Effective Date: January 11, 2006
(71 F.R. 1804)
SOCIAL SECURITY ADMINISTRATION
NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0006
System name:
Storage of
Hearing Records: Tape Cassettes, Social Security Administration, Office of
Hearings and Appeals.
Security classification:
None.
System Location:
Social Security Administration
Office of Hearings and Appeals
5107 Leesburg Pike
Categories of individuals covered
by the system:
Claimants--Title
II (Retirement and Survivors Insurance (RSI) and Disability Insurance (DI));
Title VIII (Special Veterans Benefits); Title XI (claimants subject to
Professional Standards Review); Title XVI Supplemental Security Income; and Title
XVIII (HI). Effective
October 1, 2005,
the Social Security Administration (SSA) only has jurisdiction to determine
eligibility for Title XVIII benefits, not the benefit amount.
Categories of records in the
system:
Recordings
of actual hearings before Administrative Law Judges (ALJ).
Authority for maintenance of the
system:
Sections 205,
1631, and 1872 of the Social Security Act (42 U.S.C. 405, 1383, and 1395ii).
Purpose(s):
The tape cassette or other electronic
media, such as the compact disc (CD), is the basic record of the hearing
conducted in an individual case by the ALJ. It is the source from which the
documentary transcript is prepared. Social Security Administration (SSA)
employees use the information as a reference to respond to subsequent
correspondence and/or further appeal of the claim and to process an attorney
fee petition when appropriate.
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 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) The Social Security Administration
(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, a
court or other tribunal, or another party before such 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,
Department of the Treasury, as necessary, for the purpose of auditing the
Social Security Administration's compliance with the safeguard provisions of
the Internal Revenue Code of 1986, as amended.
4. To contractors and other Federal
agencies, as necessary, for the purpose of assisting the Social Security
Administration (SSA) in the efficient administration of its programs. We will
disclose 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. To the General Services Administration
and the National Archives and Records Administration (NARA) under 44 U.S.C.
2904 and 2906, as amended by the NARA Act of 1984, information which is not
restricted from disclosure by Federal law for the use of those agencies in
conducting records management studies.
6. To student volunteers, individuals
working under a personal services contract, and other workers who technically
do not have the status of Federal employees, when they are performing work for
the Social Security Administration (SSA), as authorized by law, and they need
access to personally identifiable information in SSA records in order to
perform their assigned Agency functions.
7. To the Secretary of Health and Human
Services or to any State, the Commissioner shall disclose any record or
information requested in writing by the Secretary for the purpose of
administering any program administered by the Secretary, if records or
information of such type were so disclosed under applicable rules, regulations
and procedures in effect before the date of enactment of the Social Security
Independence and Program Improvements Act of 1994.
8. We may disclose information to
appropriate Federal, State, and local agencies, entities, and persons when (1)
we suspect or confirm that the security or confidentiality of information in
this system of records has been compromised; (2) we determine that as a result
of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs of SSA that rely upon the
compromised information; and (3) we determine that disclosing the information
to such agencies, entities, and persons is necessary to assist in our efforts
to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm. SSA will use this routine use to respond only to those
incidents involving an unintentional release of its records.
Policies and Practices for Storing,
Retrieving, Accessing, Retaining, and Disposing of Records in the System:
Storage:
Records in this
system may be stored either on cassette tapes, CDs, or other electronic format.
Retrievability:
Records in this
system are indexed by claimant name, Social Security number (SSN), and date of
hearing.
Safeguards:
System security
is maintained in accordance with the Systems Security Handbook. Access to, and
use of, both the cassettes and electronic digital 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 training.
Access http://www.socialsecurity.gov/foia/bluebook/app_g.htm for additional
information relating to SSA data security measures.
Retention and disposal:
Tape cassettes
and CDs are transferred to the Washington Nation Records Center (WNRC)
immediately after separation from the claim file. The cassettes and CDs are
destroyed (erased) after 10 years in the WNRC. Electronic records are deleted
when no longer needed.
System manager(s) and address(es):
Associate Commissioner
Office
of Hearings and Appeals
Social Security Administration
5107 Leesburg Pike
Notification procedures:
An individual
can determine if this system contains a record about him/her by writing to the
system 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.
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 information in 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(c)).
An
individual who requests access to his or her medical record must also name a
representative in writing. The representative may be a physician, other health
professional, or other responsible individual who would be willing to explain
the contents of the medical record(s) before giving the entire medical
record(s) to the individual. These procedures are in accordance with SSA
Regulations (20 CFR 401.40(c) and 401.55).
A parent or guardian who requests
notification of, or access to, a minor's medical record shall, at the time
he/she makes the request, designate a physician or other health professional
(other than a family member) who will be willing to explain the contents of the
medical record(s) before giving the entire medical record(s) to the parent or
guardian. These procedures are in accordance with SSA Regulations (20 CFR
401.40(c) and 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) and 401.55).
Contesting record procedures:
Same
as Notification procedures. Requesters should also reasonably identify
the record, specify the information they are contesting and 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 records are
derived from claimants, representatives, witnesses, ALJs
and staff persons.
Systems exempted from certain
provisions of the Privacy Act:
None.