DI 20502.010 Preparing Paper Folders for Specific Cases
These procedures apply for cases that are not being processed in certified electronic files (CEFs).
A. Case types
1. Disability Insurance Benefits (DIB) or freeze file
In preparing a file for a disability insurance benefit (DIB) or freeze case, the field office (FO) enters the number holder's (NH) social security number (SSN) on the face of the folder tab. The NH's surname and first initial are entered on the reverse of the folder tab.
2. Childhood Disability Benefits (CDB) file
The FO enters the NH's SSN on the face of the folder tab and the child's surname and first initial on the reverse of the folder tab. If the parent's DIB claim is forwarded along with the CDB claim to the disability determination service (DDS), the CDB and DIB files are stapled together.
3. Disabled Widow(er) Benefits (DWB) file
The FO enters the NH's SSN on the face of the folder tab, and the widow(er)'s surname and first initial on the reverse of the folder tab.
4. Multiple title II claims
In multiple Title II claims (e.g., DIB-CDB, DIB-DWB) the FO will prepare one Modular Disability Folder (MDF) for the DIB (HA) claim containing the medical information and attach a brown two part folder for the other Title II claim (i.e. CDB or DWB) containing the non medical information. These folders are stapled together. (See DI 70005.005.)
If a DDS determination is necessary on only one of the claims, only the claim folder for which a determination is required will be sent to the DDS. A report of contact advising the DDS of this fact will be included in the file.
5. Title XVI file
If the claimant is filing for Title XVI only, the FO will enter the claimant’s SSN on the face of the folder tab. The letter “S” is entered after the number to indicate Supplemental Security Income (SSI) involvement. The claimant's surname and first initial are entered on the reverse of the folder tab.
NOTE: Title XVI claims on related claimants, such as husband and wife, should be transmitted in separate folders that are not stapled together. The FO should cross-refer these claims in item 11 of the SSA-831-U3 (Disability Determination and Transmittal).
6. Concurrent Title II-Title XVI file
In concurrent Title II-Title XVI claims on the same SSN (e.g., DIB-SSI/DI), only one MDF is prepared and it is, in effect, the Title II folder. This folder contains all medical records for both claims and the non-medical records for the Title II claim. The non-medical records for the Title XVI claim, including the disability transmittal form, are filed in a brown two-part folder and attached to the Title II folder jacket. (See DI 11055.150 and DI 70005.005 for details.) The FO enters the claimant's Title II claim number on the face of the folder tab of the MDF. Here, too, the letter “S” is entered on the tab.In claims with two SSNs (e.g., DWB-SSI/DI), two folders should be prepared as in Title II related claims.
NOTE: Keep in mind that in the electronic file, the folders are set up the same as paper.
B. Disability transmittal forms
1. Title II
Non-Modernized Claims System (MCS) Claims
The FO uses the SSA-831–U3 to make the transmittal of disability claims material to the DDS when an electronic transmittal form cannot be completed. (See DI 11010.205 for instructions for completing SSA-831-U3.)
2. Title XVI
Non-Modernized Supplemental Security Income Claims System (MSSICS) Claims
The FO uses the SSA-831-U3 to make the transmittal of disability claims material to the DDS when an electronic transmittal form cannot be completed. (See DI 11010.205 for instructions for completing SSA-831-U3.)
If the FO makes a presumptive disability (PD) or presumptive blindness decision, a manually prepared SSA-831-U3 with proper signatures must be in the file. The DDS will retain this SSA-831-U3 as an attachment to the SSA-831-U3 completed by the DDS at case closure. (See DI 11010.205 for instructions for completing SSA-831-U3.)
3. Electronic Disability Collect System (EDCS)
The FO will transfer the EDCS record following DI 81010.085 for CEFs, and for EDCS non-CEF cases, and attach the EDCS routing form to material being sent to the next office.