BASIC (01-08)

DI 81020.065 Electronic Case Documentation

A. General – Electronic Case Documentation

Document electronic disability cases following current policies and procedures.

1. Documenting the Certified Electronic Folder (CEF)

The CEF contains:

  • Material essential to making the disability determination;

  • Documentation that the necessary development steps were completed in proper sequence;

  • Material required to conduct future Continuing Disability Reviews (CDR).

Disability Determination Services (DDS) is responsible for ensuring that all evidence and documentation supporting the disability determination is successfully added to the CEF and can be accessed via eView (see Electronic Case Closure - DI 81020.130E.), including:

  • Indexing and filing imaged documents in the appropriate section of the CEF (see Document Management Architecture (DMA) Barcodes and Document Indexing - DI 81020.035); and

  • Moving duplicate material and non-essential material to the Current Development/Temporary (green) section of the CEF (see Electronic Case Documentation - DI 81020.065D.).

2. Development Documentation

Follow current policies and procedures to document the development of the disability case on the Case Disability Summary Worksheet (See Documenting the Disability Folder – Disability Determination Services (DDS) - DI 20503.001 and Electronic Case Development - DI 81020.020).

B. DDS Case Processing System Document Controls

The DDS case processing system uses the DMA barcode to track evidence requests and to ensure imaged documents are:

  • Stored in the correct CEF;

  • Filed in the appropriate section of the CEF; and

  • Labeled accurately.

For more information, see Document Management Architecture (DMA) Barcodes and Document Indexing - DI 81020.035.

C. Adding Medical Tracings and Color Images to the CEF

Images of medical evidence such as EKG tracings, visual field graphs and Pulmonary Function Study (PFS) tracings, must allow the user to accurately evaluate the evidence based on the Medical Listing specifications. To improve readability, scan in color:

  • Medical tracings (e.g., electrocardiogram, PFS); and

  • Documents containing color that is of adjudicative significance.

D. Moving Documents in the CEF

Users in offices with appropriate security access (see DI 81001.025 – Authorized Access to the Certified Electronic Folder [CEF]) have the ability to move misfiled electronic documents to the appropriate section of the CEF. Follow the filing instructions for the paper Modular Disability Folder (MDF) to determine the appropriate section (see General Overview of the Modular Disability Folder (MDF) - DI 70005.005). A change in doc type is not necessary if documents are moved within the CEF, however, if user wants to change the Doc Type:

  • Click on the “Edit (Lock Case)” link to access “edit mode”;

  • Click on the “Case Documents” tab;

  • Find the document you wish to change the Doc Type on;

  • Click on “Details” link;

  • Select the Doc Type you wish to change the document to from the “Document Type” drop down list;

  • Click on the “OK” button when finished; and

  • Click on the “Edit (Lock Case)” link to exit “edit mode”

E. Scanning Problems

1. Scanned Documents Added to Wrong Case

When the DDS or the scanning contractor adds scanned documents to the wrong CEF:

  • Document the error on the DDS case processing worksheet;

  • Move the misfiled document to the Current Development/Temporary (green) section of the CEF;

  • Create a barcode coversheet for the correct case;

  • Obtain the source document from storage or print from the DMA viewer; and

  • Rescan or fax the source document to the correct CEF.

NOTE: If the source document was printed, destroy the printed copy after scanning per Document Retention and Destruction - DI 81020.055.

2. Page(s) of Scanned Document Added to Wrong Case

Remove page(s) of a scanned document that are added to the wrong CEF and associate the page(s) with the correct case. If the page(s) does not belong to a disability claim, process the page(s) per Disposition of Trailer Material - DI 22520.001B.2.

When page(s) of a scanned document are added to the wrong CEF:

  • Document the error on the DDS case processing worksheet;

  • Obtain the page(s) of the source document from storage or print from the DMA viewer;

  • Create a barcode coversheet for the correct case;

  • Delete the page(s) through the DMA Viewer; and

  • Scan the page(s) of the source document to the correct CEF.

NOTE: If the source document was printed, destroy the printed copy after scanning per Document Retention and Destruction - DI 81020.055.

3. DMA Document Manipulation

DMA Document Manipulation may be used to copy a page or document from one CEF to another CEF.

  • Using the DDS case processing system, create a barcode for the document in the correct case. Include in the barcode the SSN for the correct case and a new request ID number (see Document Management Architecture (DMA) Barcodes and Document Indexing - DI 81020.035).

    NOTE: The request ID must be different than the request ID on the original document.

  • Open the CEF document requiring manipulation.

  • Use the DMA page level manipulation features to copy the applicable pages or document and paste them into a new document.

  • The “New Document Attributes” box appears. Enter the SSN for the correct claimant, the correct document type, your DDS site code, and the new request ID from Document Management Architecture (DMA) Barcodes and Document Indexing DI 81020.065E.1.

F. Evidence Receipt

For information about receiving evidence from claimants, authorized representatives, third parties, medical sources, etc., see Receiving Evidence in DDS - DI 81020.060.

1. Not Receiving Requested Evidence

If not receiving requested evidence, see Documenting the Disability Folder – Disability Determination Services (DDS) - DI 20503.001, for required folder documentation.

2. Returned Mail

If the Post Office returns the development request letter as undeliverable, document the worksheet to show reason for return. Use document code 1133 (Post Office Returned Mail) for scanning mail returned by the Post Office, you may scan the mail envelope if available.

G. EDCS Routing Forms and Associated Paper Folders

1. Storing the EDCS Routing Form

If the official folder is a paper MDF, but an EDCS case has been created, (e.g., EDCS exclusion claim), attach the EDCS routing form to the paper MDF. DDS must:

  • Remove the EDCS routing form from the front of the paper folder; and

  • File the EDCS routing form in the blue section of the paper MDF on top of all other forms.

This alerts subsequent reviewing components to review the CEF since associating the EDCS claim with the paper folder.

2. Disability Reports and Imaged Documents

The EDCS routing form lists:

  • Which disability reports (e.g., SSA-3368 (Disability Report – Adult), SSA-3367 [Disability Report - Field Office]) are available through eView; and

  • Any imaged documents that were added to the electronic folder by the Field Office (FO).


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0481020065
DI 81020.065 - Electronic Case Documentation - 06/03/2009
Batch run: 06/03/2009
Rev:06/03/2009