The Commissioner delegated authority to certify records to certain positions in SSA including Regional Commissioners and authorized further redelegations by Regional Commissioners. (See OBFM | Delegations of Authority | Certification and GN 00360.025.) In the Dallas Region, the Regional Commissioner further redelegated this authority to the Deputy Regional Commissioner, Assistant Regional Commissioner, and Directors of the Center for Disability and Programs Support (CDPS), Center for Automation, Security and Integrity (CASI), and Center for Materiel Resources (CMR).

1. What We Can Certify

• True copies of, or extracts from, books, records, papers, computer printouts, or other documents on file within SSA.

• The nonexistence of records.

2. What We Cannot Certify

• Records that have left our custody: SSA cannot certify records submitted by the requester. (For example, if the requester previously obtained an uncertified copy of a record, they cannot subsequently ask SSA to certify that copy. Instead, SSA would have to create another copy of the record for certification.)

• Earnings records: Only the Office of Earnings and International Operations (OEIO) certifies earnings records. The Dallas Regional Office (RO) cannot certify any records that are considered tax return information as defined in GN 03320.001, including the Summary Earnings Query and Detail Earnings Query. Requesters should use form SSA-7050-F4 to request certified earnings records and submit the request to the address shown on the form. (See GN 03320.000.)

• CDs, PDFs, and zip files: SSA has procedures for releasing records in electronic formats, however, we do not certify records in electronic formats. Records stored in electronic repositories must be printed prior to certification.

• Medicare information: Requests for certified Medicare information should be directed to the Centers for Medicare and Medicaid Services (CMS) or the carrier.

1. Who Should Handle the Request

The servicing FO with access to the requested information should process the request. If the information is not available electronically, the servicing FO should request the file following the instructions in GN 03305.015 .

Third party requesters must direct their requests to the FO that services the mailing zip code of the individual who is the subject of the request. If an FO receives a third party request about a subject outside of its servicing area, return the request to the requester using the sample language in GN 03305.020.

EXCEPTION: Subpoenas are binding on the office that receives them. See GN 03330.010 and GN DAL03330.015.

2. Review the Consent Form

Review the consent form for compliance with the criteria in GN 03305.003. A consent document must meet all of the requirements in GN 03305.003D. It must be received within the timeframes shown in GN 03305.003G. See GN 03305.003B for consent form signature requirements. See GN 03305.005 and GN 03305.006 for who may and may not consent.

If the consent form does not meet all of the requirements for disclosure, return the consent document to the requester with a written explanation of why we cannot honor it per GN 03305.003I. If the consent form meets the requirements, scan the SSA-3288 into the electronic folder to meet the retention requirement (GN 03305.010) and continue processing the request following the instructions below.

NOTE: There are limited situations under which we can disclose records to third parties without consent. See the following POMS references for SSA’s policies on disclosure without consent.

GN 03312.000 Disclosure of Law Enforcement Purposes

GN 03313.000 Disclosure to Federal Agencies and Officials

GN 03314.000 Disclosure to State and Local Agencies and Tribal Authorities

GN 03315.000 Disclosure Concerning Deceased or Missing Persons

GN 03316.000 Disclosure to Administer SSA Programs and Other Miscellaneous Disclosures

Ask the CDPS Privacy Act Coordinator if you have questions about these types of requests. The name of the current Privacy Act Coordinator is listed on the Dallas CDPS Programs Support Topics list.

3. National Records Center Folder Certification Request Process

In most cases, FOs should use the National Records Center (NRC) Folder Certification Request process for certified records requests. Follow the instructions on the NRC Folder Certification Request Site when using this process.

As noted in the site's user guide, subpoenas and requests from law enforcement entities, Department of Homeland Security, Assistant United States Attorneys at the Department of Justice, and the SSA Office of the Inspector General are excluded from the NRC certification process. The RO will certify records when an NRC exclusion applies. If an NRC exclusion applies, follow the instructions below.

NOTE: The FO processes requests for uncertified records. Do not send requests for uncertified records to the NRC.

4. Compute Fees and Bill Requester

Compute the applicable fees following GN 03311.005. You can use FeebayNet to create an invoice to send to the requester. Process the fee in the Social Security Electronic Remittance System (SERS) unless an exception applies. (See GN 02403.014.) Refer SERS issues to the SERS Helpdesk or via email at ^SERS. Update the payment receipt field in FeebayNet after the fee is received and processed. SSA requires payment before providing records. (See GN 02403.012.) Therefore, make sure the requester pays the applicable fees before routing the request to RO for certification. RO staff does not have SERS access so the FO should submit a copy of the receipt with each certification request.

5. Assemble the Requested Information

Gather the requested information located in both paper and electronic records. Photocopy or print the requested information. Only produce the information specifically listed on the consent form.

Personal information about other individuals for whom we do not have a written consent document may be contained in the consenting individual’s record. The consenting individual may not consent to the release of information in their record about other individuals. Therefore, you must redact any information about other individuals before releasing the records of the consenting individual. See GN 03305.002.2. You can redact using a marker or registered Adobe Acrobat users can use the Adobe redact feature.

NOTE: If redacting using a marker, first black out the information to be redacted, then make a photocopy of the document. Only the photocopy should be released, as the blacked-out information can sometimes be read through the marker on the original copy.

NOTE: If manual redaction is not required, you may wish to save the records as a PDF by selecting "print to PDF" rather than printing on paper since you will need to email the records to the RO.

REMEMBER: The requester may submit these records as evidence in criminal or civil court proceedings. We are responsible for providing clear, complete, and accurate records.

6. Route the Request to the Regional Office

Route the request to the CDPS Privacy Act Coordinator by email. The name of the current Privacy Act Coordinator is listed on the Dallas CDPS Programs Support Topics list. Enter RO Certification Request as the subject line.

Attach copies of the following documents.

• Consent form and any other paperwork submitted by the requester

• Record(s) to be certified

• SERS receipt

Provide the name of an FO contact if using a shared email box to submit the request. If a file is too large to send in a single email, you may need to split it into smaller files to email separately or eFAX it to CDPS. Ask the Privacy Act Coordinator if you have questions about routing the records.

Dallas CDPS will review the consent form and records for completeness and disclosure provisions. If CDPS detects any problems, they will notify the FO for resolution. If there are no problems, CDPS will affix the ribbon and seal and prepare the certification form SSA-1841 or SSA-473 for the Record Officer's signature. After the Record Officer signs the certification form, CDPS will ship the certified records to the requester at the address on the consent form.