TN 2 (01-21)

DI 27515.015 Association of Prior Paper Folder in Collateral Estoppel Claims

When the prior favorable determination or decision is not in the certified electronic folder (CEF), follow the procedures below for requesting and associating the prior paper folder.

A. Field Office (FO) responsibilities

The FO will request the prior paper folder in accordance with DI 11005.085B before transferring the new claim to the Disability Determination Services (DDS) for determination.

Complete Item 7 on the SSA-3367 to document the prior paper folder request.

Do not delay transferring the new claim to the DDS while obtaining the prior paper folder. Once received, route the prior paper folder to the DDS to associate with the pending claim.

When the prior paper folder cannot be located, include a copy of the prior SSA-831 and SSA-832/833 when available.

B. DDS responsibilities

1. Prior paper folder not requested

The DDS will request the prior paper folder per DI 20505.015 when it was not requested by the FO and the prior paper folder is needed to:

  • Determine whether collateral estoppel applies when sufficient evidence is not available by query or from the SSA-831/832/833,

  • Resolve a continuing disability review (CDR) issue, or

  • Assist in determining onset of disability.

2. Prior paper folder not available or destroyed

When the prior paper folder is not associated or available despite attempts to obtain it and none of the restrictions in DI 27515.001E apply, adopt the prior favorable determination or decision based on:

  • The prior SSA-831/832/833, or

  • Queries, such as the Disability Determination Services Query (DDSQ).

IMPORTANT: The DDS must complete development and make a new determination when all of the required information is not available to determine whether collateral estoppel applies.

NOTE: When the DDS adopts a prior favorable determination or decision using queries or the SSA-831/832/833, ensure these documents are included in the CEF.


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0427515015
DI 27515.015 - Association of Prior Paper Folder in Collateral Estoppel Claims - 01/13/2021
Batch run: 01/13/2021
Rev:01/13/2021