TN 13 (03-15)

DI 81010.137 Receiving Documents Submitted through iAppeals

Starting March 14, 2015, iAppeals users have the option to submit (upload) forms and other evidence with their Internet appeal requests. In addition to reconsideration and hearing requests, the i3441, and an e827, the iAppeals attachment utility will allow Internet users (IU) to submit up to 10 documents to associate with the appeal.

A. Processing Internet documents before creating a case in EDCS

When an IU submits an appeal request through iAppeals, a record of the filing will appear on the servicing field office’s (FO) Internet workload management information (iWMI) list. The FO Electronic Disability Collect System (EDCS) user can process the Internet documents prior to creating a case in EDCS by using the Preview Internet Documents page.

1. Accessing the Internet documents

To access Internet documents:

  1. Open EDCS

  2. Select the Preview Internet Documents page.

  3. Enter the claimant’s SSN to search for documents.

  4. EDCS performs a search and returns a list of documents that match the search SSN.

  5. The search result displays documents that are not associated with an EDCS case. It will not display documents previously associated with an EDCS case.

2. Search result display

The summary list of documents generated by the document search will appear in a table with the following columns:

  1. Document Type – The entry is the document type specified by the IU at submission. For successfully submitted documents, the document type entry is a link the EDCS user can use to launch the DMA viewer.

  2. Submission Status – The possible entries are successful, processing, or failed. EDCS will display the reason a document submission failed on that document’s detail page.

  3. Submission Date – The date the IU submitted the document.

  4. Source App – The Internet application used to submit the document (i3441).

  5. Level – The adjudicative level at which the IU submitted the document (reconsideration or hearing).

  6. Notes – The Notes column displays comments previously added by an EDCS user.

  7. Action – The Action column displays the retention action taken for the document. EDCS displays a default entry of “Undecided” for documents that have a Submission Status of “Successful.”

  8. Update details – An Update Details link appears for each document that displays either “Successful” or “Failed in the Submission Status column. The Update Details link takes the EDCS user to the Internet Document Detail page for the document.

3. Reviewing Internet documents

Review the documents generated by the document search to determine whether to file them in the electronic folder.

  1. Select the documents available for review.

  2. Open the document(s) in the DMA viewer by selecting the link in the Document Type column or by selecting the Open Selected button.

  3. Review the selected documents in the DMA viewer.

  4. Make sure that the SSN associated with each document matches the SSN used for the document search.

  5. The EDCS user can manipulate the documents within the DMA viewer. The user can:

    1. view the document;

    2. rotate the document;

    3. print the document;

    4. save the document; and,

    5. delete pages if the document has more than one page.

  6. The EDCS user cannot delete an entire document.

4. Retaining Internet documents

Except for the SSA-1695, to retain Internet documents:

  1. Close the DMA viewer.

  2. Select the documents to retain from the summary list of documents.

  3. Select the Retain Selected button. EDCS changes the entry in the Action column to “Retain.”

For processing an SSA-1695, see DI 81010.137A.8.

5. The SSN in a document does not match the SSN used for the search

When a document in the search result list does not match the SSN used for the search, take the following action:

  1. Print the document.

  2. Select the Update Details link for that document.

  3. EDCS presents the Internet Document Detail page.

  4. Select the Discard radio button.

  5. Select the Discard Reason from the dropdown list

  6. If “Other” is the selected Discard Reason, manually enter “Not related to case” in the Other Discard Reason textbox.

  7. Select the OK button to return to the Preview Internet Documents page. The Action column for the document will display “Discard.”

  8. Follow existing procedure for handling documents associated with the wrong SSN.

6. Internet user selected the wrong document type at submission

The IU designates the document types for documents submitted via iAppeals’ document attachment utility. The IU selects the document type from a list provided within iAppeals. If the IU selected the wrong document type:

  1. Select the Update Details link for the document with the incorrect document type.

  2. EDCS presents the Internet Document Detail page.

  3. Select the Change Document Type button.

  4. EDCS presents the Change Document Type page.

  5. Choose the correct document type from the list of document types and select the OK button.

  6. EDCS returns to the Internet Document Detail page. Select the OK button.

  7. EDCS returns to the Preview Internet Documents page, which displays the new document name and type.

NOTE: The change in document type is not official until an EDCS user commits the document to the electronic folder.

7. Internet user submitted multiple documents as one document

The IU may submit a document that combines two or more documents. In those cases:

  1. Select the Update Details link for that document.

  2. EDCS presents the Internet Document Detail page.

  3. Select the Retain radio button.

  4. Add a remark in the Note text box that indicates the need to separate the document into two or more distinct documents.

  5. Select the OK button.

  6. EDCS returns to the Preview Internet Documents page. That page will display Retain in the Action column. The new comment regarding the need to separate the document into two or more documents will appear in the Note column and serve as a reminder to separate the documents after EDCS case creation (See DI 81010.137B.8).

8. Processing the SSA-1695

An IU can use the iAppeals attachment utility to submit an SSA-1695 (Identifying Information for Possible Direct Payment of Authorized Fees). The IU may or may not assign the correct document type to the SSA-1695. The accuracy of the document type designation depends solely upon the IU.

a. The IU assigned the proper document type to the SSA-1695

The Preview Internet Documents page will display the SSA-1695 in the summary list. If the EDCS user selects the SSA-1695, and tries to retain the document, EDCS will present an error message. The error message will tell the EDCS user that EDCS does not allow SSA-1695 retention. It will instruct the user to print the SSA-1695.

b. The Internet user assigned the wrong document type to the SSA-1695

The Preview Internet Documents page will display the document type the IU erroneously assigned to the SSA-1695. The EDCS user will discover the error after opening the document in the DMA viewer and correct the document type (See DI 81010.137A.8.d). If the EDCS user tries to retain the SSA-1695 after changing the document type to SSA-1695, EDCS will present the same error message and instructions described in DI 81010.137A.8.a.

c. The Internet user submitted one document that combines the SSA-1695 with other documents

If the IU submitted a document that combines the SSA-1695 with other documents, follow the instructions in DI 81010.137A.7. Separate the documents after establishing the case in EDCS.

d. Disposition of the SSA-1695

When the SSA-1695 appears on the Preview Internet Documents page, take the following action:

  1. Select the Update Details hyperlink for the SSA-1695. EDCS presents the Internet Document Detail page.

  2. Select the radio button for the Discard action.

  3. Select “SSA-1695 manually processed” from the dropdown list provided for discard reasons.

  4. Select the OK button. EDCS returns to the Preview Internet Documents page. The Action column displays Discard.

  5. Print the SSA-1695 and process it according to the instructions in GN 03910.042.

9. Document details when submission status is “failed”

The Preview Internet Documents will display the document type chosen by the IU even though the document failed. The EDCS user can determine the failure reason:

  1. Select the Update Details hyperlink. EDCS presents the Internet Document Detail page.

  2. The Submission Status field will display “Failed.”

  3. The Failure Reason field will display one of the following reasons:

    1. Password Protected

    2. Failed Virus Scan

    3. Embedded Object

    4. Encrypted File

    5. Unsupported File Type

    6. Corrupted Document (used to cover all undefined errors, including DMA conversion errors)

  4. The Internet Document Detail page will display Discard for the action and Failed in the text box for Discard Reason. The EDCS user cannot change the Action or Discard Reason.

B. Processing Internet Documents within an EDCS Case

When an EDCS user opens EDCS and creates a case at the reconsideration or hearing level of appeal, EDCS will associate any documents submitted by IUs through the iAppeals service.

1. The Internet Documents page

To view documents submitted by the IU via iAppeals, select the Internet Documents page. The Internet Document page displays the same columns and headers described in DI 81010.137A.2. for the Preview Internet Documents page.

a. Internet documents submitted with the current appeal request

The Internet Documents page will display all the documents submitted by an IU through the Internet. It will also display any previously saved document retention actions (retain or discard) regardless of whether any Internet data is present.

b. Internet documents submitted from other filings

It is possible that EDCS will find documents from other filings that contain the same SSN. For example, EDCS may find a document submitted for an earlier appeal request. EDCS will display any such document in a separate table on the Internet Documents page. If the document has not been associated with any other case, the EDCS user can add the document to the current case by selecting the Add to Case button in the table next to the document.

2. Reviewing the Internet documents

Review the documents displayed on the Internet Documents page to determine whether to file them in the electronic folder.

  1. Select the documents available for review.

  2. Open the document(s) in the DMA viewer by selecting the link in the Document Type column or by selecting the “Open Selected” button.

  3. Review the selected documents in the DMA viewer.

  4. Make sure that the SSN associated with each document matches the SSN used for the document search.

  5. The EDCS user can manipulate the documents within the DMA viewer. The user can:

    1. view the document;

    2. rotate the document;

    3. print the document;

    4. save the document; and,

    5. delete pages if the document has more than one page.

  6. The user cannot delete an entire document.

3. Retaining Internet documents

Follow the instructions in DI 81010.137A.4.

4. The SSN in a document does not match the SSN used for the search

Follow the instructions in DI 81010.137A.5.

5. The Internet user selected the wrong document type at submission

Follow the instructions in DI 81010.137A.6.

6. Processing the SSA-1695

Follow the instructions in DI 81010.137A.8.a.-d.

7. Document details when submission status equals failed

Follow the instructions in DI 81010.137A.9.

8. Internet user submitted multiple documents as one document

When the IU combines documents and submits them as one document, the EDCS user should separate the documents. To separate the documents, the EDCS user should:

  1. Select the Internet Documents page.

  2. Select the Update Details hyperlink for the document that requires splitting.

  3. Select the Retain button. EDCS enables the Send to the EF button. If the EDCS user hovers over the Send to EF button, the tooltip displays, “Documents sent to the Electronic Folder (EF) are viewable through eView’s Case Documents tab and can be split into multiple documents, if desired.”

  4. Select the Send to EF button to commit the document to the case.

  5. EDCS displays a warning message, “Are you sure you want to send the document to the Electronic Folder (EF)? Documents in the EF are viewable through eView’s Case Documents tab.”

  6. Select OK. EDCS tells DMA to move the committed document to the permanent DMA location and copies the document metadata (e.g., document type, receipt date, claim type, etc.) to the case in the EF. After commitment to the EF, the document will no longer appear on the Internet Documents page

  7. Open the case in eView and select the Case Documents tab.

  8. Find the committed document.

  9. Open it in the DMA viewer.

  10. Cut the pages that need to be separated from the original document and paste them into a new document.

  11. Update the new document’s attributes window as necessary (SSN, Document Type, and Site Code).

    1. If the update changes the SSN, eView will not associate the new document with the current case.

    2. If the update does not change the SSN, eView will associate the new document with the current case and display it on the Case Documents tab.

9. EDCS user selects a deleted case on the Disability Case Selection page

When an EDCS user selects a deleted case from the search results listed on the Case Selection Page, EDCS un-associates all the documents associated with that case. However, any updates made to the document prior to the case selection remain with the document (e.g., notes, retention actions, document type changes). All disassociated, uncommitted documents will appear on the Preview Internet Documents page. Documents that had been committed to the case prior to its deletion will not appear on the Preview Internet Documents page.

C. FO transfer of cases that have Internet documents

Prior to transfer of an EDCS case, the EDCS user must take action on documents submitted via Internet.

1. FO action when user has not entered a retention action for associated document(s)

  1. If the EDCS user has not specified a retention action for one or more associated Internet documents, EDCS will present the following edits:

    1. When the Document Submission Status is “Successful,” EDCS presents an error message that directs the EDCS user to enter a retention action (retain or discard) for each document.

    2. Transfer is not possible if the submission status for one or more documents is “Processing.” If the Document Submission Status is “Processing,” EDCS presents an error message that directs the user to wait for the document(s) to become viewable. When the document becomes viewable, the user enters a retention action.

    3. If the Retention Action for a document is “Retain” and the Document Type is “Other Evidence or Form,” EDCS presents an error message that directs the user to change the document type.

  2. The EDCS user resolves the edits by entering the correction on the Internet Documents page.

2. FO transfer when all document edit conditions have been resolved

EDCS does not prompt the user to review submitted documents. EDCS commits the retention actions for documents on the Internet Documents page automatically.

  1. For any document on the Internet Documents page where the retention action is Retain, EDCS:

    1. Tells DMA to move the document to the permanent location;

    2. Copies the metadata for the retained document to the case in the electronic folder;

    3. Removes the document from the Internet Documents page;

    4. Makes the document available for viewing on the Case Documents page in eView; and,

    5. Makes the document and details visible on eView’s Internet Documents History page. Select the Internet Documents History link in the navigation tree under the eView Case Data tab to gain access to the Internet Documents History page.

  2. For any documents on the Internet Documents page where the retention Action is “Discard,” and the discard reason is not “Not Related to Case,” or “Third Party PII,” EDCS:

    1. Removes the document from the Internet Documents page; and,

    2. Makes the document image and details viewable through the eView Internet Documents History page. Select the Internet Documents History link in the navigation tree under the eView Case Data tab, to gain access to the Internet Documents History page.

  3. For any documents on the Internet Documents page where the retention action is “Discard,” and the discard reason is “Not related to Case,” or “Third Party PII,” EDCS:

    1. Tells DMA to discard the document;

    2. Remove the Document Control ID from the discarded document;

    3. Removes the document from the Internet Documents page; and

    4. Makes details about the discarded document viewable on the Internet Documents History page. The image of the document will not be available, however.

  4. If any of the document retention actions fail, the case transfer will fail.

  5. eView users can gain access to the Internet Documents History page from the eView navigation tree on the Case Data tab.

  6. eView will display the document status and retention action (retain or discard) associated with each Internet document on the Internet Documents History page. Select the Internet Documents History link in the navigation tree under the Case Data tab, to gain access to the eView Internet Documents History page.

3. Associating documents after EDCS transfer

It is possible that an EDCS user will create a case in EDCS before the IU uploads the documents he or she wanted to submit through iAppeals. Since the IU did not complete submission of the Internet documents before creation of the EDCS case, the Internet Documents page will be empty.

If the IU subsequently submits the documents, the submission will appear on the iWMI listing (iAppeals and MSSICS). If after EDCS transfer, the iWMI listing(s) indicates receipt of Internet documents:

  1. Open EDCS and select the Internet Documents page.

  2. The upper box on the Internet Documents page will not show that any of the documents have been associated with the case. The documents will appear in the lower box in the Internet documents submitted for other filings table.

  3. Review the documents in the list. An Add to Case button will appear next to each document available for association with the case (Retention Status equals “Successful” or “Failed”).

  4. Select the Add to Case button for each document to consider for addition to the case. EDCS presents the Internet Document Detail page.

  5. Update the document details. The Internet Document Detail page will activate the Send to EF, OK, and Cancel buttons, depending upon the retention action.

  6. When the user selects the OK button or Send to EF button EDCS presents any applicable edit conditions.

    1. If the Retention Status for a document is “Undecided” and the Document Submission Status is “Successful,” EDCS will present an error message that directs the user to enter a specific retention action (retain or discard) for the document.

    2. If the Document Retention Action is “Retain,” and the Document Type is “Other Evidence or Form,” EDCS will direct the user to change the document type.

  7. When the EDCS user resolves all the edits for a “Retain” action that has been sent to the EF, EDCS will:

    1. Notify DMA to move the document(s) to the permanent location;

    2. Copy the metadata for the retained documents to the case in the EF;

    3. Display a confirmation message, “The document has been sent to the Electronic Folder (EF) and is now viewable through eView’s Case Documents tab;”

    4. Return the EDCS user to the Internet Documents page; and,

    5. Notify the office with jurisdiction of the case that Internet documents have been added to the case.

  8. When the EDCS user resolves all the edits for a Discard action and selects the OK button, EDCS will:

    1. Display a confirmation message that says, “Are you sure you want to discard the document? Discarded documents containing discard reason of ‘3rd Party PII’ or ‘Not Related to Case’ will be permanently deleted from DMA Viewer and cannot be accessed later.”

    2. If the user selects the OK button and the Discard Reason is “Third Party PII” or “Not Related to Case,” EDCS notifies DMA to delete the document.

    3. If the user selects the Cancel button, EDCS returns the user to the Internet Document Detail page without notifying DMA.

    4. The office with jurisdiction does not receive notice of any discarded documents.

  9. When the EDCS user selects the Cancel button, EDCS returns the user to the Internet Documents page without adding the document to the case.

D. Manual clearance action taken prior to FO transfer

If the FO manually clears a case before transfer:

  1. EDCS un-associates any previously associated documents that have not been committed to the EF.

  2. All document updates such as notes, document type changes, and retention action stay with the document. EDCS does not reset the document updates to their original state.

  3. If a user accesses the case after manual clearance, the Internet Documents page will appear as a read-only page.

  4. If the user opens the Preview Internet Documents page after a manual clearance, the documents from the manually cleared case will appear in the search results under the document’s SSN.

  5. Any documents previously committed to the case are still viewable in eView.

NOTE: Disassociating documents from a manually cleared case allows the documents to be systematically associated to a new case, at case creation, if the new case has the same Internet Control ID as the disassociated documents. It also allows documents to be re-associated if an EDCS user reactivates the case.

E. Manual clearance after FO transfer (UAT mode)

If a user accesses the case after a manual clearance action, the Internet Documents page will be a view-only page.

F. FO determination action and not all document edits resolved

If the FO makes a determination, EDCS will present any outstanding document edits:

  1. If the Document Submission Status displays “Successful,” EDCS presents an error message that directs the user to enter a Retention Action (retain or discard) for each submitted document.

  2. If the Document Submission Status is “Processing,” EDCS presents an error message that directs the user to wait until the document is viewable.

  3. If the Retention Action is “Retain” and the Document Type is “Other Evidence or Form,” EDCS presents an error message that directs the user to change the document type.

  4. In each instance, open the Internet Documents page to resolve the edits. See DI 81010.137C.2.

G. Taking a no-determination action prior to FO transfer when the claim is the last pending claim in the case

If, prior to FO transfer, the EDCS user must take a no-determination action on the last pending claim in a case:

  1. The user manually commits any Internet documents that should be retained in the electronic folder (e.g., medical evidence) before taking the no-determination action.

  2. EDCS disassociates any previously associated documents that have not been committed to the EF.

  3. All document updates, such as notes, document type changes, and retention actions remain with the document. EDCS will not reset the document updates to their original state.

  4. If a user accesses the case after the no-determination action, the Internet Documents page will be a read-only page.

  5. If the user accesses the Preview Internet Documents page after the no-determination action, the documents will appear in the search results under the document’s SSN.

  6. Any documents the EDCS user previously committed to the case will be viewable in eView.

Note: Disassociating documents when the last claim in the case is an FO determination allows the documents to be systematically associated to a new case, at case creation, if the new case has the same Internet Control ID as the disassociated documents. It also allows documents to be re-associated if an EDCS user reactivates the case.

H. No determination action taken after FO transfer and claim is the last pending claim in the case

If an EDCS user accesses the case after the no-determination action, the Internet Documents page will be a view-only page.

I. Reactivating a manually cleared or no-determination claim when the case never left the FO

EDCS will systematically re-associate any disassociated Internet documents that have not been committed to the EF, as long as the Internet Control number is the same as that of the reactivated case.

J. Cancelling a reactivation which results in case closure prior to transfer

Follow the steps in DI 81010.137G.

K. Action for cases involving collateral estoppel

For cases that involve collateral estoppel:

  1. If there are document edits for documents that have been manually associated with the case, follow the instructions in