Social Security Administration Notice of Altered System of Records Required by
the Privacy Act of 1974, as Amended
System number:
60-0005
System name:
Administrative Law Judge Working File on Claimant Cases, Social Security
Administration (SSA), Office of Disability Adjudication and Review (ODAR)
Security classification:
None
System location:
SSA, ODAR,
Local hearing offices.
Access Social Security Administration’s Internet website:
http://www.socialsecurity.gov/foia/bluebook/app_f.htm for local hearing
office address information.
Categories of individuals covered by the system:
Claimants
‑ Title II (Retirement and Survivors Insurance (RSI), and Disability Insurance
(DI)); Title XI (claimants subject to Professional Standards Review); Title XVI
(Supplemental Security Income (SSI)).
Categories of records in the system:
We
establish these files in the hearing office as a record of actions taken on each
particular case. The file may
contain copies of various documents such as the Notice of Hearing; Decision on
Dismissal; the Exhibit List when one is prepared; a copy of congressional
inquiries and responses thereto; as well as copies of post-adjudicative material
received and any responses made.
Official copies of these materials are placed in claim folders.
These files also contain working papers such as notes taken during the
hearing by the administrative law judge (ALJ); case analyses prepared by hearing
office employees; case file cover sheets; attorney worksheets; working papers of
hearing office staff; and other developmental notes and instructional sheets.
Authority for maintenance of the system:
Sections
205 and 1631(d)(1) of the Social Security Act, as amended.
Purpose(s):
We use the
records in this system of records to
reference the actions we take in a particular case at the hearing level.
For example, during the course of adjudicating the claim at the
hearing level, ALJs and members of their staffs often construct documents for
only internal purposes regarding the evidence, testimony, legal theories, merits
of the case, and opinions and advice regarding other factors involved in the
case.
While there may be both electronic and
paper records in the ALJ Working File, this system covers any documents
that are gathered, maintained, and viewed electronically in the Private Section
of eView. eView is the
interface that allows authorized users to view documents stored electronically.
The Private Section is accessible only to authorized SSA staff.
Routine uses of records maintained in the
system of records, including categories
of users and the purposes of such use:
Routine use disclosures are as indicated below;
however,
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
the IRC, 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 or her official capacity; or
(c)
any SSA employee in his or 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, 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 IRS, as
necessary, for the purpose of auditing SSA’s compliance with safeguard
provisions of the IRC, as amended.
4.
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.
To the
General Services Administration (GSA) and the National Archives and Records
Administration (NARA) under 44 U.S.C. § 2904 and 2906, as amended by the NARA
Act, for the use of those agencies
in conducting records management studies.
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.
7.
To
Federal, State, and local law enforcement agencies and private security
contractors, as appropriate, if information is necessary
(a)to
enable them to protect the safety of SSA employees and customers, the security
of the SSA workplace, and the operation of SSA facilities; or
(b)to
assist investigations or prosecutions with respect to activities that affect
such safety and security or activities that disrupts the operation of SSA
facilities.
8.
To the 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 our records.
Policies and practices for storing, retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
We
maintain and store records in this system in paper and in electronic form.
Retrievability:
We
retrieve records by Social Security number (SSN) or name.
Safeguards:
We will
store the records in the ALJ Working File system of records in electronic media
(e.g., computer data systems) and in paper forms. We permit only
authorized SSA personnel who have a need for the information in the performance
of their official duties to access the information. Security measures
include the use of access codes (personal identification number (PIN) and
password) to enter our computer systems that house the data.
Additionally, we give all of our employees and our contract employees annual
reminders of the need to protect personal information to which they have access
for official purposes and remind them of the criminal penalties that apply to
unauthorized access to, or disclosure of, personal information. See 5
U.S.C. § 552a(i)(1).
Retention and disposal:
We will
destroy electronic and paper records by
deleting them 2 years after the final action is taken.
System manager(s) and address:
Deputy
Commissioner, Office of Disability Adjudication and Review, Social Security
Administration, 5107 Leesburg Pike, Falls Church, VA.
22041.
Notification procedures:
A person
can determine if this system contains a record about them by writing to the
hearing office (access
http://www.socialsecurity.gov/foia/bluebook/app_f.htm for address
information).
Persons
can also determine if this system contains a record about them by writing to the
system manager(s) at the above address and providing their name, SSN, or other
information that may be in the system of records that will identify them.
Persons 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 voter registration card, etc.
Persons lacking identification documents sufficient to establish their
identity must certify in writing that they are the person they claimed to be and
that they understand that the knowing and willful request for, or acquisition
of, a record pertaining to another person under false pretenses is a criminal
offense.
Persons
requesting notification by telephone must verify their identity by providing
identifying information that parallels the information in the record to which
notification is being requested. If
we determine that the identifying information the person provides by telephone
is insufficient, the person will be required to submit a request in writing or
in person. If a person requests
information by telephone on behalf of another individual, the subject person
must be on the telephone with the requesting person and us in the same phone
call. We will establish the subject
person’s identity (his or 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 or her consent to provide information to the requesting person.
Persons
requesting notification by mail must include a notarized statement to us to
verify their identity or must certify in the request that they are the person
they claim to be and that they understand that the knowing and willful request
for, or acquisition of, a record pertaining to another person under false
pretenses is a criminal offense.
These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.40).
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 C.F.R. §
401.40(c)).
Some of the documents are compiled in anticipation of
litigation and, thus, may be exempt from the access provisions of the Privacy
Act (5 U.S.C. § 552a(d)(5)).
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 C.F.R. §
401.65(a)).
Record source categories:
Information in this system is obtained from 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.