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GN BOS03330.015: Handling of a Court Order or Subpoena

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  • Effective Dates: 12/19/2007 - Present
  • Effective Dates: 10/31/2017 - Present
  • GN BOS03330.015 Handling Of A Court Order Or Subpoena
  • GN BOS03330.015 Handling of a Court Order or Subpoena
  • A. Policy
  • While some FOs rarely encounter subpoenas, they occur frequently in others. They are routine business for the OGC. Their staff attorneys have an excellent record of getting subpoenas vacated (canceled) or finding alternate means for providing the information requested. However, this success depends on prompt action by the office served with the subpoena or court order.
  • SSA Field Offices (FOs) and Disability Determination Services (DDSs) are frequently served with subpoenas or court orders that attempt to compel SSA and DDS employees and medical consultants to produce and possibly testify about information concerning a specific number holder contained in the agency’s system of records or to testify about their observations of a claimant or about SSA programs.
  • Subpoenas can be extremely time sensitive and have the potential for significant expenditure of FO resources. If improperly handled, they may expose the person served to civil or criminal penalties. Local office management must report the service of subpoena or the like as soon as possible, giving as much information as is available using the form in Exhibit A (see GN BOS03330.020) as a guide.
  • 1. Policy
  • B. Regional Workflow
  • While some FOs rarely encounter court orders or subpoenas, they occur frequently in others. They are routine business for the Office of the General Counsel (OGC). Their staff attorneys have an excellent record of getting them vacated (canceled) or finding alternate means for providing the information requested. However, this success depends on prompt action by the office served with the subpoena or court order.
  • If an FO in the Region is served, the FO should report this immediately to the OGC (telephone 617-565-4277, fax 617-565-4447).
  • Subpoenas and court orders can be extremely time sensitive and have the potential for significant expenditure of FO resources. If improperly handled, they may expose the person served to civil or criminal penalties. Local office management must report the service of a subpoena or court order as soon as possible.
  • If a DDS in the Region is served with a subpoena, the DDS should report this directly to the Disability Team in the Regional Office. Disability will coordinate with OGC and advise the DDS how to proceed.
  • 2. The difference between subpoenas and court orders
  • Upon being served:
  • * Complete the data on Exhibit A from the subpoena, etc. Contact the appropriate Regional level contact. FOs should telephone the OGC at 617-565-4277.
  • * Forward a fax of the subpoena and Exhibit A to the OGC at 617-565-4447. The OGC will evaluate and advise concerning SSA's response to the matter.
  • A subpoena is a legal document issued by an attorney, or by the clerk of a court at an attorney’s request, used to formally request information and/or testimony. Subpoenas issued to an SSA FO or DDS usually request production of records at a deposition in an attorney’s office or in court, and, in some cases, testimony about those records. Subpoenas may also request employee testimony regarding general SSA program matters or knowledge or observation of a particular number holder.
  • A court order is a formal legal document signed by a judge used to order production of documents and/or testimony. FOs and DDSs receive a small number of court orders compared with subpoenas.
  • B. Procedures to Follow Upon Receipt of a Subpoena or Court Order
  • NOTE: GN 03330.010 contains general procedures for receipt of a court order or subpoena.
  • * Accept service of the subpoena or a court order unless one of the specific exceptions below applies. Accept subpoenas and court orders that are directed to unnamed agency employees, such as “Keeper of the Records,” “Custodian of the Records,” or “Office Manager.”
  • Exceptions:
  • * Do not accept a subpoena or other compulsory process if it is directed to the Commissioner or any central office official. Inform the person serving the subpoena or court order that you lack authority to accept it. GN 03330.010B.2. If the process server persists, please contact OGC at 617-565-4277.
  • * Some subpoenas are addressed to a specific named employee at the FO or DDS. Only that employee may accept such a subpoena. This is not a refusal to accept because only the specific person named may be properly served.
  • Management should designate who in the FO may accept a subpoena (generally a member of management, if possible).
  • Although rare in this Region, process servers may ask employees to complete or sign a statement or form (e.g., a "waiver" of personal service, an "admission of service", etc.). Do not complete, submit, or sign any such statement or form unless explicitly instructed to do so by OGC. Such action may limit our options concerning SSA’s response to the subpoena.
  • * If a DDS in the Region is served with a court order or subpoena, the DDS should report this directly to the Center for Disability in the Regional Office by email to ||BOS Center for Disability. Disability will coordinate with OGC and advise the DDS how to proceed.
  • NOTE: Do not delay reporting the subpoena to obtain complete data. The type of request, the name of the requester (i.e., the attorney) and the date for compliance are the essential elements needed to begin answering the process.
  • * The OGC coordinates the responses to the FO or DDS. The OGC does not make the disclosure or the decision to disclose information; both these decisions are made in the office receiving the service. OGC provides advice as to the adequacy of the subpoena, state rules of legal procedure and "court of competent jurisdiction" or similar legal questions. The Program Policy and Systems Team is the resource for program and policy guidance regarding PA, FOIA and IRS regulations as they apply to disclosure from SSA records.
  • * If the folder is not in your location, do not automatically request it. Consult with the OGC on the need for the folder. Many subpoenas may be vacated or disclosure handled without the need for the folder.
  • * Often a subpoena is served on the FO nearest the person whose records are sought. If the attorney, court or folder is in another office's jurisdiction, do not unilaterally transfer the subpoena. If disclosure will be permitted, a mutually convenient location may be negotiated later.
  • * A subpoena may be accompanied by a fee. Fees may be characterized differently, i.e., witness fee, travel fee, etc. Accept whatever fee is provided. Fees should be mailed to the Division of Finance, PO Box 17042, Baltimore, MD 21235.
  • * The FO or other component served must control the subpoena until it is resolved or transferred to ensure proper and timely response is made to the request.
  • If an FO in the Region is served with a court order or subpoena, the FO should report this immediately to OGC using the instructions below.
  • * Upon being served:
  • * Scan and email the court order or subpoena to OGC at: ^BOS OGC Subpoenas and complete the questionnaire within the email (GN BOS03330.015C). OGC will evaluate and advise, as necessary, concerning SSA’s response to the matter.
  • * In most cases, the FO or DDS will not need to take any further action after emailing the court order or subpoena to OGC. OGC will notify the FO or DDS if further action by that office is necessary. For example, OGC may advise the FO that a consent form submitted with a subpoena is valid and that disclosure of the records described on the consent form by the FO is appropriate. OGC, in conjunction with the Center for Programs Support (CPS), may also make the decision to disclose information after reviewing the documents submitted and the governing law. CPS is the resource for program and policy guidance regarding PA, FOIA, and IRS regulations as they apply to disclosure from SSA records.
  • * If the folder is not in your location, do not automatically request it. Many subpoenas may be vacated or disclosure handled without the need for the folder. OGC or CPS will notify the FO if the folder is needed.
  • * A subpoena may be accompanied by a fee. When you email the subpoena to OGC, you should also notify OGC that a fee was submitted. OGC will advise you what to do with any fee submitted.
  • C. Exhibit
  • Scan and email the court order or subpoena to ^BOS OGC Subpoenas and include the following information in your email:
  • Numberholder:SSN:Receiving Office:Office Phone:Date Received:Person to Whom Subpoena Issued:Date and Time of Appearance:Written Consent Provided?Numberholder’s Servicing Field Office:Field Office Contact:
  • You may also use the above email box for any questions that arise in processing subpoenas or court orders.
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