The
UNC Policy Manual
1300.5[G]
Adopted 08/23/82
It is the purpose of these
guidelines to:
1. Review the conditions placed on the
University by federal law for use of the social security account number.
2. Set forth examples of permissible
and impermissible use of the social security account number.
3. Establish policy for the University
in accordance with requirements of federal law.
Pertinent Federal Law
Effective
December 31, 1974, the federal Privacy Act of 1974 conditioned use of the
"social security account number" of an individual by any
"Federal, State or local governmental agency." The basic requirements of the act were
two-fold:
1. that no governmental agency could
"deny to any individual any right, benefit, or privilege provided by law
because of such individual's refusal to disclose his social security account
number" except refusal to disclose after a request pursuant to
requirements of pre-existing federal statutes or pursuant to pre-existing
federal or state statutes or regulations through which a system of records had
already (before January 1, 1975) been set up.
2. that solicitation by a governmental
agency of an individual's social security number be accompanied by the agency's
statement of whether the disclosure is mandatory or voluntary, what statutory
or other authority supports the request, and what uses will be made of the
number.
When
first enacted, the Privacy Act had no penalty for its violation nor statutory
enforcer of its provisions. Through the
Tax Reform Act of 1976 (94 P.L. 455), however, violation of the act was made a
misdemeanor. Then, through enactment in
1981, of the Omnibus Reconciliation Act (97 P.L. 123) Congress raised violation
of the act to a felony for which the convicted violator "shall be fined
not more than $5,000 or imprisoned for not more than five years, or both. "However, with these changes, four
specific uses of the social security number were made permissible bases for
requiring disclosure of the social security number. These were "the administration of any
tax, general public assistance, driver's license, or motor vehicle registration
law within [the requesting or using agency's] jurisdiction."
Particular
uses of the Social Security Number by the University
The
social security number is a convenient, established personal identifier for
keeping track of extensive administrative information. The number can be used to process tuition
bills, announce and record grades, keep track of
campus vehicles, maintain infirmary records, process graduate school
applications, and report data to federal and state authorities, to name a few
applications. However, only some of the
foregoing can be accomplished through coerced disclosure of the social security
number and none can be accomplished without disclosure of the use to which the
number is put, without creating the elements of a felony crime.
For
example, a student may be requested to disclose on the application for resident
tuition status the student's social security number. The model application at Appendix B of the
residence Manual, though, conforms to
statutory requirements by placing the word "voluntary" beside the
appropriate blank on the form and setting forth on the form the following
acknowledgment of the resident status applicant:
I
hereby acknowledge that completion of Item 2 (Social Security number) is
voluntary, is requested by the institution solely for administrative
convenience and record-keeping accuracy, and is
requested only to provide a personal identifier for the internal records of
this institution.
On
the other hand, N.C.G.S. § 116-44.4(f) authorizes the Boards of Trustees of
each constituent institution to enact ordinances for the registration of
vehicles on campus. This is an express
statutory grant of authority under which a campus traffic ordinance could
require that vehicle owners disclose their social security numbers as a means for
recording and tracking vehicle ownership.
Such use is expressly authorized.
Furthermore, if a campus traffic ordinance requiring such use of the
social security number had been enacted and the consequent record system was
functioning prior to January 1, 1975, this use would be authorized by the
Privacy Act as originally passed by Congress.
Similarly,
mandatory disclosure of the social security number to trace debtors and collect
debts owed the institution by set-off against state income tax refunds under
N.C.G.S. Chapter 105A (Set-Off Debt Collection Act) is authorized. This is because the set-off process, as
stated by the North Carolina Attorney General, is incident to the
administration of a tax, a use authorized by the Tax Reform Act of 1976. (The Attorney General has also issued an opinion
that disclosure by an institution pursuant to debt collection under the State
Employee Debt Collection Act, N.C.G.S. Chapter 143, Article 60, is permissible
provided that the disclosure be treated as a voluntary disclosure to be
accompanied by the requisite institutional statement to the individual.)
In
general, institutional use of the social security number must be accomplished
by the prior institutional statement of basis (voluntary/mandatory), authority
for disclosure, if any, and intended use.
More often than not, the individual has the
option of disclosure or nondisclosure.
It is in this typical context that use of the number for admissions
applications, tuition billing, grade reporting, infirmary records, and data
reporting to external agencies will fall.
Administrative Action
It
is the policy of the University of North Carolina that the social security
account number shall be used within the university only in a manner consistent
with the laws of the United States. Such
usage shall be understood to include the following:
1. That any University use of the
social security number shall fall within those uses authorized by federal law
for mandatory disclosure or be uses where the individual is requested to
voluntary disclose the number.
2. That uses of the social security
number authorized by federal law for mandatory disclosure from the individual
consist only of the following:
a. disclosure
required by federal statute.
b. disclosure
to a federal, state, or local governmental agency maintaining a system of
records in existence and operating before January 1, 1975, if such disclosure
was required under statute or regulation adopted prior to January 1, 1975.
c. disclosure
to any state, political subdivision, or agency to establish personal
identification pursuant to administration of a tax law within the jurisdiction
of the state or political subdivision.
d. disclosure
to any state, political subdivision, or agency to establish personal
identification pursuant to administration of a general public
assistance law within the jurisdiction of the state or political subdivision.
e. disclosure
to any state, political subdivision, or agency to establish personal
identification pursuant to administration of a driver's license law within the
jurisdiction of the state or political subdivision.
f. disclosure to any state, political
subdivision, or agency to establish personal identification pursuant to
administration of a motor vehicle registration law within the jurisdiction of
the state or political subdivision.
3. That request by an employee of the
University of North Carolina for disclosure and release of a social security
number with respect to University business for a use not previously authorized
shall be supported by a University statement to the individual indicating (a)
whether the disclosure is mandatory or voluntary, (b) what statutory or other
authority supports the disclosure, and (c) what use will be made of the
disclosure.
4. That a constituent institution, in
lieu of soliciting disclosure of a social security number may establish a
"dummy" social security number or other identifier for an individual,
provided that the constituent institution does not have an affirmative duty,
established by federal law, to obtain the actual social security number.
5. That a constituent institution in
lieu of soliciting use of a social security number already disclosed to it, may
translate or encode the number into a form in which the social security number
is not personally identifiable except by application of a decoder and then may
use the number as transformed without reference to restriction under federal
law, provided that the institution does not have an affirmative duty,
established by federal law, to use the actual social security account number.
[This is a rewrite of Administrative Memorandum #172.]