Effective Date: October 17, 2005 
(70 F.R. 60383)
 

SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974

System number: 60-0004

System name:

Working File of the Appeals Council, 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 ‑ title II (Retirement and Survivors Insurance (RSI), and Disability Insurance (DI)); title XVI (Supplemental Security Income (SSI)); title XI (claimants subject to Professional Standards Review);.

Categories of records in the system: 

This file may contain:  Hearing and Appeals analyst's recommendation to the Appeals Council (AC); a copy of the Administrative Law Judge (ALJ) decision or dismissal; a copy of the Request for Review by the AC; requests to Medical Support Staff for comments and their responses, if not entered into the record; copies of AC actions on the case; notice of denial of request for review, notice of granting review, AC decisions; and copies of transcripts when available.

Authority for maintenance of the system:

Sections 205, 1631(d)(1), and 1872 of the Social Security Act (the Act), as amended.

Purpose(s):

This system of records is established to be an internal working file used in connection with a recommendation to, or action by, the AC in an individual case.  Members of the AC and their support staff use the file when working on cases on appeal.  Where a favorable AC decision is issued, the records are used to process attorney fees.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Disclosure may be made for routine uses as indicated below.  However, disclosure of any information defined as "return or return information" under 26 U.S.C. § 6103 of the Internal Revenue Code (IRC) will not be disclosed unless authorized by a statute, the Internal Revenue Service (IRS), or IRS regulations.

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 United States or any agency thereof where SSA determines that the litigation is likely to affect the operations of SSA or any of its components, is a party to litigation or has an interest in such litigation, and SSA determines that the use of such records by DOJ, 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. Disclosure of any information defined as "return or return information" under 26 U.S.C. § 6103 of the Internal Revenue Code (IRC) will not be disclosed unless authorized by a statute, the Internal Revenue Service (IRS), or IRS regulations.

3.         To the Internal Revenue Service (IRS), 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 into 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:

The records may be maintained in either paper or electronic form (e.g., paper folder files on filing shelves or electronically on disc).

Retrievability:

The records are retrieved by Social Security number (SSN) or name.

Safeguards:

System security is maintained in accordance with the Systems Security Handbook.  Access to and use of both paper and electronic records are limited to those persons whose official duties require such access.  All employees are instructed in SSA confidentiality rules as part of their initial orientation.  (See Appendix G for additional information relating to safeguards SSA employs to protect personal information.)

Retention and disposal:

After the time in which to appeal a final action of the AC has elapsed, the records are shredded.  One year after final court action in cases of court affirmations of AC decisions, the records are shredded.  Six months after final court action in cases of court reversals of AC decisions, the records are shredded.

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)

Record access procedures:

Same as notification procedures. Requesters should also 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 record contents 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:

Claimants, their representatives, appropriate members of the public, SSA and other Federal, State and local agencies.

Systems exempted from certain provisions of the Privacy Act:

None