BASIC (01-08)

When a copy of the official disability case folder is requested, all documents which comprise the disability folder must be included. For the definition of the official disability case folder, see Statements and Other Documentation - GN 00301.285. Requests for certified copies of a CEF must be forwarded to the Regional Office per Certification of the Official Folder - GN 03360.025.

A. Documents Included in the Official Disability Folder

The official disability folder includes the following documents:

• Documents and records (e.g., applications, notices, prescribed Modernized Claims System (MCS)/Modernized Supplemental Security Income Claims System (MSSICS) screens and Evidence (EVID));

• All disability related forms used in the case (see Forms Used in Disability Claims - DI 11005.016);

• All disability-related electronic collection forms. For details on available Electronic Disability Collect System (EDCS) forms, see Electronic Disability Collect System (EDCS) Overview - DI 81010.005.

REMINDER: Some cases are EDCS exclusions and must be processed as paper files (see Certified Electronic Folder (CEF) Exclusions - DI 81010.030);

• All medical evidence, which can consist of paper (CEF Exclusions) and/or electronic documents;

• Statements of claimants or others (e.g., SSA-795 [Statement of Claimant or Other Person Report of Contact (DROC), Remark (RMK)/Associated Remark (AMRK)/Person Statement (DPST) screens, or EVID per Electronic Evidence Documentation and Retention - GN 00301.286A.4. when MCS or MSSICS cannot be used);

• Personal observations by the interviewer or other pertinent information (e.g., DROC, RPOC or EVID per Electronic Evidence Documentation and Retention - GN 00301.286A.4. where MCS or MSSICS cannot be used);

• RPOC/DROC screens for Form SSA-553 (Special Determination) showing the adjudicator's evaluation of conflicting evidence or complex issues and inferences made;

• Prescribed questionnaires; and

• Other material as appropriate.

B. Locating Documents in the Official Disability Folder

It is necessary to consider all appropriate documents from the official disability folder when a copy is requested. To identify the location of documents for the official disability folder check:

• Available Queries/Systems – Master Beneficiary Record (MBR) query, Modernized Claims System (MCS), Supplemental Security Record (SSR) query, Modernized Supplemental Security Income Claims System (MSSICS), Disability Determination Services Query (DDSQ), Modernized Development Worksheet (MDW), Processing Center Action Control System (PCACS, and Paperless Read Only Query System (PPL ROQS).

• DIBwiz to see what information might be available on the claim and where it can be located. NOTE: Currently there is no interface between DIBwiz and Case Processing and Management System (CPMS), the Certified Electronic Folder (CEF)/Document Management Architecture (DMA), or the Online Retrieval System (ORS).

• SHARED PROCESSES (item 4 of the SSA mainframe menu) to determine if any development or evidence recorded on the screens would need to be copied.

• DCF (item 32 of the SSA mainframe menu) for additional disability-related material.

• RPS (item 23 of the SSA mainframe menu) for all applicable representative payee applications that need to be printed.

• eView for all documentation scanned or imaged into the Certified Electronic Folder (CEF). See Case Documents Tab - DI 81005.050.

• ORS (Online Retrieval System) for the claims summary for both Title 2 and Title 16 applications, amendments, and notice information. Documents stored in ORS may be imported into the CEF using eView prior to burning a CD.

• Check CPMS (Case Processing and Management System) for current information about Hearings level claims.

• Check ARPS (Appeals Review Processing System) for current information about Appeals Council (AC) level claims

  NOTE: Data posted to CPMS after 2/25/2011 does not update OHACCS. This means users can no longer use queries in PCOM menu item 17 to view current ODAR data. Users must use CPMS or ARPS queries for current ODAR information.

C. Determining Whether Documents can be Released in a Copy of the Certified Electronic Folder (CEF)

The file must be reviewed to identify which documents or portions of documents can and cannot be released, based on access and disclosure rules. For details on access and disclosure, see:

• Access to SSA Data – Disclosure - GN 03340.000;

• Law and Regulations — Disclosure/Confidentiality - GN 03301.000; and

• Access and Disclosure of Confidential Information and Official Records - GN 03300.000.

• Who May Consent - GN 03305.005 for restrictions on parental disclosure of a minor child’s medical records and

• Providing Access to Medical Records - GN 03340.035 concerning parental access to a minor child’s medical records.

While preparing a copy of the record, consider the following:

• Documents contained in the Current Development/Temporary (green) section of the CEF are not considered part of the official folder and should not be released.

• Documents marked as “DO NOT PROCESS”. These documents are not considered part of the final determination.

• Some documents should not be released based on SSA access and disclosure rules. Such documents should be identified with a Sensitive Document Indicator in the Case Documents Tab to alert all eView users that the document marked may contain sensitive information that should not be disclosed. See Case Documents Tab - DI 81005.050 for additional information about the Sensitive Document Indicator. Do not select these documents for burning to a CD.

• If only part of a document stored in the CEF should be disclosed in the file copy, print out the document from eView, censor the parts that cannot be disclosed, and provide the paper copy to the requester. Do not fax the censored document into the CEF, and do not select the original document in the CEF for burning to a CD.

• If a complete document that is not stored in the CEF should be included in the file copy; print the document and provide the paper copy to the requester along with the medical information which is contained in the CD. Do not fax the printed document into the CEF.

• If only part of a document that is already stored in the CEF should be included in the file copy:

  • Print out the document;

  • Censor the parts that cannot be disclosed; and

  • Provide the paper copy of the censored document to the requester.

• If a complete document is stored in ORS, import the applicable documents from ORS into the CEF using eView prior to burning the CD.

D. Burning Documents from a Certified Electronic Folder (CEF) to CD

To burn a CD, take the following steps:

• Open eView for the case the copy was requested.

• Check the Alerts/Messages screens to see if there is an alert, message or flag posted.

If there is an alert, message and/or flag present:

• Review any alerts, messages, or flags; and

• Address any outstanding issues.

NOTE: If sensitive information in a section is identified, ensure that the case is flagged (Add the EDCS or eView Special Handling Flag). After entering the flag, explain why the information is sensitive and that it should only be disclosed to a third party. (For a complete list of flags that can be added to the CEF via EDCS or eView, refer to the Electronic Folder Flags List .

• If the Alerts/Messages screens are blank, click on the Case Documents tab in eView (See The Case Documents Tab - DI 81005.050). This screen provides a layout of the Modular Disability Folder (MDF) where documents and audio files are selected from the appropriate sections for copying. Only electronic images copy to CD. The following do not copy to the CD:

  • Bookmarks and annotations on documents;

  • Messages and flags; and

  • Electronic Disability Collect System (EDCS) documents that have not been captured as electronic images.

NOTE: CDs that contain audio and indexing files from exhibits that are housed in the claimant’s electronic folder are part of the official disability folder as it is the official record of the ALJ hearing. Effective June 2005, audio files copied to a CD no longer contain the HTML and FLS extension and, therefore, are not available to the external user (Internal users still have the files available in a zip file in DMA).

• Select the documents you wish to copy using:

  • The Select All link at the top of the screen;

  • The Select all in section links on each section header;

  • Individual check boxes for each desired documents; or

  • A combination of the above three options until all (and only) the desired documents are selected.

• Once all desired documents are selected, place a CD in the burner and click on the “Copy to CD” button.

NOTE: The CD should be “finalized” in order to prevent additions or deletions from the file copy provided.

• Once the CD is copied, open the CD and review the information on it to be sure that the CD copied correctly.

• Add a message or SSA-5002 (Report of Contact) to the CEF to show what was copied, to whom the copy was given and the date it was given. Do not put an expiration date on the message. See Editing a Certified Electronic Folder (CEF) in eView - DI 81001.040 regarding locking the case to add a message to the CEF.

• Create a document that gives instructions for playing the CD and include it in the case with the CD. (A mailing label measuring approximately 1”x 2 5/8” is recommended). The instructions must include the following statement:

  Instructions for playing CD: Place CD in CD drive. The “Getting Started” screen should load automatically in your browser. If it does not, load the index.html page from the CD in your browser and select “Getting Started”.

• Create a Disclosure document to give to the claimant or representative that contains the following:

  Disability Folder For: (Claimant’s name)

  Prepared on: (Date)

  • Contains personal information; please destroy when no longer needed.

  • Unauthorized disclosure of information in the file is a crime under section 1106 of the Social Security Act.

  Provide the Disclosure document an envelope or folder (large enough to contain 8 x 11 printed documents as applicable) with every electronic disability folder CD distributed. The envelope/folder is required to lessen the risk of electronic folders/CDs being lost, misplaced, etc.

  NOTE: SSA employees should not enter SSNs on the CD labels or Disclosure page. Also, for information on who is authorized to receive and certify copies, the specific language that is required and information on applying the certification seal see Certification of Copies of Documents and Extracts from Records - GN 03360.025.

E. CD Fee Policy

1. Certified Electronic Folder (CEF)

A claimant is entitled to one free copy of the file for program purposes. If the request is for non-program purposes or there is a request for a second or subsequent copies of the file burned onto a CD, the fee for burning the CD will be $10. This fee will only be charged if the total cost of duplication is over $25. If the total cost for duplication is less than $25, no fee will be charged.

2. Combined Paper and CEF

When a file contains both paper and electronic material, apply the appropriate fees outlined in Privacy Act and FOIA Fees - GN 03311.005B.2. for paper material and $10.00 per CD for electronic material. However, the fees will only be imposed when the total cost for duplication is $25 or more. If the total cost for duplication is less than $25, no fee will be charged.