Effective Dates: 05/05/2025 - Present Previous | Next

GN DAL03360.025 Certification of Copies of Documents and Extracts from Records

This regional supplement applies to the Southwest (SW) Region.

SSA frequently receives requests for certified copies of documents (e.g., copies of medical records, applications, or notices) or information extracted from SSA records. An extract provides information that would not be understood if the actual document was provided. For example, an MBR, SSID, or PHUS would not be understood by a court, while a benefit verification letter using data extracted from those records would be quickly understood. The word “records” is used in this section for both copies of documents and extracts from records.

Requesters typically ask for certified records to admit as evidence during a court hearing or similar matter. In most cases, the matters do not involve SSA but, rather, private parties. Certification consists of affixing an agency seal, ribbon, and a certification statement signed by an authorized Record Officer to the record(s), see AIMS 02.03 Use of the SSA Seal and Flag. The document cannot be altered by anyone once it is certified. When authenticated under the Commissioner’s seal, copies of any Social Security records are admissible evidence without further authentication, see 42 U.S.C. § 904(d). Therefore, an appearance by an SSA employee in court to testify to the authenticity of certified records is unnecessary.

Field Offices (FO) frequently receive requests to complete an affidavit or deposition questions when producing a copy of a file. Any statement made under oath or penalty of perjury including through deposition or any affidavit is considered testimony, which is not allowed without approval by the Commissioner or the Commissioner’s designee , see GN 03330.017. Further, FOs are not the official custodians of the records even though a file may be in your office. Instead of testimony, offer certification.

A. Authority to certify records

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 03360.025). In the Southwest Region, the Regional Commissioner further redelegated this authority to the Deputy Regional Commissioner, Assistant Regional Commissioner for Management and Operations Support, Executive Officer, Senior Social Insurance Specialist in the Office of the Regional Commissioner, and Senior Social Insurance Specialist in the Management and Operations Support Front Office.

1. What we can certify

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

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    The nonexistence of records.

2. What we cannot certify

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    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.

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    Earnings records: Only the Office of Earnings and International Operations (OEIO) certifies earnings records and any records considered tax return information as defined in GN 03320.001, including the Summary Earnings Query and Detail Earnings Query. To request certified earnings records use the formSSA-7050-F4; submit the request to the address shown on the form, see GN 03320.000.

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    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.

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

B. Field office responsibilities

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. For consent form signature requirements,see GN 03305.003B. For who may and may not consent, see GN 03305.005 and GN 03305.006.

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.

NOTE: There are limited situations under which we can disclose records to third parties without consent. See the following 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

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. When using this process, follow the instructions on the NRC Folder Certification Request Site

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

To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0203360025DAL
GN DAL03360.025 - Certification of Copies of Documents and Extracts from Records - 05/05/2025
Batch run: 05/05/2025
Rev:05/05/2025