When a claimant, beneficiary, or appointed representative requests a copy of the official file folder in either paper or electronic format, all documents that make up the case must be included. The official disability case folder consists of documentation per GN 00301.285. Requests for certified copies of a CEF must be forwarded to the Regional Office per GN 03360.025.

The official folder includes the following:

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

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  All disability-related forms used in the case (see DI 11005.016);

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

REMINDER: If a case is an EDCS exclusion or limitation, it will have an associated paper folder, which must also be copied for the requestor.

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

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  Statements of claimants or others (e.g., SSA-795 [Statement of Claimant or Other Person], CCE Person Statement, Report of Contact [ RPOC] or CCE Report of Contact, Remarks [RMKS] screens, or EVID per GN 00301.286E. when MCS, MSSICS, or CCE cannot be used);

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  Personal observations by the interviewer or other pertinent information (e.g., CCE Report of Contact, RPOC or EVID per GN 00301.286E. where MCS, MSSICS, or CCE cannot be used);

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  RPOC or CCE Report of Contact screens for SSA-553 (Special Determination) showing the adjudicator's evaluation of conflicting evidence or complex issues and inferences made;

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  Questionnaires; and

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  Other material as appropriate.

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:

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

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  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).

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  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.

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

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  Electronic Representative Payee System (eRPS) (item 23 of the SSA mainframe menu) for all applicable representative payee applications that need to be printed.

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  eView for all documentation scanned or imaged into the CEF. See Case Documents Tab - DI 81005.050.

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  ORS 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.

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  Check CPMS for current information about Hearings level claims.

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

The office making a copy of the case must review the folder 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:

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  Access to SSA Data - Disclosure - GN 03340.000;

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  Law and Regulations - Disclosure/Confidentiality - GN 03301.000;

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  Access and Disclosure of Confidential Information and Official Records - GN 03300.000;

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

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  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:

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  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.

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

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  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.

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  If a 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 that is contained in the CD. Do not fax the printed document into the CEF.

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

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    Print out the document;

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    Redact the parts that cannot be disclosed; and

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    Provide the paper copy of the redacted document to the requester. Do not fax/scan redacted copy into the electronic file.

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    Do not include unredacted/unsanitized documents when burning a CD.

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  If there are documents stored in ORS, import the applicable documents from ORS into the CEF using eView prior to burning the CD.

To create an encrypted CD using the CD burning utility in eView, take the following steps:

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  Open the case in eView.

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  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:

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  Review any alerts, messages, or flags; and

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  Address any outstanding issues.

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  If the Alerts/Messages screens are blank, click on the Case Documents tab in eView (see 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:

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    Bookmarks and annotations on documents;

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    Messages and flags; and

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    Documents linked to the CEF, such as comparison point decision (CPD) documents. To copy linked documents, they must first be copied from the stored location (CPD folder, ORS, etc.) to the current folder. For more information about copying documents, see DI 81005.052.

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  Select the documents you wish to copy using:

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

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    The "Select All" in section links on each section header;

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    Individual check boxes for each desired document; or

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

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

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

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  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.

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  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”.

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

  Disability Folder For: (Claimant’s name)

  Prepared on: (Date)

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    Contains personal information; please destroy when no longer needed.

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    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. 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 GN 03360.025.

To encrypt a PDF and send it to the claimant’s personal email, take the following steps:

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  Create the PDF using steps in section E - Burning Documents from a Certified Electronic Folder (CEF) to CD and PDF format;

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  Once all desired documents are selected, the CD Burning window displays;

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  Select "Send Email";

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  Enter the password on the pop-up window and select "OK";

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  Re-enter the password and select "OK";

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  Enter the recipient’s email address and select "OK";

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  Change the employees email address in the "From" field to ^SSA Documents;

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  Select the "Allow" check box and button on the Microsoft pop-up;

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  Select "No" when prompted to burn another CD;

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  This will generate an SSA email. Select "Send";

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  Add a message to the Alerts & Messages section of eView.

  NOTE: 

  The message should include what was copied, to whom the copy was given, and the date it was given. Do not put an expiration date on the message.

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    From eView, select "Edit (Lock Case)" at the top right-hand corner and "OK" to confirm the case has been locked;

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    Navigate to the "Alerts & Messages" tab;

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    Select "Add Message";

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    Add the message "eFolder sent to the claimant via secure email" to the "Description" field;

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    Select "OK" to save the message; and

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    Confirm the message has been added to the "Messages" section before selecting "Unlock Case".

To send a PDF copy of eFolder documents to a mySSA account, take the following steps:

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  Create the PDF using the steps in section E - Burning Documents from a Certified Electronic Folder (CEF) to CD and PDF format;

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  Once all documents are selected, the CD Burning window displays;

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  Select "Send to mySSA";

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  Select "Yes" to send to the claimant’s mySSA Message Center account, when the pop-up displays;

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  A pop-up window will display to indicate a successful or unsuccessful submission with a prompt to select "OK";

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    From eView, select "Edit (Lock Case)" at the top right-hand corner and "OK" to confirm the case has been locked;

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    Navigate to the "Alerts & Messages" tab;

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    Select "Add Message";

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    Add the message "eFolder sent to the claimant's mySSA account" to the "Description" field;

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    Select "OK" to save the message; and

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    Confirm the message has been added to the "Messages" section before selecting "Unlock Case".