TN 7 (11-91)

DI 27515.060 Collateral Estoppel - New Regulation Basis Codes

A. Background

Adoption of a prior determination by the Disability Determinations Services (DDS) through the collateral estoppel process required the inclusion of the regulation basis code of that original determination on the adoption Form SSA-831-U3 (Disability Determination and Transmittal).

If no regulation basis code was reflected on the query from the National Disability Determination Services System (NDDSS) for the claim, the DDS secured the folder or if lost, reconstructed same.

The Office of Systems Requirements (OSR) has established two new regulation basis codes for use in the processing of initial cases under the principle of collateral estoppel in the above situation.

Effective October 1991, the regulation basis codes of “CE” for title II and “ACE” for title XVI are now available for transmitting decisional data to the NDDSS.

B. Policy

The establishment of these codes does not eliminate the need to continue to apply the proper principles of collateral estoppel/adoption location in DI 27515.000ff.

The new codes of “CE” and “ACE” will only eliminate the need to secure the prior folder or reconstruct same merely to establish a regulation basis code for collateral estoppel purposes.

C. Procedure

Follow the steps below if transmitting decisional data to the NDDSS:

  • Adopt a disability decision based on the regulation basis code shown on the DDSQ (SM 06001.000ff) query if possible.

  • Enter “CE” in block B2 for title II and “ACE” in block B16 for title XVI cases of the closure (D831) data input screen if the DDSQ does not reflect the regulation basis code of the prior determination.

  • Enter “CE” or “ACE” in block 22 of the SSA-831-U3 for the new determination.


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0427515060
DI 27515.060 - Collateral Estoppel - New Regulation Basis Codes - 01/23/2015
Batch run: 01/23/2015
Rev:01/23/2015