TN 53 (10-13)

DI 11010.370 Field Offices (FO) Retaining and Shipping Paper Modular Disability Folders (MDF)

This section provides field office (FO) instructions for retaining and shipping paper modular disability folders (MDF).

NOTE: If a case is a certified electronic folder (CEF), document all material electronically or fax the material into the electronic folder.

A. Retaining paper folders in the FO

1. Title II

Retain Title II only denial cases in the FO for six months from the date of the denial notice, unless the claimant requests reconsideration or other claims activity requires folder movement (e.g., the claimant files a Retirement Survivors Insurance (RSI) claim).

EXCEPTION: Do not hold for the 6-month retention period cases involving family maximum disabled widow(er) benefits (DWB) or childhood disability benefits (CDB) where the denied claim affects the payment of family benefits on a number holder’s SSN and there is a delay in paying the claimant’s benefits.

2. Title XVI

Retain Title XVI only claims in the FO until the claimant files an appeal or the SSI Control System (SSICS) requests the folder for shipment to the SSA National Records Center (SSANRC).

B. Shipping paper folders to the SSANRC

See DI 11010.370C in this section for detailed instructions on:

  • what type of boxes are appropriate for shipping folders, and

  • how to prepare the United Parcel Service (UPS) label.

REMINDER: Do not ship any folders on the lists to the Federal Records Center (FRC). Also, do not complete the SF-135 (Records Transmittal and Receipt).

1. Title II and Medicare for qualified government employment (MQGE) cases

  • Retrieve the list of Title II 6-month denial cases each month using the Title II Six Month Denials utility. The list displays the claimant's name, SSN, date of denial, and (PC) Processing Center of jurisdiction.

  • Send Title II folders via UPS to:

    SSA National Records Center
    601 South 291 Highway
    6002 East Geospace Drive
    Independence, MO 64056

    SSANRC telephone number:
    1-888-281-2999

2. Title XVI only cases

  • Pull the Referral and Inactivation listings separately from the SSI Online Folder Shipment Lists site, and send the folder to the SSANRC via UPS to the following address:

  • Send Title XVI folders via UPS to:

    SSA National Records Center
    601 South 291 Highway
    6016 East Geospace Drive
    Independence, MO 64056

    SSANRC telephone number:
    1-888-281-2999

Do not ship:

  • Title XVI folders listed on the Master Destruction List from the SSI Online Folder Shipment Lists; and

  • Title XVI folders not appearing on the Inactivation or Referral Listings from the SSI Online Folder Shipment Lists.

Determine if you can discard the post-entitlement (PE) material or fax it into the electronic folder.

REMINDER: It is important that you properly purge unnecessary material from the folder. The size of folders shipped to the SSANRC affects the volume of folders the facility can store.

References:

  • SM 01201.115 How to Prepare an SSI Claim for Shipment to the Social Security Administration National Records Center (SSANRC)

  • SM 01201.150 SSI Quarterly Folder Referral Process

  • SM 01201.800 Supplemental Security Income (SSI) Quarterly Folder Inactivation Process

  • SM 01201.900 SSI Folder Destruction Process

  • SM 01201.910 Automatic Selection Criteria for SSI Folder Destruction

3. Concurrent Title II/Title XVI cases

a. Separate concurrent initial Title II/Title XVI folders

For concurrent initial Title II/Title XVI folders, you must separate the folders and:

  • Include a copy of the Form SSA-831-U5 (Disability Determination and Transmittal) for each title in the Title II and Title XVI folders; and

  • Send the folders separately according to the instructions in DI 11010.370B.1. and DI 11010.370B.2. in this section.

b. Disposition of common disability material

If the official folder is paper, the guides for disposition of common disability material when splitting concurrent Title II and Title XVI cases are as follows:

  • If both Title II and Title XVI are allowances or denials, file disability material common to both claims in the Title II folder.

  • If one claim is an allowance and the other is a denial, file common disability material in the allowance folder.

  • If the claimant files an appeal on both claims, keep all material in the Title II folder, except where there is a Medicare entitlement issue. A Medicare entitlement appeal must be separately prepared and forwarded to the appropriate Department of Health and Human Services Office of Medicare Hearings and Appeals (OMHA), see GN 03108.200D.

  • If the claimant files an appeal on one claim only, place the common disability material in the folder for the appealed claim.

  • Do not recall folders for the sole purpose of changing the folder location of common disability material when PE actions change the pay status of either claim.

C. Folder shipping instructions

Follow the instructions below for shipping folders for storage:

1. Preparing the UPS label

Complete the following:

  • “Company” or “Name” field with SSA National Records Center;

  • “Attention” field only when instructed for special shipping. Otherwise, leave blank;

  • Address 1 line with “601 South 291 Highway”;

  • Address 2 line with either “6002 East Geospace (Title II)” or “6016 East Geospace (Title XVI)”;

  • City, state, and postal code entries with “Independence, MO 64056”; and

  • “Telephone” field with the SSANRC phone number: 888-281-2999.

2. Appropriate boxes for folder shipping

  • Using standard white shipping boxes for folder shipment is an option, not a requirement. However, when choosing a box for folder shipment, you must use the smallest shipping boxes possible and the boxes must be durable. For smaller shipments, consider using fiber envelopes from UPS (for no extra charge).

  • You may order special-use boxes for storing and shipping folders from GSA Advantage utilizing the purchase card. The National Stock Number (NSN) is 8115-00-117-8249. Be sure to check with management before ordering boxes.

  • For additional information regarding packaging and labeling instructions, refer to the SSANRC website.

NOTE: Improper shipping boxes, including those with excess space, can crush or open and create a potential loss of personally identifiable information (PII).

3. Folder shipping methods

a. United Parcel Service (UPS) ground shipping

For shipments going to the SSANRC weighing 13 ounces or more, use UPS ground shipping.

b. UPS 2 to 3 day service

For shipments going to another office weighing 13 ounces or more, use the UPS 2 to 3-day service.

When shipping PII, use UPS provided packaging for the following shipments:

  • Next Day;

  • Second Day; and

  • International.

c. U.S. Postal Service (USPS)

  • For shipments going to the SSANRC weighing 13 ounces or less, use USPS.

  • For shipments going to another office weighing 13 ounces or less, use USPS.

In addition, send all shipments to Post Office Boxes, Puerto Rico, and U.S. Territory locations via USPS Priority Mail.


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0411010370
DI 11010.370 - Field Offices (FO) Retaining and Shipping Paper Modular Disability Folders (MDF) - 03/12/2014
Batch run: 03/12/2014
Rev:03/12/2014