This lesson is about proper record keeping and security.  It is designed to help you avoid legal problems with your clients and SSA. 

Confidentiality

When you and your new client sign the Request for Representation Form 1696 and submit it to the DO or DDS, SSA officially recognizes you as the authorized representative.  It allows you to act on you client's behalf but does not sanction sharing any case information with unauthorized persons.  Never disclose any part of a client's file to anyone other than your client or an SSA official.

Usually your client or his/her third party assists you in getting records, but sometimes the opposite happens.  Your client may request that you send a copy of a document to a physician, attorney or family member.  

Avoid this pitfall if at all possible!  Remind him/her that SSA regulations prohibit you from sending copies of records to any unauthorized person.  If your client then gives you permission to send the record, ask him/her to submit the request to you in a letter.  Make sure the letter contains a verifiable client signature before you act on it.  Another way to avoid confidentiality problems is to send the requested materials directly to your client, who can then forward them to anyone he/she chooses.  Still be sure to have a signed written request.

Always:

·        Have the request in writing with a verifiable signature

·        Keep a copy of the request in your records 

·        Send only the information specifically requested

If anybody else, including a family member, requests case records, do not send them without signed written permission from your client or the third party signatory.  Also avoid sending out SSA materials or ones you have generated, including important papers like your Formal Argument and case correspondence letters. The less you share, the less likely confidentiality will be an issue.

Record Keeping

It is in your own best interest to maintain well-documented files on each client.   Everything in your case folders are important not only to the clients but to your business.  Most of the material is personal and confidential.  Therefore, use the following tips to maintain security:

·        Keep all client records properly categorized and organized

·        Keep records secure at all times

·        Keep a copy of all signed forms, letters and client correspondence

·        Keep a copy of all case-related SSA correspondence

·        Become familiar with the HIPPA evidence privacy regulations.

Keeping a copy of all signed forms and correspondence helps you to run an efficient business and avoid future problems.  Keep any materials received from SSA, including questionnaires and medical evidence, in a private file and/or a secure computer for at least three years after representation ends.  At that time, you have the option of destroying them.  Do so in a way that ensures that no unauthorized individual will ever get the opportunity to review the materials.   There are inexpensive, bonded data destruction services that will shred these documents for you at low cost.

Legal action against an ethical Disability Advocate is extremely rare - but it can happen!  One way of protecting yourself is to keep some of the more important pieces of case evidence after three years.  Retain such things as:

• A signed copy of the representational contract  
• A copy of the signed SSA Form 1696 
• A copy of Social Security's case decision letter 
• A copy your Fee Petition and Fee Petition attachment 
• A note to yourself about the disbursement of the case fees 
• A note to yourself about any event during the case that may have caused you concern.  If you keep records of any unusual aspects of a case, it’s a lot easier to refresh your memory years later if you need to.

The above materials will give you enough information to respond to any issues that might come up at a later time.  Even though legal action against Advocates is rare, it’s always a good idea to be prepared. 

Note:  All of the above protective actions are performed automatically within the Olivia© software.

Moving into the Digital Age

There’s nothing wrong with the file cabinet approach to recordkeeping, but times, they are a-changing!  Large database companies are investing heavily in digital recordkeeping.  The concept of the paperless office is gaining popularity.   

A paperless office would be revolutionary for the SSA disability program!  It is a part of SSA’s long-term planning, as it could increase the agency’s efficiency by 50%.  Knowing that changes are coming, you can begin to prepare now.    

Disability Associates is doing our part to move Disability Advocacy into the digital future with the creation of our new Olivia 2.0© software.  With Olivia©, you can create and keep a digital file of all your clients records in one location.  Olivia© also assists you in performing all of the standard functions of an Advocate while simultaneously documenting each action.  We've added new security features and a host of other unique capabilities to our latest software.  Olivia 2.0© allows you to create your own paperless office environment.

Here are a some tips for controlling digitized records:

• Store information such as medical records and other personal case documents securely within your Olivia© account 
   
• When evidence comes into your office in paper format, date-stamp the materials and scan them into Olivia©.  You have created an easily accessible and secure client folder
   
• You may receive records from SSA on a CD that links directly to the SSA server.  Access your client’s records via the CD and load them into Olivia©.  If possible, keep them in chronological order by treatment date to make case processing easier.
   
• Scan relevant client records into Olivia©
   

The new Olivia© program is designed to support the techniques taught in these lessons.  With Olivia©, you can easily create new accounts and control all subsequent case documentation from a single location.

Keeping Records for the Continuing Disability Review

SSA reviews the medical status of people on disability benefits in a process called a Continuing Disability Review (CDR).   This is another good reason to keep client records for a period of at least three years. 

The CDR date is set at the time of allowance and is usually within three to seven years.  Sometimes referred to as the diary or re-evaluation date, the CDR date is determined by the claimant’s age at the disability onset date.  Younger people are assigned shorter diary dates because SSA believes they are more likely to show medical improvement over time.  For claimants under age forty-nine, the diary will usually be three years unless they suffer from a terminal condition, in which case they’ll be given the full seven-year diary.  People over fifty are usually given a seven-year diary unless the Judge feels the disorder might show rapid improvement.  ALJs can award any length of diary they wish, but most go with the standard three-year and seven-year dates.     

SSA notifies the claimant by mail when it’s time for the CDR.  If you represented the case, he/she will probably call you in a panic.  Here’s what to do:

·        When the allowance is granted explain the diary and what to expect in the CDR.  That way, when the case comes up for review, your client won’t be so panicked.  If he/she calls you when the letter comes, go over what you told him/her at the allowance time.

·        Don’t represent the case at this level unless SSA cuts off benefits because there are no CDR back benefits upon which to extract a fee. 

·        If you’re considering accepting the case, make sure you understand why SSA suspended benefits.  For example, if SSA cut off benefits because the claimant is now working, there’s nothing you could do to help.
 

After years of benefits SSA wants to re-evaluate the case to see if the claimant shows enough medical improvement to return to work.  If so, SSA will terminate benefits after paying two additional months to allow a transition.  You can help appeal this termination if both you and the claimant wish it.  Keeping the past records puts you in a perfect position to jump into the CDR.  You’ll need to show that there has been no improvement in your client’s ability to perform work. 

See the Social Security Guide for more information. 

Lesson Seven Summary

This brief lesson covered the all-important topics of confidentiality and good recordkeeping.  There is a lot of paperwork involved in the Disability Advocacy business, and having it organized puts you ahead of the game.  Our Olivia© system is your private secretary, keeping all the information at your fingertips.
 

Lesson Eight

The last lesson in the Business Guide introduces you to several of our unique approaches to expediting Social Security disability claims.