tration'~ Death M~~ter File. 

If my under~tanding is correct, the information in the o.eath Master File is u~d by government agencies, 

finanCial institutions, medical and genealogical researchers, and workers' benefit plans to prevent fraud, 

wilste, and abuse. As" genealogist, 1 use the Death Master File to help clients find correct information 

about their deceased arn:estors. This often leads to f iling a request for the 5S-5 (application) form, which 

might provide genealogical information not available elsewhere. Many of my clients have personal 

reasons for learning ~bout their ancestry. SOme have legal ~nd medical reasons for doing so. The closing 

of the Death Master file impacts my legitimate research. 

According to the information posted on your website 

(htt // awndmea s.house.g !N s/Oocument5i e.asp~ ?OocumentIO:276834), of the 2,500,00 

deaths reported each year, 14,000 individuals are incorrectly listed on the Death Master File. Although it 

is regrettable that even one death is reported incorrectly, this is a "Iail" rate 01 about .5%. Only a portion 

of that .5% re~ults in perwnal and financial hard~hip lor those who are erroneously listed as deceased 

~nd ~ smaller portion results in identity theft. All sys em~ will have inefficiencies, but 1 believe that the 

benefits of making the Death Master file public outweigh the risks and that other mean~ can be found 

lor dealing with misinformation rather than closing the Death Master File. 

Thank you to the Subcommittee on Social Sewrity for allowing me the opportunity to make this 

statement. 1 am making this statement on behalf of my own interest and not as a representative of 

clients or any other group. 

5incerely, 

Charlene M. Pipkin, Accredited GenealogistT~ 1CA. ~ .... '" "'Mte n ... ,,~ . nd ~ ,,",eo;!eo Gene_IotI,I· ond AG· ""nillcOl;o" m.,~,.re ~ sole ~ Oll~ 

In''' .... ' io .. 1 Comm;'<ion for ' "" Ac<, rd ~., ;o" 01 Prof""io",1 G"""'ioRim. All Ri,hts ", rd. 
152 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.122

Gentlemen; 

I noted that you did not have any representation from senealosists among your people selected to 

testify. 

You must realize by now that any well intentioned attempt to blOCk access to the social security death 

index will NOT deter criminals from gain ins information from which they can steal identities. 

The impact upon genealosists both professional and amateur will be profound. This index is invaluable 

in searthins for ancestors and saining family information. 

Please do not overlook the unintended consequences of any action that you may take. 

Thank \'QU. 

Charles E. Green 

4560 Terrasanta 

Pensacola, Fl32504 

850-479-8235 
153 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.123

February 3, 2012 

House Ways and Means Committee 

Subcommittee on Social Security 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Although the hearing on this matter was scheduled for yesterday, February 2, I still wish to 

submit these comments for the record. 

I support Congress's intent to protect Americans from improper usage of our ~onal 

information. and to help protect us from identity theft. However. I oppose restriction of access to 

public records rarely related to identity theft. 

Currently, four bills are pending in the Congress that would eliminate or curtail access to the 

Social Security Death Inde~ on the Internet 

HR 3475. Keeping IDs Sefe Act of 2011 

II enacted. this bill effec~vely ends public access to the SSDlIOeath Master Fi le. 

S 1534, Identity Theft and Tax Fraud Prevention Act 

HR 3482, To prevent identity theft and tax crimes 

HR 3215, To prevent identity theft and tax fraud 

If enacted. these billS prohibit disclosure 01 a deceased'S Sooal Security Number 

in calendar year of death and calendar year following death. 

I oppose these bills for the following reasons: 

Access to the SSDllDeath Master File: 

1. Does not lead to a significant Ofoportion of iden!'ty theft. 

2. 

The vast majority of iden ~y theft occurs, instead. from computer security breaches of 

institutions and enterprises holding records of living individuals. 

i I ti person's death and thereby helps to prevent fraud (per 

the National Technical Information Service (NTIS) webs~e). 

3. Is vitally important to the work of genealogists such as myself. 

We rely heavily on these records when doing US research both in and outside the 

Un~ed States. Their importance 10 our research cannot be overestimated 

For these reasons, I oppose HR 3475. S 1534, HR 3482. and HR 3215. 

Respectfully, 

Christine T. Rauckis 

992 Woodington Road 

Westerville. Ohio 43081 
154 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.124

21212012 

House Ways and Means Committee 

Subcommittee on Social Security 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their 

personal information, and to protect them from identity theft. However, genealogists 00 NOT 

support restricting access to public records that have very little to due with iden ~y theft. 

Currently, four bills are pending in the US Congress that woukl eliminate or curtail access to the 

Social Security Death Index (SSDI) on the Internet I oppose all of these bills, which are: 

- HR 3475, Keeping IDs Safe Act of 2011 http://tinyurl.coml6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534. the Identity Theft and Tax Fraud Prevention Act http://tinyurl.coml75de809 

(If enacted. this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://tinyurl.com/83p4b4p 

(I f enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3215, To prevent identity theft and tax fraud http://tinyurl.coml7fgsdSS 

(I f enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

Rarely has it been documented that an individual's identity is violated by access to SSDI: rather, 

the violations occur due to computer breaches from govemment and private enterprises. In 

fact, SSDI is actually a deterrent to identity theft. As posted on the National Technical 

Information Service (NTIS) website (hnp:lltinyurl. com/yb6e4gel, it states, that the Death 

Master File (SSDI is the commercial name of this list) prevents identity fraud, as ij verifies a 

person's death. The SSDI is used by credit reporting agencies, merchants, private investigators 

looking for missing heirs in probates, media reporters, university researchers, and others. 

Genealogists doing US research located both in and outside the United States rely heavily on 

the SSDI. The Death Master File is a complJler database file that has been made available by 

the Unrted States SOCial Security Administration since 1980. 

I oppose HR 3475, S 1534, HR 3482, and HR 3215. 

Thank you. 

Christopher Cowan 

12118 Walnut Pari< Xing Apt 934 

Austin, TX 78753 
155 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.125

HR 3475 

Please stop our kids from being targeted by identity thieves who are abusing the master death 

file. Parents of children passed should not have to go through this. 

Tllank you, 

Christy Bergen 

35404 26'" Ave 5 

federal Way, WA 98003 

253-350-4845 

Christybergen@live,com 

HR 3475 
156 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.126

Dear Chainnan JohniiOn and Members of the Commiltee: 

RE: 

• IIR 3475, Keeping IDs Safe ACI of2011 

• S 1534, the Idemity Theft and Tax Fraud Prevention ACI 

• HK 3482 To prevent identilY theft and tax crimes. 

• HR 321 S To prevent identity theft and tax 

I am writing 10 urge Ihat you consider the economic and olh ..... mmifieations that these prop<".lSllls will 

ha~c upon COrnITJerce, the legal communilY, and governmental activilies. 

Pub!ic access to the Oe .. th I\b ster File. Socia l Security l)ea1" Index (SSDI) is an irreplaceable resource 

used across the commercial spectrum as well as by auomcys. ban~ and trust companies, title companies, 

oil and gas companies. nle(lical researcncrs, forensic genealogists, and others. Human resource 

departments large and small use Ihe SSbl as pan of their compliance wilh f~-denll hiring guidelines. A 

few additional examples are below. 

The Depanmenl ofDefcose is mandated by Congress to repatriate the remains of our unaccounted-for 

service personnel. The vast majority of American losses dale from World War II. Research for family 

members of sc"'icemen in World War II and Ihe Korean conflict is especially dependent upon a"css to 

SSbl. Many servicemen from Ihis lime period we .... • born prior to Stale vital records. as cenainly were 

lheir parents. With the mass migrations during thel930s. 19405. and to some extent the 1950s, SSbl is 

very often the only reSOurce that military contract genealogists have to lmet.' relatives whose genealogy is 

vilalto identifying family members eligible to submit DNA Family Reference Samples. These facts also 

apply to Ihose organizallons who work with coroners 10 find the familiesofuocluimed service personnel 

and olher dcn-ase<;I persons 

The SSDI is a vital tool among legal professionals. especially in probate and other cases which in.·olve 

proving heirship. [n Slates with closed demh records and no published demh irnJe.~cs, Ihe SSDI may be the 

only resource for lracing and proving heirship. [n closed records states. the SSDl record may be the only 

source available thai meetS Kules of Evidence for documenting deaths to the salisfaction of the coon. 

Tit!e companies. oiVgas and mineral companies use the SSDI for the same reasons. When oil 

companies cannOltr3ee and ideutify lineages from original mineral owners, the uuknown heirs cannot 

be identified. In these cases, coons often issue orders allowing drilling and production. Heirs to Ihe 

mineral rightS are in effect cheated out of their economic benefit. 

I am a certified genealogist accredited by the Board for Ihe Cenification of Genealogists and I work as 

a contract genealogist in the area offorensic genealogy " 'here il is vilalto have ac.:css to the Death 

Master FileJSocial &eurity Death Index in order to trace the living heirs of soldiers missing from 

WWI I, Korea and Vietnam. Removal of ace,," 10 this source will greatly impacl my abilily to render 

this service for our missing soldiers. 

This isjust a small example of how many in the commercial, business. legal and governmental 

communities rely upon the irreplaceable SSD!. Please consider measures that will help the SSDI meet the 

potential for which it was designed - to jlrt.'W:/l1 identity then. loss of public access to this irreplaceable 

resource will have NEGATIVE financial, legal, and Olher impacls. 

ConSlance T. Shons. Ed.D .. CG'''' 

10-1 locust Run Place 

Monroe, NC 28110 

70-1-283-7249 

£shaml (!teaml ina IT ~Qm 

CG and C."ifi.d Gco><.lolli .. Of< So,,''''. Morl., oflll<: Il<>ard f<>< c."irlC ..... of<>«<.Io,i,u. uS«! "od<, I",."", 1»' boord 

"""ir",..,,, . ft .. p<-ri<>d'" .. ·.IWI'.",. b)' ,n. Il<>ard and tho boo.! "" ..... i, . tradr"'"'~ r<gi ... ,...t in tho US P .. .." and Trodomork 

orr", •. 
157 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.127

Connecticut I'rofessional Genealogists Council. Inc. 

P. O. Box 4273 

Hartford. Connecticut 06147-4273 

08 February 2012 

RI': Hearing on Social Security [kath Records 

To Members oflhe Subeomminee: 

We are opposed to Ihe closing of the Social Security Master Death File. It was created to prevent 

the t}·pes of misuse that speakers at your hearing described. 

Financial institutions. the Internal Revenue Servicc and other entities that use the Social Security 

number for identificalion need to improve their procedures for detecting fraudulent use of the 

numbers. The Social M~urity Administrmion nl'eds 10 create a syslem for ensuring that individuals 

are actually dtteased before they are lisled in the MaSler Death File. We feellha! Ihese isslles can 

be resolved with a minimum of effon. Closing Ihe File 10 the public will not resolve these issues. 

The Social Security Master Death File is an important tool in our work. Closing the database will 

have a negative effect on our ability to conduct our businesses. and will cause us l~onomic 

hardship. A short and incomplele lisl of how we use Ihis database ineludes 

identifying lawful heirs in probate cases 

i<Jentifying relatil'es of military personnel who have been missing-in·action an<J whose 

remains have been found 

identifying relatives of people woo need to understand the genetic basis of their medical 

conditions 

There are compromises Ihat can be considered as alternativcs to closing the Social Seeurity MaSler 

Dealh File to the public. These could include 

nOI listing deceased children until the dale of their 18'h birthday 

nOl lisling deceased individuals for one year after their death 

listing individuals immedialely but nOl lisling Iheir Social Seeurity numbers for 0111' year 

Our position was nOI T\'presented in Ihe tl'Slimony of invited speakers al Ihe hearing on this topic. 

We ask that you consider our position and recognize the importance of this database to the 

American people and 10 the people who usc the Master Death File for legitimate business purposes 

Sincerely YOllrs. 

Nora Gall'in. I'n:sidcnl 

representing the 56 members of the 

Connecticut Professional Genealogists Council. Inc. 

Hartford. Connecticut 

{203}362-2232 

auntl izzic@snet.net 
158 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.128

February 1, 2012 

House Ways and Means 

Washington, D.C. 

Dear Committee, 

[am writing to you in regards to the Social Security Death records legislation. 

[ am the C.E.O. of a company in California that conducts genealogy research for 

missing heirs of estates. Our business and ability to locate individuals would be 

greatly impacted should this measure pass and the access to records be blocked. 

Our business is but one example of the thousands of small business that were 

created from scratch and an idea many years ago. This is what America stands for. In 

the current climate of unemployment and businesses failing. this is not the time or 

reason to place additional limitations and restrictions on those that employ people 

and contribute to the economy in so many ways. 

If this measure passed, the lives and livelihood of thousands of individuals are at 

stake. The SSDI records that we as business individuals currently access and rely on 

cannot be taken away. I could compile a list of hundreds of average citizens whose 

lives were changed because our company located them and through information 

taken from the SSDI determined they were entitled to financial assets from a 

deceased relative. 

Please take in all the evidence submitted and pray on the matter before a decision is 

made to shut down this valuable resource. 

David B. Hogan 

Kendra Asset Recovery Inc. 

28020 Durham Place 

Santa Clarita, California 91350 

Kendra@soca lrr.wm 

Social5ecurity Death Records Legislation 
159 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.129

As 11 professional genealogist, I am very dislurbed allhe possibility ofpernmnently abolishing 

access 10 the Social Seeurily Death Index. Beeausc many Slates won'l release dealh rc.::ords for 

many years following a person's death. the Social Security Death Index is a prime source for 

genealogists to access Ihis imponant vil3l infonnation. I realize thaI Ihere is some concern over 

identity theft and the illegal use of Social Security numbers but the death index could be made 

ava ilable wilooul including a social seeurily number. I hope Ihe eommillee will give professional 

genealogisls a chance to comment on this in person. Thank you for your time. 

Debbie Gurtler 

Professional genealogisl 

949 N. Fox Hollow Drive 

Nonh Sail Lake. UT 84054 

801·372·7785 

d~gurt ler@'gmail.com 

Social Securily Death Records 
160 


dkrause on DSKHT7XVN1PROD with HEARING78179A.130

Dee Dee King 

Certified GeneologlsllM 

orenslc Genealogy SefVlces. Ll C 

PO Box 1005. Monvel TX 77578 

16 February 2012 

Det' Dee Kin g, C~rlirltd C<nral"l!i>r, 

forensic Genealogist 

telephone/fax 281.431.3525 

email ~ing ForenS;cGeneologyServjces.com 

Conrl1lCl Gl"nl"alogiSi (or rhe Navy POW/MIA Branch, Casualty Deparlment 

1'0 8o~ 1085 

Mnnvcll'X 77578 

281 -43 1-3525 

Ki ng@foren sicgenealogysen'ices.com 

Cha irman Johnson Announces II "clIring on Social Security's Death Records 

Submission for the record: waysandmeans.submissionS@mail.house.gov 

I am a forensic genealogist My job is to document kinship dcrcrminaliolls for cases with legal 

implications. These cover a wide range of possibilities: 

• Probate and estale cases - known heirs. unknown heirs. missing heirs. 

• Heirs and beneficiaries of trust and insurance accounts. 

• Due diligence affidavits. 

• Next of kin in guardianship cases, youth transitioning from foster care. adoption. 

• Capital mitigation in death sentence cases. 

• Immigration and citizenship cases. 

• Civil pension, Social Security, and veteran's benefits. 

• Land issues involving title. adverse possession. rights of way. lis pemle"s. Of muniment 

of title. 

• Oil, gas. and mineral royalties. 

• Identification and location of next of kin or DNA donors in mauers involving unclaimed 

dl'Cedents or POW/MIA personnel repatriation. 

• Identification of next of kin prior to cemetery removals. 

• Provenance, class action claimants. intellectual property-rights. 

In many ofthcse eases I am either appointed by eourts or hired by auomeys to conduct this 

genealogical research, J also serve as the contract genealogist for Ihe US Navy Casualty 

POWIMIA Branch. My job there is to research and document kinship in order 10 identify and 

locate those eligible to contribu!C DNA Fami ly Reference Samples to aid in Ihe repatriation of 

remains of our unaccounted· for Navy servicemen. 

c ..uroal C ...... Io$i .. \CGf I ........ iot Marl< \ •• ,.or .... boon! forCenir,.,."" <>I"c ...... ~ ... ., """f.:mod "'....,., ..... "" <Oo\~"""'~ ""'" <lhi<al anol_M<} "_in..,,,.... ;u,!I«I" ..... i"'<oI"'~ ........ "'..., r,' ·.l...... 0 20 12 1"<Ifm>icC.-.alot:I S<n""" U .e. 
161 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.131

I could NOT effectively conduct this vital genealogical research in these cases without access to 

the Death Master File, Social Security Death Index (SSOI). Research in many of the cases 

mcmioncd above must extend oock before state vital records were mandated. Most states have 

dosed public records. Many do not publish death indexes. SSOI is an irreplaceable resource. 

The Department of Def,mse is mandated by Congress to repatriate the remains of our 

unaccounted-for service perwnrtel. The vast majority of American losses date from World War 

II. Research for family members of servicemen in World War II and the Korean contlict is 

especially dcpendem upon access to SSOI. Many servicemen from this time period were born 

prior to state vital records, as certainly were their parents. With the mass migrations during the 

1930s. 1940s. and to somc extent thc 19505. SSOI is vcry ollen the only rcsource that military 

contract genealogists have to trace deceased re latives. This genealogy is vital to identifying 

family members eligible to submit DNA Family Reference Samples. 

These facts also apply to those organi7.ations which work with coroners to lind the families of 

unclaimed service personnel and other dl'Ceased persons. 

This also applies to many probate cases in which intestate decedents were quite elderly. many 

times with parents born in the latcI800s. I am required to submit reports that meet the Rules of 

Evidence in Texas courts. When state death records are closed to me. the only alternative is to 

produce and document evidence of a death from the SSDI. If that resource is made unavailable. 

I will have nothing to rely upon in its place. 

My company is a small. woman-Qwned. and Vietnam veteran-owned business. Subscription 

directly through the Social Security Administration for access to the SSOI is exorbitant beyond 

our means. The loss of public access to the SSOI will have one or all of the following effects: 

Cause such extended research for altcrnative documentation that my rates become exorbitant; 

Further burden the stretched budgets of legal jurisdictions and the military branches; 

Result in failed research and documemation. 

Please work with the public to find ways to help protect the privacy of the living while keeping 

this vital rt.'eord of deaths available for legitimate use. Please hold the Internal Revenue Service 

accountable for the proper use of the SSOI in preventing identity theft and fraud with improper 

use of Social Security numbers. 

C ... IIW c ...... Ioii" 1<X1) I,. """.I<. .. atI. '''''Iofol>< booN fot C .... lfocoOOn ofe"""""";,,.., ronf«TN., """"' ..... \Olio ""'~"""~ ....... 

""i<al onJromp<lM<) -.". io """"'" \0"" p«<-..... i<>-<01 ..... """ .... .".<I) ,,,.)....... 2012 t"""""'"'e ....... Io>f)·""'-.I.I.c. 
162 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.132

Doris Roden 

Brookings Area Gcncalogical Socicty 

727 Main Avenue 

Brookings. South Dakota 

idrodcn@' hrookings.nct 

HR 3475. Keeping IDs Safc Act of2011 

As a hobby. but trained. genealogist. J use the SSDI frequently for my own family research and to 

help othcrs find their anceStOTS. 

I grew up not knowing my grandparents. Since my retirement in 2008. I havc been researching 

my family history and. because ofi!. have developed a greater appreciation and understanding for 

my parents and anccstors. 

As prcsidcnt of our local gcnealogical socicty. [ work with our board and membcrs to help others 

traCe their family histories. Please do not take these important research tools away from us. 

Plcase votc against passage of this bill and advocatc its defcat in the subcommittee. 
163 


dkrause on DSKHT7XVN1PROD with HEARING78179A.133

U.S House of Representatives 

Commiltee on Wa)'s a nll Means 

SlIbcommiltee on Social 5i«:lIrit)' 

Statement for the Record 

Hearing on Social Security's Death Records 

Submiucd by 

Patricia A. Oxley, President 

Februa ry 2, 2012 

1 
164 


dkrause on DSKHT7XVN1PROD with HEARING78179A.134

Chainnan Johnson, Ranking Member Ikcerrn, and members of the Suocomminec. 

Thank you fonhe invitation to submit this Statcmcnt forthe Record on behalf of the Fedcration 

of Genealogical Societies to supplemcnt the record of the hearing held by the Suocornminec on 

the 2nd of February 2012. 

1 serve as the I'resident of the Federation ofGcnealogieal Societies and as a member of the 

Reeords Preservation and Access Commiuee more fully described below. 

The Federation of Genealogical Societies was founded in 1976 and represents the members of 

hundreds of genealogical societil"S. We have member socicties in all 50 states, thc District of 

Columbia. the Virgin Islands, Canada, Ireland, and the United Kingdom. 

Be assured that the genealogical community shares the objective of protecting Americans against 

fraud and of addressing deficienek'S in the current opcration of the Social Security 

Administr.ltion's ikath Master File. This hearing marks our first opportunity to express our 

views to Congress on this important subject and we commcnd thc committee for adding it to 

their agenda. 

Idcntity Thicn's lla.-e Long Targeted Infants 

We have a ll been outraged by reports of identity thicvcs filing fraudulent tax refund claims using 

the SSNs of recently deceased infants & adults. Although the specific techniques and 

technologics may have changed, having a scoundrcltargct deceased infants is not new. 

In the 19705 and early 19805, thc technique followL>d by those with sinister intcnt employed this 

pallcm; 

(1 ) Thc thief would visit the Babyland Section of a local cemetery and find the name and birth 

date of a deceased child roughly comparable with their own. 

(2) The thief would approach the vital records custodian to request a duplicate birth certificate 

using that name and birth date. 

(3) If issued, the duplicate birth e('rtifieatc would then be used to apply for a driver's lic('nse and 

other purposes to create an identity in Ihe deceased child's name that could then be used for 

purposes as benign as facilitating underage drinking but ranging to major thefts by making 

substantial credits purchases. 

What Response Worked 

'111e most effective response dcveloped by the vital records community 10 Ihis abuse was to 

verify the appropriateness of the request for a duplicate birth certificate by first checking their 

fi les of death certificates 10 cilsure thatthc subject of the I\."qllested birth certificate was not found 

2 
165 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.135

there. If found, the duplicatc birth certificate would only be issued ifpromincntly annotated to 

refll.'Ct the fact that the person was deceased. 

Inter-state compacts with adjoining jurisdictions allowed thc vital records custodians of the birth 

records to screen the death records ofncighboring stales before responding to a fraudulem 

request. Efforts continue to expand the ability to access the death records o f a broader range of 

states to be used 10 thwart this fonn of abuse. 

As a socicty. wc did nOi choose to restrict acccss to ccmetcries. 

What Is the I'roblcm? 

Death records have particular utility in the prevemion of fraud or theft. Linle judg.ment is 

required to deeide not to extend credit to a person authoritatively reponed to be dead. 

That rcalityplaces a panicular burden on those creating such a record 10 get it righl and a 

requirement to correct any mistakes as quickly as possible. 

Thieves may be abusing online access to the Master Dealh File or its commercial fomt. the 

Social Security Death Index. 

The ,-,;:,al problem is that the Imemal Revenue Service and others, who should be using il for the 

purpose for which it was created arc not! 

Abou l Ihe R«ords Presen ~l n and Access Commitlce 

The genealogical community works together Ihrough The Rt'<:ords Preservation and Access 

Comminee (RPAC), ajoim committee which today includes The National Genealogical Society 

(NGS), the Federation of Genealogical Societies (FGS) and the Intemational Association of 

Jewish Genealogical Societies (IAJG5) as voting members. The Association of Professional 

Genealogists (APG). the Board for Cenilieation of Genealogists (BCG), the American Society of 

Genealogists (ASG), and industry representatives also serve as panicipating members. RPAC 

meetS monthly, and more often if needed. to advise the genealogical and historical communities, 

as well as other interested panics. on ensuring proper access 10 vital records. and on supponing 

strong records preservation policies and practices. 

Summary 

The most effective response to identity thieves' abuse of vulnerabilities in the online tax refund 

system is 10 use the Master Death File for the purpose for which it was originally created. 

namely, fraud prevention. 

3 
166 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.136

rotle 01 Hurln,: 

Hearing on the accuracy and uses 01 the Social ~uril'; Administration's Death Master File scheduled lot 2 

February 2012, 

FOCUS Of THE HEARING 

The huring will focu, on the hi,tory, a«uracy, u,e and impacts of the Death MaSter Fi le along with options lot 

change, 

I am writi n,'n relerence to the hearing on the Social ~urity Administration', Death Master File scheduled for 2 

February 2012, I underSland that the Issue al hand is the privati,allon of these records In order to proteclthe 

privacvoflndividuals a nd help prevent thelraudulent use of socia l secur~y numbers_ I am writing to request your 

,upport in the oppo.ition 01 this action. 

A. a Landman researching title in the oil and go. indu.try for Marce llu. Shale here in Penn'YNania and We.t 

Virginia, I frequently had to find heirs to mineral right< as a pre-requi.ile 10 leasing. The SSD I wasof eMrmou, 

help in constructing a genealogV Iree to ensure we were on the righl track to finding Ihe correct property owners. 

I cannot Imagine the nightmare of nOt hailing access 10 the SSDIIO complete my work .ssignn>ents 

Add itionally, I am a member ol the Unclaimed Per",n. volu nteer genulollV group. Our purpose i. to volunteer 

our e.perti.e lolind the ne><l of kin for per",n. who have died '" that their remain, can be claimed for burial. 1/ 

thaI can be accompli.hed, the klcal governmenl doe. not have to bear the co.t< of burial, Wedoa 101 of Wot' for 

Ihe Hillsborough CountV, Florida, Pollawallamie County, Iowa and Orange Cou nty, California, Coroner'.Off><:es, 

and are starting to do work for olheroffk:es around the country due 10 our success rate. Often, the only starting 

information we have Is • social se.:ufily number, which tells of a date and ,tate 01 issue, and birth date, all of which 

are invaluable in a .earch lor ne.t of kin. Since we are volunte..rs, this eo.ts the county government. nothi ng. 

Finally, a, a genulosl.t for mv own and othe,,' family tre..., I would simply be Io.t without the birth and death 

dates In the SSDI. I certainly would beeha.i ng down many dead end •. I cou ldn't tell you how many people I've 

found due to clues from the SSDI 

Surely there mu.t be another solution other than privati,ing the Socia l Security record.. Perhaps ",mething a • 

• imple as marking an Inacti ... number with an - , . '" that ~ will not rpcosn i,e .omeonetrying to use the number 

lor a fraudulent purpose would work. I jUst caMot belie ... that In loday'. technoloslcal world w~ca 'l find ,ome 

way to do tMs. My per",nal belief Is Ihal we should not be u,l ng SS numbers lot klenlllicatlon. I would rather sef 

.. national 10 cardl 

In ciosing. plea.e <<In,ider oppo,ing the privati,ation 01 the Soci,,1 Se<:urity Death records, I truly believe thattnere 

i. another wav 10 prpvent fraud. 

Regard., 

Name: Florence R. Stoneberg 

Organ i .. tion (if app licable): Unclaimed Person, 

Address: 104 Ddftwood Drive, McMurray PA 1S317·6630 

Phone Number: 724-941-5S22 

Contact (·mail Address: fSloneberg@yahoo.com 
167 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.137

Feb. 4, 2012 

House Ways and Means Committee 

Subcommittee on SOdaI5ecurity 

B 317 Rayburn House OffICe Building 

Washington, DC 20515 

Subject: OPPOSE HR 347S, S lS34, HR 3482, AND HR 321S 

Genealogists support Congress's Intent to protect Americans from improper usage of their personal 

information, and to protect tt1em from Identity theft. However, genealogists 00 NOT support restricting 

access to public records tt1at have I'efy little to do with identity t heft. 

Currently, roor bills are pending in the US congress that would el iminate or curtail access to the SOdaI 

security Deatt1 Index (SSOl) on the Internet. ! oppose all of these bil ls, which are: 

- HR 347S, Keeping lOS 58fe Act of 2011 http·!ltinyyd.comt6uwll'law 

(If enacted, tt1is bil l would effectively end public access to the deatt1 fi le) 

- S 1534, the Identity Theft and Tax Fraud Prevention Act http://tinyud.ooml750e809 

(If enacted, tt1ls bil l prohibits disclosure of the deceased's SSN in c.aleodar year of deatt1 and c.alenc!ar 

year following death) 

- HR 3482, To prevent Identity theft arld tax ai;: ~~ 

(If enacted, this bil l prohibits disclosure of the year of death and c.alenc!ar 

year following death) 

- HR 3215, To prevent Identity theft arld tax "~:~;I!; 

(If enacted, this bill prohibits disclosure of the year of death and c.alendar 

year following deatt1) 

Rarely has it been documented tt1at an individual's identity is violated by access to 5501; rather, the 

violations occur due to computer breaches from government and private enterprises. In fact, SSOI is 

actually a deterrent to identity theft. As posted on the National TechnicallnfOffi1ation service (NTIS) 

website (httDj /ltinyurl.com/yb6e4ge), it states, that the Death Master File (5501 is the commercial 

name of this list) prevents identity fraud, as it verifies a person's death. The SSO[ is used by credit 

reporting agencies, merchants, private Investigators looking for missing heirs In probates, media 

reporterS, university researchers, arld others. 

Genealogists doing US research kxated both in and outside the United States rely heavily on the SSDl. 

The Death Master Fi le is a computer database file that has been made available by the United States 

5odal5ecurity Administration since 1980. 

I oppose HR 347S, S I S34, HR 3482, and HR 321S, 

Thank you, 

Frances Neuvirth 

289 Hurd Street 

Milan, MI 48160 

734 439-7607 

n f[an@OOtmail,com 
168 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.138

Subcommittee on Socia l Security 

Ways and Means Commiuee 

US !Iouse of Represelllativcs 

Washington. DC 

(senl by email auachment) 

Ladies and Gentlemen. 

Frederick C. Hart, Jr. Certified Go""ulor,;'I" 

Fd/",,' ofllw Amc.ican .<;,,..;"/J· oIGe .... ulllgi,·,. 

1311 G",al lIill Rood 

Nonh Guilfonl. cr 06437.)649 

203-157·9383 <.> Ilanf<gaol,rom 

31 January 2012 

J write to urge yOu w keep the Social Security Death Master File available for public access for 

importanl legitimate purposes. such as genealogy. heirship dctermination. and family mcdical 

history. 1 " 'rite from the perspectil'e of a professional gcnealogieal researcher with o\"er 25 years 

experience who is also a Certified Genealogist.'" a fellow of the American Society of Genealogists. 

and an active member of several regional and local genealogical and historical societies. 

In Illy opinion. the Death Mastcr File is a rt'SQurce intended to help pre,'enl identity fraud. not to 

facilitate il. Closing its availability to legitimate uses will have no beneficial effect and will only 

pre"elll those legitimate users. including myself. from making the proper relationship 

determinations that are eS5C11Iialto their genealogical or family history endeavors. I heaniJy endorse 

Ihe comments provid~-d by the Records Preservation and Access Committee in their draft document 

of 24 January 2012. 

J appredate your considellltion of these comments. J 3m representing myself in this leuer and my 

personal oon!act information is in the above header. J am also an active member and/or associate of 

Ihe following organizations: 

13o.1rd for Cenification of Genealogists (associate) 

American Society of Genealogists (fellow) 

ConnectiCut Professional Genealogists Council (member) 

New England HiSloric G"nealogical Soci"l)' (member) 

New York Genea logical and Biographical Society (member) 

Connecticut Ancestry Society (member) 

_ Numerous other local historical and genealogical societies 

SinceI'd)'. 

Frederick C. !lan Jr .• CG. fASG 

c..rtifiiOd Genealoqiu and its abbrevi.t1 ..... CG • • .., ...,rviCOl IMrlos of d .. Board For 

c..rtiflcation of Gene.Jloqiau for. Board Pr<>9<"" of ca<petency evalu.otlon . They are used 

W><kr licerule to i<:lentify d,., ",<vioes of Board u'>¢Ciatea ..mo ..... t proqUIII sund.m;!a . 
169 


dkrause on DSKHT7XVN1PROD with HEARING78179A.139

"These are wriIIen comments assadated with Ihe FebNary 2. 2012 Hearing on Social SeG'Jrn1·' Death RecordI, They are 

juslification I", re1aining Ihe SSDI .. Iannabon on Ihe Intomet arid ,e adit1 avai_ to d!izens. I am a strong advocate for 

pro!ec:ling privacy. but in Ihi. case Ihe _antages 0/ 'etaining the SSDI information on the Inteme1 lar ~h the 

dis_antaget.. 

Genea~ts support C<:><Igre-u's " tent to pro!&CI Ame<iearts from m proper ""0" 0/ thW _ al "Ionnat""'. 

arid to prOle<;! thI!m from Oderllit1l11eft. 

R"'eI~ , iNls ~ been documented that an ndMdual'. Odentily is violated by roo:ess 10 SSDl: ra!her, the ~ationa 

OCCIK d"" to compute< bread>es from government arid private enterprises. A 2009 study slaled • ., 11>00 1 .. , five 

yea,., approximatety 500 milion reecrcIs conta" ing _oj O:ientifyO-og informalion of United Stale. reaidents 

stored in ~nt arid corporate database. wa. loicl either Io$t Of . tolen"'. Many o/lhese compute< t>rea"'-

have beenweR <Ioc\.<J>ented in IIIe pm •. ' 

Genea~1I cIoing US researdllocated both in arid C'JISOde IIIe United Slates, re!)' on the _ Security Death 

Index (SSOI), which is tl>oo commercial name 0/ tl>oo Death Master FOlio (DMF). The Death Mosie< FOlio is a 

comput .... dat_se file macle ava~_ by IIIe United SlaleS Sedal Secuily Administration since 1980. 

SSOI is a del_to i<WItitytheft. A$ p<)$ted on 11>00 National Te<:Iriea!lnfcrmaltCr'l SeMce (NTIS)-. 

(httj>IIwww nt it.. l/OVlprodu<tll a.Qmf ItS».I ~stat iNlltheDeathMa.I..-F iIe(SSOt it. ll>ooconvne<ci.lll ........ of 

thit. 1it.1) pre>'&nt. ident~y fraud. as 't ve<il'on • _ ', death, In add~"", to lamily hiIIory r_archers. the SSOI 

is used by credit reporting agencies, merchant •. private ........ tigaton looking f'" missing heirs in probat,.,.. media 

reporters. university '_archers. and ethers, 

Geneal<9y it. a hobby f'" 1iom of people. 

A . tudy from May 2009' ""araclenze. thew individuals inlefe.ted in __ l<9y :as : 

49 milion feet I doMp appreciatien for IheO" ..,.,..Ioro" 

13 milion ilfe """'e fel.a,CI>o!ro"' 

M",e than 8.5 milion vit.ite<l _a1ogy-<l<i&nted l itel in IIIe last month (e. cIudit'Ig sea,<:I> engines and Iong·lai 

sitel ):"' 

9 milion are rlObbyists"' 

1.6 milion crine edulls 18-44 consider_alogy . hobby (3%) 

7.5 ion online edutts 45+ repo<I geneal<9y a hobby (8%) 

A lotal O/~. I milion total hcbbyisll (out of on online universe of 148 milion 18+) 

GenealogiStl use the SSNs to appropriatety idenlily reecrcIs of people when tracing family medical hislCfy, 

el poecialy ~ the _ ~u ~ ccmrnon name: Sara Cohen, Tom Brown, Jose MariO-. Trung Lee. etc. 

Gene~I<9Y a .... t. in tracing family mO<licaI problems tiNIl are p"ssed on from _ atien Ie _ atien, 

InfOtmalion '""::Iu<:ted in biM. maniage, and death reecrcIs it. critical to reconstructing familie10 arid tracing 

~Iy inhe<ited attribute-s in Q./I'I'eI"IIlamily membenl. The SSN is C<itical 10 make oenain tI>at one "" the 

cone<;! !*1Cr'I. Increasing .......,bet. of phys.,a..., are requeslinO that their prienls proyidfIa 'medicalfami!)' tr"' in order 10 m",. qLJiddy i<WII~y conditions common wiI~ IIIe family' Infcrmalion on Ihwl generationl it. the 

IU9Qt$ted minlmun, The US S"'P"'" Gft ........ inckldet. preparing a lami!)' mO<licaI hit.tory a. par! of the 

American Family Hft a~ h Initiative . 

Genealogi.ts _ wilh coroners to find next of "in I<>< the deceased. The Odentities of theN people afe _, 

but IIIe govO'fNl1ent agenciM .re 1101 aM<aYS able to find IIIe lam .. , 10 llley .... Oieraliy ....-.daimed. n .. a 

national problem with ~ coroners mUit cepe. See www.unc:toime<lpefsont,Oflj 

Genea~SI' _ wilh military to locate relatives of ooIdie<s who are stil unaoccunted for from ",..t confIjcts 

While using DNA, lhe genea40gists also need SSNs to help auure they are finding IIIe correct _ ·s famii)' .• 

Otl>er .ta ~ __ who are concemed arid want M arid mmediate act:ell to the SSOt indude; \he financial arid 

~nce i'ldustries I>ooy need IIIe informalion iOn&!)' 10 IMlthey can vllfify deathS 10 p.ay out death Clams and 

v&rif)' t:>eneficiaries /", ",.ylng ... ~ benefitsl: /ederlI1. ,tat, .rId Ioc8Ilaw onIorcement agencies: le . .. ·Ne . .. : 

<:hari!ie. legacy de",.rtments and planned gift. dep"nment •• medical researCl>o!ro It racking fIIOIbjdi!y cluste< 

deatll$ """ tr&cl<ing mortality 0/ medical bial , ... ultsl: , tale. county {IOVemment arid tead>er retirement fundi: 

count1 • ...,.sment elf"""., ltudentloan com",."""': univenilies for 'Icoden! loans. tracing alumni mortalities and 
170 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.140

other activities. enhanced co ~icms depanment of state coons. aoo other stakeholders that we are learning 

about daily. 

htt;rllwww_~ntitylh tinfoJbreaches09 asp. 

hnp:llwww.boston.comJbusirresslarticIesl2008103I161grocer_ hannaforlChit_by-computer_breadll 

http://www.nctimes.comlnewsJlocaVarticle_3b98ce38-f048-597e-ga76-47321d114326.hlml 

hnp:IIwww.QClimes.comlnewsJlocaVarticle_06d38e24-148a-11df-91c6-001cc4c03286.html 

.. 'MR!. May 2009 "Respec1 for aflCestors is very importanr. "@Plan, May 2009 "Researched family history 

online in last 30 days" and "Hobbies = ge'lealogy". ·"Comscore Media Melfi • • Mar 2009. Heat maps are 

@Plan, May 2008 

Mayo Clinic staff: "Medical History; Compiling your medical family tree" 

ht!p:lIwww.mayociinic.comlhealthimedical-historyIHOO1707; 

~ https:llfam'yhislory,hhs,govlftlh·weblhome.action 

.. http://www_aalJl,orglrelationsllipsigenealogyflnlo--06--2011Igenealogy-tips.hlml 
171 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.141

Name: Victoria P. $con 

Organization: Genealogy Research of North Carolina 

Address: 229 Danagher Court. HoUy Springs. NC 28540 

Phone Number: 919-880·6231 

Contact E-mail Address:victoria.p.SCOlt@gmail.com 

Tille of Hcarin8: C h airm a n J o hnson A nno unces a H ea ring o n Socia l Security 's 

Death Reco r d s 

[kar Senators: 

I' lease do not restrict or close the Social Security [k~th Index from public ~ccess. Many st~tes 

(including North Carolina. where [ reside) have public indexes. with links to copies of the 

original underlying public vital rt'Cords. This allows individuals the means to document their 

own persona! history. 

In North Carolina. for instance, a ll birth, marriage. and death records are p u blic documenlS. 

[kath certificates. which can be accessed online instantly through fee-paid entities (iel 

Ancestry.eorn and Archives.eom). or obtained in person at the North Carolina Department of 

Health and Human Services. have the deceased individual's Social Security number displayed. 

North Carolina is the IO'~ most populated Slllle. and is not alone in «:eognizing that citizens have 

the right to access personal identifying information. The SSDI allows individuals to obtain this 

infonnation regardless of an individual's last place ofresidene.:. Closing the SSDI will impact 

my ability to assist a client in tracing their family history. 

Once again, please keep the ssm a mailer of public rccord. 

Rcspcetfully submillcd. 

Victori a P. Scon 

Genealogy Research of NC 

229 Danagher Court 

Holly Springs, NC 27540 

{919)SSo-6231 

http: //www.ama1.On.oom/sholls/ASDNPXAPI.130H 

www.ncgcllealogy.ncl 
172 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.142

waysandmeans.subm issionS@mail.house.gov 

Name H311ie 1'. Gamer 

Organi7..ation (if applicable) 

Address 8923 Woodshorc Drive, Dall as, TX 75243 

I'hone Number 214-349-3869 

Contad E-m ail Addresshallie.game r@socgJobal.net 

Title of Hearing Chaimmn Johnson Announces a Hearing on Social Security's Death 

Records Feb 02, 2012 

I would like to advocate aga inst restricting access to the Social Security Death Index (SSDl). 

am a genealogist and have found the SSDI invaluable in helping me determine what happened to 

my family memocrs. If I han' the date the)' died and where they last lil·ed. 1 can then use 

that information to locate an obit uary or a cemetery location. 

In this age when families have become so widespread, it is hard to know where people went 

when they left their home area, and the SSDI has helped me thousands of times with finding 

locations. The SSDI doesn 't give enough infonnation for people to use it for voter fraud. but 

there are lots of OTHER sources out there 1hat do. It does nOi provide addresses which are 

needed for voter fraud. 

Please do n01 stop access to this I'Cry valuable source of infonnation for genealogists, 

Sincerely yours. 

Hallie Gamer 
173 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.143

Helen Schatvet Ullmann 

Certified Genealogist; Fellow of the American Society ofGcnealogists 

713 Main SI., Acton. MA 01 720 

978-263-2037 

hsullmann@comcast.nct 

Re: Hearing on Social Security's Death Records 

I am concerned that the Social Security Death Index online at many sites. may be limited 

in scope and/or that it may no longer be available to family historians or genealogists. 

This index is a wonderful tool for those secking to compi le infonnation on their families. 

or on clients' families. The deaths of many people bom in the 19'h eentul)' appear in this 

index. 

I cannot sec any reason to limit the distribution of this infomlation. In fact, the morc 

widely it is available. Ihe morc dimeuh it would be for anyone seeking to usc a person's 

identity fraudulently. 

Please do not limit access to this source. 
174 


dkrause on DSKHT7XVN1PROD with HEARING78179A.144

International Association of 

Jewish Genealogical Societies (IAJGS) 

6052 Hackers Lane 

818-889-6616 lei 

Agoura Hills, CA 91301 

818-889-0189 l ax 

'NWW.iajgs.org 

STATEMENT FOR THE RECORD, HOUSE COMMITTEE ON WAYS AND MEANS, SUBCOMMITTEE 

ON SOCIAL SECURITY, WRITTEN COMMENTS ON PROVISIONS RELATING TO SOCIAL 

SECURITY AOMINISTRATION'S OEATH MASTER FILE, ALSO KNOWN COMMERCIALLY AS THE 

SOCIAL SECURITY OEATH INOEX. 

I. INTROOUCTION: 

The House Committee on Waro and Means. Subcommittee on Social Security. held a Hearing on 2 

February 2012. regarding the accuracy and uses of the Social Security Adminfstration's Death Master 

File. The genealogical community WilS informed that no invitation to tesVIy at the hearing would be 

f()(lhcoming, but that we - the genealogical commun~y - were inv~ed to submita statement This 

stalement is accordingly s.ubmitted. 

II. IAJGS BACKGROUNO & CONTACT INFORMATION: 

The Intemational Association of Jewish Genealogical Societies is the umbrella organization of 70 

genealogicat societies and Jewish historical aocieties worldWide vmose approximately 10,000 members 

are actively researching their Jewish roots. We Wilnt to ensure that our members will be allowed 

continued and maximum access to these vital records. The IAJGS and its predecessor organization 

were formed In 1988 to provide a common voice for issues of signifICance to ~smembers and to 

advance OUr genealogical avocation. One of OUr primary objectives is to pmmote public aC<:flSS to 

genealogically relevant records. In 2012. we are holding our 32'" consecutive aonuallntemational 

Conference on Jewish Genealogy fwww_faics om)_ 

Contact Informatlon: 

IAJGS official mailing address is: 

WG' 

PO Box 3624 

Cherry Hill. NJ 08034-0556 

However. for purposes of this statement please use the fojlowing contact infonration: 

Jan Meisels AUen. 

VICe President, IAJGS 

6052 Hackers Lane 

Agoura Hills. CA 91301 

(SIS) S89-661S tel (S\S) 991 -8400 fax (call before submitting a fax) 

e-mail: vic;epreAAnl@iaku·om 

,,.., 

.,-~-....... "'" ............... A_ ''' ... ''' .... lJSA, ""'"""""",,", ,m,. N~<I>lA. _,,~ __ V ..... NV.USA. -,.",,"', ..... """' .. _' .... '_IIL U.oI.. 

'''-Non--''-

_A_~NV,U"'" ' .... , ........... " .. _ ...... .-....... _ .... IIT.lISA. 

""""_"..... .. .,-.UK ,., _""",,"C_."A.USA -,'.-.C_l· .... U ..... 
175 


dkrause on DSKHT7XVN1PROD with HEARING78179A.145

IA..IGS SIMo<nonI on sse. , 

Th~nk you fOf the opport~nity to present the lAJGS concerns regarding the Subcommittee's propOsed 

elimination or reduction of puDlic access to the comme<cial vel1llon of the Death Master File (DMF), the 

Social Security Death Index (5501), For the purposes of this statement. we will ~ acldressing access 

to the 5501 rather than the DMF, as the 5501 is the ve<$ion that genealogists are permiHed to access 

We were surprised and disappointed that the genealogical community was not invited to participate at 

the February 2'"' hearing. The genealogical community, an important sta~eholdl!f in the proposed 

legislation, had been worIIing tireless~ with the Subcommittee staff since mid-November - pl'O'Ading 

information on genealogists' uS!! of the SSDI and suggesting legislative language to deter identity theft 

while retaining public access. 

It is ironic that a system that is used to prevent identity theft (by permitting empbyers, financial 

organ>zations, insurance companies, pension lunds, and others the abitity to chedc names against 

those deceased as reported on the Death Master File), !http://www.ntis.gov/orodUC!sJM3=dmf,a spx! 

is now being determined--inappropriatety-as an instrument of identity theft. 

We support the Subcommittee's intent to proted the resideots of the United States from improper 

usage of their personal information, and to protect them from identity theft. But, rarely has it been 

documented that an individual's identity is violated by access to vital records or the SSDI; rather, the 

violations occur dl..'ll to computer breaches from government and private enterprises, A 2009 study 

stated 'in the last rNe years, approximately 500 million records containing perscnal identifying 

inform3t;on of United St:>tetl reo.ick>nte stOl"ed in governmen1 and corpor3te d3\3"",",S W3e [eicJ either 

lost or stolen" . M;!ny of these computer breaches have been well documented in the press ' 

Genealogists Are Not the Cause of Identity Theft 

We watched the February 2'" hearing and were dist~rbed by some of the misinlormation and 

inferences that were given doong the hearing. G&0<I3109lst5 are not the cause of identity theft. 

Thieves are the cause of identity theft. Financial institutions and government agencies Ilave been 

Ilacked into numerous times and tllat has been documented 1,2, but was not mwtioned during the 

hearing. Nor was there mention of retuming to using non-computerized data to avoid the inevitable 

Ilackiog that occurs daily in the 21" c.ent~ry . II we accept the continued use of computerized data. and 

the continued likelihood of haclting occuning to any given database at any time. lhen we must also 

accept that. occasionally. misuse of data wiH occur. It is no! reasonable, Coostrlutional. or in the 

Nation's interests, to remove public documenls lrom public a<.:ce$s. For a rea l solution 10 this problem, 

see below · tRS Needs to be More Proactive." 

As parents and grandparents there is nolhing thaI we can adequale~ express to Mr. Agin, his wife, and 

the other parents of deceased children abou1 their grief over the agonizing loss of their children. W~h 

all due respect. do we know for a fac1 that Mr, Agin's daughters Sodal Securitynumberwas laken 

from the puDlic SSDI? 

Mr. Ag in, in his reply to Chairman JoIlnson's question asking just that, said ·;t ..... as h i. personat belief 

thai someone who troned bIogs aboul sick children and 1tIen used the access ot the SSOt on 

genealogical webs~es·. He stated. while it was possible, he would like to believe ~ was not the case, 

thai it was someone inYOlved with the medical institutions where his daughter was treated-as lhey 

would have access to her Sociat Security number, Neither the assumption thall i w as taken fro m a 

genealoglcat website o r that his daug hter's Social SKurlty number was not atolen Irom o ne 01 

the medical insmutions where h is daughter w as treated are bued o n f3cts. Un ortunate~, 

medical identity theft, wher~ medical employees have been found to steal palen!'s identir1C3tion has 

become a growing business 

Mr. Agin mentioned thai 14 other parents of children who died from cancer reported thai \heir children 

were also victims of identfty theft. As noted above. many government and financial institutions have 

been victims of computer hacl<ing and many ~itat employees have been lound to steat patients' 

Social Se<;urity Numbers. It is remar1<able lhat the cancer victims were largeted-as the SSDI does not 

in<:Iude ca~se of death. Therefore, it is equally possible that the Social Security number was stolen 
176 


dkrause on DSKHT7XVN1PROD with HEARING78179A.146

IA..IGS SIMo<nonI on sse. , 

lrom the medical insmutioo. provide(s office 0.- an olf.sile medical records subcontrac1or by an 

individual or a computer hacker. 

Removal of the SSDI from pu~ic access would oot necessarily reduce the p(obIem of fraudulent use of 

a Social Security number. As ~ win no longer be available as a reference check to many Who use ~ as 

an identity theft delerrent. i1 may well increase identity theft. 

Interest In Family His tory/Genealogy 

Millions of Americans are interested in their family history: The Harris Inlerac1iv! Poillaken in August 

2011 found that four In 5 Americans haW! an interesl in learning about their farmy history. The POll also 

reponed 73% 01 Americans belie~ it fs important to pass along !heir family's linaage 10 the next 

generation.' Genealogists doing U.S. research located both in and outside the United States rely on 

the Social Security Death Inde x. 

Family Medical History 

Genealogists use the Social Socurity Numbers (SSNs) to appropriately identify re<;Ords of people when 

tracing family medic~1 history, especially if the person has a common name: Sara Cohen. Tom 

Jones. Jose Martinez, Mary Smith etc. During the hearing. Mr. Pratt, rep(e&enting the Consumer Data 

Industry Association (COlA). mentione<:l COlA had conduded a study and found some people with 

common n3m .... , i.e. Smith, 31<'0 h3d the ""me 13M lour digits on their S0.:;31 Security number. 

validating why the complete Social Security number" necessary. 

Genealogy assists researchers in IliIdng family medical problems that are passed on from genef3lion 

to generation. Information included in birth. marriage. and death reco<ds is cr~K:a11o recr.>nstructing 

families and tracing genelically inheriled anrilx.nea in currenl family members. The SSN is essential 10 

make certain that one is researching the corre<;t person. Increasing numbers of physicians are 

requesling that their palients provide a "medical family !ree" in order to more qu,ckly identify conditions 

common within the family ' Informat"", on three generations is the suggested ninimum. The US 

Surgeon General includes p(eparing a family m&dical hislory as pan of the American Family Heatth 

Initiative'. 

There are many genetically inheriled diseases. but for lhe purposes of this stalement. we will mention 

the BRCAI and BRCA2 genes' mutal""'s and breasl and ovarian cancer. The following information is 

from the National Cancer Institute ' 

"A woman's ri6k of cleve~ing breast and/or ovarian cancer is greatly increased if she 

inherits a deleteriouS (harmful) BRCA I or BRCA2 mutation. Men with thes. mutat""'s 

also have an increased risI\ of llIeaSI cancer. 80th men and women Who h<we harmful 

BRCA I or BRCA2 mutations may be at increased risk of Olher cancers. 

The Ii ~etihood that a breast and/or ovarian cancer is associated with a harnful mutation 

in BRCAI or BRCA2 is highest in families with a history of muffiple cases of breasl 

cancer, cases of both breast and ovarian cancer, one Of more family members with two 

jHimary cancerS (original tumors thaI develop at differenl s;tes in the body). or an 

Ashkenazi (Central and Eastern European) JewiSh background. 

Regardless. women who have a relalive with a harmful BRCA I or BRCA2 mutation and 

women Who appear to be a1 increased risk 01 breasl and/or ovarian cancer because of 

their family history {emphas;s added] should consider genetic counseling I;) learn more 

about their potential risks and about BRCA I and BRCA2 genetic lests. 

The likelihood of a harmful mutation In BRCAf or BRCA2 Is Increased with 

cert~ln l amme' pan8ms 01 cancer [emphasis add..:!]. TheM pall.....,. include the 

following, 
177 


dkrause on DSKHT7XVN1PROD with HEARING78179A.147

IAJGS Sta\ernen! on $SOl 

.... Fo r wOlTHln of Ashkenazi Jewish desce nt: 

any fiftlt-<:leg ree relative diagoosed with breast or ovarian caocer, ,,'" two second-<:legree relalives on the same side o1lhe family 

diagnosed with tM"east or ovarian cancer . • 

This form of breast cancer is something oot unique to Ashkenazi Jews, as studies have 

demonstrated that this has also been found On the Hispanic communities in New Mexico and 

CoIorado-who did no! know they were descended from Sephardic Jews who had hidden their 

Jewish iden~ty to survive the Inquisltion in the t5th century. Th~ is describe<:! in Jon Entine's 

Abrnham's Children: R8C6, Identity and the DNA of Ille Chosen People , by the Smithsonian in their 

article, The Secret Jews of Sa" Luis Valley, and The Wandering Gene end the India" PriflCeSS: 

Ra<;fJ, Religion, arid DNA' 

People who have had members of their families diagnosed with breast cancer need to Imow whether 

past family membeftl may have also died from this disease, in order to determOne if ~ is inherited. 

60th CUrTent and future genefations need to have this information in order to make decisions aoout 

whether to prophyiactically remove both breasts and ovaries (which can mean the difference belween 

early detection and treatment versus possible early death), This is something both men and women 

need to be a!)le to research-..,s either can be carrying the gene mutation, The SSDI is a critical tool in 

assuring researehe<s that !he records they have Iocate<.l on possible ancestors are indeed the correct 

persons. especially when they have a common name, 

We use this as only one example of Onherited diseases that require the ability to research ancestry 

using a SSN-<egardless 01 ethnicitv, 

Working with Co roners to Identify Dl!i;eased'$ Ne~t of Kin 

People are going to their graves wilh no family to daim them, Medicat examiners and coroners' 

offiees--frequenlfy ove<stretched w;th burgeoning caseloads---need help in finding neKl of kin of the 

deceased, The deceaseds' identities are known; d's their neKl of kin that are unknown in these cases. 

Over 400 genealogists are now offering their volunteer se<Vices to help locate the neKl of kin for 

vnctaimed persons. The idenmiell of these people are known, but the government agencies are not 

a~ys able to find the families, so they are Irterally unclaimed, It is a national problem with which 

coroners must cope, See yocl;limedool§Q!!$ QrS! 

Working with the Mititary 

Ttie<e are I~erally lens of thouiMInds of Un ed States Vete<ans' remains lell unclaimed throughoulthe 

Nation. Sometimes decades pass while these remaOnS are waiting to be idenmied as Veterans and 

given a ",oper military burial. Genealogists wor1c with the military to locate relatives of soldiers who are 

stll! unaccounted lor from past conflicts, By f,nding relativm;, the mmtary can identify soldiers usOng 

DNA, and noUfy the neKl of kin SO the family can make tlurial decisions_ While using DNA, the 

genealogists aJso need SSNs to help as&Ure they are finding the correct person's family t, 

Genealogy as a Profession 

While there are millions of people who actively study and research their family history as an avocation, 

there are many others wtlo earn their livelihoods as professional genealogists. Professional 

genealogists use the SSDI to (1) help track IIeIrs to eIItales, (2) find tme to reat propertv, (3) find 

witnessell to wills that need to be proved, (4 ) work on the re patri ~on projects [see Working w;th the 

Mil~ary[ , (5) track--works of art-including stolen art--and rE!jlatrialion of looted art work during the 

Nazi era of World War II, and (6) assist in dele<mining the stalus of Native American tribes and tribat 

members to prove--", disprove---that they are entitled to share in Tribal casino revenues_ 
178 


dkrause on DSKHT7XVN1PROD with HEARING78179A.148

IAJGS Sta_ on SSOI 

, 

IRS Needs to 8e More Pro ac tive 

If \he IRS were 10 rou~nely run Social Securily numbers included in lax relurns againsllhe dealh index, 

lhey might avoid giving .efunds to deceased individuals. 

"Operation Rainmaker" (also known as Operation TurboTax), was a tax f.aud ope<ation in the Tampa 

Bay area, law enforcement interviews specified that the IRS, while cooperating wilh olhef law 

enforcement OfflCe~, is not authorized to sha.e information with local law enforcement departments, 

hampering efforts 10 proted their citizens, tf \he federal government is serious about addressing 

identity theft that Use5 a person's Social Security number, then the IRS nee<.ls to be 9iven legislative 

authority to share information with local, county and slate law enforcement organizations. It was also 

stated that fi ' ng tax refunds for under $10,000 will not get any attention, As "Operation Rainmaker'" 

found \he average tax fraud was about $9,500. below the $10,000 th.~1\oId n, This is another practice 

that the Congress nee<.ls to review, as the criminalS who are perpetrating this fraud know they will be 

undelectedt 

It also tlecame apparent in Mr. Agin's case that the IRS assumes the first person riling is the 

"legitimate" filer and by inference, the second filer is the f.alldulent party, The IRS needs to amend 

their p..actice when the filing involves a deceased child. to require some verification to determine which 

is a vatid filing, 

Unfortunatety, since \he tRS ad\lOCClted electronic filing of tax returns, one unexpeded consequence is 

the .emarkable increase in tax identity theft. 

Support Fo r Efforts to Cease Identity Theft 

If income tax returns were electronically compared to the Master Death File, matching case5 

could be flagged for special processing, and the person allempting to create a tax fralld could 

be stopped before the fraud occurs. 

A pa'ent's social security number should be required When fLling a tax return for any minor. 

It is an extremely rare occurrence that a minor child would not be ed as a dependent on the 

parent or guardian's la. filing, If Ihe minor dies, Ihe IRS could have a procedure to flag any 

r,lings wfIhout the parent's social security number, again preven~ng the fraud, Drafltegislative 

language was provided to the Subcommittee staff on January 24, which would fad"tate just this 

prevention 01 identity theft perpetrated on children. The National Taxpayer Advocate's Report to 

Congress for 2011 specifocally highlighls the benerds of the IRS Issued Identity Protection PINs 

10 ~"" ~11()O .. ~t<; Ih 1 ,,, ro;>Y""~ AAn1 1id ... " UnWf!d In lum nfflMr "bilily In filf! I"x r"'u<n~ 

electronically. Any family that suffers a death could elect to tum off the electronic filing ability. 

Criminal penalty statutes for those who fraudulentty use Sociat Security Numbers, 

including, but not r~ ricted to, tho$e who misuse their positions (e,g .. hosp~ , medical 

instMion and offICe personnel, finaooat and cred~ card organizations personnel, prison 

COffedions offICer, c:oIlege or universlty registrar etc.) 

For the reasons stated above: 

genealogists are NOT the cause of identity theft: 

genealogists have legnimate, professionat and tffe saving reasons to have immediate access to 

the SSOI: and 

proac;1ive measures are nee<.led to prevent iden~ty \heft and vigorously pursue and punish the 

TRUE identity thieves, 
179 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.149

WGS respectfully and vehemently encoI.Ifages the Subcommitlee to continue the commercial version 

of !he Dealh Masler File. known as !he Social Security Dealh Index. 10 be available 10 Ihe public. 

On behalf of Ihe Inlernalional Association of Jewish Genealogical Soc;el~ we apP<'edale lhe 

opporturnty 10 submit our comments. and for the occasion 10 bring to Ihe Subcomm~lee's a11enlion lhe 

many services the genealogy community pefforms for local • • tale and federal government o ffices. 

We look forward 10 working wilh the Subcommitlee and siaff 10 find an accommodation thai provides 

genealogists with immediale access 10 the SSDI. 

RespectfuRy submitled. 

Jan Meisels Allen 

WGS Voce Presidenl 

Chairperson. WGS Public R8CO(ds Access Monrtoring Commitlee 

, . 

accounls of lheir lives 
180 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.150

MY n~me: Prof. bme~ W. Br~nn, former ch~ir of Journ~ i~m Oep~rtment Boston University, 

My ~ddress: 260 Eight Rod W~y, Tiverton RI 02878 Phone: 401 624-1814. E·mail: jwb5Coop@gmaiLcom. 

I w~s ~ reporter for many years and worked for The National Commission on t he Causes ~nd Prevention 

of Violence, 

establi~hed by Lel. I w~s co-director of the study on the violence at San Fr~nci5CO State College. And I 

have 

published articles in The Washington Post, The Chronicle of Higher Education, Columbia Journali~m 

Review, 

American Journalism Review, Science Digest, Saturday Review, The H~rri ~burg P~ riot News, The 

National 

Observer, The New Republic, The Providence Journal, The Nation, Commonweal, The Boston Globe, The 

Boston Herald, and many other 

places, I am currently writing a biography of Dr, John Silber, president of Boston University for many 

years, 

And I am an ex-marine. 

For many years, l taught journalism students how to use the SSDL It i~ an invaluable tool and I strongly 

urge you to 

allow the public continued access 10 it. 

Sincerely, 

J~mes W. Br~nn 

emeritus professor of Journalism 

Boston University 
181 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.151

I am opposed to Congressman Johnson's proposed "Keeping IDs safe act of 2011" (H.R.3475). 

I am a retired city pl nner and former high SChool and community college teacher. Now, I am an 

amateur gene~logist, who has been working on my family tree for the p~st 15 years. 

I use the free access to the SOcial security Death Index fairly often to validate a family relationship, to 

get a year and month of death, or to get a hint as to the last place the relative might have lived so that I 

can look for more information at that location. Typically, I do not need to send for a copy of the 

application, and I rarely need to use an actual social security number to narrow down a family member. 

But, I should have a right to see it for purposes of record keeping. 

The proposed act will NOT keep IDs safe. It will merely restrict public Information and make it much 

more difficult for researchers, whether private or academic, to gather information that should be 

publicly available. 

Social security numbers are available all over ··especially those of the folks dying now. These numbers 

come from old work or school records, old credit and mortgage applications, old medical re<:ords, old 

military or passport applications, as well as numerous other sOurces currently in the public records that 

might have included the numbers as a tracking me<:hanism. 

Even if the numbers were further restricted, the proposed law would fai l to protect ID as intended. The 

law would just makes it much more difficult and cost ly for an average person to obtain information 

about a family member or historical figure that he or she has a right to see. What is happening to the 

freedom of information righu that we used to have? 

I see the proposed law as just another attempt at censorship in a free society. 

The numbers are easily obtained by internet hackers, mail thieves and even dumpster divers. If there is 

a wi ll to do harm, such as stealing identities, the creative criminal will figure out a way to do it. Once 

you start restricting information (other than that what is clearly for national se<:urity purposes) where 

do you stop? 

Please kill this bill that would further restrict our rights to information in a free society. 
182 


dkrause on DSKHT7XVN1PROD with HEARING78179A.152

Dear II"""",ble Congressmen and Coo!lf"SS,.-.,mcn. 

I ha,'c 10 admilIhal I. like SO m3l1}' ",her A"","e3l1, did fIOl know who 10 "rile '0 "he ... fa.c.;d wilh. d,~'as"'ling 

",.li23lioo of. I"'gie mis"", ofgo,'om"""'l pro"i<kd infonn.tion. A quick <earch ooli .... brooghl n,. 10 )'ou. 1.01 me 

sit"", wilh you wh.t is lilc",lIyripping myh<:art out righl now. 

On Seplember 08. :WI I my 17 year old""" Joshua Miller was ki lled in acar aocddem " 'hcn he fell asleep", lhe 

11'''''''1. crossed IheccnlC1" line. and colli<kd he-B<l on wilh on """"",illl! lrue\;_ Iii. deoth has tOS1<.'" lhe limi,. of",,, 

f"",ily', cndu","e<; as we Slri,'e 'o«>nlinuc wilh a ncw kind ofnormal,ha, huon,'doped our lil'os_ Forthe reco<d. he 

was wearing hi' ""a, bell. he was noI " ,ing hi' pltone,," it wa, found in hi' pock .... , he was a good boy thai a1!cnded 

ehu",h """" limes a week and ,,'M " 'or\:ing hanllo <a,'e cnoogh mone), to buysom. land where he could c,·enl ... lly 

become his dre:tm. a farmc •. 

On January 25-. 2012 I did whal "" m.ny Americans do thi.,ime of)'ear: I attempt, ... 10 file our ""OS online. The 

return WliS rej=cd beeau,", "",,,cone had already filed O1$ingonc of the dependenl_i,,1 $Ccu.i,y numbcr$ "" my 

l'I.~urn. I eonlaelC<! the IRS and was lold ~,",th,-rc " .... n<>lhing I could do to 1'I.... 1\"0 this excel" tu me 00' 1'I.~"m b)' 

paper and wail ,i, " .... ks 10 Iw.h·e w .. ks fora ""pon". The)' also would noIldl ,n<: who had used one of my 

chHdrcn', SSNs nor could they CI·ctllell me whkh one had been used, I exp""s..'" 10 the agent on lhe pItooe how 

horrible and sid 1 was fcelingand Iha, I SU$jl<."Cled il W", my..,.,', SSN ,ha, had becn ,'iolated in Ihis "'ay. lk"ClIu" of 

pri"o<),concem'lhough. she <ouM noI di,do .. to Ill<: CI'cn,hc idCfllil)' of my O"TI child_ She did howc"er. probably 

agoin" rolie)", "",on,mend lhal I could uSC • proccs< of dimin.,ion b)" n.'n\o,·ing my child,CfI one al " lin,. from oW' 

tax ""urn and It)'in& to subn,il il agoin 10 sec ifit would be n:jcclcd. I did so and qu;"kly foond oot th.t m)' su'p;""''' 

We"" cort'C<l: it ,,-.. my """ whose SSN had been Slolen, Out offaimess.the agent did Iell me thai it could hOl'. been a 

I)l'" bUllhi. is hard '0 belic"c as the rec<>rds arc ,""rified against lhe nanle . ubmitted and must match or ;1 "HI 8"""ratc 

• difl"""'t rej«tion ctTO •• The hard"'l pa" i'lha, We arc 110"" len wilh the bunkn of proof and mus' submil 

documenlalion in llTi'ing '0 com:<l ,hi •• iloa,i"" , There is "" inf""""li",, ,hat wi ll he sltorro wilh us. '"' kn(>\\ ledgc as 

to if """",one will b.> prosc<""led for lhi' le-nibl< ,·iol.tion "f 00. griCl'ing p~. "l'hi' 1\ .. re-opc"ed wounds Ih.1 run 

'·CI')' o..p 3l1d h" 'e lefl us h"'ing 10 fighlto prol'e thaI the """ we lo,'e beyond meMu"', the """ thai is '"'w obscn! 

f""" his body and prayerfully present with Ihe lord. our precious baby 110)". i. so much more than a m""o), m.king 

opportunity for some 10"life cOll-aniSl. We ha"e been robbed ofoo • • ight 10 be len in pclI<e to deal " 'ilh the loss of 

our son. Who i. to blan", for Ibi,? 

A.< it hum oul, you arc if)'ou do nothing 10 ch3l1gc 'he 13"~'" they arc cum..,tly written, A quick ..,,,,,,h an 'hc 

inlernel will show )"ou IhOithis hoppens all lhe timc. Deceased child"", an: an easy larget for "wid be thie,·es because 

upon the death ofan)'one in Ihis coontry Ihe I',"-ole records oflhe deceased immediately bee,""c "cry public. This 

incilldcs lhe _ials..",uril)· numb..'T" ,,-dl os all other identifying infom"lioo lhal 0 " -ould·b.>-thiefwould......,.;l in 

<>rdcr '0 stcal • d,"Cc ....... PO:I"SOIl'. i<len'i'}'. All 311 iden,i,}' Ihiefhas '" do i, walch for de.,h noli..,. of any child ,ha' 

,,"ould be of"alue to ,hen, and lhen ""'~". public "-"Cord, n:ques'lo l'I.~ri<l e the inf""""lion lMt will allow Ih<m to 

steal. dead child's idenlily, Once the information is in the hands of!heerimi",,1 it becomes. "'Ce for them to file I 

fraudule", lax retum before lhe parents are able 10 me their OW" ,·olid.....,. I flhey file first. Ihe parcnlS ore Ihe """" 

lhal ha"e 10 pro"e the)' arc the righlful pan)' to claim the child as a dependent. 
183 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.153

Who will be ,he ,'oice form), son? J can onl)' ",ri,e '0 an),one ,ha, willli"en alld beg 'hem '0 ,ake up ,hi. 0 • ....,. 

Wh)' ,,"OOld ,he "",i.1 securi,), number or a dc:<:CI.oo person ",,'er n=l,o be publjc knowledge? Wh)' e,," • parcn' nOl 

"'gi.,01" ... i,h lhe IRS or Socill Sec"ril), Admin;'tration to not 1110,," the di",losu", or this prj".t. inrorm.tion? Thi, has 

opened I chasm or",.li"'tion that I ... tll<.. naiwlr ""umed that onw tl>o record had been nagged as dc:<:eascd with tl>o 

Social Sc<:urit)· Admini .... t;.,.,. ,,-hieh it had. ,hat i, "'ould Ix:<:<>mc nagged acros,.11 gO\'cmmmlagcocies_ 

So no,," 1 ... ill ..... il a ""J>01I'" rrom ),00. A, "" elocled member orlile Congresso'O", Uniled Slales. ",hal say 

yo,,? Whal o.xpl:malion ea., you gl"e,o me IS 10 hll'" our go,'emn",nl ootu.lly roSlcrs an cn,'ironmcnl "lien: 11>0 

criminal is righl umiL """con. """,es along lhal sa)'. the)' are "'roog? Mychild is being .l>llscd rroo! the gr3'-e. and 

our 8""emmenll"""ided the information Iha, i, pcmlilling il'o occur, This is "'" ok. 

R,"<pcclfull)'. 

Jason Miller 

37880 I'leasant Hill Road 

La,ham MO. 65050 

660-458-6594 

eili""" 
184 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.154

Jay & Deborah Fuller 

1251 Muriel Street 

Woodstock, IL 60098 

815-338-2416 

jdandhope@sbcglobal.net 

The House Subcommittee on Social Security held 

the hearing on the pending legislation H.R. 3475. 

Please see above for the information from my husband and I regarding who 

the following comments should be attributed to. 

On March 10, 2010 our daughter, age 12, Hope died from a pediatric brain 

tumor. Upon filing our federal return in January of 2011 for the year 2010 

we were rejected due to a problem with our daughter's (our deceased 

daughter's) social security number. If the tragic loss of our daughter wasn't 

enough a thief had stolen her identity. Please help protect our families by 

supporting the pending legislation H.R. 3475. It is my understanding that 

those in the genealogical world feel they have a right to all our kids' 

information. That cannot possibly be fair to us or our dead children. 

Thank you 

Jay & Deborah Fuller 

(Parents of Hope Alizah Kimlee Fuller 6126197-3/10/10) 
185 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.155

February 16'", 2012 

To: Committee on Ways and Means 

From: Jay Johnson, mother of a deceased 5 year old DIPG Child 

2869 lansford Ave. 5an Jose, California 95125 

408-655-2817 

email: jayrjohnsonll@yahoo.com 

Hearing: HR 3475 

There are many cruel things that come with pediatric cancer. There are hours of treatment, 

which includes radiation and chemotherapy. Watching your child bravely deal with those 

treatments and their cruel side effects is heartbreaking. There are the missed hours at school, 

hours a child should be playing and being with their friends. There is the cruelty of a child 

suffering the effects of brain tumor, specifically this one, such as loss of motor abilities while 

retaining a sharp cognition. When your child dies, there is the heartache and despair of lost 

dreams, hopes, and innocence. There are many financial burdens that pediatric cancer parents 

endure. All of these we have no control over. 

But, the identity theft brought on after your child dies is a very low blow. Our family did what 

it thought was best to protect ourselves. Our son passed away June 5, 2011. We quickly filed 

our 2011 a~ returns as soon as humanly possible, February 6, 2012. That did not seem to 

matter, someone has already claimed our son as their dependent. What else can we eKpect? 

His name, birthdate, social security number is fully available on the Death Master list. Anyone 

can access that information and for FREE. In addition to the IRS, we are now contacting all the 

credit agencies to ensure there is nothing else stolen under his name. I don't understand the 

need to publish FULL social security numbers of our deceased children. I would be fired from 

my job at eBay if I even accidently disclosed a single social security number. What has 

happened to data privacy protection in this country! The fact that is okay for the genealogical 

companies' to publish this information for anyone to see is mind numbing to me. 

Please stop the publication of FULL social security information of the Death Master List. And, to 

the fullest e~tent permissible, please prosecute the scum that fraudulently claim these children 

as dependents when filing tax returns. 

Sincerely, 

Jay Johnson, father to this preCiOUS deceased boy 
186 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.156

Name: Jerry Sherard 

Address: 

429 S Moore SI. 

Lakewood, CO 80226-2629 

Phone: 303-988-9530 

email: shep964ard@holmail.eom 

Hearing Title: Social Security Death Records 

H.R. 2475 Keeping lOs Safe ACl of2011 

As a genealogist, I have found the SSDJ to be a very valuable database in helping people 

find Olll infonnation about their deceased ancestors. 

The SSN is required to access many records of genealogical value: 

United Mine Workers of American pension records. 

Railroad Retirement Board pension records. 

Recent military records (I know my military service number is my social security 

number). 

The SSDI provides a death date for finding obituaries and death cenificates. 

The SSN narrows the search for finding a death date or death cenificate for common 

names, for example for John Smith. 

1 am opposed to the passage of !-I.R. 2475 which covers Social Security Death Records. 
187 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.157

My name is Joette Kunse, 9740 Reese Rd., Clarkston, MI 48348, phone 248 620 2984, email 

jkhorses@comcastnet Oakland County Genealogical Society 

I'd like to submit a statement for the Death Records Hearing. As a family genealogist and a workshop 

leader in genealogy, t he Social Security Death Index has been a valuable tool in pursing relatives who 

have passed on. While I understand the issues with fraud, I would assume with technology, there could 

be blocks on particular numbers. The SSDI is a valuable tool for genealogist and one of the only tools to 

find relatives who have passed on in the 20" century. People have moved from their hometowns 

starting around WWI and the SSOI which begins in 1932 helps tremendously in searching for 

relatives. Sometimes you need to find a technology work around versus just closing down the SSOlto 

the public. 

I would hope that you would take my t houghts into consideration as you did not allow representatives 

from the National Genealogical Society to speak. Why would you ignore a portion of the population. 

Joette Kunse 
188 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.158

Please take action to prevent the DMF from being released to the public. I know many families who 

have lost children to cancer - only to find that their child's identity has been stolen for tax fraud 

purposes. This is so painful for the family to resolve. You can take action to prevent this pain in the 

future. Please do so. Ease of access for a hobbyist (such as genealogy researchers) does not trump the 

oblisation we have to American families who have 10$1 their child. Thank you. 

John Mackintosh 

12 Highland Meadow Dr. 

Nonh Attleboro, MA 02760 

(508) 399-8814 

John.j.mackintosh@gmail.com 
189 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.159

Comments on Chairman Johnson Announces a Hearing on Social Security's Death 

Records 

Eliminating this important data would have a lot of detrimental effects in my opinion . 

While I do not use this data daily it was quite important for me personally in trying to 

find out where and when my grandfather passed away. He had simply left town 

many years previously and without this resource we would have had no clue if he 

was alive or not. Because of this data we found out not only when he passed but 

where. 

Another positive use of the death information is to prevent a grieving spouse or 

family member from receiving unwanted correspondence. Many companies and non 

profits alike do not want to mail or correspond with a deceased person. The costs to 

businesses and non profits alike would be high and get higher each and every year. 

The feelings of the deceased spouse receiving the continued reminder that a loved 

one has passed also need to be considered. Mail is only going to get more expensive 

as well. Most of the recently deceased are by and large not as technically literate as 

the younger generation so mail is still the overwhelming choice of seniors. 

Folks like my sister enjoy doing family research and doing family trees and there are 

a lot of them who use this data, so this would also negatively harm all these folks 

who enjoy this past ime. 

I cannot condone identity theft certainly and applaud efforts to stop it. This bill 

would hurt a lot of legitimate and honest uses of the data because of the actions of a 

few. There must be some alternatives technically speaking and I cannot help but feel 

our technical gurus could figure out something in lieu of this rather draconian 

approach. Thanks for your consideration. 

John Wright 

1689 Anne Court Annapolis, Maryland 21401 

410-849-2143 

J hwright 14@verizon.net 
190 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.160

Social Security Administration's Death Master File 

I just want to say that the simple suggestion that the release of the SSDI will be 

blocked has already made my genealogical research more difficult. My research is 

difficult enough because my mother has been married S times and my husband 

was adopted. The worst thine that can happen is to have more leeitimate family 

records blocked from my view. Real research, in any field, cannot be based on 

rumor and innuendo so please do not take any access to vital records/documents 

away from family historians. Every individual has a right to know the truth about 

their origins from real documents not just from family lore. 

Juny Darneff.yersona(nenea(onist 

:Newsfetter editor for St. Crair Coullty yeneaIo9ica( Society (St. Crair Co., 1£) 

7329 :lI1ac£.eoa £.a ne 

DarnemJe 'Prairie,:lIfO 63368 

636-281·9810 

Jlidydarnell@charter.nel 
191 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.161

While the Death MOIler File may provide inlormalian lhal can be misused, it il not 

reasonable 10 deny Ihe information it contaim to legitimate requeltors. Terminating all 

access is akin to mying that becaule some teenager has huffed [inhaled with the intent to 

get high! spray point, t may not purchase some Rustoleum to touch up my barbeque gn11, 

even Itlough 0) I have a legitimate use, and b) I'm 57 years of age. 

Reasons to find ways to prevent abuse rather than terminafe a ll access include: 

The informa~on contained in the Death Moster File is crucial to genealogical searches by 

individuals interested in ifacking down their ancestors. 

The information being misused is not the fault of Ihe Social Security Administration, bul 

rather that of malicious third parties. 

Eliminating access to the Death Master File will not eliminate identity thefl: occessing 

state and local death records by thase intent on malfeasonce won't be impacted by 

restricting or eliminating access to the Death Moster File. Information on how to obtain 

fake idenMies is readily available in books and online, 

Erroneous reporls of individuals' deaths can be res~ved by tasking SSA pe<"Sonnel with 

double-checking provided information; this prevents malicious as well as occidental 

erroneous reports. failing to check information is probably Itle biggest flow in the system 

by for. 

The information in the Master Death Record should be able to be accessed by the public 

through legitimate genealogical and governmental agencies and restricted to those with 

legitimate reason for accessing the information. If someone is later am found to have 

misused thai information, fine them or refuse further access, but don·t penalize everyone for 

the actiOns of a few bad actors. Abuse of the data doesn·t justify lotal access elimination; 

alter all, people write in library books, foil 10 return Ihem. or accrue cessive book fines 

without libraries being shul down en masse due to 'abuse'. 

Thank you tor laking my comments inlo cons dera~on in your deliberalions. 

Koren Isaacson 

Woodinvil le, WA 98077-7808 
192 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.162

Ka thleen S. Johnson 

6029" Street 

S<;ribner, Nebraska 68057 

Phone: 1-402-664-3256 

E-mail: ksjscribcity@yahoo.com 

The Ways and Means Commiltee 

Hearing on Social Security's Death Retords - 2 Feb 2012 

28 Jan 2012 

Dear Chairman Johnson, 

I am writing in regard to the SOcial Security Death Retords and the current discussion in your committee 

about the Death Master Files. I am a tax paying dti!en and an amateur genealogist. I use the Social 

Security Death Master Files on a daily basis, to verify the death dates of the people t hat are my relatives. 

The actual Social Security number, that is also retorded with the files are not as important to me as the 

full name, address and birth and death date that are recorded. It is imperative to have the correct death 

date to continue with my work in ~arch of supporting documentation. Closing the files to the general 

public would be very detrimental to my work. I encourage your committee to continue to keep the 

Death Master files available to the publiC for the legal use of tax paying citizens in genealogical researCh. 

Thank you for this opportunity, 

Kathleen S. Johnson 

u.s. Citi!en 
193 


dkrause on DSKHT7XVN1PROD with HEARING78179A.163

January 30, 2012 

Representative Sam Johnson (R-TX) 

U.S. House of Representatives 

1211 Longworth Building 

Washington, D.C. 20515 

202-225-4201 

Senator Bill Nelson 

U.S. Senate 

716 Hart Senate Office Building 

Washington, DC 20510 

202-224-5274 

Gentlemen: 

Re: HR 3475, to prevent public access to SSDl; 

Keeping IDs Safe Act of 2011 

Re: SB 1534, to prevent disclosure of deceased's 

social security number for two years. 

As you know, Congressman Sam Johnson, Chairman of the House Committee on 

Ways and Means Subcommittee on Social Security, has organized for the 

Subcommittee to hold a hearing on the accuracy and uses of the Social Security 

Administration's Death Master File, with commercial name Social Security Death 

Index (SSDI), on Thursday, February 2, 2012 in B-318 Rayburn House Office 

Building, starting at 9 am. 

Because of problems where a few living people are mistakenly identified as 

deceased and where, rarely, social security numbers of dead children are stolen by 

thieves who use the stolen numbers on IRS returns to claim tax benefits, Congress is 

reacting wildly, by proposing to shut down all public access to SSDI. I suggest you 

review the specific draft comments dated January 24, 2012 to Rep. Margaret 

Hostetler on the House Ways and Means Committee, by Jan Meisels Allen, Managing 

Member, Records Preservation and Access Committee, c/o Federation of 

Genealogical Societies, PO Box 200940, Austin TX 7B720-0940, with phone 1-B88-

FGS-1500 and any follow-up comments. 

I would like to say generally, that as a volunteer genealogist, who works 

occasionally as a volunteer with my local DAR chapter and occasionally, for free, 

with distant relatives and frien ds, to trace family histories, that we find the SSDl 

useful. When one has general information for a deceased relative; such as name, 

range of two to three states, and a five-year range for death; one may find 

confirming information with SSDl, such that one then may contact the town library 

and ask for newspaper obituaries or death notices. One then may learn the 

cemetery where the deceased person is buried and, sometimes, next of kin. 
194 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.164

Public access to SSDl is important. Please don't "throw the baby out with the 

bathwater,~ by imposing onerous conditions on public access to SSDl. 

Thank you for your attention. 

Sincerely, 

Kathryn E. George (M D District 8, that is being redistricted) 

16625 Alden Av 

Gaithersburg MD 20877· 1503 

301-869-4948 

kay.george@verizon.net 

copies: 

Rep. Chris Van Hollen 

Capitol Hill Office 

1707 Longworth H.O.B. 

Washington, DC 20515 

202-225-5341 

Rep. Roscoe Bartlett 

Capitol Hill Office 

Rayburn House Office Building 

Washington, D.C. 20515·2006 

202-225-2721 

Senator Barbara Mikulski 

503 Hart Senate Office Building 

Washington DC 20510 

202-224-4654 

Senator Ben Cardin 

509 Hart Senate Office Building 

Washington DC 20510 

202-224-4524 
195 


dkrause on DSKHT7XVN1PROD with HEARING78179A.165

January 30, 2012 

Keith B. Riggle 

304 Briar Ln 

Morris IL 60450 

Chairman Sam Johnson 

United States House of Representatives 

House Ways and Means Committee 

Subcommittee on Social Security 

Washington, D.C. 20515 

Subject: Hearing on Social Security's Death Records 

Dear Chairman Johnson: 

I would like to tell you how I, as a genealogist and family historian, use the Social 

Security Administration's Death Master File (aka Social Security Death Index [SSDIJ). 

I use the SSDI to appropriately identify records of people when tracing my family 

history, especially ifthe person has a common name. The SSDI is especially helpful in 

constructing family medical histories. There are several inheritable diseases in my 

family, including diabetes and Parkinson's disease. Genealogy assists in tracing family 

medical problems that are passed on from generation to generation. Information 

included in birth, marriage, and death records is critical to reconstructing families and 

tracing genetically inherited attributes in current family members. The Social Security 

Number is critical to make certain that I have the correct person. Increasing numbers of 

physicians are requesting that their patients provide a ~medical family tree~ in order to 

more quickly identify conditions common within the family (I). Information on three 

generations is the suggested minimum. The US Surgeon General includes preparing a 

family medical history as part of the American Family Health Initiative (2). 

I support Congress·s intent to protect Americans from improper usage of their personal 

information and to protect them from identity theft. However, denying the millions of 

Americans who engage in genealogy access to the SSDI is not the answer. Rarely has it 

been documented that an individual's identity is violated by access to SSDI; rather, the 

violations occur due to computer breaches from government and private enterprises. A 

2009 study stated ~i n the last five years, approximately 500 million records containing 

personal identifying information of United States residents stored in government and 
196 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.166

corporate databases was [sic] either lost or stolen" (3). The SSDI is actually a deterrent 

to identity theft. As posted on the National Technical Infonnation Service (NTIS) 

website (http://tinyurl.com/yb6e49e), it states that the Death Master File (SSDJ) 

prevents identity fraud, as it verifies a person's death. In addition to family history 

researchers, the SSDI is used by credit reporting agencies, merchants, private 

investigators looking for missing heirs in probates, media reporters, university 

researchers, and others. The IRS should use the SSDI to identify fraudulent tax returns. 

The Records Preservation and Access Committee of the Federation of Genealogical 

Societies, National Genealogical Society, and International Association of Jewish 

Genealogical Societies has presented you with a position paper on this subjcct. As an 

individual genealogist, I f\Llly support their position and recommendations. 

Keith B. Riggle 

(1) Mayo Clinic staff: "Medical History: Compilingyouf medical family tree," 

http://www.mayoclinic.com/health/medical-history/HQOI707 

(2) https:jjfamilyhistory.hhs.govjfhh-webjhome.action 

(3) http://www.identitythcft.info/breaches09.asPx 
197 


dkrause on DSKHT7XVN1PROD with HEARING78179A.167

Kenneth H. Ryesky Social Security Death Master File 2012 Page I 

KENNETH H. RYESKY. ESQ., STATEMENT FOR TIl E RECORD, UOUSE 

COMM ITTEE ON WA VS AND MEANS, SUBCOMM ITTEE ON SOCIAL 

SECURITY, WRITTEN COMMENTS ON PROVISIONS RELATING TO 

SOCIAL SECURITY ADM INISTRATION 'S DEATII MASTER FI LE. 

I. INTRODUCTION: 

l'louse Committee on Ways and Means Subcommittee on Social Security held a 

Hcaring on 2 Fcbruary 2012. rcgarding thc accuracy and uscs of the Social Seeurity 

Administrat ion's Death Master File. Publ ic cOlllmcnts were solicited. This Commentary 

is accordingly submilled. 

II. COMMENTATOR'S BACKGROUND & CONTACT INFORMATION: 

Background: The Comlllcillator, Kellneth H. Rycsky, Esq., is a Illeluber ofthc 

Bars of New York, New Jersey and Pcnnsylvania, and is an Adjunct Assistant Professor, 

Departmcnt of Accounting and Information Systems, Queens College of the City 

University of New York. where he teaches Business Law courses and Taxation courses. 

Prior to entering into thc private practicc oftaw, Mr. Ryesky served as an Allorney with 

the intcrnal Rcvenuc Scrvice ("IRS"). Manhanan District. In addition to his law degree. 

Mr. Ryesky holds BBA and MBA degrees in Managcment. and a MLS dcgree. He has 

authored several scholarly articles and eommcllIaries on taxation, including one made 

part ofthc printed record of a hearing before the Senate Finance Comminee. I 

Mr. Ryesky also engages in genealogical researeh, and has thcreby faeilitaled the 

rcconnection of relations within his own fami ly approximatcly six decadcs following the 

cut-ofT of communications with siblings in the old country which was imposcd upon his 

grandfathcr by the repressive policies of the Soviet Union. 

Contact infonnation: Kcnneth H. Ryesky, Esq .. Department of Accounting & 

Infornlation Systems, 215 Powdennaker '-laIL Queens College CUNY, 65·30 Kissena 

Boulevard, Flushing, NY I 1367. Telephone 71 81997·5070 (vox), 718/997·5079 (lax). 

E·mail: khresq@sprintmail.eom. 

I T(u: FW1(I(l/I/i!/Jw/s ill AdwlllceofReform. Hearing before lhe COnlnlillC'e on Finance. U.S. 

Senalc. 1 10th Congress. 2nd Session. April 1 S. 2008. S. Hrg. I 10-1037. pp. I 13 . 150 

<hnp://fmancc .scnalc.go~ rbr:1D'1l1earingsldown!0.JS! id fcad52bc·3 791-41 05·96da· 

OOI0264cd7cd>. 
198 


dkrause on DSKHT7XVN1PROD with HEARING78179A.168

Kenneth H. Ryesky Social Security Death Master File 2012 Page 2 

Disclaimer: NOIwi!hs!anding various consultations be!wccn !he Commentator 

and other interested individuals and organi7..ations. this Commentary rdk'(;ts the 

Commentator's personal views, is not wrillen or submilled on behalf of any other person 

or emity. and docs not necessarily represent !he official position of any person. entity. 

organi zation or institution with which the Comme!1lator is or has been associated. 

employt'd or retained. 

111. COMMENTARY ON THE ISSUES: 

II. Overview: 

The Social Security Administration's Death Master File (DMF) 2 is a publiclyavailable resource of great value to several constituencies. including but not limi!ed to 

genealogical rt'SeaJ"(;hcrs. But infonnation from the DM F has also been uscd by 

unscmpulous individuals for nefarious purposes, including tax fraud. The imperatives of 

genealogical research and sound tax administration arc now on a collision course: nay. 

Ihey have already eol!idt'd. Congress now seeks 10 address the issues regarding the DMF, 

including !-I.R. 3215, !-I .R. 3475. H.R. 3482, 5 .1534. and including the subject Hearing. 

The Commentator now provides to the 5ubeommillee his perspective, from his 

personal and professional backgrounds in both tax administration and genealogic 

research, on the intersection betwccn those t\\·o arcas. 

H. Genealogical Research: 

In addition to those who engagc in genealogical research as gainful employment, 

there arc many. many more. the Commentator included. who do it in other contexts. The 

Commentator is very disinclined to refer 10 these other individuals as "amateurs" or 

"amateur genealogists~ because their resear<:h all too frequentl y is no less extensive, 

infOm1ative. scholarly or successful than that done by the professionals who research 

genealogy for a living. Accordingly, this commentary will usc the ten11 indi idual 

researcher" and similar tenns to refer 10 such persons. 

2 The DMF is avaitable and utitized in artOther incal1latiOfl known as the Social Security Death 

Index lSSDI). ami is often referred to as such. 
199 


dkrause on DSKHT7XVN1PROD with HEARING78179A.169

Kenneth H, Ryesky Social Security Death Master File 2012 Page 3 

Genealogical research plays a vital role in diverse areas of law and society, These 

include, but are not limited to, identifying the heirs to a decedent's estate, ) and in sueh a 

context, an al10mcy using the skills of an individual researcher can perfonn the required 

diligent seareh for heirs without burdening the decedent's estate wilh the e:o;pcnse of a 

professional genealogist. 4 Indeed, the Commentator has had occasion, in a probate 

proceeding, to use his individual genealogical research skills to locate heirs theretofore 

unknown and/or belie\'ed deceased by the friends of the testator, 

Genealogical research can detennine title to real propeny, S and qualification for 

loan guarantees for housing, 6 Genealogical research is often vital 10 determining Ihe 

status of Native American tribes and tribal members 7 (and in such regard, ligures into 

the legal battle over competition against retailers of tobacco products from the untaxed 

tobacco products sold by Indian tribe members), 8 

The effective repatriation to Americans and others of anwork looted during the 

Nazi era requires genealogical research data, 9 

J III re E!illl/e ofWrighl, 1997 Dt:!. Ch. LEXIS 26 (Ocl. Ch .. 1997); Maller ofSII'illge,lfll, 2011 

N.Y. MiS(:. t EX IS 60 19, 2011 NY Slip Op 33230(U) (SUIT. Ct., Nassau Co., 2011); III re ESlale 

ofRosCIr. 819 A.2d 585 (ra.Supcr 2003). 

~ See. I;<.g .. MOlIl;<rofMarsdtm. 2009 N.Y. Misc. LEXIS 6347 at *7, 2009 NY SlipOp 33235(U) 

at ·S (SUIT.Ct .. Nassau Co .. 20(9). 

EOIOII V. TOWII of Wells, 760 A.2d 232 (Mc. 2000). 

12 U.S.C § 1715z·13b(a)(6)(B)(i); 24 C F.R. § 1007.5. 

7 James v. Depl. of Health mill 1111111011 Sen·ices. 824 F.2d 1132. 1138 (D.CApp. 1987); 

MIIln1mm Ohfollc Tribe \'. St'/(I:(lr, 2011 U.S, Disl. LEXIS I 10400 at ·15· ·16 (Disl. D.C 

201 I); Till/bislm SIIO~'llOlIe Tribe 1-'. Depl. of /1I11:rior, 2011 U.S. Dis!. t EXIS 51892 a! *2 - *3 

(E.D. Calif, 201 1); Kirs!y GoV<'r, Genealogy 0 .1 COII/inllily: Explt'ining Ihe Growing Triblll 

Preferencefor OescenJ Rules ill Membership GOl'emallCC illlhe Uniled SIOIes. 33 AM IND!/\N L 

REV 243 (2008/2009). 

! See Gri$lede's Foods.lllc- \'. Ullkecllllllge Nation. 660 F. Supp. 2d 442, 447 - 448 (E.n .N.Y. 

2009). 

9 Statement ofCmllcrine A. Lillie. p. p. 26. Rcvicw of!hc Repatriation of Holocaus! An Assets 

in the United States, Hearing Before tile Subcommillee on Domes!ic & In!ernational Mone!ary 

Policy. Trade, &Tccllnology, Commiucc on Final1cial Scrviccs, U.S. House OfRepresen!ativcs. 

100!h Cong., 2d Sess., Serial No. 109-113, at p. 26 (27 July 20(6) 

<hup:lfarchi\"Cs. tinancialscrvic<:s.lmusc.l!,ovlpdfi ArchiveHcaling/ 1 09-113. PDF>. 
200 


dkrause on DSKHT7XVN1PROD with HEARING78179A.170

Kenneth H. Ryesky Social Security Death Master File 2012 Page 4 

And fccs paid by genealogical researchers are a souree of revenue for the Unitcd 

States government. 10 

Genealogical rescarch. then, is a serious and salient mancr which cannot bc 

viewed merely as SOllie sort of quaint pastime. Opportunities for individual researchers 

need to be fostered and facilitated. with due regard for the role it plays in so many areas 

aud aspects of law and society. 

There are, of course. limitations to the diversity of witnesses who can be called to 

allY givcn Congressional hcaring. Standing alone, the fai lurc ofthc Subcommittec to 

invite testimony from the genealogical community (both the professionals and the 

individual researchers) denied a significantuumber oflegitimale stakeholders of an 

opportunity to give their vital input. The Subcolllminee now needs to pay serious regard 

to the materials in addition to this instant Commentary that surely will be submil\ed from 

membcrs of the genealogical community. whether from professional genealogists, 

individual researchers. or the genealogical interest groups and societies. 

C. Social Seeuritv Numbers and Tax Administration: 

This Commentator has previously expounded, at greater length. to a different 

Subeommillee of the Ways and Means Committ~. on the American system of voluntary 

compliance with the tax laws. II It now suffices to state that the American voluntary 

compliance system is a far less repressivc altcrnative to other systcms elsewhere, 

currently and in bygone days. but thaI the uncocrced compliance s.o vilal to Ihe system 

dcpends, in no small measure. upon the sccurity oflaxpaycrs' personal data. 

[n Ihe taxation conlext. dala sccurity means more than reslriclions on access to Ihe 

data. Dala security also refers 10 how data is processed. Thc failure 10 correctly process 

or verify data poscs security issucs no less deleterious than the improper access 10 that 

data. 

10 See 8 U.S.c. § I 356(1): 8 C.F.R. § 103.7(b){1}(i) (El & (Fl. 

11 Statement of Kenneth H. Ryesky, Esq .. Hearillg 10 £tamille T(Lf Fraud Commilted by Prison 

Im1UJIlW: Hearing before the Sulx:ommince on OV<'rsig.ht oflhe Coml11in~,,", on Ways and Means, 

U.S. House ofRepresentativcs. 109th Congress. t Sl Session. June 29. 2005. Serial No. t 09-36. 

pp. 62 - 66. 

<http://www.goo.gov/fdsyslpkg/CHRG-t O9h hrg24905/pdf/CHRG-l 09hhrg24905.pdf>, 
201 


dkrause on DSKHT7XVN1PROD with HEARING78179A.171

Kenneth H. Ryesky Social Security Death Master File 2012 Page 5 

Mr. Agin's testimony at the subject 2 February 201 2 Hearing, together with the 

testimony of Mr. McClung at a reccnt Senate Financc Committee hearing. spotlight such 

improper processing of tax infonnation by the Internal Revenue Sen'ice. 11 As related by 

Mr. McClung, his income ta .... return was rejected because his deceased der,endenl child 

had already been claimed on a filed return. It is noted that the Social Security 

Administration's FornI SS-5, Application for a Social Security Card, emphatically 

requires, in the case of an infant child, the parents' Social Security Numbers. In the case 

of Mr. McClung, the fraudster who claimed his deceased daughter apparently filed a tax 

return whcre the pcrson purportedly claiming the McClung infant used a Social Security 

Number other than Mr. McClung's or his wife's. The fail ure of the IRS to "red flag" the 

first return, filed by the fraudster. for further inquiry is a processing failure. 

The case of Mr. Agin is similar, but is a11the more egregious because Mr. Agin 

and his wife presumably filed prior tax returns in prior years with their correct Social 

Security Numbers; the subsequent claiming ofthc same infant dependcllt by another 

purported ta ... paycr with a difTerent Social Security Number should have been an 

additional "red flag" for the IRS. And. as further reflected in Mr. Agin's testimony. his 

case was far from unique. 

D. Approaches to Resolving the Conflict: 

There are several approaches which Congress ought to take in resolving the 

conflict between the need to facilitate gcnealogical research and the need to prevent and 

punish tax fraud. These might include the following: 

I. Criminal penally statutes for those who fraudulently usc Social Security 

Numbers. These can include criminal sanctions against those who misuse their positions 

(e.g., hospital records administrator, prison corrections omcer, collcge or university 

registrar, et cetera). 

2. Private causes of action, in the Federal courts and clsewhere, for victims of the 

fraudulent misuse of Social Security Numbers. This can include statutory damagcs in 

addition to actual damages. 

11 Slatemem of Terry D. McClung, Jr .. The Spread of Tax Fraud by IdemityTheft: A Threat 10 

Taxpayers, A Drain on Ihe Public Treasury, United States Senate Committee on Filla!lcc, 

Subcommillee on Fiscal Responsibility and Economic Growth (25 May 20! !). 

<http://fin:lncc.senate.gov/imolmedialdocfrestimony%200(,,/o20Tem%20McClung.pdf>. 
202 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.172

Kenneth H. Ryesky Social Security Death Master File 2012 Page 6 

3. Mandates that the IRS use various data processing parameters and standards 

in handling, checking and verifying the tax returns it receives from taxpayers. IJ 

There seems to be an intent on the part of some membe rs of Congress to restrict 

the availability of infonnation in the DMF. While some rcstrictions may well be 

appropriate, it must be remembered that the DM F is a valuable infonnation resource 

developed at the expense of the American peoplc, and should be availed to thc public for 

lcgitimate purposes. Thc unnecessary restriction of acccss to the DMF to ind ividual 

gcnealogical rcscarchers would not only work an injust ice 10 the American people, but 

would impede the accomplishmcnt of many Icgitimatc legal and social proccsses, and 

would further facilitate thc IRS's laxity in its proccssing oftaxpaycr infonnatio!l. 

E. Conclusion: 

The United Slales Congress has already declared it to be in the national interest 

to preservc and protcct Amcrica's historical roots abroad. 14 This being so, it is allthc 

more in the national intcrest to protect and preserve genealogical infonnation in America. 

The problem of tax fraud using Social Security Numbers is a significant problcm that 

requires Congressional attention. Resolution ofthc problem must give not unduly burden 

the conduct of Icgitimatc gencalogical research. 

5 February 20 12 

Respectfully submitted. 

I 

Kcnneth H. Ryesky, Esq. 

II The IRS has demonstroted broad ineptitude in its trocking and processing of Social Sl'Curily 

Numbers scc. c.g. U"i/l:dSlall:s. I'. NielsclI, I F.3d 855, 857 (9th Cir. (993), c<:rl. clellh'tl. 525 

U.S. 827 (1998); Wallin v. Commissioller. 744 F.2d 674. 677 (91h Cir. 1984): United States v. 

Shafer, 1996 U.S. Dist LEX IS 56165 (E.D. Pa. 1996): Grimloml v. Commissioller. T.C. Memo 

1993-367: 111 rl: WOO'hillgloll, 172 13K 41 5. 418 - 419 (Bankr. S.D. Ga. 1994). 

\ 4 16 U.S.c. § 469j (establishing Ihe Commission for the Preservation of America's Heritage 

Abroad). 
203 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.173

Dear Sirs and Madams, 

I am an heir locator and use the online SSDI daily in 

my efforts to find heirs and inform them of their 

entitlement to Estates in the U. S. 

Over the last 14 years I have been able to locate 

dozens of heirs in the U. S. and abroad and as a 

result they have received a total of several million 

dollars. 

It would be cumbersome to detail the process but 

in most cases it begins with a search on the SSDI. 

This then leads to other hclpful infonnation and, 

in the case of intestate succession, creating a 

fam il y chart and contacting next-of-kin. 

It is only just that fami ly members be infonned of 

the death of their relative and the financial boon to 

them. In my ex perience, it has changed the life of a 

child with Down's Syndrome and a mother with a child 

battling cancer. These are just two examples. 

It seems we are too preoccupied with privacy at the 

cost of our fundamental values of justice, fairness, family 

ri ghts and property rights. There must be a better way 

to prevent criminals and terrorists from achieving their 

ends without sacrifi cing our va lues and harming the 

innocent. 

Please vote to continue to allow online public access 

to the SSDI. 

Sincerely, 

Laura Peritore 

Ipc laims@pacbell.net 
204 


dkrause on DSKHT7XVN1PROD with HEARING78179A.174

To: wavsandrneans_subm issions@'rnail.house.gn\' 

Leslie Brinkle,l Lawson 

5180 SW 198 Ave 

Aloha, OR 97007-2964 

503-649-6679 

Lesl ie@LawsonResearch.nCl 

Social S~urity Death Records 

As an American Citizen I am writing in regards to the following bills before the 

committee: 

• HR 3475. ~ping IDs Safc Act of2011 hnp:llthl\'url.comf6uwu4aw 

(If enacted, this bill would cff~tively end public access to the dcath file) 

• S 1534, the Idcntity Theft and Tax Fraud Prevention Act htlp;lIlinvurl.comnSdc8Q9 (If 

enacted, Ihis bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

• HR 3482 To prevent idemity theft and tax crimes.http://tinvurl.comf83p4b4p 

(If enacted, this bill prohibits disclosure orthe d~eased's SSN in calendar year of 

death and calendar year foHowing death) 

• HR 3215 To prevent identity theft and tax fraud hltp:fftinyurl.comnfgsd5s 

(If cnacwd, this bill prohibits disclosure of the deceased's SSN in calendar year of 

death and calendar year following death) 

First, I must say how incensed I a m as an American citizen that I haH' been shut out 

or the process regarding the closer or SSDI. By refusing to allow genealogists to testify 

and convey to you how important this ~ord group you have sent a strong message to 

this individual voter. This dl'(;ision affects my business greatly; the loss would affect me 

in an insurmountable way. I am a forensic genealogist. My job is to recrcatc family 

groups from very broken families to find beirs to estates orto fi gure out who their family 

is whcn they arc no longcr able to speak for thcmsclves (dcmentia, Alzbcimer's, brain 

injury). If you rentovc access to thc SSDI YOII cripple the idcntity process uscd by 

forensic researchers. I ask that you r~onsidcr thesc actions by revicwing the information 

noted below. 

[t has been proven time and again Ihat identity theft has nothing to do with Ihe ssm. and 

everything to do with computer hackers. Please refer to the 2009 Security Breaches and 

Database Breaches. 

It might be bettcr to require business to use the SSDI to prove they aren't hiring someone 

who is fralldulcntly using the number of a dead person. Require credit card companies to 

usc the SSDI before approving credit eards for every person Ih.ey extend credit to. 

• Gcnealog)' is a serious profession. 
205 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.175

• Genealogists use the SSNs to appropriately identify records of people when tracing 

family medical history. especially if the person has a common name: Sam Cohen. 

Tom Brown. Jose Martinez. Tn.mg Lee. etc. Genealogy assists in Imcing family medical 

problems that arc passed on from genemtion 10 generation. Infonnation included in 

binh. marriage. and death records is critical to reconstructing families and tracing 

genetically inherited anributes in current family members. The SSN is critical to make 

cenain that one has the correct person. Increasing numbers of physicians are 

requesting that their patients provide a "medical family tree" in order to more quickly 

identify conditions common within the family.lnfonnation on three genemtions is the 

suggested minimum. The US Surgeon General includes preparing a family medical 

history as pan of the American Family Health Initiative. 

• Genealogists wori: with coroners to find ne.~t of kin for the deceased. The identities of 

these people arc known, but the government agencies arc nO! always able to find the 

families, so they are literally unclainwd. It is a national problem with which coroncrs 

must cope. See unelaimedrcrsons.org 

• Genealogists wori: with military to locate relatives of soldiers who are still unaccounted 

for from past conflicts. While using DNA, the genealogists also need SSNs to hclp 

assure they are finding the correct person's family. 

• Other stakeholders who arc concerned and want ful! and immediate access to the SSDl 

include: the financial and insurance industries [they need the infonnation timely so that 

they can verify deaths to payout death claims and verify beneficiaries for paying retiree 

benefits]: federal, state and local law enforccment agencies: Le:-.:is-Ne:-.:is; charities 

Icgacy depanmems and planned gifts depanrnents. medical rescarehcrs [tracking 

morbidity cluster deaths and tracking monality of medical trial results[: state. county 

government and teacher retirement funds: county assessment offices. student loan 

companies; universities for student loans. tracing alumni monalities and other activities. 

enhanced collections depanment of state couns. and other stakeholders that we are 

learning about daily. 

We need this database left whole. Its benefits far outweigh the negative press. 

Thank you. 

Leslie Brinklcy Lawson 

Forensic Genealogist 

http://www.lawsonresearch.netl 
206 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.176

Linda M. Dodge 

9 Hastings 5t. 

Stow, MA 01775 

Irldodge@aol.com 

Dear Ladies and GenHemen: 

As an amateur genealogist for many decades, I appeal 10 yOl!. Please do not lim~ oor access to the 

social security records of people who have died. This is an invatuable source for those of uS who seek to 

toeate oor anCf!!lto(s and find out where we come from. 

Thank you. 

Yours truly. 

Linda Dodge 
207 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.177

1 February 2012 

Re: Hearing on Social Se<:urity Death Master File 

Than~ VOU for the opportunity to provide input to the discussion about the accessibil ity of the Social 

Security Death Master File (SSDI), I am a professional genealogist and also do family history researth for 

my own family. I have USe.l t he Social Security Death Indu on CO· ROM and the Internet for nearly 20 

years. It is extremely valuable for tracking family migrations and identifying what happened to people 

after they ·disappear" from the family. The Social Security Death Index is often the only key that can 

open up doors to additional publically available information, such as obituaries and death records, 

when applicable. 

I ask that you do not restrict public access to the SSDI. American families are relying on it to 

help dis.cover and reconstrud their family histories. 

Also, I know that organizations such as universities and churches use it to update their alumni 

and membership lists when members move away and the organization is not informed of their death. 

And heirship attorneys use the SSDlto help track down potential heirs to estates. 

The value of keeping t he SSDI a public record is immense and it must be preserved. 

linda Masden Vixie 

3445 Possum Ct. 

Colorado Springs. CO 80918 

(719) 528·6847 

Ivixie@comcast,net 
208 


dkrause on DSKHT7XVN1PROD with HEARING78179A.178

February 2, 2012 

Comminee on Wa)'s and Means 

US. Congressman Sam Johnson 

Chainllan Subeommittee on Social Securit), 

Re: Social Security Administration's Death Master File 

The La I'onc Count)' Indiana Genealogical Societ)' shares thc objective of protecting 

Americans against fraud and of addressing deficicncies in thc current operation of the 

Death Master File. We hope that measures can be developed which address these 

conccrns whilc prescrving \0 Ihe maximum CXlcnt practicable access for genealogical and 

other legitimate purposes. We urge legislators who work to address thcse concerns to 

targetthc criminal behavior rather than seeking a quick solution whose onl), real impact 

is felt b)' law-abiding citizens, law-abiding citizcns who use the index for thc myriad of 

legitimate purposes for which it was created. 

Members of our society, tile La Porte Coumy Indiana Genealogical Society, lIave 

expressed this conecrn. Through the availability ofSSOI. one of our members was led to 

an uncle he had only met once in person. The uncle was the oldest brother of our 

member's father who lell for California in the 1930's. Only through SSDI, accessed on 

--Family Searell--, was the member able to find where and wilen his uncle died. 

Another member, whose father's siblings were tragically separated while they were 

young children. was able, upon her father's death, to find and communicate the news to 

numerous cousins whom she had never mel. She found several of her deceased aunts and 

uncles in the SSDlthal pointed her in the right direction to find their families. 

A third member was searching for hcr mother's cousin who had not been heard from in 

many years. For her. a search on the SSDI showed he had passed away and when and 

where. With this infornlation she was able to contact a newspaper in the area and obtain 

an obituary to detennine the details and any living survivors. 

These arc pricelcss experiences, only available through thc free and open access to this 

public infonnation. 

The interests of our society and the genealogical community arc not hard to understand. 

Access to records or the lack thereof, is the pivotal issue for us. Without documentation, 

our family histories are more legend Ihan history. Our society' goals, to eoUeet, preserve 

and disseminate knowll'dge and information wilh reference to genealogy and history, can 

only be achieved through unfettcred access to public records. 

We urge that )'ourcommittee propose ways to target the criminal and not those who serve 

the legitimate good of the community. 
209 


dkrause on DSKHT7XVN1PROD with HEARING78179A.179

Rcspectfully submitted, 

La Porte COllnty Indiana Cenealogiea l Society 

90", Indiana Aw. 

La Porte, IN 46350 

Alan H. Zeller, I'resident 

219-324-0404 

alan _ zeller@frontier.eom 

Lester J. Chadwick. Vice President 

Harold Henderson, Secretary 

Dorothy J. Palmer. Treasurer 

Fern Eddy Schultz, Genealogist-Historian 
210 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.180

SUPPLEMENTAL SUBMISSION SHEET 

LA PORTE COUNTY INDIANA GENEALOGICAL SOCIETY 

904 Indiana Ave. 

La Porte, IN 46350 

Alan H. Zeller, President 

219-324-0404 

alan_zeller@frontier.com 
211 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.181

2i J........-.., 2012 

~4H,....;ll 

-rs: 1 Q.l.oI A.< MV 

c;.,....l~.HI~ 

...t~ 

616-4S4-"JS1S 

It£ eJ,.;..-J04-A---... ~ _ S«;.J. s..-ot,'. ~~. In: JIf"JS 

U ..... w.-,. Fa..-.., en, 2012 

TI-o 11....tt. Du.fJ. F;h 4. ~ ~ Du.fJ. J..4. ~ -.( '" -...,,..;L< -.J. ~ '" dot ~ #4'-It;., 

-.( "' I4.,.;.d. .. ,."'".,, ~",......a. d........:... '" POW'S.,.;.d.dW,~;.;f;" -.("'d.t..,..l;t~ 

~;.;f:' -.( '" dot...q..".~;.;f ~ -.( '" dot "'" .;f ~ -.(:.. ~ ...... "'.14<-:..< ¥ tw..,.;f 

:.....J, '" d.1.JJJ ..... ~ '" l-.I ~.J.. '-' e.... ~.,.;.d. ~~ .;f ;"....,/ ",.14<-:..< 

.;1-.J. ~ + ; .;f ;., .. ,.J. '" d. ~ F-.;.t;... F ... F~ H<-. '" I:...l d. ~ '" d. 

~"""':"'''' __ ' • .a........IL.t'''''~:''"'''''''fdl--l~;.;f ;'' ....J'''fIt~ 

U~ p_ '" 14.-. -.J. ~.---. /<wi. d..-f "'~ ",,..;L<.J.. '-',..-J-,. 

TI-o Sm:: ;., ... -"1.J..4i< I...t IL.t ;., .-l '" -..., ~ J. k ~ -.J.. :.. __ . pu....- -.J. '" ;-f4' 

....,..p....A fI.< F....t- '" r~ kf '" __ d. SIDr. T~ 1L.t..p -..,.d1 ~ I'" d. ~ '" 

~ ft4t, .;f.d1 k d. ~ -.J. -w..;f""';"" /ro ~ "'...-;.IIL.t...;..... 

"'"""", 

I1~H,....;ll 

Acar"'fltU~sw..",~ 
212 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.182

TO Whom it Does COncern, 

An email was just sent to me concerning the removal of SOdaI security Death Index information to 

genealogists. This Infuriates me, first as a dtizen born and bred in these American states. To defly 

information for any reason is outside the vested rights I have as an American. secondly, immigrants 

have been coming to the US for hundreds of years. Finding ancestors Is of supreme Importance to 

families. Thirdly, governmental cootrol of information, eoonornics, edocation, business, agrkulture, 

health, et ai, tightens the noose that is strangling her once free citizens. 

Cease and desist is all ! have to say. 

Marion Newey 

34492 Berg Rd 113 

Warren, OR 97053 

5033975391 

I an neither Republican nor Democratic nor any other party since you have all become the same ... power 

hungry ensiavlng megalomaniacs. You should be ashamed at what yoo are ooong to this wonderful 

country. A 9randmother in 0re90n. 
213 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.183

January 31, 2012 

Oear Committee on Ways and Means, 

I totall~ understand your situation with identity fraud and in how those unfortunate people who have 

suffered as of result of this, however not everyone is out to steal someone's identity. I am a 

Genealogical Researcher; the Social Security Death Index helped me in the past to locate family history 

for my clients. I am pleading with you not to eliminate public access but instead to find a way to limit 

what is published. My suggestion is to remove the social security number from being published with the 

Social Security Death Index. There is a downfall to doing this as when a researcher like myself nei!ds to 

submit a request for other types of research records that require social security numbers, yet there are 

solutions to help us and to ~eep the Social Security Number private. In a case scenario such as this 

perhaps the solution would be that the government is wi lling to accept our limited information for these 

records request with just a name, date of birth, and date of death, leaving the government to look up 

the Social SeCllrity Number for that record would aid researchers li~e me in obtaining such a record. 

Which are so old that there is no way possible that a identity thief can use that record for themselves or 

others. 

I have been doing my own Genealogical family research for a decade, and because of having the 

freedom to find a public record such as the social seCllrity index, it has helped me to locate several 

deceased family members, Without this resource, it will be impossible to learn important family 

information. Please find a way to make this work for both of us. Making it private is not the total 

solution. 00 you realize that there are countless other public records that can be had by indemnity 

thieves? We need to wort together on this for better solutions. Thank you for your time in this very 

important matter, please be sure to include my concerns to your committee before your February 2012 

mei!tings, fami ly history is so very important to myself and millions of others, it is also an occupation for 

others. It is difficult enough as it is to help others find their families heritage, which pay for the services 

rendered by Genealogist. This could cost those professional r~earchers their jobs. Again, please as a 

Committee work together in findi"l! solutions to benefit both parties and make it possible for millions of 

people like m~ f to be able to research, find, and to learn about our family history and heritage. Thank 

"'" 

Name · Mary A. langdon 

Address· 2901 Bald Mountain Road 

Bear Crei!k Township, Pa. 18102 

Phone number· 510·371·33 18 

Contact {·mail Address .{ mmett19SS@gmail.com 

Title of Hearing - The Committee on Ways and Means. 
214 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.184

February 8, 20 12 

House Ways and Means Committee 

Subcommittee on Social Security 

B 317 Rayburn House Office Building 

Washington, DC 20S1S 

Subject: OPPOSE HR 3475, S 1534, HR 3482. AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their personal 

information, and to protect them from identity theft. However, genealogists DO NOT suppon 

restricting access to public records that have very little to due with Identity theft. 

Currently, four bills are pending in the U.S. Congress that would eliminate or curtail access to the 

Social Security Death Index (SSDI) on the Internet. I oppose all ofthese bills. which are: 

- HR 347S, Keeping IDs Sole Act 0/2011 hllp://tinyurl.com/6uwu4aw 

(If enacted, thiS bill would effectively end publiC access to the death file) 

- S IS34, the Identity Theft and Tax Fraud Prevention Act http=!/tinyurl.com/7SdeB09 

(If enacted. this bill prohibits disclosure of the d~ased's SSN in calendar year of death and 

calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://tinyurl.com/83p4b4p 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

• fiR 3215. To prevent identity theft and tax fraud http://tinyurl.com/7fgsd5s 

(If enacted, thiS bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

Rarely has it been documented that an individual·s identity is violated by access to SSDI; rather, the 

violations occur due to computer breaches from government and private enterprises. In fact, SSDI 

is actually a deterrent to identity theft. As posted on the National Technical Information Service 

(NTIS) webSite (http://tlnyurl.com/yb6e49e),itstates,thatthe Death Master File (SSDI is the 

commercial name of this list) prevents identity fraud. as it verifies a person's death. The SSDI is 

used by credit reporting agencies. merchants. private investigators looking for missing heirs in 

probates, media reporters, university researchers, and others. 

Genealogists doing U.S. research located both in and outside the United States rely heavily on the 

SSDI. The Death Master File is a computer database file that has been made available by the United 

States Social Security Administration since 1980. 

I oppose HR 347S, S IS34, HR 3482, and HR 3215. 

Thankyou, 

Megan Peterson 

3063 Comfo., Rd. 

Solebury, PA 18963 
215 


dkrause on DSKHT7XVN1PROD with HEARING78179A.185

Hearing on 5<Xial Se<;urity's Death Re~ords 

Melinde lutz Byrne, FASG 

President. Amer ~an 5<Xiety of Genealogists 

PO Bo 106 

D" "y, NH 03038 

603.241.4715 

mel'nde@melinde_com 

Ameri~ans are assured that the SSN is not a national Identity number. However, for parents to claim 

dependent chi ldren, they must acquire an SSN for each infant ... or do millions of Americans jun mil~e 

up a number for the 10401 How would anyone know, since no che<;k is made except in extraordinary 

circumstances? Principle one: Use the number as originally intended. Recipients of SSN cards are 

instructed ON THE CARD not to sign it until they are 18 or ha~e their first jobs. Solution: Rescind this 

part of the IRS Tax Code, Remove SSNs from government birth and marriage re<;ords e~erywhere, Trad 

dependents in a ~ss harmful way. Result: Families who tragically lose children are not victimized. 

Americans are assured that the SSN may only be required by employers and the IRS, however, 

Americans are denied loans, dri~er's licenses, health insurance, medical care, or admission to schools if 

they refuse to surrender their numbers. These entities who claim a right to living people's SSNs are not 

required to prOVide se<;ure storage or to pay damages when SSNs in their care are misused. Prindple 

two: End the unnecessary proliferation of SSN requests by entities other than employers or the IRS. 

Solution: Reaffirm that it is unlawful to require a person re~eal his or her SSN to anyone but the IRS or 

an empIOy('r. Result: Se<;urity breaches will not destroy individuals; fraud will not be misdire<;ted onto 

innocent parties, 

Banks and credit companies are particularly irresponsible with SSNs. Past iapses of se~urity ha~e caused 

immeasurable anguish, Principle three: Require audits that re~iew any agency, particularly a bank or 

credit company to determine whether information is kept securely and that such do not o~ide 

backdoors to identity th e~es. Solution: Prohibit tinancial institutions from collecting and using SSNs. 

Result: Elimination otthis kind offraud. 

Dead people's SSNs can be used fraudulently if these numbers are not accurately published. Employers 

cannot catch such traud if the SSDI is inaccurate or incomplete. SSNs are keyboarded by minimum-wage 

level employees throughout the system, Their work is not proofed. One wrong digit can use a living 

person unimaginable suffering. Principle four: Ensure the accuracy of reported SSNs for the SSDI. 

solution: Institute double-entry proofing at all steps in the SSN process. Resuh: Fewer people will 

be<;ome false-pos itive statistics. 
216 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.186

Only through tr~nspar ncy can government function properly. The irre~pOn~ ble expansion of uses for 

the SSN has created a nightmare for Americans of a ~ert in age. Worse, misguided agencies have used 

the SSN for inappropriate purpOses, ~uch a~ Motor Vehicle Registries u~ing SSNs on driver licenses, or 

State Departments of Hearth trying to track people from birth to death (EWE). Maintaining an accurate 

SSDI for public use is the only way for individuals to protect themselves and for professionals such as 

private inve~tig tors, genealogi~t~, journali~t~, ~nd medical rese rcher~ to conduct reliable research for 

their client~. 

It is inappropriate for bureaucrats to bully law-abiding database providers with threats of retaliation if 

they continue to provide legally open records. I deplore the t actics us~ on companies such as 

Anee-sffy.com. 

Dead people do not have more righlS than the living. Dead people shouldn't vote - this right can only be 

protected if deaths are published so poll list supervisors can remove names in a timely fashion. Uses 01 

the SSDI have been myriad. There are thousands of genealogists in America serving hundreds of 

thou~ nd~ of clients. Rese~rch purpo~es include medical historie~, inheritance rights, historic~1 

perspectives, and personal identity issues. Legitimate access should not be curtailed simply because 

government lacks the flexibHity to cope with illegal acts of a very few. 

Respectfully submitted, 

Melinde Lutz Byrne 
217 


dkrause on DSKHT7XVN1PROD with HEARING78179A.187

MASSACHU SETTS 

G EN EALOG ICA L 

COUNC I L 

r,o lIw; 5393. Coch ilu.!c. ,\L\ OI17S 

U.S. Congressman Sam Johnson (R-TX) 

WWW_lIl;JS$gCIlCOIIIICiJ.DI'& 

Chairman, House Committee on Ways and Means Subcommittee on Social Security 

Hearing on Accuracy and Uses of the Social Security Administration's Death Master File 

2 February 2012 

The Massachusetts Genealogical Council (MGC) is an umbrella organi~ation 

representing more than 36,000 members of genealogical and historical societies who 

utilize current and historical records to determine kinship. Whether residents of the 

Commonwealth or descendants of early Massachusetts settlers now living in all fifty 

states, all wish the Social Security Death Master File (DMF) to remain un-redacted and 

accessible to the public. 

While we are in agreement that there are significa nt problems within the Social Security 

Administration's implementation of the DMF, we want to assure that legislation 

proposed to rectify this problem not have dangerous, if unintended, consequences. 

As a tool for research in the genealogical field, the Death Master File is used to 

determine kinship in a myriad of ways, just a few of which follow. 

As a result of a congressional mandate, the US military hires genealogists to help 

locate next of kin of servicemen lost in previous wars. In addition, genealogists find DNA 

donors in each serviceman's family to aid in identification of repatriated remains. The 

Death Master File is absolutely critical to this research . 

• Attorneys and financial institutions employ the services of genealogists in probate, 

tax and heir·search cases. Again, the DMF is critical to this research . 

• Physicians and families use the OMF to locate family members who can supply 

necessary information to help with diagnoses. Many lives have been saved through 

donations of blood and bone marrow possible only from family members. 

Any bill that attempts to wrb identify theft and correct errors within the SSA must not 

contravene the original reason for the creation of the OMF: to provide a check on 

identities and assure that the numbers of deceased Individuals are not being used 

fraudulently. The fact that the SSA incorrectly reports deaths of living individuals is a 

cause for correction of those practices within the SSA, not a complete removal of the 

DMF. 
218 


dkrause on DSKHT7XVN1PROD with HEARING78179A.188

MASSAC H USETTS 

GENEALOGICAL 

COUNC I L 

www,massg<'lICOllllciLorg 

We must do everything we can to stop criminals from profiting from the OMF, but we 

should not prohibit public access to it. If we are to solve this problem it is essential to 

first critically examine several points. 

1. Countless professions and industries across the nation are heClviiy reliant on the 

OMF: health care providers, the military, financial institutions, attorneys, 

insurance agencies, universities, funeral directors, credit agencies, and especially 

state and federal agencies. While exemptions would probably be made for 

governmental entities, the use of the OMF is now inextricably linked to business 

practices acr05S the country. Closure of these public records could have severe 

consequences on the economy as businesses scramble to gather information in 

other, much less effiCient, ways. 

2. Tax fraud involving the use of the social security numbers of deceased children 

results from a lack of communication between governmental agencies. The 

number of such cases is extremely small, but even those could be eliminated if 

the IRS were to incorporate use of the OMF themselves. The Oeath Master File 

was created, after all, for the purpose 01 preventing fraud, waste, abuse and 

identity theft. There really is no excuse for the IRS failing to do the same simple 

fraud checks the rest of us do. It is extraordinary that victims 01 this kind 01 

identity theft should be treated as criminals and forced to prove their identities 

when it is easily within the ability of the IRS to check back a year or two to 

confirm the correct filings, 

3. Rather than enact legislation that is guaranteed to hamper commercial practices 

across the country, it is preferable to look to within the Social Security 

Administration itself to correct sloppy procedures that have led to improperly 

reporting the dea ths of living individuals. Improper functioning within the SSA is 

not a reason to close off access to this tool. First let us correct the mistakes_ 

4. The Death Master File is overwhelmingly used a means to verify identity, not 

steal it. It is an essential tool for maintaining an open society. In a democratiC 

nation it is our duty to safeguard the right of all individuals to have access to 

public records, even when there is the chance tha t those records could be 

abused. When the records remain open, the fraud is easier to expose. 
219 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.189

G EN EAlOG ICA l 

COUNC i l 

1',0 . &>x 5393, C""hituOlc .. \\,\ 0 1773 WWW_rlUIssgCl100UrlciJ.o1'3 

Millions of genealogists would be greatly impacted if legislation restricting access to t he 

OMF were to be enacted. While the Massachl.lsetts Genealogical COl.lncil wOl.lld have 

preferred to give live testimony at the invitation·only panel at the February 2"'" hearing, 

we Sl.lbmit this written testimony in the hope that our members' voices will be heard, 

We offer the assistance of our organization to the House Ways and Means 

Subcommittee on Social Security in safeguarding the security of all Americans with 

Social Security numbers while promoting open access to public records, 

Sincerely, 

Polly FitzGerald Kimmitt, CG'" 

President, Massachusetts Genealogical Council 

P,O, Bo~ 5393 

Cochituate, MA 01778 

S08·842·8850 

president@massgencouncil.org 

Certified Genealogist and CG are service marks of the Soard for Certification of 

Genealogists· , used under license by the Board's associates after periodic evaluation, 
220 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.190

Re: HR 3475 

To whom it may concern: 

In October 201 0 our nine-year old daughter Counncy passed away after a six month 

battle with an inoperable brain tumor. This was an extremcly difficult cxpericncc for our 

vcry closc-knit family and we arc still grieving hcr loss. To makc mattcrs worse. we 

received a letter from the IRS in October 2011 notifying us that someone elsc had 

claimed her as a dependant on thcir 2010 taxcs. This caused a significant amount of 

emotional pain. 

Shortly thereafter. we were made aware that her social security number was easily 

accessible through the Social Security Death Master File as we11 as on some genealogy 

sites. We believe this completcly unnecessary and is serving to enable criminals to use 

this infonnation for their own gain at the expense of grieving families, not to mention the 

money the government could be losing as a result of falsified tax records. We wholeheartedly support this bill. 

Mike and Lanaye Burnette 

6306 Sunsct Drive 

Sylvan Springs. AL 35118 

205-332-9707 

205-919-4688 
221 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.191

Michael Diamant, MD 

PO Box 1234 

Koloa, HI 96756-1234 

808-332-9734 

mdmd@hawaiian.net 

Committee on Ways and Means 

Item: Hearing on Social Security's Death Records 

On February 2, 2012 at 0900, the ways and Means Committee will be discussing 

the fate of the Social Security Death Index records. I am the son of immigrants 

and currently engaged in a genealogy project. In order for me to accurately 

reconstruct the personal data for my family, I rely heavily on the SS Death Index 

records. 

I urge the Ways and Means committee to keep these records available to those 

of us who want to obtain accurate records on their families for the sake of these 

families, past and present. 

Thank you for considering this request. 

Michael Diamant, MD 

Hawaii 
222 


dkrause on DSKHT7XVN1PROD with HEARING78179A.192

NBER 

Nal;ooal !Jur<:au 

ofEconomk Rl=arch 

16 FCM"uy2012 

The Hon"",bl. Sam Johnson 

Chainnan. Subcommillcc on Social Security 

Com"';lIcc on Ways and Means 

U.S. llouse of\(cprtSCnMi,'t'S 

1102 Longw""h House Office Iluilding U.S. liouse of Rcpn::scnl31i,,,. 

Washington. D.C. 205 15 

The HonOOlbie Xavier lk<;(1l';l 

Ranking Member. Subcommilll'C on Social Sc"Curil)' 

Commil1cc on Ways and Means 

U.S. House of Rcpn'SCmali"". 

1102 Longworth House Office Il uild;ng 

U.S. liousc of Represental,\,,,,, 

Washioglon. D.C. 20515 

RE: Submission for Ihc February 2. 2012 Hearings on Social Security Dcalh Inform.lion 

Oca, Chairman Johnson and Ranking Member Ike" .... : 

Jam,os M. 1'00~rba 

I'resido:nt and CEO 

I'Qlcrbag nbcr.org 

We arc wriling 10 describe lhc substantial ,"oluc oflhc [)ealh Master File (OMF) maintained by the Social 

Security Admini"ralion to scholars and policy analysiS s\ud)'ing issues relming 10 populalion aging and Ihe 

heahh a:.d economic SlatUS of elderl)' households. We urge )'00 and ),our Slofrlo pn:s<:r\"C accesS 10 Ihe DMF 

for researeh purposes. a:.d 10 reslOre aC<:CSS 10 OM f SMe m:oros Ihal can funher enhance heahb ,md social 

science research. E"en a ilriefinlcnuplion in Ihc ... ailabilily oflhese dala could ha,'c adverse consequences for 

a numberof il!)1ir.canl and ongoing researeh siudies. 

The DMF is a fundamenlal inpUilo Ihe crealion of new longiludinal dalabast.-s Ihal are used in social scie'lCe 

researeh. his Ihe onl)' " .• ). n.-searchers can identify d .. ,,:.'<!cnlS in a limely manner and allow cosl _ an essential 

slep in large on-going dala collc<lion eITons. such as Ihe Ikahb and Retirement Study (HRS). That dala SCI. Ihc 

ilKS. is currrnll)' widely used b)' researchers who sludy issues such as sa"ing. lbe demand for and USe of longlerm care arrang.cml'11IS. and Miremcnt beh.,·ior. Do""n. ofrcsearch <ludil'S eoch )'ear rely on Ihc IlRS wI •. 

The HRS lracks h-ouscl>old, Ihal " 'ere headed by indi .. iduals belween Ihe age< of 5 1 and 61 in Ihe early I~. 

The findings from lhe HRS dala anal)'sis nrc publi~hl-d in leading o-cademicjoumals and are used in B .. ariety of 

policy·making conlexlS. 

1050 Massachusens ArC""'" Cambridge. MA 02138·5398 ' {617J 868·3907 ' Fax: (617) 868·719-1 
223 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.193

Tracking ,·ital status __ whether a s~rwy panicipant;s still ali,·e·_ is critical in studies ofol<kr p<Jf)utalions. 

The DMF is t~e only source of timely information on death. and with the OMF.;t is pos!ihl~ to .tudy the 

cireumstances surrounding <kath .• uch as the cITects of li .. illg ncar fatnily members or th~ cITect of larger 

finallcial asset holdings by the decedent. Because the DMF includes Social Security numbers. it pro .. idcs a \"Cry 

"",curatc SOurCe ofmonality infonnatioo and it "'·oids the risk ofmeasuremenl error.; due to inconect matching 

between death rerords and sample surve)' infonnat;"" . Researchers also use the OM!' data to pro,·idc a helpful 

benchmark on self·reported ,·ariables in socialsu,..·c)·s. such as age. Withoul thc OMF. it would be much more 

difficult t(> find objec(ivc souree ofinfonnat;on. This informati"" can be compared with sclf-rcpurted agc ti) 

judge thc quality of (he su,..·ey in general. 

Researchers a( the National nureau ofEronomie Research. a non-profit economic researeh organi~ation that 

counts ncarly twel\"O hundn-d academic !"\"SCareh.rs among it$ "ffiliates. are currelltly using the DMF =<>rd! to 

examine the link acl"O$S generations bciwe"Cn longevity alld carly life cireumsta"""" such as birth weight. 

deli,·ery complications. and parents" socioccOflomic SlalUs. Understanding the dC1enninanlli of health and 

1000S",·;t)· in the clderl)· popnlatioo i. essential for forecasting future Social Security. Medicarc. and Medicaid 

liabilities. Resear<:hcrs ha,·e used the OM!' reconls to obta in informati"" on death date and last residence for 

the generati,,"! bom OClwecn 1895 and 1900. The)" arc eurn--ntly ~t ending lhis research to the generations born 

between 1915 and 1919. WId a pilot project is eu="tl)" underway (0 link gcne'-dtio"s born in thc 1920s. as well 

their siblings and parent •. to the DMI'. The"", proje"C1S would be impossible without Ihe DMF. The OIlly other 

souree of the rel",·am mOMality infonnmion. the NatiOllallkmh In de.~. i. more difficullto work ,,·ith Ihan the 

DMf'. It i. also ml>C~ more cxpcn.;,·e. and;1 i.les. well.u;led to the "",c"rch enterprise. 

We cncournge )·our Commillee to prese,..·e access to the DMF. and to search lOr ways to balance pri,.""y 

Concern. with the important needs of the research community. We hope that lOU and the Social Security 

Administ"tlioo SlaITwil1i:>c able to a\"(,id excluding thc r.:scan:h community from DMF access. and that e"cn if 

then: are some limitations placed 00 OMF "'"'cess. it will still be possible for researchers (0 acCess the 

information in the DMF for lhe 1)·pc ofrcsean:h cxcn:iscs lhal we deseribl:d abo,·c. Thank you for your 

consideralion. 

Sirn:erel}·. 

DoraCOSIa 

Director. NIlER Cohon Studies Working Group 

Prof,-ssor of Economics. UCLA 

cc: D. Newlon 

D. W;se 

James 1'00crba 

I'rcsidem and CEO. NBER 

l'rofe"SSOf of lOconomics. MIT 
224 


dkrause on DSKHT7XVN1PROD with HEARING78179A.194

o NATIONAL COUNCIL OF I NVEST IGAT ION & SECURITY SERVICES, INC. 

~ "" " ... ,,, ,,,,0, ". n o> , .. ,," ,w,,,,,,,,", • "'" .. ,,-",,","" ~ 

" .... '._'-...., ,,..,"'-

..... , ...... , 

_ 'b_ .... ~I ...... 

._, .... "~-'" ., ... ""'-

._, ,--- "-"'" .... 

._ . ...... .... "' -..... 

. _. 

<:..," ........ , .. ,,-_. 

'''1.<-'''''1;0'""",,,. ,-...... ,," ... ,,.,,.,..._ . ..-.... ... _",,"," 

.. "" --........ , .. "" ........ ~.-""- ' no ........ 

Statement of Jimmie Mcsis. Lcgisbtivc Chairman 

of the 

National Council of Investigation & Sccurity Services 

Regarding 

Social Security Death Records 

Subrornmittce on Social Security 

February 2. 20 12 
225 


dkrause on DSKHT7XVN1PROD with HEARING78179A.195

Chairnmn Johnson. Ranking Member Bl'Cerra and memhcrs of the subcommillce. I am 

presenting ihis testimony on hchalf of the National Council of Inl'estigation & Sceurity 

Services (NCISS). NCISS represents professional private investigators and security olTkers 

across the nation. 

I currently scl"\'e as Legislati"e Chainnan ofNCISS. I am a long-time professional 

private invcstigator and in addition. I am the publish.-r of PI Magazine. the profession's largcst 

circulation trade journal. 

Private invcstigators arc concerned about legislation. including HR 3475. the "Keeping 

ID's Safe Act"· which would prohibit the Social Security Administration from making 

information in the Social Sceurity Death Index (SSOI) public. We find that then: is a strong 

public policy value in maintaining public access to the information and ihat dcnying acccss to 

the SSDt would be counterproductive 10 the f'ght against idcmity theft. 

The 1)(,partment ofCommercc's National Technieallnformation Service (NTIS) 

explains how the data an: used to comrol f,.... ud: 

"By methodically running tjnancial. cn.>dit. payment and othcr applications against the 

Death Master File. the financial community. insurance companies. security firn,s and state and 

local governments an: beller ablc to identify and prcvcnt idcntity fraud:' 

Credit granting entities cannot be victimilCd by anyone using identity information from 

a deceased person obtained from thc SSDJ if the firm uses thc SSDltoscrecn applicants. If 

Congress were to makc it more difficult to verify identities, then there would be more. not 

fc\\cr fraudulent acts. Congress recognized the importancc of proper vcrilication of credit 

applicants when it passed the I'atriot Act. which requires depository institutions to adopt 

"know your cuslOlllcr~ processcs. Access 10 thc SSDt allows banks and othcr creditors 10 have 

reasonable assuranee that an applicant is not using thc data ofa deceased person to commit 

fraud. 

NCISS members include private in"cstigators and oiher security professionals who use 

the SSDI to combat fmud and for other valuable purposes. In addition to helping US f'ght fraud. 

the SSN information assists us to narrow our search when looking for lost heirs. or potential 

witnesses in both criminal and civil trials. 

The SSDI is one ofthc strongcsttools in the arsenal us~>d to fight identity theft. When 

wc conduct background chc-cks. duc diligence or invcstigate fraud. the SSDI re"eals instantly 

ifsomeone is using the Social Sceurity number ofa decea.~ individual It i$ the best defense 

we have againslthc misuse of the identity of dcceas..>d pe=ns. A proper usc of the SSDt 

should Icad din'Ctly to ihe arrest of idenlily thi,"vcs. 
226 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.196

Tlicre are OIlicr. lifc·Sl\ving uscs for tllc 5S!)I. In onc case I handled. a phannaceutical 

company retained me to assist in a drug stud}'. Tiley were not able to locate m~ny of the 

individuals who had been taking the drug being tested and needed to know ifthcy had died. 

Thc SSOI was critical in helping detemline thc efficacy of the drug. 

An essential pan of tile record is the d~cdent's Social 5~urity number. It is the key 

way in which one can distinguish among the thousands of John Smiths listed in the SSDI. 

Some pending legislation would prollibit disclosure or tile Social Security number mther tllan 

ban all disclosure. 13m restricting access to the number would substantially reduce the antifraud value of the information in the index. NCISS strongly opposes such cfrons. 

NCISS would be pleased 10 provide any additional infonnationto assist tile 

Subcommittee as it considers the pending legislation. 
227 


dkrause on DSKHT7XVN1PROD with HEARING78179A.197

NeOIL 

Nltional Confe",nce of lruurlnce lA-gislalol'S 

VIA E·MAIL 

february 1. 2012 

Re-pre_t<otive Sam JOh<Q.On. ChiW 

U.S. HousaComm_ on W&ys& Mean. SUboonvnillee on Soda! Security 

1211 Longworth House Office 9uiId4ng 

Wasni'IgIon, ex:: 20515 

Deal ChDilman JoMson: 

-_-.-..-.. _., - -

""----'" .-.--.. ----'" 

A$le~ of the National Conf<!<ence at Inour~nce LegislalOf1l (NCOIL), _ wool<! lil<e 10 updale )'O'J 

regardjng staM m...rance legIsI&t<n' atlMt)' related to the Social SecLriIy Administration', Death Master File 

(OMF). We recenltl' beca"", aw..-e 01 j'OIII' Februal')' 2 1Ie<Killg on !he aca>fiIC'1 and uses 01 the OMF ord 

thoughl '1\01 the SlJboonvnittee ohouId be cognizant of the NealL Model UncJa*"<td Life "',""''''''' &oneMo 

kt II'I8l ,eIiH "" the OlAf to ~p &nSUre lhallll8 in$u,ar.;:e ~r"", receive II\eir Pf<)r'ni$ed t>enefiI$ 

NCOIL Past Presiden1 R"9. Roben 0"",,,,,, (KY) cIeveIo!>ed 1110 mode! ad ... 2011 In response 10 in ..... """ 

"'II'JlalOf, stale Irea ..... , a.-.:l meclia acx:ounts thai Ide insuran<:e companies would commonly use tools """" 

as the OMF to identify <*tined ownen 01 alVluity contracts • .-.j cea ... annuity parrnenl$, bv\ would not 

always lIM !hose samtt tools 10 find _Mod IlI8 insure""" pokj'holdf!rs. for whicl'llife insu,,,,,,,,, dealll 

bef'leMs wet" owed. R"9. ~fon -'ed 1""1 stronger company st.andarda were .-10: 

compel rout .... ic)entificaIion of deceaoed poIicyholcjers 

establish steps for be<leliciaf')' notification 

promote timely payment 01 claims to ~ries 

NCOIL be4ieves 1M! lhe mode! act-whic:h io attached lot your ~prMol!l'JlS an important 

COIIS<Jmer protection ItS it serves to ..-.sure !he _ P3yme/1t of POIic'/ benefils due to our conslitllMt •. 

NCOIL o~1y ado~ed the mode! aclloIowing ~ of resoreh and 6ebale from legislators a<:ross 

the COI>OI!y and wi!t1 input !rom key .,tere$l&<:I ",,!ties 

T"" NCOIL mocIeI ••• acIopl&<:l. requires ins.u<ers 10 qlJaMe!1y com""re the OMF wi!t11101c1e<s of ." force life 

insurance policift and retained use1 KCOI..OltS. II cal. fo< lOnely ""'re< eIIorts 10 c:on~rm en .,sured 0< 

"""""m hoIder"s death, locate any beneliciar'oes. and provide them -..itt> "",""S lorrm _ iis/n.Ictions. In 1"" 

"""",I that benefits go undaimed. the mocIeI ptOYides dear pr""""""", for kIe ............ to noIity Slate treasury 

de9artrnents and 10 escheal the lund., per ulldaimed prope<ty""'. Severol 01 tile modeI'l provisions. in 

fact, rellec1 1"" term. and busine&a practice. of a .10m Hancock F .... nc;al agreement witt1 51Me treasurerl 

regarding unclaimed kIe in • ..,anee benef'rts, 

NCOIL takes senou..ty I"" .tatemerm in your hearing ..,~ regarding Incorrect DMF death reports 

and a potenl",1 for idenIiIy tl>eft, Wei9r ... that cone<:1ing false repor1. end protecting "11""'" 10 h_ are 

critical poliq goIIb, Also vitally mpor1anC is making $Ure thai comparieslolow 1Iv'ough on t"" ~ promises o! ""~--PO<1icuIatly to lndMdu ... who may Ira .... r""""tty 1os1 • loved """_ 

We appreciale the opportunity to bMg our _ UncIaime<I Ute In''''''''''''' Benefit. AcI to you< 8nentioro .. 

you rtMew QMF"'-ed issues. NCOll WO'*' weIrX>m8 an O\lIX>II""ity 10 wr)tk -..itt> you to ensure thai insurance companies continue to have access 10 mporlant data ., t"" OMF-whiIe protecting "0""'"' fraud 

and identity theft. the goal of H.R. 30175. I"" ~p/fIg lOs Safe AcI 01 201 1. 
228 


dkrause on DSKHT7XVN1PROD with HEARING78179A.198

NC01L is .n OfganiJ:&tion of state legislalor1o ""'0$ main arN of I>UI>Iic pOIiey concern is ;,...,..,.. 

legisiatOon and regulatiotl, Many IegislalOls active In NCOIL _ dla~ 01 are membels of the committees 

responsible for in...,,,,,,,,, teg;slalOon in tt>eir rflI)eCtiYe stale I>ouse$ across !tie counIr1. 

FOI more InIotmalOon. ple.ase ~ free to COI'Ilad the NC~L Nat""'" Offic:e al 518-667.{1178 Of "... 

WashinglOn, DC Offic:e III 2O.2 ·2;ro.. J01~, 

Sen. Carrol Leai/el, NM 

NC01L Presiden! 

Rep. GeOfge KeIser. NO NCOIL _ (2{)11).2{)11) 

Rep. Robert Dam"",. KY 

NCOIL Presidoen1 (2009-2{)10) 
229 


dkrause on DSKHT7XVN1PROD with HEARING78179A.199

NeOIL 

Model Unc laimed liM Ins urance BenefiW Act 

--_ .......... --~-.. ---_ ... _ ----'" .. ----.. 

~ by the NCO!L b8CUfM> eomm_ on Nowm!b&t 20, 20 n . IJrId by 1M !J(e In"""""", & FinallCial 

Planning Commir!ee "" __ 17, ZOlf. 

Sponsored by Rep. Roben Damron (KY) 

SeclJon 1. Short Tille 

This ACl s.haU be known as !he Ulldaim8d Life Insuf8J>C$ Hener-.s ACI. 

Section 2. Purpose 

This AC1 shaO req"'" recognition 01 the esenea1 Of ....:I. 1ined property staMes oIlhe ~ stale and require the complete and Pfoopef disclosure. transparency. and accountability ,,,taling to any 

method 01 payment to< 1m. ;ns ... ance deal!! benefits regulated by !he slat"" insu<..-.oe clepanmem. 

SeclJon 3. Definitions 

A "Dea '" MaSIe< File" means !he United Slates Social Securit)l Adminisrra!ion's Dea'" Master File or 

any other database or seM<:e that is alleast as compr&hensive 8$ the Unjted Slates Social Security 

A<minislration', Death Masle< Fi le lor determining that a person has r8$>Ofled1y died. 

B. "Death Milsle< File Match" means. search olthe Dealt. "'l ate< File thai results in II match 01 the 

social oecurity numbef <If the name and date of birth of an inoure<!. 3""";1)' owroe<, Of retained asset 

~-

C. ·poIicf means 3ny policy or ce<tificate of life insIxance thai pr_ II death benefit The term 

·PoIK;y" shall no! Orw;j1Xle any policy or certificate of life insuranoe thai provi<:Ses a death bene~t 

under an """pIoyee benem plan subjectlO The Employee Retirement lrooome Security AcloI l 974 

[29 USC 10021. as periodicalI)' amended. 0< uncle, any Federal employee be<le~t proijrarn. 

D. "Contract" me" ", an ......uty contract. The lerm 'Contract" SI1all ne! inCh-"'ll an annuity used to fund 

an emplcyment.ba5ed rMirement plan 0< porogram _e I!>e insure, Os net commiIIed b)' terms 01 

I!>e annuity contract to pay deall\ benefits to I!>e beneficiarie1. 01 speOfic plan particiPi"'\S. 

Draf/mg NoI,,; AI o/ller loons used jn /his Ad shall be inl""""loo in a ",a,,,,,,, consis/enl with /he 

definitions used in {lnoon Slata InSUfIJf)Cf Codel 

Section 4. Ins u,e, Conduct 

A. An insurer shai pe<Iorm a comparison 01 its Ins~' i ... 1ot<;e life Inwrar.ce policies and ,mined assel accounts against a Deall\ Master File. 00 al ",,"sl a quaJte.r1y basis. using aiteria ,easonably 

designed to identify po_al matches of its insureds. Fo< those potential matdIH identified as a 

rewlt of a Deall\ Mastef File M"tch. the Insuret shan: 

1. ";lI\in nir.ety (90) daY" 01 a Deall\ Maste< File Match: 

a. complete a good 18ill\ effort. which SI1aO be docI.mented by the insurer. to confirm the 

deall\ of I!>e insured 0< retained asset i>C<:O\IIlt holder against oilier . .. ailable record. 

and infO<matioo: and 
230 


dkrause on DSKHT7XVN1PROD with HEARING78179A.200

b. determine Whether benefits are due in accofd.a""" with !he awlicoble policy or contract; 

arid W beoeIi15 are doe in acco<da""" willi "'" aP!'licobie poiie'! or contract: 

use IJOOCI lailll efforts, which shall be documented by !he insure<, te lceate !he 

beneficiary or beneficiaries; arid 

ii. provide !he appropriate d aims tcnns or instructicns 10 !he beneticiary or 

beneficiaries 10 make a cia;'" ;,..,:;toding tho! need to provide an eflicjal death 

certificate, if applicable under the policy or cootracl. 

2. Willi respect to groop lile insura""", in$uJ(!J'$ are requ;ffl<I only to confirm !he penitNe dealll of an insu<e<I _ tile inwJ(!J'$ provide full record·keeping servi<:es to the group policy 

-,. 3. To tho! e><lent permitted by law, tho! illSU'er may disdose minimum neces&aJY polf1<IJ\al 

intcnnation about !he insured or benefiOary to a person who the insurer re. scnabl)' be4ieVl!S 

may be able 10 asaist the irlIIUrer kx:ate the beneficiary or a person Othe<wiM enti ~e<I 10 

paymeot of the daims proceeOs. 

S. An insurer shall not charge insureds, accounl holden, or benefiOar'oef, for any fees or costs 

associated with a ... ard1 or ve<ificaticn cond..cte<l nllO this section. 

C. The benefits from a lile .... anoe policy or a retoiroed 8&Se1 aCCOU1t, plus any appticable ac<:rued 

interest shall first be payable 10 1he designated beneficiaries or """""'" and in !he eVl!nl .... id 

beneficiaries or """""'" can not be fC>O.nd. $hili escheat 10 "'" stote as unclaimed proper1)' p<.IrsUilnl to (Cire steta statula for aSCl!eal or ur>elllimed Me irlsutance t>eMIIils]. 

Dr8lting <>Ole: Some stales ' /nsutl>rlce COtMIissioners may wanllO develop an ;"f""",,/ional <>OIice tllet 

apprises _liciarias 0I1heir rights 10 the p8ymen/ 01 interest (II> the l)fmemS or procHdS 01 a Me 

;"sura""" policy or fflraiood asset accounl. The wti/WII noIice shoofd tie provided by a kfe InSUfBf 10 a 

be""ficiary prior 10 or COIICUmIIIl .wll the payment at any hfo inSUf8l109 fJ('OOOeds or the se/tJem6nI at any lifo ~ daim, wherfl sppIicoole 

O. An insurer shall notify 1he (lnsarl /he slale "!1""<Y for undllimOO proptHty] upon 1he expiration ol!he 

stoMary time period for escheat that 

1. a life insuranoe policy beneficiary or retained asset account tickler has net submitted a claim 

with 1he Insure<; and 

2 "'" inscorer hu ~ ";111 ..oooection A of lhis (;ection and hils been unable. afte, ~ failll 

efforts dOCl.lll'l8<1te<l by !he insurer. 10 COOt&ct 1he retair>ed aSM' acoount holder, benefiOary or beneficiaries. 

E. Upon IIUCh notioe, an insure< shaM irlvnediatety submit the unclaimed lie inla'ar'OC<! benefits 0< 

urdaimed retair>ed as ... ' accounts. polus any applicable ao:rued interest te the (lnsarl IIHJ Slale 

~ for und9imed proptHtylSection 5. Unfair Trade Practices 

Failure to meel any requirem&rll fA this Act ~ a violation 01 {lnS¥f Stala Unl/lir Trade Pr&c:tices SlaMe]. 

Dr8l1ing nola: Some Sl8Ies' Unfair Trade Pr&c:tices SlaWlas specify 11181 an oct muSi be shown Ie be a 

'patrem" or 'generallwsiness proctice" in orr:Je< 10 oonsldule a vioIaliOl> oIli1af stetute. In lhose 

insl8nOe!, Care shooid tie IAA"" in"", adoption at this mO<JellO flnSUfa coosiSlency 8CtO$S thOSe two slatJilas. 
231 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.201

Section 6. Effective Oate 

This Act 5ha~ rake elMct on or ""'" (PI)$6n lJf1PfOPfime dale!. 

DrBftirlg /IO/e." To _ss <>'fHIrOOllCllmS willi IrlIn!ip8r&ncy BndllCalUnlabilily in Iif8 in"""" (J(DCfIdu"'" 

ffJ/sling to ueSlm<m1 01 ffJ/sjood ssset """"""Is. p/88oo refer to 100 NeOIL EJeooIiciarifM; . Biff 01 Righls. 

IOfIjc/I requites e<lensNe ...ri/r6<l disdosures to COtlSUmefS _ illsu"" repotTirIg. 

"""""""""-"-
232 


dkrause on DSKHT7XVN1PROD with HEARING78179A.202

NATI ONA l.. GENEALOG ICAl.. SOCIETY 

3'08 CQlumbia Pike. Suite 300 

Arlington. VA U:><>4-43<4 

703 525-0050 800-473-006<> 

Fox 703'5''S-005~ 

STATEMENT FOR THE RECORO, HOUSE COMMITTEE ON WAYS ANO MEANS, 

SUBCOMMITTEE ON SOCIAL SECURITY, WRITTEN COMMENTS ON PROVISIONS 

RELAnNG TO SOCIAL SECURITY AOMINISTRATION'S DEATH MASTER FILE. 

I. INTRODUCTION 

House Committee on Ways and Means, Suboommittee on Social Security held a Hearing on 2 

February 2012, regarding the accuracy and uses of the Social Secur~y Administration's Death 

Master File. No one Irom the genealogfcal commun~y was invited to testify at the hearing. but 

we were inv~ed to subm~ a written statement. This statement is submitted on behalf of the 

National Genealogical Society. 

II. BACKGROUND ON THE NATIONAL GENEALOGICAL SOCIETY ANO CONTACT 

INFORMATtON: 

The National Genealogical Society (NGS) is a non·prof~ Virginia corporation, founded in 1903 

and has approximatety 9,000 individuat members and 650 organizational subsaibers which 

Inclooe regional, state, end local societies. Although our membership incjudes many 

professional genealogists, most of our members are people actively researching their own famil . All officers and directors serve as volunteers and receive no compensation 10( 

pe<forming their duties, 

The mission of tile National Genealogical Society is to serve and grow the genealogical 

community by providing education and training, 100tenng increased quality and standards, and 

promoting access to and preservation 01 genealogical records. 

The genealogical commun~y WO<ks together through The Records Preservation and Access 

Committee (RPAC), a joint committee wh;ch today includes The National Genealogical Society 

(NGS), the Fede<ation of Genealogical Societies (FGS), and the Intemational Association 01 

Jewish Genealogical Societies (lAJGS) as voting members. The Association of Prol~on l 

Genealogists (APG), the Board fO( CertifICation of Genealogists (BCG), and the American 

Society of Genealogists (ASG) also serve as participating members. RPAC also includes 

participation from a few of the commercial prOVidefS of genealogical informa~on. RPAC meets 

monthly to advise the genealogical commun~y on ensuring proper access to vaal records, and 

on supporting strong records preservation policies and practices. 

Contact information: Janet A. Alpert, National Genealogical Society, 3108 Columbia Pike, Su~e 

300. Arlingtoo, Vkginia, 22204-4304, te~ne 703--525--0050, lax 703,525-0052, and email 

janaloert@aol.com. JanetAAIpert is a memberofthe NationaIGenealogicaISocietyboa,dof 

directors, immediate past president, and served two terms as president from 1 October 2006 

National Genealogical Society Sooal Security Death Master File Page 1 
233 


dkrause on DSKHT7XVN1PROD with HEARING78179A.203

through 30 September 2010. She previously served one term as secretary from 2004 through 

2006. Ms. Alpert has a Bachelor of Arts Degree in Political Science from the University of 

California, Santa Barbara, California, and a Masters in Business Administration from the 

University of Connecticut. She retired in 2004 from a thirty·frve year career in the title insurance 

industry, and now resides in HiHon Head Island. South Carolina. Ms. Alpert is an amateur 

genealogist who has been researching her family for over thirty years. 

III. OVERVIEW OF THE ISSUES 

The Social Security Administration's Death Master File (DMF) is a publicly available resource of 

great value to both family history researchers and professional genealogists. Genealogists use 

a commercial version of the product called the Social Security Death Index (SSDI). The SSDI 

has been available to the public since the Consent Judgment, Perholtz v. Ross, No. Civ. 78-

2385, Dist. D. C. (April 3, 1980). 

Genealogy is different than the other social sciences where researchers draw their conclusions 

from a broad overview of the available records. Genealogists study specific individuals-their 

aflCestors. Therefore if a genealogist does not have access to the records about the ancestor 

they are researching, their work may come to an abrupt halt. 

I am wr~ing on behalf of the National Genealogical Society, ~s members, and organizational 

subscribers about why family history researchers afld professional genealogists need access to 

the Social Security Death Ifldex (SSDI). 

, . Many genealogists begin researching their family because there is a part of their family 

they never knew. The estrangement may have occurred because of adoption. divorce, 

abandonment, death, or other reasons. Regardless of the cause, learning about an 

unknown branch of the family helps the healing process. The SSDI has been an 

essential tool for genealogists looking for relatives who were born in the 19" and 20" 

centuries. 

From the earliest settlements in America, we have been people on the move, generally 

migrating west in search of cheaper land and better opportunities. Since V~al Records 

are kept by state, w~hout the SSDI. no national index will be available to determine 

where people might have moved. Information contained in the SSDI includes the state 

where the social security number was initially issued and the social security number, 

which helps genealogists determine if this is the actual person they are researching. 

After finding the person in the SSDI, the researcher often writes to the Social Securay 

Administration. OEO FOIA Worl<group, P.O. Box 33022, BaHimore, Maryland 21290-

3022 for a copy of the original Social Security application form, called the 55-5. The SS5 contains valuable informatiOflfor family history researchers including full name at birth 

including maiden name, date and place of birth. current address, and full name of father 

and mother. The SS-5 is necessary if you are researching someone with a common 

National Genealogical Society Social Security Master [){>ath Index Page 2 
234 


dkrause on DSKHT7XVN1PROD with HEARING78179A.204

name, to make sure you identify the correct parents. The researcher pays a fee of $27 

for a copy of the SS-S, and a fee of 529.00 if we do not have the Social Security number. 

2. Another use of the SSDI is to find the date of death and location of the person you are 

researching so you can look for an obituary, Many recent ob~uaries are available online. 

but many older obituaries are on microfilm and obtained by writing the local library for a 

copy. Librarians cannot do an extensive search, but can usually find an obituary if they 

have the death date. An obituary normally identif~s living and deceased relatives, the 

married names of daughters, and the current cities of residence which is essential 

information. 

3. A third use of the SSDI is to find siblings and cousins when a family carries a disease 

which can be inherited. In these instances time is of the essence. The first step is 10 find 

the aunt or uncle, or great aunt or uncle in the SSDI, and then follow Ihe procedure in 

(111 . 2.) above to locate their ob~uary . Finding and notifying distant cousins can mean the 

difference between earty detection and treatment versus possible death. 

Each year since 2004, the Surgeon General (see http://www.surgeongenera1.gov) has 

declared Thanksgiving to be "National Family History Day." When famiHes are together 

over the holidays or at other gatherings, the Surgeon General encourages families to 

discuss and write down the health problems that appear to run in their family and to 

share the information w~h their family doctor. The Health and Human Services website 

http://www.hhs.govlfamilyhistorvlprovidesa 'MyFamiIyHealth PortraTr tool for families 

to record their health history information. 

Diseases residing in estranged branches of the family as described in paragraph 111.1 . 

above are sometimes the silent killers. Parents of adopted children are given the health 

history of the biological parents. However, since the biological parents are often under 

the age of thirty-years old, sometimes there are few health risks disclosed. If you could 

ask those same parents about their hea~h history fifty years later, after their parents 

have died, the answer would be more complete. Therefore rt is important for people who 

are adopted 10 first identify and then reach out to their biological parer1ls and Siblings 

after they reach adu~hood . 

4. ProfeSSional genealogists need access to the SSDI to continue their livelihood. You can 

learn more about the Association of Professional Genealogists (APG) which has over 

2.000 members in the United Stales at http://www.apgen.orglabouVindex.html. In 

addition to helping clients discover their family history. many professional genealogists 

have important specialties. 

a. Some professional genealogists work in the field of forensic genealogy. Working 

with the military they help find the families 01 servicemen \ost in previous military 

conflicts to assist in the repatriation of the remains. 

b. Others work with county coroners to identify the relatives of unclaimed persons. 

National Genealogical Society Social5e<:urity Master Death Index Page 3 
235 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.205

c, Some clients include attorneys who need to find missing heirti to sett~ estate 

cases. 

d, Other genealogists specialize in finding the living biological parents or siblings of 

someone who was adopted. 

It has been suggested that professional genealogists could use LexisNexis for their 

research in lieu of the SSDI. Subscriptions to lexisNexis are cost prohibitive for selfemployed professionals. The cosl to provide the above professional services will go up 

if the SSDI is no Ior.ger available in the future. 

IV. SOLUTIONS AVAILABLE TO SOLVE IDENTITY THEFT OF DECEASED INDIVIDUALS 

Genealogists are also opposed to identity theft and support efforts to stop ij, We believe the 

current laws and regulations provide a means to stop identity theft RIGHT NOW, if government 

agencies use tools which are already available. 

1. If income tax returns were electronically compared to the Master Death File. the 

income tax return of a deceased individual could be flagged for special processing. 

thus thwarting the persoo attempting to create a tax fraud before the fraud occurs. 

2. The SSNs of parents should be required when filing a tax return for any minor. If the 

minor dies. the IRS could have a procedure to flag any filings without the parents' 

social security numbers, again preventing attempts at fraud. 

3. The National Taxpayer Advocate's report for 2011 specifically highlights the benefits 

of the IRS Issued Identity Protection PINs and suggests that taxpayers should be 

allowed to turn off their ability to file tax returns electronically. When there is a death 

in the family, the executor needs Ihe ability to turn off Ihe electrooic filing ability. 

We feel strongly that the hearing on 2 February 2012 incorrectly portrayed genealogists as the 

cause of fraud. By not inv~ing a representative from the genealogical commun~y to testify. you 

failed to allow an open discussion on the real causes of tax fraud and constructive ways to 

prevent . We appreciate the opportunity to present our posruons to the subcommittee. 

Sincerely, 

rQ~ 

Janet A. Alpert 

Immediate Past President of the 

National Genealogical Society and 

NGS Representative on RPAC 

National Genealogical Society Social Security Master Death Index Page 4 
236 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.206

February I, 20 I 2 

Committee on Ways and Means 

rc: Hearing on Social Security's Death Records 

To Whom It May Concern: 

Being a victim of identity theft, I strongly oppose fraud and identity theft! With that said, 

I also want to show my support for continuing making public Social Security's Death 

Master File. I am a professional genealogist and private investigator, thc SSDI is 

extremely useful in my profession. Taking the ssm away from the public and not 

making it accessible for genealogical or investigative purposes would literally make our 

research go back 100 years. Yes, there will always be criminals taking advantage of this 

type of infomlation but they can find this info anyway. All they have to do is read the 

local newspaper or online obituaries, drive by a cemetery, or go to the county probate 

office where files arc public record and obtain copies of whatever documents may be in a 

deceased's individual file such as a death certificate (which includes SSN, date and place 

of birth, mother's maiden name, and even the address to their last residence) or petition 

listing the heirs and their social security numbers! 

The reporlS you were previously given list the abuse that the public has endured due to 

the SSDI. Let me mention a few of the beneficial aspects ofa public SSDI: 

I) private investigation cases for civil and criminal mattcrs 

2) heir research for probate mattcrs 

3) gcnealogical research perfonned by professionals 

4) personal famil y research perfonned by individuals 

5) adoption research pcrfomled by individuals 

There arc 12,074 pri vate investigation companies in the Un ited States, with annual 

business sales of $ I 00M-$500M. Include heir locaters, genealogical researchers and 

genealogical-based companies, and you can easily double those numbers. 

I strongly urge the members of the committee NOT to remove Social Security's Dcath 

Master File from public usc. Unfortunately, J believe that Chainnan Sam Johnson in his 

effort in trying to do something good for Americans, is doing something bad. Thank you 

for considcrine my opinion in this mllller. 

Patricia A. Champion 

Champion & Champion 

14207 Emerald Hill Drive 

San Antonio, Texas 78231 

Tel: (210)408- 1180 Fax: (210) 408-1188 

E-mail: trish@champion-champion.com 
237 


dkrause on DSKHT7XVN1PROD with HEARING78179A.207

Hearing on the Social Security Death Records 

Name: Patricia Stinson 

Address: 1552 Moon River Drive #5 

Provo, Utah 84604 

Phone: 801-356-1002 

Email: cotostinSQn@hotmail.com 

It has come to my attention that there will be a hearing on the Social Security Death Records to 

determine, among other things, il access to them should change. I understand that this change is being 

considered because of identity thief. Even though I support Congress's intent to protect Americans 

from improper usage of their personal information, and to protect them from Identity theft, I feel that 

limiting or stopping access to the SSDI would be wrong and ill advised. 

limiting or stopping access to the SSDI .... ould have an adverse effect on the Income of those that 

depend on these records to do their jobs. The SSDI is used by credit reporting agencies, merchants, 

private investiga o~ looking for missing hei~ in probates, media reporters, university researchers, 

genealogists and others. In a struggling e.:onomy, Congress should not conSider actions that would 

negatively impact worke~, when the action does not accomplish the intended good. 

limiting or stopping access to the SSDI would actually increa se identitv t heft because It verifies a 

person's death. Persons wishing to commit theft would still steal identities of individuals who have 

passe<J a .... ay by reading t he obituaries in local newspape~ ( .... hich are online for most), and then 

conduct bUSiness in another state. Without the SSDI, a national database to check, it is extremely 

unlikely other states would be aware of the death. In the end it wil l not stop theft, but in al l likelihood 

increase it. 

Limiting or stopping access to the SSDI would make it more difficull or impossible for families to 

access important family information. There are mental and physical health issues that are hereditary. 

Although the SSDI does not have this information, it helps researchers locate death information that can 

lead to family medical histories. 

limiting or stopping access to the SSDI would adversely affect the millions of genealogy researchers, 

and Ihe good produced by it. Genealogy is more than a fun or benign hobby. Genealogists gain an 

education as thev pursue their family history. They gain kno .... ledge about history, culture, languages, 

paleography. geography, law, institutions. government. Thev gain greater understanding not just 01 

their familie s, but politics, institutions, and communities, and the imp;lct of decistons made by 

individuals and governments. This makes them more informed voters and citizens. 

In addition, genealogy addresses many of the problems in our society due to the disintegration of 

families and communities, high mobility, e.:onomic downturns, irolation, and a host of other challenges. 

People learn from the experiences of others in history. It takes on added meaning because it is their 

family. 

Finally genealogy research, which relies on records like the SSDI, helps people to understand more about 

themselves. People are in a large measure a product of their family and environment. Withholding 
238 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.208

Information, like that in the 5501, from people, Is In effect robbing them of their identity. So you 

could say that you will be helping to perpetrate another form of Identity theft. 

I say this from personal experience, having pursued family history for over twenty years, and more 

recently having completed a degree in lamily history and genealollY. I understand how s~mingly small 

decisions by thi! government can lead to big outcomes lor indfviduals. 

I hope that in your upcoming hearing you will not limit or stop access to the SSOI becau~ I belie\le that 

what you hope to gain will only lead to more identify theft. by ho~ committing the crime, and on 

individuals who are searching for their identity. This is in addition to an adver~ imp<tct on income for 

those who use the records in their jobs. 

Sincerely, 

Patricia Stinson 
239 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.209

Regarding HR 3475, Keeping 105 Safe Act of 2011: 

My name is Patricia P. Wales. 

I am an amateur genealogist. 

My address is 3311 West 92nd Place, Westminster, CO 80031 

My phone number is 303·426·6669 

My e·mail address is patpwales@hotmail.com 

The title of the hearing on which I wish to submit comments is HR 3475, Keeping IDs Safe Act 

af2011 

My comments are: 

Please do not enact this misguided bill. It is another example of heavy-handed 

legislators throwing out the baby with the bathwater, using the excuse that it is 

necessary to protect lOs. 

There are many reasons to keep the SSOI available for all. I am an amateur 

genealogist and since I never mel my Grandparents and Great-Grandparents I, 

like many other genealogists, have found the SSOI essential for locating when and 

where they lived and died. 

The Social Security Numbers in the SSOI are not what genealogists need; it is the 

date and location of a relative's death that is important to us. Perhaps there is a 

middle road that makes the SSOI available but excludes SSNs from it. 

Thank you for your consideration of the concerns of genealogists in a matter of 

great importance to us. 
240 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.210

Friday, February 3, 2012 

House Ways and Means Committee 

Subcommittee on Social Security 

B 317 Rayburn House Office Building 

Washington, DC 20515 

SUbject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of 

their personal information, and to protect them from identity theft However, 

genealogists DO NOT support restricting access to public records that have very little to 

due with identity theft. 

Currently, four bills are pending in the US Congress that would eliminate or curtail 

access to the Social Security Death Index (SSOI) on the Internet. I oppose all of these 

bills, which are: 

- HR 3475, Keeping IDs Safe Act of 2011 http://tinyurt comf6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534, the Identity Theft and Tax Fraud Prevention Act http://tinyurl.comr75de80g 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death 

and calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://linyurl.comf83p4b4p 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death 

and calendar year following death) 

- HR 3215. To prevent identity theft and tax fraud hllp:/ftinyurl.comf7fgsd5s 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death 

and calendar year following death) 

Rarely has it been documented that an individual's identity is violated by access to SSOI ; 

rather, the violations occur due 10 computer breaches from government and private 

enterprises. In fact, SSDI is actually a deterrent to identity theft. As posted on the 

Nalional Technical Information Service (NTIS) website (http://tinyurl .com/yb6e49e), it 

states, thai the Death Master File (SSOI is the commercial name of this list) prevents 

identity fraud, as it verifies a person's death. The SSOI is used by credit reporting 

agencies, merchants, private investigators looking for missing heirs in probates, media 

reporters, university researchers, and others. 

Genealogists doing US research located both in and outside the United States rely 

heavily on the ssm The Death Master File is a computer database file that has been 

made available by the United States Social Security Administration since 1980. 

I oppose HR 3475, S 1534, HR 3482, and HR 3215. 

Thank you, 

Raphael M. Whelan 

3990 18'" Street Apt. #1 

San Francisco, CA 94114-2592 
241 


dkrause on DSKHT7XVN1PROD with HEARING78179A.211

U.S House of Representatives 

Commillce on Wa)'s and ~l ea s 

Sumomn,ill.,., on Social S«uril), 

.. ~~.!I!''!': .. Recorda PrellCrvation" Aceeu Committee I UI'AC I , __ ... ~-.NacIoftal~IIoDoI7. . 1~_Iiooo"'_~_ 

Statement for the Record 

Hearing on Social SecurilY's Death Records 

Submincd b)' 

Frederick E. Moss. JD, LL.M. 

February 2, 2012 
242 


dkrause on DSKHT7XVN1PROD with HEARING78179A.212

Chairman Johnson. Ranking Member Becerrn. and members of the Subcomminee. 

Thank you for the invitalion to submit Ihis Stalement for lhe R~ord on behalf of the 

genealugical cummunity through ils Re'(:urds I'",ser\"atiun and Access Cumminec 11,1 supplement 

Ihe record oflhe hearing hcld by Ihe Subcomm;ltee on Ihc 2001 of February 2012. 

[serve as lhe legal advisor to the Federalion ofGenealogiea[ Societies and as a menlber of the 

Re'(:ords Preservatiun and Access CUmmille"" more fully described I>.:[uw. 

Be assured Ihm the genealogical community shares Ihe objective ofprotecling Americans against 

fraud and of addressing ddiciendes in Ihe current operation oflhe Sodal S~urily 

AdminiSlration's Dealh Master File. This hearing marks our firsl oprort unilY 11,1 e.xpress our 

views to Congress on this important subj~1 and we commend Ihe comminee for adding illo 

Iheir agenda. 

Egngious .t/entity Theh Cuu Can He Sioppet/ U.ing ~i"ing Ruounes 

We have all be..,n uutraged by "'rom ufidcntily Ihieves filing fraudulent lax refund claims using 

the SSNs ufrcccnt[y deceased infants & adults. Our strongest message is that the meanS tu stup 

this particular form ufidcntity Ihcft ex iSIs nuw. withuut waiting fur any additiuna[ legislation. 

The Internal Re,'enoc Service could curtail stICh claims ahnust immediately if tax refund claims 

" 'cre screened against the SSA's Death Mastcr Fi[e & matching cases identifIed for spe.:ia[ 

processing. This fi[ter. together with other viable and easily implemented safeguards. could 

actually expedite the processing of such claims. 

The National Taxpayer Ad"ocate (in her 2011 Report referenced by Ih<· Chairman in announcing 

Ihis hearing) has also endursed the use of IRS- iS$Il<.-d Identity I'rolection 1'lNs and alluwing 

taxpayers to tum OfF the ability tu fih.·lax returns electronically using spe.:ificd SSNs. s...'<! pp. 

61-62. 

The resounding message we heard from the Operalion Rainmaker press cunference convened by 

lhe Tampa Chief of Puliee. was Ihal the online tax refund Syslem is unacceptably vulnerable. has 

been corrupted. and thallhere are idemily lhieves fully aware and anxious 10 exploit the 

weaknesses in Ihal system. http://www.tampabay.comlnewslpublicsafety!c rimeI49.accused-<lf. 

tax-fraOO -and-idcntilv-theftlI18940b 

There's no need to wait for legislaliun to stop this lravesty and protect families of deceased 

infants and adults. Whal is "-'<juired is for lhe IRS 10 use lhe SSA's MaSler Death File for the 

fraud prevention purposes fur which il was originally crealed. 

Public Access 10 Ihe DUlh Master File 

Congressman Marehant rosed a question raised by a constituenl (and "millions like her") when 

he asked how we could be careful in what we do so thaI the people who are hanned are protected 

but Ihose vitally inte rested in their ancestry can still access accurate infonnation. 
243 


dkrause on DSKHT7XVN1PROD with HEARING78179A.213

We followed with great interest Commissioner Astroe's progress repon on the Offiee of 

Management and Budgefs eITons to arrive at a coordinated administration position concerning 

appropriate public access to tile Death Master File. His observation was that the issues are more 

complex thattlley might at first appear and that an attempt to rush a dedsion would almost 

sure ly get it wronS- We suppon a thorough review of these issues and would urge d<'Cision 

makers nOt to leap to solutions before tile problems havc been carefully defined and options 

dcveloped. 

What has been missing from the process so far has been input from actual genealogists. 1\ is 

impossible to "balance" competing interests if representatives of one side cannot "add weigh\"' to 

their side of the balance seale. If given an appropriate opponunity to make the case. we are 

confident that public access to the DMF for legitimate gencalogieal purposes can bejustiticd. 

Tile Records I'reservation and Access Comminee is prepared to assist in providing that input by 

coordinating the appearance of highly qualified. well-recognized representati,·es prepared to 

provide infonnalion to assist d<'Cision-makers in the Executi,·c and Legislative branches in 

making well-infonncd decisions. 

lnt ~ ..... sts or th, Genulogiu l Community 

Tile interests of the genealogical community are not hard to understand. Access to records or the 

lack thereof. is the pivotal issue for genealogists. Without documentation. our family histories 

are more Icgend than history. Recent genetic advances have given additional significance to 

well-documented medical family histories. You can e.xpc.:t to hear expressions of cone em from 

across the genealogical community whenever they may have reason to believe their access to 

these records is being threatened. 

About the Records I'resel"\'ation and Acce-ss Ontmi11C~ 

Tile genealogical community works togetller through The Records Preservation and Access 

Comminee (RPAC). ajoint commincc which tooay includes The National Genealogical Society 

(NGS). the Fedemtion of Gencalogic al Societies (FGS) and the International Association of 

Jewish Genealogical Societics (IAJGS) as voting members. The Association ofProf<'SSional 

Genealogists (APG). tile Board for CCl1ilication of Genealogists (BCG). the American Society of 

Genealogists (ASG). and industry representatives also serve as panicipating members. RPAC 

mct:ts monthly. and more often if needed. to advise the genealogical and historical communities. 

as ..... ell as other interested panies. on ensuring proper access to vital records. and on supponing 

strong records preservation policies and pmctices. 

Summa ry 

We offer t" ·o main points: 

(I) Our strongest message is that tile means to stop this panicular fonn of identity tlleft 

exists now. witoout ..... aiting for any additionallcgislation. 

(2) As existing policy regarding public aecess to the Death Master File is reviewed. we urge 

that input from actual genealogists be sought. The memocrs ofthc Records Preservation 

, 
244 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.214

and Access Commiuee stand ready to assist in alTllnging for that input to both the 

Executive and Legislative branches. 

, 
245 


dkrause on DSKHT7XVN1PROD with HEARING78179A.215

FROM: Ruth Sevier Foster 

1244 Arbor Rd. 11512 

Winston Salem, NC 27104-1148 

336-723-0946 

I took the time to write this to you .. and I vote, 

Please do not make changes in access to the Social Security Death Indel( as this is nonthreatening and absolutely of beneficial use for all of us GENEALOGISTS. Rarely. has il been 

documented that an individual's identity is violated by access to SSDI: rather. Ihe violations occur due to 

computer breaches from govemment and private enterprises. 

ealogists suppo<1 Congress's Inlem to proled Americans from improper usage of 

• Genealogists doing US research localed both in and outside the United States rely on the Soc~ 1 

Securily Oealh Index (5501). which is lIle eommerc~ 1 name of the Dealll Master Fi le (OMF). The Death 

Masler File is a computer database file made available by the Unrted States Social Security 

Administration since 1980. 

- 5501 is a deterrent to identity theft As posted on lIle National Technicallnfomlation Service (NTIS) 

website (hltp:lllinyurl.coml yb6e49!). it states, that the Death Masterf'ile (5501 is Ihe commercial name 

of this list) prevents ident~y fraud. as it verifies a person's death In adsftjQn to lam'ly history researchers 

Ihe 5501 is use<! by cresf! reooning aoencjes merchants private investigators looking for missing heirs 

inprQOOtes medii! repOrler$, !,Iniver;;iIY rasearcher!$, Sind OIhe" 

- Genealoov IS a hobby for m l1,ons 01 people. A study from May 2oo9 3 characterizes lIlose indr.iduals 

interested in genealogy SIS f~lows: 

49 million leel a deep appreciation for their ancestors13 million are active researchers" 

More than 8.5 million visited genealogy-oriented sites in the last moolh (excluding search engines 

and long-tail sites), ••• 

g million are hobbyists--

1.6 million ooline aduks 18-44 consider genealogy a hobby (3%) 

7.5 million ooline aduks 45. repo<1 genealogy a hobby (8%) 

A total of 9.1 million total hobbyists (oot 01 an onlil\e universe 01148 mill ion 18+) 

- Genealogy also is a serious profession 

- Genei!logists use the SSNs to appropriately identify records 01 people when tracing family medical 

history, especially ~ Ihe person has a common name: Sara Cohen.Tom Brown, Jose Martinez. TlUng 

Lee. etc. Genealogy assists in tracing family medical problems that are passed on from generation to 

generation. Information included in birth, marriage, and death records is critical to reconstl\lc~ng families 

and tracing genetically inher~ed attributes in current family members. 
246 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.216

The SSN i$ critical to make certain that one has the correct person .. Increasing numbe~ of phys;cians are 

requesting that their patients pro,,;de a "medical family tree" in order to more qu;ckly identrty cond~ions 

common within the family4. Infom1aUon on three generations is thesuggested minimum. The US Surgeon 

Generat includes preparing a family medical history as par! of the American Family Hea~h Initiative5. 

• Genealogists work with coroners to find next of kin for the deceased. The iden ;~es of these peop~ are 

known, but the government agencies are not atways able to find the families. so they are titerally 

unclaimed. It is a national problem with wh;ch coroners must cope. See unclaimedpersons.org 

• Genealogists work with military to locate relatives of sokiiers who are still unaccounted for from past 

conn;cls. While using DNA. the genealogists also need SSNs to he1p assure they are finding the correct 

person's family. 

• Other stakeholde~ who are concerned and want full and immediate access to the SSDI include: the 

financial and insurance industries [they need the ;n forma~on timely so Ihatthey can verify deaths to pay 

out death claims and verffy benefICiaries for paying retiree benefrts]; federal. state and !ocallaw 

enforcement agencies; Lexis·Ne~is; char~ies legacy departments and planned gifts departments. medical 

resea rche~ (tracking morbiddy duster deaths and tracking monal~y of medical mal n!"su~s] ; state. county 

govemment and teacher retirement funds; county assessment offices, studentioan companies; 

unive~dies for studenlloans. tracing alumni mortalrties and other ac~vitie$ . enhanced collections 

department of state courts. and other stakehokier$ that we are learning about daily. 
247 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.217

On behalf of Savannah Area Genealogical A~~cialion, I urge you 10 Please k«p the Soci,,1 Security 

Death Index available to evervone. 

Genealogy hobbyists and professH)nals n«d t he SOCial Security Death Index.w 

Information provided by Social Security Death Index hel"s reunite families of MIAs and KIAs with 

the remains 01 their loved ones. 

Frequently, the information found in SSD!. verifies a family lie that is needed for genetic medical 

condition~. 

If banks and other businesses were doing their jobs properly, the misuse of Social Security 

Numbers would not be an issue. The numbers in SSDI would help them prevent identity theft. 

Ho ... ~ R~ n 

VkeP ..... Iden~Pt06.a .... 

s.,vo."aL Pu- G.. • ...,]<>61oo1 Sockri~ 

II Ma.u. PoIn! Drlve 

s.,vo""oL.GA )]100 

Ho",,,, 912...):)6..]188 

Cell 9]2-6'7-6800 

Lrua. ",vL@a9l.com 
248 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.218

3 Feb 2012 

House Ways and Means Committee 

Subcommittee on Social Se<:urity 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, ANO HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their 

personal information, and to protect them from identity theft. However, genealogists DO NOT 

support restricting access to public records that have very little to due with identity theft. 

Currently, four bills are pending in the US Congress that would eliminate or curtail access to the 

Social Security Death Index (SSOI) on the Internet I oppose all of these bills, which are: 

- HR 3475, Keeping IDs Safe Ac! of 2011 http://tinyurl.com/6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534, the Identity Theft and Tax Fraud Prevention Act http://linyurLcomnSde809 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://tinyurLcomf83p4b4p 

(If enacted, this bill prohibits disdosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3215, To prevent identity theft and tax fraud http://tinyurl.comflfgsd5s 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

Rarely has it been documented that an individual's identity is violated by access to SSDI ; rather, 

the violations occur due to computer breaches from government and private enterprises. In 

fact, SSDI is actually a deterrent to identity theft. As posted on the National Technical 

Information Service (NTIS) website (http://tinyurt.com/yb6e49e). ij states. that the Death 

Master File (SSDI is the commercial name of this list) prevents identity fraud, as ~ verifies a 

person's death. The SSDI is used by credit reporting agencfes, merchants, private investigators 

looking for missing heirs in probates, media reporters, university researchers, and others. 

Genealogists doing US research located both in and outside the Un~ed States rely heavily on 

the SSDL The Death Master File is a computer database file that has been made available by 

the United States Social Security Administration since 1980. 

I oppose HR 3475, S 1534, HR 3482, and HR 3215 

Thank you, 

Sandra Miareeki 

1545 Delaware St 

Berkeley CA 94703 
249 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.219

Dear MemlJers of the House of Representatives: 

Re: HR 3475, Keeping IDs Sale Act of 2011 

16W66a M~rylJeth Court 

Burr Ridge, Illinois 60527 

J~nuary 3D, 2012 

HR 3482 To prevent identity theft and t~x crimes. 

HR 321S To prevent identity theft and tax fraud 

I am writing to ask that you do not eliminate or curtail the use of the Social Security Death Indu through 

the internet. I understand that some people feel that having this information available to the public 

invites identity theft. 

Most Social Security numbers get into the possession of the wrong person due to computer breaches 

into government and/or corporate databases. 

Having the SSOI on line, ~llows (Ompanies identity Social Security numbers that belonged to individuals 

who are now deceased, sU(:h as insurance companies, stores, and medical researchers. 

Over 9 million U.S. citizens are actively engaged In researching their family hl5l0ry as a hobby and others 

as a profession. The SSDI is a rich source of information for these individuals. Unhappy genealogists 

will rememlJer this at election time. 

Yours truly, 

Sandra Trapp 

63(J...32S-0799 

swt39@juno.com 
250 


dkrause on DSKHT7XVN1PROD with HEARING78179A.220

Subj: Submission regarding pending legislation regarding the Death Master File 

{DMFJ 

Submitter: Scott S. Shenton 

Organization: self 

Address: 2725 N. Highway AlA #301, Indialantic, FL 32903 

[have been a serious amateur genealogist for over 15 years, researching my 

Shenton ancestors and all who bear the Shenton surname. While I am not a 

professional genealogist, [ am a member of a local genealogical society, have been a 

member of several societies in areas where my ancestors lived, actively maintain 

several different web sites specifically focused on various aspects of my research, 

and correspond regularly with dozens of like-minded researchers and people newly 

interested in learning about their family history. 

Many people new to genealogy and family history have been spurred in their 

interest by current television series such as the popular 'How Do You Think You 

Are'. When they first start out on their searches, one of the earliest sources they 

find is the Social Security Death Index {SSDIJ, the commercial version of the Death 

Master File (DMF). One of the basic principles taught to 'newbies' is to 'start with 

what you know, and work backwards'. Obviously, what people know best is their 

immediate family - parents and grandparents. And the best sources for information 

on parents and grandparents, which usually leads to information on earlier 

ancestors, is the Census and the SSDI. 

It would be a major disservice to 'newbies' and to all researchers to remove the SSOI 

from public access or severely reduce the amount of available information. I can 

certainly understand the concerns about the SSD[ - both as they relate to the 

possibility of its use for fraudulent tax filings, and to inadvertent posting of 

erroneous death information. However I have been, in both my professional career 

and personal life, heavily involved in the use and development of computer systems, 

and both issues (tax and privacy) appear to be obvious applications for improved 

computer technology: 

• The Internal Revenue Service, with modest improvements in computer 

programs, internal work procedures, and - if necessary - additional 

legislation, should be able to utilize the OM F ISsm to detect and stop virtually 

all fraudulent use of Social Security Numbers, wherever they might have 

been obtained. 

• The Social Security Administration, also with modest improvements in 

computer programs, internal work procedures, and - if necessaryadditional legislation should be able to significantly reduce the already minor 

error rate of invalid entries in the DMF ISSDl. 
251 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.221

Given such successful reduction of the opportunity for fraud and error, additional 

consideration should be given to the fundamental issue of identity theft, whether 

against the IRS or private citizens, and making the definition of such criminal 

activities more clear and with more explicit penalties. 

In short, please consider addressing targeted solutions (better computer processing. 

better work procedures, and - if necessary - specific legislation) instead of the 

shotgun approach of information suppression. 
252 


dkrause on DSKHT7XVN1PROD with HEARING78179A.222

To: Committee on Ways and Means 

From: Sean Furniss 

11094 Saffold Way 

Reston, VA 20190 

703-481-5899 

Sean.Furniss@gmail.com 

Hearing on Social Security's Death Records 

This letter is written in response to the Chairman Sam Johnson's announcement 

of a subcommittee hearing on the accuracy and uses of the Social Security 

Administration's Death Master File to take place on 2 February 2012. 

The very limited opportunity for groups and individuals to present testimony for 

the administrative record for the hearing is lamentable. Given the extensive time 

periods that Congress makes Federal agencies provide the public to review and 

comment on documents and regulations, one would think that members of the 

Ways and Means Committee would be the first to understand the need for 

sufficient amount of time to review, understand and discuss proposed legislation 

in an open forum. 

While Congress is very clear in mandating that Federal agencies use simple 

English to provide a clear and precise understanding of proposed regulations, the 

information provided by the Committee related to the proposed bill (HR 3475) 

fails to provide a clear and precise understanding of the full effects of what would 

happen under this bill if it were to actually pass and be signed into law. 

Congress needs to focus on measures that will target the criminal activities, 

improve interagency cooperation, improve the tax refund process, and provide 

the Social Security Administration sufficient funding to address any deficiencies 

in maintaining the DMF and not just think that eliminating public use of the DMF 

would solve everything at no cost. 

Of the three House and one Senate bill drafted to address problems with the 

quality and maintenance of the Death Master File (DMF), HR 3475 is clearly the 

most seriously misdirected of the proposed legislative proposals. 

HR 3475 does not clearly address what the Committee believes is needed to be 

accomplished nor use the best, most effective way to do so. HR 3475, as it is 

currently written, would effectively end general public access to the DMF. The 

thinking that this legislation would improve the quality of the DMF and reduce 

crime appears muddled and confused. 

The thought that access to the social security numbers of all dead individuals 

with social security numbers (not just dead American taxpayers as stated by 

Chairman Johnson) is a significant cause of identity theft and that keeping social 

security numbers of "deceased" individuals from being public would help reduce 
253 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.223

the erroneous entry of the numbers of living individuals in the database by the 

Social Security Administration is unfounded in fact. 

Rarely has it been documented that the information in this database has been 

used to for identity theft. If the Committee truly thought that identity theft is a 

critical issue, then perhaps some thought should be given as to how to better 

protect the personal information that has been routinely stolen from government 

and corporate databases (over 500 million stolen according to a 2009 report). 

Among the problems with including and resolving problems of having living 

individuals included in the DMF is an inadequate level of funding and error 

checking at all levels of government. Without adequate human resources and 

computerized cross-checking errors within the DMF can not be realistically 

addressed in an efficient manner. 

The information in the DMF is used to create the Social Security Death Index 

which is used by financial and insurance industries, law enforcement agencies, 

medical researchers, retirement funds, tax assessment offices, loan companies, 

courts and many others. 

Additionally over 9.1 million Americans make use of the information from the 

DMF to trace their family histories and create medical histories. Reliable medical 

family histories are increasing requested by medical professionals at all levels of 

practice. 

I urge the members and staff of the Committee to reassess what needs to be 

accomplished and to develop a more reasonable and practical method to 

address those needs. 

Thank you for this opportunity to comment on the proposed legislation. 

Sean Furniss 

11094 Saffold Way 

Reston, Virginia 
254 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.224

lIe.ri .. 011 Social Securily" ikOlh 1(",,00:1, 

I Fcbru,u), 2012 

Selma Blackmon 

2200 Willo",,,,il Ph), 101 n 

Non;""", Gil 30093 

770.-931·2609 

.bj;<ooc.IO!;>€ gmail.eom 

TIIi' ... «rocnt is to be: .ttribolt«l to Selma IlIod"non 

The rollowing is a' .. ,,)' btiefnolc I posted on " ""mioc",om on I February 2m2, 

A. ,he last paragraph <kmon>t",tc5. "'" SSDI i, '-c'y imponont for ~an:h_ Wi"""" thi. tool. thedcc .... :d military r.,her 

"""Id no! h:tl'. been located. OIher """areh .ttempt. dO<l noI .......,11' the ",arch for I <pe<if'" PC"""" The famHy did 

koow the approximate drnth <l:>te ar.d milita,y hi"o<y. The romily did"", know the . _"""t <k.th <l:>t. 0< location . Three 

bu,i ......... ofT.,.""c.." to the SSI)I. Ch:tnges in ,",cess lI'ill .fToolhese busi"" .... . s ",.11., &coc.logical research, 

,,,,,,,,alogy is lhe seoond largest hobby. family hi"",), "" ... arch onli"" and on Ioca,ion "imulate OUr e.",rlOmY. 

c;.,,,,,alo];)': Soci.1 &<:";t)' ikath Index (SSDl) 

c;.,"".loi;ist' ""'luin: ""koown family infonll.lion using the Social Security lka,h Index. (SSIJI). The family bist"';." 

may fir.d a <lo.,h dale. death Iocatioo. <I"", for obitual)· oc cemotcry rese.rch. Tlli, informalion will leoti the hiSl"';an to 

,he "how and when:" to onIe, • cOJl)l of the death cenif",,, .... 

The SSDI """"."' ..... d from the Social Securily Admini,,""ion', D<ath ma>lor mo_ The index with ",Iated information is 

.,·.ilable on: 

Anc~lry.<XIm (www.anc"'''y.comj iocIOOc .searchin~ tips. FAQ. and how to wrilc an applicalion I"t'l]U<"1 kiter to lhe 

Social Security Adminisirotion. 

Family ""arch,erg :"ww.familyse"",h.orgj. a f= . ile. include, wiki information ()fl the<XIII""li()fllim< period. 

dc..,riplion. and conl.m. 

[hltps: II\\ww_f.mily"".reh_~wik~et1lU ni",<.t SI.I",_ Sociol_ Securi,y -,"leath _1r.dex_(Famil}'Se.ren Jlistorieat Re 

coros)1 

c;.,,,,,.log,ybank,cOll' [,,-ww.&cocalog)'bank.comj ofTers • f,,:e printablo: .. areh resullS ,.-ith suggesti"'" to ""'ir f"" site for 

obituaries and hi,toricall ,,'~pare" , The obituary ar.d hi"oricol .... "~paper """",II i. he: "",ess to tho "nick, is f,'" 

based. 

1 .. SSDI i""ludcs dealhs reponed 10 ,ho Soci.l Securi,y Admini,,,,,,ion (SSA) b<!;lnning about 1962. Not nc'y death is 

i""h.1e<l Si, .. for """" jnf"""",j,,,,' 

The Social SecJJri/J' D<:t<lh loon: ,j G../It.u!"I(J' Ru",ds GlliJ,' by J"" ikin< [hup:l/www.dealhir.de_«"$.com!$Odi.htmll 

RootS Web', Guide to Tnoc:inl1 Famjl~' TrrtS. Guide: No. 10.,j U~jqll~ Fi'Hljn/il AM: Sociu! Securif}' D<:t<lh Index (SSDI) 

"00 R«UrvuJ Rrt,,,·,,,.m !Ioa,d R.cor<l, [ht'p:lI,wguido.root,,,,,b,aoceslry,comIlessonl O.hlm[ 

"Socia l Security Sleulhi .. - ofTe.-..J by The Na,ional (icn<.logical S""iety """,i>ls of Ih-. I" • .<ons "" a CD. 

1" ww.I1fIS~""a ogy."'lVe",.o<:i.I_urity _sl.<lIhingl 

TeatS nowed. 41Iishelps me..., lIim ", . Ii"ing porson. This make' him rcal,o me,-This n:ac1ionoc' ...... J from a 

family member \\110 had n<,"r mel hi<lht:r f.lher. The f.,hersen·cd in WWII and died in mid_1950. Ancr Iooking()flli"" 

for ,he dig,ilized SSDI informal ion. the exoct dal" .r.d Ioca,ion won: fOllll<l. With Ihis inf""""lion. an onli"" digitized 

Te,.., de.lh ""nif",alc was prinled. T cars of joy /lo"ed as 'his family member ""nl IW'y 10 shan: new informa,ion with 

Olher familymembe:nt. 

Thank)"" for undcl'$!1lndi"l! Itt. nocd to «>n,in"" 100fT .. Ihi$ , .. J""bl. ~ar<h tool. 

"""'~ 
255 


dkrause on DSKHT7XVN1PROD with HEARING78179A.225

S~l'ONE: HO US ~ HISTOR I CAL ~S E:AHC II 

Catfzcrinc lB. 'w. ([)rsmarais, IProftssiollaf (icncofogist,. 

30 January2012 

RE: 

Please oppose 

• HR 3475, Keeping IDs Safe Aet or2011 

• S 1534. the Identity Theft and Tax Fraud Prevention Aet 

·11R 3482 To prevclll identity thcft and tax crimes. 

• HR 3215 To prevcnt identity theft and tax 

Dear Congressmen and Congresswomen: 

399 oft! Sta8e If{pat! 

'EsseJ(JUllctioll, Vennollt 05452 

S!ollc(zouscrescardi@gmai{com 

802-363-7885 

I perform research, through SNA International, for the Department of Defense related to 

the congressional mandate to repatriate the remains of unaccoullted-for service personnel. 

The majority of these are from World War II and the Korean Conflict. My research identifies 

and locates the primary living next of kin and the family members eligible to provide DNA 

Family Reference Samples to aid in identification of remains. I could not effectively conduct 

this research without free access to the Death Master File - Social Security Death Index 

(SSD1). Many of these servicemen and most of their parents were born before universal 

vital records registration. The mid·twentieth century was a time of increasing migration of 

families, and the ssm is very often the only resource available to trace the serviceman's 

deceased relatives in order to find their living descendants. I believe that the tiny number 

of cases in which the SSDI was misused is far outweighed by the positive effects it provides 

to bring closure to the families of those who gave their lives for our freedom. 

Likewise, I also use the ssm in my research cases for attorneys to locate the heirs and next 

of kin in probate and title insurance matters. For example, the SSDl allowed me to trace the 

de<:eased siblings of an elderly woman who died subsequent to Alzheimer·s disease, and 

locate her living great-nieces and great-nephews who had the right to be notified about her 

estate. This research reunited a family that had lost contact with each other in a previous 

generation. In another case, a property owner discovered thaI they did not own clear title 

to their fronl yard. The SSDI allowed the Identification of the next of kin oflhe former 

property owner, now long deceased, so that the litle could be repaired. All of this research 

would become impossible or, at best, significantly more expensive and time-consuming if 

the SSDI was not freely available. In closed-records states, the SSDI may be the only source 

that meets Rules of Evidence to document deaths to the satisfaction of the courts. 

CG- and rt~OecI Ge<le'!ol;"- II. seMte ..... 'k. 01 1M Boor<! 10' Cert;focal;o., of Geoea!ol;'u· cotII<!"ed 10 •• _iII •• who 

,,,,,,;,,e ntfy meet e ,l>i<;al.nd '''mpt'len<y ",,,du d. In '"Old with lH'e<ofMewed e .. I.";o.,, e.ery f ...... \'0.... p,~ 1 01 2 
256 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.226

The SSDI was designed to prevent identity theft ond fraud. Rather than eliminating it, its use 

should be strengthened so that banks and the IRS are required to cross reference social 

security numbers with the SSDI to assure that a deceased person's number is not being 

reused. Making it inaccessible or difficult (and expensive) to access would be counter· 

productive and would prevent all the positive outcomes for which it is used today. 

Loss of public access to this irreplaceable resource will have many negative financial,legal, 

alld human costs. I oppose the bills listed at the top of this letter. Thank you. 

Sincerely, 

Catherine W. Desmarais. Certified Genealogist 

Owner, Stone House Historical Research 

CG"" ...... ~rtifled G~" .. ""iil'" .", ",me. ",.,h 01 ,.,. Boord for ~rtifiu ion 01 G<."uklliil." ,,,,,' ... rod to •• scciot • • w~ 

<o",;"..,t""",- fihlcol.rNl mmpo'.ncy .... "d .. <1< In K<:ord with ..... ·reYiewed ..... Iy •• jo ........ r; r .... ro.... P.,. 2 of 2 
257 


dkrause on DSKHT7XVN1PROD with HEARING78179A.227

Sunshine in Government Initiative 

1101 \~ !101l Boo.,I"n nl. Suitt· 1100 · Mlington, Virginia 22209 

Phon~ (703) 807.21 00' info@SWlsh.inclnGonnllnCnl.O"lI 

The Honorable Sam Johnson 

Chaimmn 

Subcommittee on Social Security 

Commil!ee on Ways and Means 

1129 Longworth Bldg. 

Washington. D.C. 2051 S 

The Honorable Xavier Becerra 

Ranking Member 

Subcommittee on Social Security 

Commil!ee on Ways and Means 

1139E Longworth House Office Building 

Washington, D.C. 20515 

Re: Submission of media coalition wril!en comments on February. 2. 2012. " Hearing on Social 

Security Administration's Death Rl'Cords." 

February 16. 2012 

Dear Chairm3J1 Johnson and Ranking Member Becerra. 

We are writing add a media pcrspcelive on the public uses ofinfomtation in the Social Security 

Administration's Death Master File (DMF). The Sunshine in Gunrnmcnt lnitiatin is a 

coalition of media associations promoting gowrnmenttr • .lltsparency. 

We requcsl our stalement be included in the record oflhe February 2. 20 12. hearing entilled. 

"Hearing on Social Security AdminiSITation's Death Records." In its efforts 10 address concerns 

about identity theft. Congress should preserve the availability of information that rep!lMers have 

for decades uscd to inform the public about important issues. 

First. we comntend the Commil!ec for holding the public hearing on proposed changes to public 

access to the Death Master Filc. Too often decisions affecting what the public can find out from 

and about thcir govcmment are madc without adequate public discussion. When there is public 

debate. frequently it occurs late in thc legislative process. Early public discussion about any 

proposal to add to the more than 240 laws already on the books that limit FOIA's reach serves 

thc public wcll. and wc appra:iatc the opportunity to contribute to Ihis discussion. 

Journalists have used the DMF in a number of stories thai contribUled to the public interest. 

Here arc some examples: 

• [n 2005, the Birmingham News used the Death Master File to identify factory employees 

add a human clement to a story on factory workers in an investigation of asbestos 

exposure and mesothelioma. 

• Dead people are listed on vote r rolls and some voted in 2003. Tile Times of Nonillt'e.I'1 

/",/imlll showl'd dead people still listed on VOI<,r roUs. This ClISe is not isolated. Years 
258 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.228

1'.81' 2 0f 2 

earlier. also using the Death Master File. the Ashbury Park I'ress in September 25. 1994 

reponed dead people voting in Ocean City, Ne ..... Jersey. 

• The Scripps-Howard News Scl'\'iee documented the red tape nightmare facing relatives of 

dead people whose identities are stolen using the Death Master File. Scripps-Howard 

presented the issues without publishing the social security numbers theffiS<!l\'es. 

Any adjustments to public access to Ihe D1\1F should allow journalists' continued responsible use 

ofthc Death Master File to infornlthe public. We reeognize the concern about prel'cnting 

thieves from using the DMF to falsely claim ta;.; deductions. At the same time, access to the 

inforn13lioll in Ihe Death Master File is vital to h'Cping Ihe public infonned. We believe il may 

be possible to addrcss concerns about identity theft while preserving public access to the Death 

Master File. such as instituling a brief delay on release ofDMF data on individuals who can be 

claimed as dependents on tax returns. 

We look fOT\':ard to working with you to ensure public access to a vital source ofinfonnation 

widely used to keep the public infonned about issues we care about. 

Thank you again for the opportunity to present these views. 

Sincerely, 

Rick Blum 

Coordinator 
259 


dkrause on DSKHT7XVN1PROD with HEARING78179A.229

E-mail Comment to House CommiHee on Ways and Means Hearing on Social Security Death 

Records - February 2, 2012 from Stephanie Nordlingcr (deta ils at end). 

Fcbn13ry 14.2012 

The Death Master File and its Social Security Death Index have been extremely helpful to me as 

a California anorney handling probatc and trust maners. J also use the SSDl regularly as an 

amateur genealogist. T he use of thi! indu s hould not be f~ tri c[('d cca ~e its usc for 

legitimate purposes fa r outweighs its use by criminals. 

I. Use By Lawyers in Proba te Proceedings 

In probate and estate planning, the free onl ine DMF allows you to inexpensively prove that 

someone has died and locate current relatives who must be given notice of probate proceedings. 

My office is prob.1Jing a 1964 Will where the first four beneficiaries are deceased. 1 didn't hal'e 

to take my client's word for this. hire a genealogist or locate and pay for death cenificates in a 

low value probate. I could give the eoun the date of death (at least the month and year) at 

essentially no COSt for thm: of the four potential beneficiaries. The fourth wasn 't in the SSDI 

because he had been a state government (UCLA) employee, but he was my client's father and 

my former client, so we could find his information easily. 

Much more difficult in the SlIme case were finding the names and addresses of the decedent's 

numerous first cousins and three children of his deceased first cousin. Due to divorces lind 

remarriages many years ago. current famil y members didn't know all of the other relatives the 

coun requires to be listed and notified orthe filing ofa petition for probate of a Wi ll or the 

opening of an intestate estate. I used the DMFfSSDl with wW"·.Switchboard.com. a genealogy 

program for record-ke"ping and som" tel"phoning and e-mail to locate the children of the dead 

relatives of the deceased. The gMgraphic information in the data (last residence and state where 

the Social Security number was issued) tells you which person of a givcn name is likely to be the 

person you arc seeking. 1 was able to track down all except one of the relatives, and his sister 

said cven she didn't know where hc lived. 

I did most of this work while the DMFfSSDI was online in the form it had been for years. 

Another question arose. and 1 went to it again but was referred to another U.s. Government 

website that said it was no longer publicly available. I went ball istic and gave a scathing rel'iew 

to the second website. although I admined at the end of the survey that my rea! complaint was 

th" unavailability of the ssm. 

Fonunately, I soon Icamed fmm another auorncy that a version of the DM F was still available 

on the Church of La tier Day Saints' www.Familv~eareh.orgwebsite.So did the rcsearch there. 

It is also available on www,Aneestry.eom,whichremovesSociaISecuritynumbersforthose 

dying in the last ten years. This may lead to errors when seeking people with common names. 

(An amateur genealogist has added my step-grandfather. John H. Wilson. to the wrong fami ly 

tree.) 
260 


dkrause on DSKHT7XVN1PROD with HEARING78179A.230

II. Olher Legitimate Uses orlhe Death Master File 

This was nOlthe flrsl. nor will il be Ihe last, time I nCl-d the Social Securily Death ndc~ or thc 

DMF for legilimate legal purposes. It has also been very hclpfulto me in doing: 

(I) my own genealogy (since the 1980s), 

(2) finding lost classmates for a reunion. 

(3) cleaning out law office files (e.g .. a fi le fora Will i drafted years ago) and 

(4) ~Iean ng up address books when you think somCQne has died or know they have but 

don't know the detai ls. Or 

(5) you may want to contact someone YOli have lost track of. You know their married 

name. and you can sometimes find the living person by finding the rt'Cord ofdcath oflheir 

spouse (or other relative). 

[II. A free, Accessible SUI'p[cmenta[ Index of Slate-Pro" ided Death Records Would 

A[so Be lIc1pful 

I think the U.S. Government should also pro"ide a free, publi c (In ternet-accessib[e) 

Supplcmenhd Index of Ihe death infornlation it hu rcccind from the es which often 

co\'Crs people who didn 'l ~"e Social Sceurity, l know some of it is wrong: [ have seen death 

certificates where the decedent's name was misspelled and there were other errors. But it is much 

beller than no index at a[ 1, II is expcnsi" e 10 sellrch stale IIrchivts for a dealh cerlificale if you 

don'l know the )'ear orduth or arcn't sure oflhe place or death. 

For example. my nta ternal grandparents were divorc~'d about 1915. My Mom visited her father in 

New Jersey in the [ate 19205. She [earned of his death severa[ decades later. but she is dceeased 

and I 113\'1' no idea when or precisely where he died in lhe 19505. [%Os or I 970s. It was 

probably in New Jersey, but it could have been in a Ilospital in New York or Philadelphia. He is 

not inlhe ssm. When I asked the StMe or New Jersey 10 chcek certain years in a particular order 

and stop searehing if it found his dcath record, its clerk returned my check and asked that I 

specify the years to be checked. They charge a fec for each year checked, and Ihere's no poinl in 

cheekinli\ after you find the I\.'(:ord.lf l had a date. this researeh would have been done 3 long 

lime ago without spending more than $50 for a ten or fi fteen dollar death certificate. 

As an allomey. I previously represented a company that did delinquent credit card colleetions 

and we had acccss via a service call ed Accurint to .... 'Cords showing the JX.'Qplc who had used the 

same Social Sccurily number. Somelimcs. there were qnite a number of them. People will 

continue to use incorrect Social Security numbers for various reasons including the need to have 

ajob without providing information on their previous criminal. immigration or other records, 

typographical errors. bad handwriting. avoidingjudgments and ex·lovers. etc. While I kllOw that 

one can lawfully request and get a new Social Security numbe r, not everyone knows this. Credit 

agencies need 10 keep track of who is dead and who is ali"e, and the DMF helps Ihem 10 do this. 

IV. Conciusion 

Pw plc will misuse Social S('(Curily numbcrs ~egard ss ofwh cthc r they hll"c access lothc 

DMFfSSDI. p~i"in g the rest of us or ils legitimate uses will nol pre\'Cnt the abuse of 
261 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.231

Socia l Security numbe rs. IRS's providing ofta:<payer I.D. numbers to illegal immigrants has 

helped to reduce the number of intentional errors in the Social Security number dal3.basc. We 

should ket:p Ihc present free . Inlcrnet-aceessible DMFfSSDI. add a new public indcx 10 statcprovided death T\.'Cords and encourage people to correcl their Social Set:urity dma wilh minimal 

or no penahies for the uninitiated who usc other people's numbers to survive and not to dcfraud. 

Congress might even establish an amnesty period for making such eom:ctions. 

Sinccrely yours, 

Stephanie Nordlinger, Esq. 

Law omees of Stephanie Nordlinger 

3933 S. Sycamore Avenue 

Los Angeles CA 90008·1120. 

(323) 299·3244 

Nordli ngerEsgW'aol.com 
262 


dkrause on DSKHT7XVN1PROD with HEARING78179A.232

The Soc iety of Thoracic Surgeons 

Comments for the "uhlic Reconl 

Iiouse Committee on Ways and Meaus, Suhcommittee on Socia l Security Ilea ring 

The Accuracy and Uses of the Socia l Securit), Administration 's Ilea th Master File 

Februa ry 2, 201l 

The Society of Thoracic Surgeons (STS) is the largest organization representing cardiothoracic 

surgeons in the United StateS and the world. We are writing in response to the House Committee 

on Ways and Means - Sulx:omminec on Social Security hcaring on "The Accuracy and Uses of 

the Social Security Administration's Death Master File." 

Founded in 1964. STS is a not-for-profit organization representing more than 6.100 surgeons. 

researchers. and allk'd health care professionals who are dedicated to ensuring the best possible 

outcomes for surgeries of the hean. lung, and esophagus. as well as othcr surgical procedures 

within the chest. Thank you for considering these comments as you focus on this most important 

issue. 

We are writing to express our concern and request your assistance with an issue of critical 

importance to our ongoing. entting-edge. health care quality improvement elTorts. As you are 

aware. beginning November I. 2011. the Social Security Administration (SSA) rescinded its 

policy of sharing death reports that it receives from individual states. Reponedly. under the 

revised opinion ofthc SSA gencral eounscl. SSA will only share state-originated death 

information with Federal agencies. This change in policy could compromise the ability of STS. 

and other mcdical specialtics that utilize clinical registrics. to succcssfully monitor long tcnn 

patient outcomes. This infonnation has been of vital imponancc to physicians and researchers 

who want to cvaluate the success of medical interventions and who want to track other mcdical 

and public health rclated trcnds. 

Linking clinical registries to the Social Security Death Master File (SSDMF) allows for the 

verification of "life status" of patients who othcrwise would Ix: lost for follow up after their 

treatment. Research based on this information helps physicialls to advise today's patients and 

families and help them with decisioll-making. Outcomes data gives patients confidellee in their 

medical interventions and demonstrates to patients and their families the durability and long-ternl 

benefits of medical procedures. These data also help medical societies whell providillg 

information to policymakers alld regulators. For example, data can be used in research 

comp.1ring the long-term elTectivcness of alternative treatment strategies. It also has the potential 

to generate elillical alld longitudinal comparative effectiveness research 011 a llatioll3llevclthat 

can be evaluated based 011 patient demographics. 

Utilizing these data. we have been able to link and follow patients who have had muhiple 

operations in different institutions, perform long-term follow-up ofrepcat hospital admissions 

and additional procedures. and generate Kaplan-Meier survival CUT'\·es. l'hysicialls have also used 

these data to evaluate their reSpI..'Ctive outcomes against the national standard. Research of this 

sort is already the foulldation of research on the safety and effectiveness of medical products and 

llatioll31 pa)'mem and coverage decisions. (See attached for more illfonnation on the STS 

Database.) 
263 


dkrause on DSKHT7XVN1PROD with HEARING78179A.233

As a medical socie(y, STS has long advocated for the protection ofpatiems' and our members' 

pri'·acy. TIle STS Dalabase upholds rigorous privacy protocols and is fully compli3n( with 

Health Insurance Portability and Accoun(ability Act (HII'AA) requirements and Federal 

Common Rule prot~'<;tions for human subjccts ""scarch. 

We rcspc:cttha( Chainnan JoIl11son has in(roduccd H.R. 3475 in order to help to pro(ect 

individuals' personal information. Howewr. we rcquestthat the Congr..'Ss res(orc access (0 all 

the data ill the SSOMF for Cerla;1I t),pes of medical n:search that meets established pri,-acy 

standards and excmptthat research from the additional n:strictioos Proposed under H.R. 3475. 

To that end. we ha"e proposed the following changc to the amendmcn( to sec(ion 205{r) of (he 

Social Securi(y Act Con(aillCd in H.R. 3475: 

Section 205(r) oCthe Social Security /lC( (42 U.s.C. 405) is amended--

(I) in paragraph (5) by wil.:ing 'for sta(istica! and research ac(ivitics' and all 

that follows and inserting 'for ]aw enforcement. tax administration. and 

statistical and research activities conducted by Federal agencies and for 

stmistical 311d researeh ac(ivities conducted by Slate agencies. tIS 11"1'11 as/or 

ollter sllll;sliml ",,,{ researc/, ael;"ilies collduelcd by medim/. scicmifie. or 

pl/hlic heallit reseurdwrs ill acrorJ(1I1{'(' \\"ilh Ihe "/tlkral CommOll Rult: {~6 

CI'-,R .II ~6, IOI} aml,or Ihe opplicllhie pri"lIc)" 01111 st:Cllriry rule", iuued 

muler Ihe lIealllt {II/ormolioll Porl<lbilil)·aml.kc.vul1Il,bilil), ..lei 0/1996 (45 

CFR Pt, 164 oml .II 5/1Iill. /lim subj£'Clla r ... ·iew OllJ ol'l'rol'l1l byoll 

illM;lIIliol/al r ... ·iew /xx,rd regislered \1';111 Ihe Dcporlmem o/lfm/lh "lid 

lIum(1II &'t'\'ices Office a/flIm/1II1 SlIiljecls l'rolCelioil /III/lor Ihe Food <1111/ 

Drllg Admi"islrolio" ond accrediled bylhe Associali(»>/<1f III(! ArcrcJilol;o" 

0/1f1ll1ll111 S"bjee/S Research PrOleelio" Progmms:: and 

STS greatl), appreciates the opponunit)' to offer (h~'Se commeniS for the Committct:'s 

considcrlItioo. We 1001.: forward 10 working wi(h you (0 achieve our mU(lIal goal ofprotcc(ing 

American's pri,'acy and identities while ensuring IM( innovations in heahh care qualit), and 

technology a", able to flourish. Plcase contact Phil Oongiomo. STS Din:ctor ofGo,'cmmcnt 

Relations. at (202) 787-1221 Of pbongiomo@sts.orgifyou have any questions. 

2 
264 


dkrause on DSKHT7XVN1PROD with HEARING78179A.234

AUachment 

Ilackgnmnd 

In January 2008. in compliance with lill'AA. STS began to access the SSDMI' in order to track 

long-term survival among eardiothOl1lcic surgical patients. The SSDMf complements the STS 

Database by providing information about short-tenn and long-tenn survival. Linking STS Data 

to the SSDMF allows researchers to ascerta in "life status" of patients who have undergone 

cardiothoraeie surgical procedures. 

About the STS Datahase 

STS has long been at the forefront of efforts 10 improve heahhcare quality. The STS National 

Database was established in 1989 as an initiative for quality improvement and patient safety 

among cardiothOl1lcic surgeons. There are three components to the STS National Database. each 

focusing on a different area of cardiothoracic surgcry-

• Aduh Cardiac Surgery Database; 

• General Thomcie Surgery Database; and 

• Congenital Heart Surgery Database (Anesthesiology may also participate in the 

Congenital Heart Surg~ry Database). 

The component databases provide participants wilh opportunities for quality improvement. The 

Society has developed quality performance measures in all three sub-speciahies of surgery and 

these measures have either been endorsed or arc in the process of being considered for 

endorsement by the National Quality Forum. By collecting outcomes data for submission to the 

STS National Database. surgeons are committing to improving the quality of care that their 

eardiothoraeie surgery paticnts reccive. The Database has thc corollary potential to be a powerful 

tool for clinical research. Since its inception, more than 100 publications have been derived from 

Database outcome s. These studies have been published in a variety of profess ional journals and 

tcxthooks and have significantly advanced knowledge in cardiothoracic surgery. 

The Database continues 10 expand with new initiati"es. Launched in January 2011, STS l' ublic 

Reporting Online enables Database participants to voluntarily report to the public their heart 

bypass surgery performance. Ovemll composite star ratings as well as their component ratings 

arc listed on www.sts.org for more than 250 Database participants. The Adult Cardiac Surgery 

D~tabase. now COntaining more than 4.5 nlillion surgical records. represents an estimated 94 

percent of all adult cardiac surgery centers across the U.S. With the success of participation 

nationally. in 2011 STS launched an initiative to accommodate Database participation worldwidc 

by including intemational participants in the Adult Cardiac Surgery Database. 

In general. the 5TS National Database provides: 

A standardized fannat for cxamining the carc of patients undergoing cardi01horacie 

operations; 

• A tool that can be used to target specific areas for clinical practice improvement; 

• The ability to obtain an accurate rcflection of praclice patterns; 

• The ability 10 research the nalional aggregate dala set; and 

3 
265 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.235

The opportunity to participate in a national quality improl'ement effort for thoracic 

surgery that lias an impact at the local. regional. and national ICI'cls. 

The Database offers a standardi~ed fonnat for examining the care ofpaticms undergoing 

eardiotlloracic surgical procedures which can he used 10 target specific areas for clinical practice 

improl·ement. oblain an accurate rene<:tion ofpraclice pallems. and conduct researeh using the 

national aggregate data scI. Many third·party payers. major corporate purchasers of health carc. 

hospitals. health care systems and states now require monitoring of outcomes and participation in 

quality improl'ement programs; participation in lhe Database fulfills thesc requirements. 

STS envisions a health care syStem that reinforces meaningful quality improvement initiatives. 

including the acquisition and use of risk-adjusted reliable outcomes and clinical effectiveness 

d.1la. and reward physicians for improl'ed outcomes. Successful implememation relies on the 

integration ofcliniealand administratil'e data. allowing researchers to monitor the COSt of care 

over time and provide an assessment ofdinical and COSt effcCli.-eness. including issues related to 

ncw tcchnologies and devices. 1-Iowever. only a clinical database with a sufficient volume of 

clinical records can be credibly risk-adjusted for case mix to yield accurate and comparable 

findings. 

STS has successfully linked its clinical data with Centers for I>1edicare and Medicaid Services 

(CMS) MEDI'AR infonnation and the SSDMF 10 obtain longitudinal outcomes data for a wide 

array ofcardiOthOnICic surgery operations. The ability to link clinical data with administrative 

data has opened up important ncw ways to assess the effectiveness of treatment options and 

offered new avenues for medical research. Clinical data yield sophisticated risk-adjustment 

assessments. " 'hile administrative data provide information on long-term outcomes such as 

mortality rate. ~adntission diagnoses. follow-up procedures. medication use. and costs. Linh-d 

data are also useful in conducting comparative effectiveness research, 

TVf Keg; try 

In addition. STS has r"cently undertaken to del'd op the National TVT Registry. The TVT 

Registry is the result of an ongoing collaboration between STS and The American College of 

Cardiology in support ofTranscathcter Aortic Vall'e Replacement (TAVR) inlroduction in the 

United States. It was also developed in collaboration with the FDA and CMS. with input from 

The Society for Cardiovascular Angiography and Intc ... ·ention (SCAI) and The American 

Association for Thoracic Surgcry (AA TS). 

Approved by thc FDA for usc in the United Statcs in NOI'ember 2011. T A VR tcchnology is now 

an option for elderly patiems with aortic stenosis who are \00 sick. frail. o r high risk for 

conl'entional surgicalthcrapy. The TVT Registry \\'ill capture and house paticm demographics. 

procedure details. and facilit y and physician information. This standardized. el'idcnce based data 

source will offer much insight into clinical pmetiee paU"ms and patient outcomes. Th" TVT 

Registry se ... ·es as Ihe main repository for all clinical data related to TAVR and is positioned to 

incorporate addilional catheter-based procedurcs that have yet to come to market in the Unit~'d 

Slates. The TVT Registry was designed to be linked to the SSDMF and CMS dalabases in order 

to track long term outCOmes. Physician participation in such a dinical registry was a condition of 

FDA approval oflhe Edwards Lifescienccs SAPIEN device and is expected to be a condition for 

Medicare reimbursement for T AVR procedures. 

4 
266 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.236

Susan L. Lubow 

5 Easley Terrace 

Morristown, N.J 07960 

973·267-2784 

holiioli@aol.com 

To: Congressman Dave Camp 

House of Representa tives Committee on Ways and Means 

Re: Hearing on Social Security Death Records (use and Impacts 

of the death masterfile) 

As an amateur genealogist who has been doing this worll for forty years, I would like to 

emphasize the importance of the public availability of this record in digitized form. Most 

particularty, for people like me, it is important to keep this record on the internet 

The actual social security number should not be available and never should have been 

put on·line. A person's name, date and place of birth, and date and place of 

death/receipt of benefits are vital information for people researching family history or 

looking for family members. These activities have become very important to many 

people throughout our country. 

I cannot believe that privatizing this information will make much of a difference to 

anyone who is intent on wrongdoing, but rt will throw up enormous obstacles to those of 

us who are honestly seeking information for no personal gain. 

I hope that you will consider merely removing the social secu ~y numbers from the data 

available to the public. but letting the rest of the information continue to be accessed. 

Thank you for your consideration. 

em~il; hol'joli@aol.com 
267 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.237

! submit this request to keep Open the masterfile for the Social Security Death 

Records. 

Genealogists worldwide use these records for personal and business reasons --

for genealogical search. 

Eliminating access is an elimination of Freedom of [nfoonation for a ll people. 

We cannot allow our rights to information to be chipped away ... bit by bit. 

Name: Susan Williams 

Phone II 732-606-6086 

E-mail: swilliams120W comcast.net 

Title of Hearing -- Social Security Death Records 

Susan Williams 
268 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.238

Floyd M<lrtin 

Texas City Ancestry Searchers 

2814 Lynn Circ~ 

Texas City Texas 77590 

zjngoI226@yahoo·com 

Type of hearing - removing the Social Se.:urity Death Index 

Sirs: 

Birth and death he~e long been a matter of public re.:ord. The &QCial security death index is virtualty the 

only tool we have to determine birth and death dates in many areas. Removing this selVice from the 

public is not only complete ridiculous bill a violations 01 our rights w~hout a valid reason. This is not 

where with privacy pirates get the<r information anyway. These records are lor the decease-d and not the 

living. 

I do an awful kit 01 indexing 01 records so the public can research their /amity histories. I was the 2008 

Texas State Genealogy Societies volunteer of the year. I digi~ze records for the pu~ ic: every day. I have 

digitized many thQ\Jsands of documents I ha'ie digrtized O'ier 97.000 for family search.org. alone 

There is absolutely no just cause lor the attempt 01 this action and is an inlringement 01 our rights. There 

is nothing illegal about our use 01 the Social Secu~ty De<lth index. This is merely a misguided attempt by 

those in power who ha~e no real idea what they are talking about that are attempting to 

take unnecessary and in Our opinion a violation 01 the Ireedom 01 inlOlTrlation laws. 
269 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.239

February 3, 2012 

House Ways and Means Committee 

Subcommittee on Social Se<:urity 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their 

personal information, and to protect them from identity thelt. However, genealogists DO NOT 

support restricting access to public records that have very little to due with identity thelt. 

Currently, four bills are pending in the US Congress that would eliminate or curtail access to the 

Social Security Death Index (SSDI) on the Internet I oppose all of these bills, which are: 

- HR 3475, Keeping IDs Safe Ac! of 2011 htlp:lltinyurl.com/6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534, the Identity Theft and Tax Fraud Prevention Act http://tinyurl.comnSde809 

(If enacled, Ihis bill prohibits disclosure of the deceased's SSN in calendar year of death arid 

calendar year following death) 

- HR 3482, To prevent identity thelt and tax crimes. http://tinyurl.comf83p4b4p 

(If enacted, this bill prohibits disdosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3215, To prevent identity theft and tax fraud http://tinyurl.comflfgsd5s 

(If enacted, this bill prohibits disclosure of the deceased·s SSN in calendar year of death arid 

calendar year followin9 death) 

Rarely has it been documented that an individual's identity is violated by access to SSDI ; rather, 

the violations occur due to computer breaches from government arid private enterprises. In 

fact, SSDI is actually a deterrent to identity theft. As posted on the National Technical 

Information Service (NTIS) website (http://tinyurt.comfyb6e49e). ij states. that the Death 

Master File (SSDI is the commercial name of this list) prevents identity fral.ld, as ~ verifies a 

person's death. The SSDI is used by credit reporting agencfl!s, merchants, private investigators 

looking for miSSing heirs in probates, media reporters, university researchers, and others. 

Genealogists doing US research located both in and outside the Un~ed States rely heavily on 

the SSDI. The Death Master File is a computer database file that has been made available by 

the United States Social Security Administration since 1980. 

I oppose HR 3475, S 1534, HR 3482, and HR 3215 

Thank you, 

Terese Vekteris 

6125 McCallum Street 

Philadelphia, Pa 19144 
270 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.240

Friday, February 03, 2012 

House Ways and Means Committee 

Subcommittee on Social Se<:urity 

B 317 Rayburn House Office Building 

Washington, DC 20515 

Subject: OPPOSE HR 3475, S 1534, HR 3482, AND HR 3215 

Genealogists support Congress's intent to protect Americans from improper usage of their 

personal information, and to protect them from identity theft. However, genealogists DO NOT 

support restricting access to public records that have very little to due with identity theft. 

Currently, four bills are pending in the US Congress that would eliminate or curtail access to the 

Social Security Death Index (SSOI) on the Internel. I oppose all of these bills, which are: 

- HR 3475, Keeping IDs Safe Ac! of 2011 http://tinyurl.com/6uwu4aw 

(If enacted, this bill would effectively end public access to the death file) 

- S 1534, the Identity Theft and Tax Fraud Prevention Act http://linyurl.comnSde809 

(If enacted, this bill prohibits disclosure of the deceased's SSN in calendar year of death arid 

calendar year following death) 

- HR 3482, To prevent identity theft and tax crimes. http://tinyurl.comf83p4b4p 

(If enacted, this bill prohibits disdosure of the deceased's SSN in calendar year of death and 

calendar year following death) 

- HR 3215, To prevent identity theft and tax fraud http://tinyurl.comf7fgsd5s 

(If enacted, this bill prohibits disclosure of the deceased·s SSN in calendar year of death arid 

calendar year following death) 

Rarely has it been documented that an individual's identity is violated by access to SSDI ; rather, 

the violations occur due to computer breaches from government arid private enterprises. In 

fact, SSDI is actually a deterrent to identity theft. As posted on the National Technical 

Information Service (NTIS) website (http://tinyurl.com/yb6e49e). ij states. that the Death 

Master File (SSDI is the commercial name of this list) prevents identity fraud, as ~ verifies a 

person's death. The SSOI is used by credit reporting agencfes, merchants, private investigators 

looking for miSSing heirs in probates, media reporters, university researd1ers, and others. 

Genealogists doing US research located both in and outside the Un~ed States rely heavily on 

the SSOI. The Death Master File is a computer database file that has been made available by 

the United States Social Security Administration since 1980. 

I oppose HR 3475, S 1534, HR 3482, and HR 3215 

Thank you, 

Tina Daggett 

1215 Barry Ave Apt 5 

Los Angeles, CA 90025 
271 


dkrause on DSKHT7XVN1PROD with HEARING78179A.241

Virginia Genealogical Society 

1900 Byrd Avenue, Suite 104 

RIchmond, VIrginIa 23230-3033 

February 15. 2012 

U.S. House Ways and Means Commitlee 

Commince Omce 

1102 Longworth House omcc Building 

Washington. DC 20515 

Re: Social Security Administration's 

Death Master File: 2!2l20 12 hearing 

Dear Sirs: 

On behalf of the Virginia Genealogical Society (MVGS··). a Virginia oonprofll 

corponl1ion which recently ce1cbnm-d its 50'" annivcrsary and which has over 1600 members. 

with its address at 1900 Byrd Avenue. Suite 104. Richmond. Virginia 23230.1 would like to 

submit this statcment for the record in the above hearing. I am a director and fonner President of 

VGS. as well as its legal counsel. 

VGS believes that any efTon to limit or block public acress to dcewents' social security 

numbers. which are currently publicly available through the Social Security Administration's 

Death Master File. is misguided. 

As background. a decedent"s social security number use dies with the decedent: the 

decedent"s estate must obtain its own federal tax identifIcation number. 

l'ublic availability of the Death Master File is not only very helpful as a genealogical and 

historical research tool to pinpoint date of death. date of birth. and last residence ofa dece<!ent. 

but is imponant for other reasons as well. 

It is also a valuable tool used in tracking down living heirs. It is not uncommon in rural 

Virginia to have a parecl of fami ly-o"'nw real prolX'ny with thc deed in the namc of an ancestor 

woo die<! in the 19'" or early 20th centuries. To sell the prolX'rty and track down out-of-stale 

heirs. the social security death index often provides a critiealtool to con/inn the death of an OUIof-state heir. and to use the last placr of reside nee oflhat dcee<!enllo track down living heirs of 

the ncXI genct:llion in that same geographical area. 

It is also imponantto ha\"c public acccss to the Death Master File to p"'\"~nt identity 

theft. 11 is often n""~ssary to widely distribute death certificates (which genernlly contain social 

security numbers) in th~ ~ourse of senling ~slat~s and ~ollceting and di.tributing a.sets. 

DelX'nding on lh~ type of assets "hich a dec~d~nt owns, pani~s holding d~ath c~" ficat~s may 
272 


dkrause on DSKHT7XVN1PROD with HEARING78179A.242

U.S. 1·IOIIse Way. and Means Committe<: 

February IS. 2012 

Page 2 

include the funeral home. the monument company.thc ccmctcry. financial institutions. insurame 

companies. elerlt·s office (to open a prob.1le file) and real estate clerk's or rcrorder's office (to 

record transfers of real proper1y held by the decedent). Records held in local elerk's offices 

(including death cer1ifieates) are nonnally public records in most states. If the decedent held 

assets in foreign countries. it is often necessary to n:cord the U.S. death cCr1ificate (with social 

security numbers) in public records in the foreign countries to transfer assets. 

At present, the necessary and widespread distribution of death cer1ificates (with social 

S<.'Curity numbers) poses liule ri.k of identity or credit theft oc'Cause of the public availability of 

the Social Security Death "'-laster File. This low ri.k occurs Ixcause lenders routinely check the 

Social Security Death Masler File, to make sure thai no neW credit cards orOlher credit 

extensions are being made under a decedent's social security numbers. Since the decedent's 

estate has its own taxpayer identiflcmion numlxr. the e..roit and personal infonnation under the 

decedent's social security number should show 00 new activity following death. A request for 

new credit using a decedent's social security number is such an easy and obvious crime to detect 

that it rarely occurs onee the name is published in the Death Master File. 

Ifpublic aCCeSS to the Social Security Death Master File were cut ofT. since death 

certificates " 'ith social security numbers arc often widely distributed (as deseribed above). there 

would be no way for lenders to !tOO" ' ofa death. and they could be duped into significant credit 

e.~tensions to a criminal claiming to be the decedent, with a changed address. It Can rcasomlbly 

Ix expected that criminals would quickly seck to exploit this new Opportunity, relying upon a 

decedent's good credit to establish frnudu1cnt new accounts under the decedent's social security 

number (which could be obtained from any of the sourees noted above). Massive fraud losses 

could reasonably be expected. 

On the other hand. lhe fraud claims under Ihe current public disclosure system are 

rciatiwly limik-d. apparently primarily !imit~-d to taxpayers falsely claiming d~'C~as<--d children of 

other persons as dependents On an income Or other tax return. This should be a "stupid" crime. 

with the IRS and Social Security promptly and aggressively prosecuting the criminals, who 

should have 00 de fenses to such a false claim and identity theft. 

Instead, he<:ause the IRS andlor Social Security are failing to promptly prosecute thieves. 

this bureaocrntic inaction is understandingly causing emotional hann to the decedent's relatives 

once they learn that someone is misusing the social security number of their deceased child. 

This current abuse of the system by criminals is reprehensible. but fOr1unatcly is 

occurring on a relatively small seale. The solution is not to shut down the Death Master File. but 

to i) vigorously prosecute the criminals falsely claiming deceased children as dependents (these 

criminals should be easy to fmd and convict through their signed tax returns). and ii) consider 

creating a priVate cause of action for civil claims by the decedent's relati,·es. with substantial 

statutory damages similar to statutory copyright damages. plus a\lomey's fees. " 'hieh could 

provide decedent's relatives with a substantial measure of satisfaction in seeking this relief 

against the criminals and obtaining substantial judgments against them. 
273 


dkrause on DSKHT7XVN1PROD with HEARING78179A.243

U.S. 1·loose Way. and Mean. Committee 

February IS. 21)12 

Page 3 

VGS urges the CommiHee to take a rational approach to address a fairly limited number 

of fraudulent claims, rather than penalize genealogists. historians and persons searching for heirs 

" '110 usc the database. Please do not close what arc now public records for no \'alid reason. and 

potentially open the floodgatcs to widespread fmud " 'hich ,,"ould be extremely difficult to 

prevent Or uncover. 

Sincer..!y, 

Is/Peter E. Oroadbent. Jr. 
274 

f 


dkrause on DSKHT7XVN1PROD with HEARING78179A.244

U.S. House Ways and Means Committee 

Re: Social Security Administration's Death Master File 

2f2120 12 Hearing 

WITNESS SUBM.ISSION INFORMATION 

I. Organization on whose behalf the witness appears: VIRGINIA 

GENEALOGICAL SOCIETY 

2. Witness name: Peter E. Broadbent, Jr. 

3. Witness business and contact infonnation: 

Christian & Sanon, LLP 

909 E. Main Street, Suite 1200 

Richmond, VA 23219 

Tel: 804·697-4109 

Fax: 804·697-6109 
275 

Æ 


dkrause on DSKHT7XVN1PROD with HEARING78179A.245