DI 81020.140 Processing Trailer Material for the Certified Electronic Folder (CEF)
Follow current policies and procedures in Disposition of Trailer Material - DI 22520.000, concerning the disposition of evidence that the Disability Determination Services (DDS) receives after closing the disability case on the DDS case processing system. Add all new evidence received as trailer material for electronic cases to the certified electronic folder (CEF) or to the official paper folder. If the CEF became a paper folder (e.g., an EDCS exclusion claim was added to the case after DDS development began), ensure the document is printed and forwarded to the office with jurisdiction of the paper folder.
B. Evidence Received after DDS Closes Electronic Case
Documents received after DDS case closure (trailer material) are added to the CEF as images (e.g., documents are scanned, faxed or transmitted using Electronic Records Express imports). The DDS receives an alert when a document (trailer material) is added to the CEF. When the alert is posted on a closed case, the DDS must review the CEF and determine if the evidence:
NOTE: If a Field Office (FO) receives non-duplicate medical evidence after DDS case closure, the FO mails the evidence under cover of an SSA-5002 (Report of Contact) to the DDS. For FO procedures see Receiving Medical Evidence in the Field Office (FO) - DI 81010.125. The DDS is responsible for ensuring that the evidence is added to the CEF and taking appropriate action.
1. Duplicate Evidence
If the evidence is an exact duplicate of evidence contained in the CEF and was considered at the time the DDS made the disability determination, the DDS must move the duplicate document(s) to the Temporary (Green) section of the CEF and updating the CEF by:
Adding a message to the CEF stating “duplicative trailer material received, no DDS action is needed”;
Adding an SSA-5002 to the CEF stating “duplicative trailer material received, no DDS action is needed”; or
Annotating the eView “Note” field for the trailer material listed in the “Case Documents” tab with “NAN” to indicate that no action is necessary.
NOTE: If the DDS receives the paper source document for the duplicate evidence, destroy the paper duplicate document.
2. New Evidence
If the evidence is new, the DDS must determine if the evidence is material to the determination.
a. Evidence Material to Determination
When the evidence is material, follow current procedures for considering a medical reactivation or reopening of the DDS determination.
NOTE: For more information on processing Medical Reactivations, see Processing Medical Reactivations – DI 81020.117 or for more information on processing reopenings, see to Processing Reopenings - DI 81020.115.
b. Evidence Not Material to Determination
If the evidence is new but does not affect the determination, annotate the CEF by:
Adding an SSA-5002 to the CEF stating the evidence was reviewed and that no action is necessary; or
Annotating the eView “Note” field for the trailer material listed in the “Case Documents” tab. Use “NAN” to indicate that no action is necessary.
NOTE: Automatic annotations by DDS case processing systems are not sufficient to document the file per Disposition of Trailer Material - DI 22520.001. The DDS must review each piece of trailer material and determine its impact on the determination.
Regardless of which method is used to annotate the CEF, the DDS must store the paper source document until the paper retention period expires per Document Retention and Destruction - DI 81020.055.
3. Evidence Requires FO Action
If the trailer material indicates FO action is necessary (e.g., claimant sends request for appeal to DDS), add a message to the CEF that includes:
A brief description of the necessary action;
The section of the CEF in which the trailer material is located; and
The name and date of the trailer material.
The FO receives an alert on the EDCS Actions Page that a message has been added (see EDCS Actions Page - DI 81010.100). When appropriate, also mail the paper copy of trailer material to the FO.
4. DDS Receives Non-Scanned Trailer Material
The DDS determines if trailer mail received after the case is closed should be scanned and added to the CEF, including evidence on compact disk and email. If a document duplicates evidence contained in the CEF, destroy the documents. If documents from the contractor are not duplicative:
Scan and index the documents;
Store the paper source documents until the paper retention period expires per Document Retention and Destruction - DI 81020.055; and
Determine if the documents are material to the determination per New Evidence - DI 81020.140B.2.
C. DDS Receives Trailer Material Alert after Transferring CEF to Another DDS
The DDS receives an alert when a document (trailer material) is added to the CEF. This alert is based upon the DMA barcode that identifies which DDS sent the medical evidence request (see DMA Barcodes and Document Indexing - DI 81020.035). When a DDS begins case development but transfers the case to another DDS who closes the close, the original DDS receives the trailer material alert if the source responds with the original DDS’ DMA barcode. The final DDS does NOT receive an alert. In these situations, the original DDS must review the trailer material and determine if it is duplicate evidence.
1. Trailer Material is Duplicate Evidence
If the trailer material is duplicate evidence, the original DDS must take appropriate action per Trailer Material - DI 81020.140B.1.
2. Trailer Material is New Evidence
If the trailer material is new evidence, the original DDS must call the final DDS to alert them of the new evidence. The final DDS is responsible for determining if the new evidence is material to the disability determination per Trailer Material - DI 81020.140B.2. To obtain the phone number of the final DDS:
A pop up box opens that includes the general phone number of the DDS that closed the CEF.