TN 3 (05-94)
GN 03360.025 Certification of Copies of Documents and Extracts from Records
42 U.S.C. 1306
Types of requests and the reasons for them are discussed in this section. Policy does not currently exist for formal CD certifications; however, procedures are being developed. In the interim, documents on CDs requiring formal certification should be printed and certified using the paper process provided in this instruction.
1. Types of Requests
SSA frequently receives requests for certification of documents. Typical requests are listed below. However, requests may come from other sources such as:
2. Reasons for Requests
Reasons for requests are to:
Get evidence in civil suit cases supporting claims to recover incorrect payment of Social Security benefits.
Support a case in criminal action for fraud.
Get court evidence in actions concerning:
A wrongful death statute,
A workers' compensation law,
Spousal and child support,
Murder and other felonies.
The policy for certification of copies of documents and extracts from records is explained below.
1. Scope of Authority
The Secretary of HHS has delegated to the Assistant Secretary for Management and Budget the authority to:
certify true copies of, or extracts from, books, records, papers, computer printout or other documents on file;
certify the nonexistence of these materials; and
cause the Department Seal to be affixed to this certification.
This authority was redelegated to the Commissioner and published in the Federal Register on October 6, 1982.
2. Redelegated Authority
The Commissioner redelegated the authority to the SSA positions listed in the chart in C. below. Only the Assistant Secretary and the Commissioner may redelegate this authority. This includes authority to certify true copies or extracts of any books, records, papers or other documents on file within SSA. The delegates may certify:
true copies of any books, records, papers or other documents on file within SSA;
extracts from material on file within SSA;
that the copies are true copies of the entire record on file within SSA;
that the complete original record is on file within SSA;
that particular records are not on file within SSA.
Also, the delegates may cause the Department Seal to be affixed or impressed to the certifications specified above.
3. Certifying Documents and Affixing Department Seal
The chart in C. below lists the positions that have been:
delegated authority to certify records (with the limitations stated above).
given authority to cause the Department Seal to be affixed or impressed to agreements, award citations, diplomas and similar documents.
C. List of Positions Authorized to Certify Documents and Affix Seal
|ORGANIZATION NAME||WHO MAY CERTIFY AND AFFIX THE SEAL|
Assistant Deputy Commissioner, Finance, Assessment, and Management
Assistant Deputy Commissioner, Human Resources
Within ODIO (OIO, Process Branch) -Jurisdiction includes cases processed under totalization agreements with foreign countries
Foreign Claims Specialists
Process Module Managers
Assistant Module Managers
Process Branch Managers
All intervening positions in the direct line of supervision between the positions specified above and the Director, ODIO.
Within ODAR - Jurisdiction is ODAR field offices
Regional Chief Administrative Law Judges
Additional ODAR Positions - Jurisdiction is OCA, OAO, ODAR
D. Procedure - Field Offices
1. Certification of Earnings Records (E/R) Under Department Seal
Send all requests for certification of earnings records to:Office of Central Records Operations
3-T-17 South Block
Metro West Building
300 North Greene Street
Baltimore, Maryland 21201
See GN 03311.005 for instructions on fees.
2. Records Other Than E/R or Disability
If other records are requested and the information can be disclosed, send the request through the office having actual custody of the material to the CO, RO, or PSC component who has authority to certify the requested record.
EXCEPTION: If a subpoena is served, the FO will obtain the information from the servicing PSC or ODIO by requesting the folder be sent to the FO or that the certified copies be sent directly to the requester. (See GN 03330.000ff for more information on subpoenas.)
E. Policy - DIB Certifications Received in DDS
Requests for disability insurance benefit (DIB) certifications are sometimes received in the DDS.
Kinds of Requests
Routing of Requests
DDS sends to parallel FO;
parallel FO determines folder location, and sends request to office having folder; i.e., PSCs or ODIO.
Certification of documents must be performed by the office having custody of the record.
F. Procedure - PSC'S and ODIO
PSC's and ODIO should determine when it is appropriate to furnish certified information, prepare a certification form and affix the Department Seal.
1. Forms to be Prepared
Prepare a cover letter to the requester in accordance with current correspondence policies.
Prepare an original certification (Form SSA-1841) (see GN 03360.999, Exhibit 2), yellow filebox (Form SSA-1841A) (see GN 03360.999, Exhibit 3), and two copies of the filebox.
Prepare two copies of the requested evidence.
2. How to Assemble
Assemble as follows:
Clip one copy (do not staple) of the requested evidence to the original certification form and staple the other copy to one of the filebox copies.
Place the certification forms (the original and appropriate copies) and the cover letter (the original and copies) on top of the claims folder. Ensure that the filebox copies are signed in accordance with unit instructions.
3. How to Route
Route the material as follows:
Handcarry the package to an individual delegated the authority to certify documents in the servicing PSC or ODIO. See GN 03360.025B.3. above for signature.
Send the original certification form and filebox copy with attachments to the Office of the Director of the servicing PSC or ODIO where the ribbon and Department Seal will be affixed.
Attach route slip (Optional Form 41) to the material to request the necessary action and to identify the requester.
Send the original certification form (with attachments) and cover letter to the requester.
Retain the remaining filebox copy of the certification form and the filebox copy of the cover letter in the file.
Responding to requests from State and local law enforcement agencies, requesting certified photocopies of checks and payment extracts to be used as evidence in fraud cases and investigations, see GN 02406.000, Failure to Receive a Check/Payment-Title II and Black Lung.