Docketing Management Information System (NDMIS)

Effective Date: June 14, 2005

(70 F.R. 34515)

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

System number: 60-0328

System name:

National Docketing Management Information System (NDMIS)

Security classification:

None.

System location:

The Office of the General Counsel

Executive Officer

Room 600, Altmeyer Building

6401 Security Boulevard

Baltimore, Maryland 21235

Categories of individuals covered by the system: 

This system maintains information about

(1) individuals and/or their representatives who filed a claim for benefits under Social Security Act programs and who may pursue, or have pursued, litigation with SSA;

(2) individuals and/or their representatives who have communicated or corresponded with SSA about a matter that may result in litigation with SSA;

(3) current, former, and prospective SSA employees and/or their representatives who may pursue, or have pursued, litigation about employment issues with SSA;

(4) individuals, including current, former and prospective employees against whom SSA may pursue, or has pursued, legal action; and

(5) Government representatives who work on these matters.

Categories of records in the system:

The NDMIS consists of identification information about a variety of administrative and civil litigation and identification information about communications and correspondence that may result, or has resulted, in litigation brought against, or by, SSA.  SSA receives records of court dockets relating to legal matters from individuals and/or their representatives who may pursue, or have pursued, litigation with SSA.  SSA receives documents submitted or filed by plaintiffs, grievants, complainants and appellants to prosecute civil or administrative litigation against SSA.  NDMIS contains identification information about the litigation initiated against SSA by individuals who have filed a claim for benefits under SSA programs as well as civil rights complaints; and by current, former, and prospective employees such as complaints, grievances, unfair labor practice claims, appeals and waiver requests.  SSA receives inquiries, communications and correspondence from individuals that may result in litigation brought against, or by, SSA. 

This system contains information about these matters, including the name of the individual/claimant/SSA employee, his/her Social Security number (SSN), date of the initial contact, type of inquiry, court civil action number, district court name, administrative case number, administrative case name, status of the case, disposition of the case, name of the claimant’s representative and Employer Identification number, if applicable, and identification information about the Government’s representatives.

Authority for maintenance of the system:

Sections 205(a) (42 U.S.C. § 405(a)),  206(a) (42 U.S.C. § 406(a)) and (1631(d) (42 U.S.C. § 1383(d)) of the Social Security Act, as amended; 44 U.S.C. § 3103 et seq., as amended; 5 U.S.C. § 7121, as amended; 5 C.F.R. Part 771; 5 C.F.R. Part 1201, as amended; 42 U.S.C. 2000e et seq., as amended; 29 C.F.R. Chapter XVI, as amended; 29 U.S.C. §§ 633a and 701 et seq., as amended.

Purpose(s):

The Office of the General Counsel (OGC) in SSA is responsible for the Agency’s litigation workloads.  The NDMIS system enables OGC to control, track, maintain and process these workloads.  The system retains the history of a case and tracks movement of the case through the various levels of administrative and civil litigation.  Information about events at each level are maintained in this system to aid OGC’s offices in SSA headquarters, and its 10 regional offices, in all phases of processing this workload through the resolution of each legal matter.

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

1.  To the Office of the President for the purpose of responding to an individual pursuant to an inquiry received from that individual or from a third party on his or her behalf.

2.  To a congressional office in response to an inquiry from that office made at the request of the subject of a record.

3.  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 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.

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 made unless authorized by a statute, the Internal Revenue Service (IRS) or IRS regulations.

4.  To student volunteers, individuals working under a personal services contract, and other individuals performing functions for SSA, but technically not having the status of Agency employees if they need access to the records in order to perform their assigned Agency functions.

5.  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.

6.  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) under 44 U.S.C. § 2904 and § 2906, as amended by NARA Act of 1984, for the use of those Agencies in conducting records management studies.

7.  The Commissioner shall disclose to the Secretary of Health and Human Services (HHS), or to any State, any record or information requested in writing by the Secretary to be so disclosed 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.  To the Equal Employment Opportunity Commission (EEOC) when requested in connection with investigations into alleged or possible discriminatory practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures, or other functions vested in the Commission.

9.  To the Federal Labor Relations Authority, the General Counsel, the Federal Mediation and Conciliation Service, the Federal Service Impasses Panel, or an arbitrator when information is requested in connection with the investigations of allegations of unfair practices, matters before an arbitrator or the Federal Service Impasses Panel.

10.  To the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of rules and regulations, investigation of alleged or possible prohibited personnel practices, and other such functions promulgated in 5 U.S.C. Chapter 12, or as may be authorized by law.

11.  To Federal, State, and local law enforcement agencies and private security contractors, as appropriate, information necessary:

- To enable them to protect the safety of SSA employees and the public, the security of the SSA workplace, the operation of SSA facilities, or

- To assist investigations or prosecutions with respect to activities that affect such safety and security or activities that disrupt the operation of SSA facilities.

12.  To Federal, State, or local agencies (or agents on their behalf) for administering cash or non-cash income maintenance or health maintenance programs (including programs under the Act).  Such disclosures include, but are not limited to, release of information to:

-Railroad Retirement Board (RRB) for administering provisions of the Railroad Retirement and Social Security Acts relating to railroad employment and for administering the Railroad Unemployment Insurance Act;

-The Veterans Administration (VA) for administering 38 U.S.C. § 412, and upon request, information needed to determine eligibility for or amount of VA benefits or verifying other information with respect thereto;

-The Department of Labor for administering provisions of Title IV of the Federal Coal Mine Health and Safety Act, as amended by the Black Lung Benefits Act;

         -State agencies for making determinations of Medicaid eligibility;

-State agencies for making determinations of food stamp eligibility under the food stamp program;

-To State audit agencies for auditing State supplementation payments and Medicaid eligibility considerations; and expenditures of Federal funds by the State in support of the Disability Determination Services (DDS);

-To State welfare departments pursuant to agreements with SSA for administration of State supplementation payments; for enrollment of welfare recipients for medical insurance under section 1843 of the Act; and for conducting independent quality assurance reviews of SSI recipient records, provided that the agreement for Federal administration of the supplementation provides for such an independent review; and

-To State vocational rehabilitation agencies or State crippled children’s service agencies (or other agencies providing services to disabled children) for consideration of rehabilitation services per sections 222 and 1615 of the Act.

** 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 are maintained electronically.

Retrievability

Records are retrievable by claimant/employee name, his/her SSN, administrative tribunal number or court civil action number.

Safeguards: 

Security measures include the use of access codes to enter the computer system which will maintain the data and the storage of computerized records in secured areas that are accessible only to employees who require the information in performing their official duties.  SSA employees who have access to the data will be informed of the criminal penalties of the Privacy Act for unauthorized access to or disclosure of information maintained in the system.  See 5 U.S.C. § 552a(i)(1).

Contractor personnel having access to data in the system of records will be required to adhere to SSA rules concerning safeguards, access and use of the data.

Retention and disposal: 

Data will be maintained electronically on all active Agency litigation workloads from receipt through resolution.  Information in this new system of records will be retained in accordance with OGC’s internal policy directive that information will be retained until final disposition of the matter. 

System manager and address: 

Executive Officer

Office of the General Counsel

Social Security Administration

6401 Security Blvd.

Baltimore, Maryland 21235-6401

Notification procedure(s): 

An individual can determine if this system contains a record about him/her by writing to the systems manager 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.  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 we determine that the identifying information that the individual provides by telephone is insufficient, we will require the individual 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 § 401.45).

Record access procedure(s): 

Same as "Notification" procedure(s).  Requesters also should specify reasonably the record contents they are seeking.  These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.40).

Contesting record procedure(s): 

Same as "Notification" procedure(s).  Requesters also should 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 untimely, incomplete, inaccurate or irrelevant.  These procedures are in accordance with SSA Regulations (20 C.F.R. § 401.65).

Record source categories:

Information in this system is obtained from SSA claimants and/or their representatives; SSA employees (current, former and prospective) and/or their representatives; Government contractors; SSA personnel and records; documents relating to the claim, appeal, grievance or complaint; civil courts; the Equal Employment Opportunity Commission, the Merit Systems Protection Board and other similar organizations, and from information on incoming legal matters relating to litigation or possible litigation with the Agency.

Systems exempted from certain provisions of the Privacy Act:

None.