Retention Date: Indefinite
|Intended Audience:||All ODAR Hearing Level Personnel|
|Originating Office:||ODAR Office of the Chief Administrative Law Judge|
|Title:||Folder Assembly for Certified Electronic Folders (CEFs)|
|Type:||Chief Judge Bulletins|
|Link To Reference:||CJB 08-02|
Folder Assembly for Certified Electronic Folders (CEFs)
CJB 08-02 effective February 1, 2008 is being replaced to reflect the folder assembly process for Certified Electronic Folders (CEFs). This folder assembly process must be used for all CEFs.
As we gained experience working with electronic folders, we developed and used various folder assembly processes. We reviewed the work product of staff across the country and listened to their concerns. We have also considered how folder assembly functions have affected other components and our service to the public.
We determined the CEF folder assembly procedures described below allow us to maximize both the quality and quantity of the folders we assemble. These procedures ensure that essential functions such as updating page numbers, splitting commingled documents, and adding appropriate document descriptions (metadata) are performed. This process provides an exhibited folder that meets the requirements of our governing regulations, the quality standards of our judges, and the requirements of subsequent appellate levels.
CEF Folder Assembly Procedures
The following tasks must be performed for every case that is scheduled for hearing.
CEF Folder Assembly Steps
· Obtain current queries and place in the CEF:
· In eView, select Edit (Lock Case).
§ Informational/Certified Earnings Record System (ICERS)
§ Detailed Earnings Query (DEQY)
§ Summary Earnings Query (SEQY)
§ New Hire, Wage and Unemployment Query (NDNH)
· Open the Case Documents Tab.
· Select Refresh Documents.
· Download any missing documents from the Online Retrieval System (ORS).
· Begin folder assembly by opening each section one at a time beginning with Section A.
After Moving Documents to the Exhibit Tab
· Open each document within Section A
· Key in all necessary metadata.
§ Determine appropriate metadata (sources, dates, document types).
§ Verify the document does not contain personally identifiable information (PII) for another individual and remove pages as appropriate.
§ Remove documents which are duplicates of another document already being exhibited. EXCEPTION: Remember that documents placed in the CEF from a prior adjudication level must be retained in their original section in the CEF. Do not move them to Section C.
§ There is no need to rearrange pages in a document.
§ Split commingled documents into individual documents.
§ Delete the barcode.
§ Update page numbers.
· When finished, select all relevant documents in Section A and click the Add to Exhibit List button. There is no need to arrange them in chronological order.
· Continue the process with Sections B, D, E and F.
· In CPMS, delete any To Do Items for completed actions.
Evidence Submitted After Folder Assembly
· eView automatically:
§ Orders the documents according to the “Sort By” function selected by the user (e.g. Exhibit number, Description, Source or Date).
§ Displays the exhibit number for each document.
§ Displays the number of pages for each exhibit.
§ Displays the page number for each page.
§ Creates an exhibit list.
This is the method of folder assembly that must be used for all CEF cases. The CPMS case characteristic STEX now applies only to paper cases. It should no longer be used for CEF cases.
Preparation and completion of the DGS “Cover Sheet” is still required. When the cover sheet has been completed, select the Send to eFolder button to upload the document to the Private Section of the CEF.
Regional and local managers should continue to work with their counterparts in their servicing field offices and DDSs to improve items entered into the CEF by entering missing metadata, correctly naming documents, separating commingled documents, and preventing duplicate entries.
· If additional evidence is submitted after creation of the Exhibit List, follow the guidelines above to exhibit the new evidence.
· When adding new documents after a hearing, indicate whether the evidence was submitted during the hearing or subsequent to the hearing by selecting the appropriate radio button on the Edit Exhibit Information screen.
· Make sure exhibits are permanently marked immediately after a hearing reflecting the documents admitted into evidence by the ALJ.
· Permanently mark exhibits that are submitted post hearing upon approval of the ALJ.
Direct all program–related and technical questions to your RO support staff. RO support staff may refer questions or unresolved issues to their Headquarters’ contacts.
CJB 10-03 - Folder Assembly for Certified Electronic Folders (CEFs) - 04/21/2010