Non-Attorney Representative Prerequisites Process File (NARPPF), Social Security Administration, Deputy Commissioner for Disability and Income Security Programs, Office of Hearings and Appeals
Effective Date: December 28, 2004
(69 F.R. 77823)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY THE PRIVACY ACT OF 1974
System number: 60-0355
Non-Attorney Representative Prerequisites Process File (NARPPF), Social Security Administration, Deputy Commissioner for Disability and Income Security Programs, Office of Hearings and Appeals.
Social Security Administration
Deputy Commissioner for Disability and Income Security Programs
Office of Hearings and Appeals
5107 Leesburg Pike
Categories of individuals covered by the system:
Any non-attorney individual who applies to participate in the demonstration project for direct payment of fees under section 303 of the Social Security Protection Act of 2004 (SSPA) (Public Law No. 108-203). Applications for participation will be filed directly with a contract vendor.
Categories of records in the system:
Demonstration project application and supporting documentation, and corresponding eligibility determination. This may include some or all of the following:
(1) application information, including filing date and fee information;
(2) the applicant’s identifying information, including name, Social Security number, date and place of birth, business address, telephone numbers, e-mail addresses, fax numbers and fingerprints;
(3) a work history, including employer names and addresses, dates of employment, self-employment information, and verification of employment;
(4) the applicant’s educational background and continuing education;
(5) certain integrity information including previous Federal employment, suspensions and/or terminations of representative authorization, criminal background, and circumstances for previous employment termination, if applicable;
(6) examination and examination results;
(7) professional liability insurance information;
(8) background check and report information;
(9) direct payment eligibility status;
(10) post-application discovery information including previously undisclosed eligibility information; and
(11) post-eligibility audit and evaluation information.
Authority for maintenance of the system:
Section 303 of the SSPA.
The prerequisites process application files will be used to determine the eligibility of a non-attorney representative who represents claimants before SSA to participate in the demonstration project for the direct payment of fees.
Routine uses of records maintained in the system, including categories of users and the purpose of such uses:
Disclosures 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 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.
Wage and other information which is subject to the provisions of the IRC (26 U.S.C. § 6103) will not be disclosed under this routine use unless disclosure is expressly permitted by the IRC.
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 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.
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 the NARA Act of 1984, for the use of those agencies in conducting records management studies.
7. 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 customers, 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.
8. To inform a claimant/beneficiary that his/her representative is eligible to participate in the demonstration project or has been disqualified or suspended from participating in the demonstration project and/or from further representation before SSA.
9. To a State agency or other certifying entity that uses such eligibility information in their certifying procedures.
10. To contractors under contract to SSA and/or under contract to another agency with funds provided by SSA, for the performance of research, evaluation and statistical activities directly relating to this system of records.
11. 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:
Records in this system are stored electronically and in paper form.
Records in this system are indexed and retrieved by the name and SSN of the demonstration project applicant.
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 which are accessible only to employees who require the information in performing their official duties. Any manually maintained records will be kept in locked cabinets or in otherwise secure areas. 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:
Applications and supporting documentation are held for a minimum of 7 years. Paper files are destroyed by shredding when deemed appropriate. Computer files are archived after 12 months.
System manager(s) and address(es):
Office of Policy, Planning and Evaluation
Office of Hearings and Appeals
5107 Leesburg Pike
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. 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. (20 C.F.R. § 401.45.)
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. (20 C.F.R. § 401.45.)
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 C.F.R. § 401.45).
Record access procedure(s):
Same as Notification procedures. Requesters also should reasonably specify the record contents they are seeking. These access procedures are in accordance with SSA Regulations (20 C.F.R. § 401.50).
Contesting record procedure(s):
Same as Notification procedures. 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:
Applications, supporting documentation, eligibility criteria, and corresponding eligibility determinations. As a part of the eligibility criteria, SSA may compare records from the Representative Disqualification/Suspension Information System (#60-0219) with those contained in the NARPPF system.
Systems exempt from certain provisions of the Privacy Act: