BASIC (01-08)

DI 81020.140 Processing Trailer Material for the Certified Electronic Folder (CEF)

A. General

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:

  • Duplicates evidence already contained in the CEF; or

  • Is new and material to the disability determination.

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