TN 3 (02-95)

GN 01703.410 Disposition of Totalization Folders

A. Policy

Totalization folders (TF) are not automatically selected for Federal Records Center (FRC) inactivation because often the wage earner is receiving nontotalization benefits and his/her MBR is in active status.

TF folders containing a U.S. denial are listed for future destruction.

TF folders containing no U.S. claim (no attached RSDI folder) are either destroyed immediately after all actions are completed or held for a set period of time and then destroyed. See GN 01703.410.C.4 for instructions to determine destruction date.

B. Procedure - U.S. totalization claim in file

Claims Authorizer - After completing a U.S. totalization disallowance, complete Form SSA-382-U2 (INTPSC Diary/Listing) as follows to list folders for inactivation:

  • Item 1 and 3 - (self-explanatory)

  • Item 9 - enter an X

  • Item 11 - enter “INACT”

  • Item 13 - enter the last digit of the current year

  • Sign and date the form

  • Dispatch the original SSA-382-U2 and file the carbon copy in the TF folder.

C. Procedure - no U.S. claim in file

Liaison Clerk -Follow these steps when there is no U.S. claim in file:

1. Preparation for final action

Before taking final action on a TF folder that contains no U.S. claim, the LC should make certain that the following conditions are met.

  • All liaison activities are complete.

  • All inquiries have been answered.

  • There are no pending issues.

2. Disposition of folder

After verifying that all actions on the TF folder are complete, send the folder to be destroyed or prepare a listing for future destruction. Use the following instructions to determine the correct action on the folder.

  1. If the folder is a alpha:

    • return any foreign agency assistance request with the package

    • route the alpha folder to a RAC to be destroyed.

  2. If the folder is not an alpha and contains only a foreign agency assistance request for information in SSA records, return the foreign agency's request with the package. Route the folder to a RAC to delete the record and destroy the folder.

  3. If the folder contains material not available in SSA records, e.g. not on MBR, medical evidence, worker's own documents, or a foreign only claim, prepare a listing (SSA-382-U2 INTPSC Diary/Listing). This will identify the case for future destruction.

3. Complete listing

Complete the listing as follows:

  • Item 1 - enter the SSN

  • Item 3 - enter either Mod 6 or Mod 7 (CA, LC, or BA)

  • Item 9 - check this block

  • Item 11 - Enter D and four digits for the month and year that the folder should be destroyed

    Example: To list a folder for destruction in February 1996, use the code D0296.

4. Destruction date

Determine the destruction date as follows:

  • Italian Case - 2 years

    If the folder contains an Italian assistance request or Italian claim, list the case for destruction in 2 years.

    Example: If the current date is 2/14/93, use the listing code D0295.

  • Medical Examination Case - 2 years

    If the folder contains the results of a medical examination obtained for a foreign agency, list the case for destruction in 2 years.

  • All Other Cases - 6 months

    If the folder does not contain an Italian case or the results of a medical examination, list the case for destruction in 6 months.

5. Review and return

Review the folders that are pulled each month from the listings mentioned above. Determine if there are outstanding issues that should be resolved, original documents that should be returned to the claimant or medical documents could be returned to the agency.

  • If there are outstanding issues, route the folder to the appropriate technician.

  • If there are original documents in file, return them to the claimant.

  • If there are medical documents in file, return them to the foreign agency.

  • If there are no outstanding issues or original documents in file, route the folder to a RAC to be destroyed.


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