SSA does not consider this an appropriate disclosure in this case, under the requirements in GN We would attempt to have the court order vacated. Inform the court that disclosure is prohibited by section a of the Social Security Act 42 U. Give the court details as to what FOIA principle would be violated by disclosure.
If, after being told that the information subpoenaed cannot be disclosed under section a and Regulation No. Respectfully refuse to comply with the directions of the court, even if the court threatens to issue a contempt order;.
Allow if applicable, properly authorized individuals to review original documents on SSA office premises. See GN Do not send original files, medical reports, etc. Release original records only to other SSA employees or offices. Whether or not a disclosure is made, keep a copy of any court order or subpoena received, any related correspondence, and reports of telephone conversations in:. The administrative files, under file code AM, for a period of at least 6 months. When personal information has been disclosed to a court pursuant to a subpoena or court order, inform the individual, if possible, that the disclosure has been made.
When the United States is not a party in a legal proceeding, HHS regulations generally prohibit testimony by employees or production of any agency documents involving nonpersonal information such as instructional material or personnel information about SSA employees. However, there are some exceptions, as explained in 2. Disclosure of the following types of information is governed by HHS regulation rather than by Regulation No. Other records or documents relating to administration or management which do not contain personally identifiable information.
However, do not accept a subpoena or other compulsory process requiring disclosure of information if the document is directed simply to SSA, its Commissioner, or any central office official. Inform the person serving the subpoena or court that you lack authority to accept it. This is not a "refusal" to accept a subpoena, because a subpoena which names a specific person can only be properly served to that person.
SSA requires personal service. This does not mean, however, that you can disregard such subpoenas; you must follow the instructions outlined below. Record the receipt of the subpoena or court order and all pertinent information. Attached is a Subpoena Questionnaire to use in recording pertinent information from the subpoena and cover letter, if one accompanies the subpoena or court order. This form assists you in relaying information to the RO. Please reproduce the form as needed. Mike will review the subpoena, consult with the Office of General Counsel OGC to determine what action needs to be taken, and advise the FO if it needs to do anything further.
Claims folder location and retrieval. If the subpoena or order requires the production of records contained in the claims folder of a NH such as disability records , the FO is responsible for ascertaining the location of the claims folder s and recording that information on the subpoena questionnaire. Do not delay referring the subpoena to the RO.
Also, do not request that the claims folder be transmitted to the FO until the RO instructs you to arrange for the transmittal. Copying documents in a claims folder for certification. SSA does not provide testimony in court or at a deposition to authenticate copies of documents from the NH's claims folder; rather, an official in the Denver RO certifies the authenticity of the copies or, where appropriate, extracts from computer records.
The FO is responsible for making the copies and forwarding the copies and the claims folder to the Denver RO in a timely manner. Similarly, the FO is responsible for copying the records in the claims folder of a deceased NH. However, this success depends on prompt action by the office served with the subpoena or court order. Subpoenas and court orders can be extremely time sensitive and have the potential for significant expenditure of FO resources.
If improperly handled, they may expose the person served to civil or criminal penalties. Local office management must report the service of a subpoena or court order as soon as possible. Subpoenas may also request employee testimony regarding general SSA program matters or knowledge or observation of a particular number holder. FOs and DDSs receive a small number of court orders compared with subpoenas.
Accept service of the subpoena or a court order unless one of the specific exceptions below applies. State the important facts expected to be proved, and. Indicate why the stated facts could not be proven without issuing a subpoena. Issuing subpoena. The regional commissioner RC or the RC's delegate must authorize the subpoena. Requesting the subpoena from the RO. When Form SSA is completed. Request the subpoena via memorandum with the SSA attached. Request involves persons who worked on case.
Be sure the requirements in A. Subpoena denied.
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