TN 1 (01-01)
DI 13015.040 Folder in SSANRC, FRC, DDS, or ODAR Locations - FO Actions
If a selected direct release medical review alert reflects a CFL of either the National Records Center (SSANRC) or the Federal Records Center(s) (FRCs), the Disability Control File (DCF) will automatically request the Title XVI folder(s) and all related material stored in these locations. When the CFL is other than the SSANRC or FRC, the DCF sends the direct release alert to the FO of jurisdiction (generally the DIS – Servicing DO Code displayed in the ADDR – Mailing Address Segment Identifier of a SSI query).
SSANRC simultaneously retrieves all folder(s) and related posteligibility (PE) material/folder(s) stored in the SSANRC or the FRCs, and forwards it in one folder to the FO of jurisdiction. The SSANRC consolidates all the folder material into one folder by removing extraneous folder jackets and drop-filing their contents into the remaining folder. Prong-filed material remains together, and loose material is stapled or rubber-banded. Also, when necessary, a large folder is securely rubber-banded on the outside or an accordion folder is used to consolidate large quantities of claims and PE material.
B. Procedure – Previous SSANRC or FRCs Search
DO NOT CONTACT SSANRC if the DCF has already directly requested the folder and this request resulted in the:
Posting of an L50/L51 (unable to locate) folder location; or.
Receipt in the FO of alert message "Folder/PE Recall Requested Unable to Locate"; or.
Receipt in the FO of a post eligibility (PE) material folder (no medical evidence), since SSANRC has already searched for and sent all folders and related PE material that they and the FRCs could find within their offices under the requested SSN.
Follow DI 13015.035B. and DI 13015.080.
C. Procedure – No Previous SSANRC or FRCs Search
1. New SSN - No Previous SSANRC Search
DO CONTACT SSANRC if they have a folder with another SSN that might contain the medical evidence, i.e., a spouse"s or relative"s claim or the individual has multiple SSNs.
2. Folder Moved After Initial Search
DO CONTACT SSANRC if the folder moved to that location AFTER the DCF initial selection. Possible CFL reads are:
3. How to Contact SSANRC – Summary of Procedures
Request the file via the Automated Folder Request using the 8028/AR33 screen. Adhere to the request and follow up procedures in SM 01201.055, SM 01201.175 and SM 01201.210.
Once the SSID reflects a current date in the MV field followed by the letter C, indicating the SSANRC has cleared the folder to the requesting office, tickle for about 10 working days for receipt of the folder.
NOTE: Establish your tickle controls using the DCF new worksheet (CDRW) located in MSOM CDR 001.013.
FO receives an alert message, "Folder/PE Recall Requested Unable to Locate", if the SSANRC is unable to locate any claims folder or related material on the requested SSN as notification that NO folder/material could be found.
In addition, under certain circumstances, check for the posting of an L50/L51 (unable to locate folder) in the CFL of the SSR when no folder/material can be located.
NOTE: Both the SSANRC and the FRCs conduct two searches by different personnel before they declare a folder/material is unable to be located.
Folder found and received in FO: See DI 13005.030.
If unable to locate the folder(s), proceed to DI 13015.080.
4. Folder in SSANRC or FRC (L0E, L86-L99) – Automated Recall
DO CONTACT SSANRC if the FRC field on the SSID or offline query shows an SSANRC or FRC location (e.g., L0E, L86-L99). The presence of an entry in the FRC field indicates a claims folder has been receipted into the SSANRC.
a. Folder Recall Request
Request folders stored in the SSANRC or FRC using the SSA-8028 automated recall (AR33) procedure. Be sure to screen-print and date the SSA-8028 input to retain a record of the date of your request. The system does not display the request date.
Example of SSI Query before AR33 is input:
CCTL FUN: xxx xx xxxx CFL: L0E MV: 01/02/99-R FRC:L0E PFL:123
Example of SSI Query after AR33 is input:
CCTL FUN: xxx xx xxxx CFL:123 MV: 00/00/00 FRC:L0E PFL:L0E
Zeroes appear in the MV field on the CCTL only when an automated recall has been successfully transmitted.
Keep copies of queries in file to document they were obtained and highlight/circle pertinent areas.
Note: If an AR33 is input and there is no claim folder reading in the SSANRC or FRC (no FRC field present when request input), then the following message will be generated to advise that the SSANRC will search for a PE file or material. “NO FOLDER; RECALLING PE MATERIAL” see SM 01201.260.
b. Request Results
As a result of the AR33 Transaction, the SSANRC will retrieve all SSI claims and PE folders stored in the SSANRC and the FRCs. They will consolidate the material and send it to the requesting unit in the FO.
Example of SSI Query after SSANRC locates/clears the file:
CCTL FUN: xxx xx xxxx CFL:123 MV: 07/01/00-C PFL:L0E
c. Time Frames – Unable to Locate Messages
It can take up to eight weeks (60 days) to receive the requested folder(s) – depending on the number of folders the SSANRC must obtain and where they are stored; i.e., retrieval time generally increases when material must be requested from the FRCs.
If the SSANRC is unable to locate the requested folder(s), the FO receives an alert message “FOLDER/PE REQUESTED UNABLE TO LOCATE” and the SSI/CCTL query will be updated to show a CFL of L50 or L51 (unable to locate).
The FO should take no further action to obtain the prior folder(s) from the SSANRC after a completed search indicates that the claims folder(s) could not be located.
Example of SSI Query if SSANRC cannot locate the folder:
CCTL FUN: xxx xx xxxx CFL:L50 MV: 00/00/00 PFL:L0E
D. Procedure - When Not to Request Files from SSANRC
DO NOT REQUEST files from SSANRC if they are reading:
L47 = Folder Meets Destruction Criteria/Folder Destroyed
L50 = Unable to locate (UTL) in SSANRC
L51 = UTL in the FRC
Folder in DDS Location (e.g., Snn) – unless there is also an FRC code (Lnn) indicating a folder is in SSANRC/FRC.
E. Procedure - Folder in Disability Determination Services (DDS)
If the folder(s) is in the DDS (i.e. happens most often in Class Action Cases):
Obtain a Disability Determination Services Query (DDSQ) to confirm the folder is still in the DDS.
If the DDSQ confirms folder in DDS, document on an SSA-5002
Phone the appropriate DDS, obtain the name of DDS contact in the DDS, and inform them of the need for a medical CDR.
DO NOT REQUEST the return of the folder, explain to the DDS the need for the CDR.
If the DDS wants your CDR material, please forward it to them in accordance with standard routing instructions.
Annotate in remarks of the DCF that the DDS was contacted and told of the need for a CDR.
If the folder is returned through the FO, please check to make sure the CDR was completed and take appropriate action to close out the CDR on the DCF.
When the DDS completes their review (e.g., Class Action Review) and provided no screen-out criteria (see DI 13005.020) apply, if the DDS did not already complete the CDR, and benefits are continuing, conduct the medical CDR interview (see DI 13005.030 ff.).
If screen-out criteria apply, annotate it in the remarks of the DCF and close out the pending CDR.
If the DDSQ shows the folder is not in the DDS, search for folder in the new location provided or reflected on the DDSQ.
If unable to locate the folder(s), proceed to DI 13015.080.
Folder found: See DI 13005.030.
F. Procedure - Folder in the Office of Disability Adjudication and Review (ODAR), the Office of the Inspector General (OIG), or the Office of the General Counsel (OGC) Locations
If the folder(s) is in ODAR, OIG or OGC:
Obtain a query (e.g., OHAQ) to confirm the folder is still in ODAR, OIG or OGC.
If the case is still active in one of these locations, document on the SSA-5002 (see DI 13015.250).
DO NOT REQUEST the return of the folder.
Close out the CDR on the DCF.
Annotate in the remarks of the DCF that the CDR is not being pursued pending return of the folder.
Discard the Direct Release alert.
DO NOT tickle for return of the folder. Central Office monitors completion of all CDRs - no additional actions are needed.
If the query, i.e., OHAQ, shows the folder is not active in ODAR, OIG, or OGC, search for the folder in the new location reflected on the query.