SOCIAL SECURITY ADMINISTRATION
NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974
System number: 60-0213
System name:
Quality
Review of Hearing/Appellate Process, Social Security Administration, Office of
Hearings and Appeals.
Security classification:
None.
System location:
Social Security Administration
Office of Hearings and Appeals
5107 Leesburg Pike
Falls Church, VA 22041
Categories of individuals
covered by the system:
Claimants/applicants for
Social Security and Supplemental Security Income (SSI)
payments; and Administrative Law Judges (ALJ's).
Categories of records in the
system:
Records in this system
consists of claimant's Social Security Number (SSN), claim type, application
and decision date, claimant’s date of birth, type of adjudicator,
representative involvement, ALJ and Appeals Council (AC) actions, claimant
demographic and diagnostic information, case characteristics, aspects of case
handling, decisional defects identifiers which determine to what sample the
case belongs.
Authority for maintenance of
the system:
Sections 205, 221(c),
702, 1631(d)(1), and 1872 of the Social Security Act
(the Act), as amended.
Purpose(s):
Records in this system
may be used by SSA's OHA to analyze the programmatic
aspects of case processing at the hearings and appeals council levels and in
the preparation of studies and reports used to improve those processes.
Routine uses of records
maintained in the system, including categories of users and the purposes for
such uses:
Disclosure may be made
for routine uses as indicated below. However, disclosure of any
information constituting “returns or return information” within the scope of
the Internal Revenue Code will not be disclosed unless disclosure is authorized
by that statute.
1.
To a congressional office in response to an inquiry from that office made
at the request of the subject of a record.
2.
To the Department of Justice (DOJ), a court or other tribunal, or another party before such tribunal when:
a)
SSA, or any component thereof; or
b)
any SSA employee in his/her official capacity; or
c)
any SSA employee in his/her individual capacity where
DOJ (or SSA where it is
authorized to do so) has agreed to represent the employee;
or
d)
the
is a
party to litigation or has an interest in such litigation, and SSA determines
that the use of such records by DOJ, the court or other tribunal is relevant
and necessary to the litigation, provided, however, that in each case, SSA
determines that such disclosure is compatible with the purpose for which the
records were collected.
3.
To the Internal Revenue Service (IRS), Department of the Treasury, as necessary,
for the purpose of auditing SSA's compliance with
safeguard provisions of
the IRC of 1986, as amended.
4.
Information may be disclosed to contractors and other Federal agencies, as necessary, for the purpose
of assisting SSA in the efficient administration
of its programs. We contemplate disclosing information under this
routine use only in situations in which SSA may enter a contractual or similar agreement with a third party to
assist in accomplishing an agency function
relating to this system of records.
5.
Non-tax
return information which is not restricted from disclosure by Federal
law may be disclosed to the General Services Administration (GSA) and the
National Archives and Records Administration (NARA) for the purpose of conducting
records management studies with respect to their duties and responsibilities under 44 U.S.C § 2904
and § 2906, as amended by NARA Act of 1984.
6.
To student volunteers and other workers, who technically do not have the
status of Federal employees, when they are performing work for SSA as authorized
by law, and they need access to personally identifiable information in
SSA records in order to perform their assigned Agency functions.
Policies and practices for
storing, retrieving, accessing, retaining and disposing of records in the
system:
Storage:
Records are stored in
electronic and/or in paper form.
Retrievability:
Records are retrieved by
the claimant’s SSN.
Safeguards:
System security is
maintained in accordance with the Systems Security
Handbook. SSA employees are able to access data
elements only on a need‑to‑know basis. All employees are instructed
in SSA confidentiality rules as part of their initial orientation
training. (See Appendix G for additional information relating to
safeguards SSA employs to protect personal information.)
Retention and disposal:
The Quality Review data
base is retained indefinitely. Research and statistical working files are
destroyed 2 years after completion of the related project. Record copies
of methodology documentation and end product files are retired either after 10
calendar years or 10 years after last necessary use. Paper records are
destroyed by shredding; electronic records are erased.
System manager(s) and address:
Associate Commissioner
Office of Hearings and Appeals
Social Security Administration
5107 Leesburg Pike
Falls Church, VA 22041
Notification procedure:
An individual can
determine if this system contains a record about him/her by writing to the
systems manager(s) at the above address and providing his/her name, SSN or
other information that may be in the system of records that will identify
him/her. An individual requesting notification of records in person
should provide the same information, as well as provide an identity document,
preferably with a photograph, such as a driver’s license or some other means of
identification, such as a voter registration card, credit card, etc. If
an individual does not have any identification documents sufficient to
establish his/her identity, the individual must certify in writing that he/she
is the person claimed to be and that he/she understands that the knowing and
willful request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense.
If notification is
requested by telephone, an individual must verify his/her identity by providing
identifying information that parallels the record to which notification is being
requested. If it is determined that the identifying
information provided by telephone is insufficient, the individual will be
required to submit a request in writing or in person. If an
individual is requesting information by telephone on behalf of another
individual, the subject individual must be connected with SSA and the
requesting individual in the same phone call. SSA will establish the
subject individual’s identity (his/her name, SSN, address, date of birth and
place of birth along with one other piece of information such as mother’s
maiden name) and ask for his/her consent in providing information to the
requesting individual.
If a request for
notification is submitted by mail, an individual must include a notarized
statement to SSA to verify his/her identity or must certify in the request that
he/she is the person claimed to be and that he/she understands that the knowing
and willful request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense. These procedures
are in accordance with SSA Regulations (20 CFR § 401.40).
An individual who requests
access to his or her medical records shall be given direct access to those
records unless SSA determines that it is likely that direct access would
adversely affect the individual. If SSA determines that direct access to
the medical record(s) would like adversely affect the individual, he or she
must designate a responsible representative who is capable of explaining the
contents of the medical record(s) to him or her and who would be willing to
provide the entire record(s) to the individual. These procedures are in
accordance with SSA Regulations (20 CFR 401.55).
A parent or guardian who
requests notification of or access to a minor’s medical record shall at the
time he or she makes the request designate a physician or other health
professional (other than a family member) who is capable of explaining the
contents of the medical record(s) to him or her and who would be willing to
provide the entire record(s) to the individual. These procedures are in
accordance with SSA Regulations (20 CFR 401.55).
Record access procedures:
Same as
notification procedures. Also, requesters should reasonably specify the
record contents being sought. These procedures are in accordance with SSA
Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same as notification procedures. Requesters should also
reasonably identify the record, specify the information they are contesting and
state the corrective action sought and the reasons for the correction with
supporting justification showing how the record is incomplete, untimely,
inaccurate or irrelevant. These procedures are in accordance with SSA
Regulations (20 CFR 401.65(a)).
Record source categories:
The main source of data
in this system is information in the system of records entitled Claims Folder
System (60‑0089). Another source of data is information furnished
by claimants/applicants under the Social Security Retirement, Survivors
Disability Insurance (RSDI) programs, the SSI program, representatives of such
individuals, (where appropriate), Social Security offices, and other Federal,
State, and local agencies.
Systems exempted from certain
provisions of the Privacy Act:
None.