The Certified Electronic Folder (CEF) is the Social Security Administration’s preferred method for processing disability claims. However, the field office (FO) must establish a paper folder when the system excludes a disability claim from the Electronic Disability Collect System (EDCS) or when a processing limitation occurs that removes the case from electronic processing. The EDCS is the method field offices use to enter claims into the CEF. For information about CEF exclusions, see DI 81010.030.

The Modular Disability Folder (MDF) is the official folder for paper cases. Prior to electronic processing, SSA created the MDF to address the increased complexity of the disability programs. The MDF promotes uniform assembly for all disability claims processing components within SSA and the Disability Determination Services (DDS).

These instructions specifically address OHO’s responsibilities concerning the MDF when a claimant or his or her representative requests a hearing.

Since implementation of the MDF, HO staff does not need to remove documents from the claim file in order to create a separate exhibit file for the hearing. For additional information on this subject, see DI 70025.001B.2. in this section.

The following are examples of documents (not an exhaustive list) that we usually identify as proposed exhibits. The MDF already contains the documents mentioned in this section when the Hearing Office (HO) receives it.

1. 1. 

   Example 1. Part A -- Payment Documents/Decisions - Yellow (Front) section.

   (Filed in chronological order with the most recent document on top)

   1. a. 

      SSA-831 (Disability Determination and Transmittal).

   2. b. 

      SSA-832 and SSA-833 (Cessation or Continuance of Disability/Blindness Determination for Title XVI and Title II).

2. 2. 

   Example 2. Part B -- Jurisdictional Documents/Notices – Red section.

   (Filed in chronological order with the most recent document on top)

   1. a. 

      SSA/SSI Notice of Disability/Blindness (Denial/Award).

   2. b. 

      SSA-561 (Request for Reconsideration).

   3. c. 

      Notice of Reconsideration (Denial/Award).

   4. d. 

      HA-501 (Request for Hearing by ALJ).

   5. e. 

      SSA-1696 (Appointment of Representative)

   6. f. 

      Attorney fee agreements and any other documents relating to the fees to be charged for representation before SSA

   7. g. 

      Revocation or withdrawal of a representative

3. 3. 

   Example 3. Part C -- Current Development/Temporary – Green section.

   We reserve this section for working papers only. Each SSA component involved in processing disability claims is responsible for purging this section when an action is completed, filing essential material in the appropriate module and discarding non-essential materials. There should be no documents in this section.

4. 4. 

   Example 4. Part D -- Non-Disability Development – Orange section.

   (Filed according to guidelines.in DI 70005.005B.4. and GN 01050.190)

   1. a. 

      The application (paper or computer printouts), and any written statement or record of oral inquiry indicating an intent to claim benefits which serves as a protective filing.

   2. b. 

      Birth Certificate or other proof of age.

   3. c. 

      Earnings records and proof of any non-posted wages or self-employment income.

   4. d. 

      Workers' Compensation and Department of Veterans Affairs award information.

   5. e. 

      Evidence of death and relationship (in auxiliary and survivor cases).

   6. f. 

      Pertinent statements or reports of contact (not disability related).

5. 5. 

   Example 5. Part E -- Disability Related Development and Documentation – Blue section.

   (Filed in chronological order with the most recent document on top).

   1. a. 

      SSA-3368 (Disability Report - Adult).

   2. b. 

      SSA-3369 (Work History Report).

   3. c. 

      SSA-3441 (Disability Report - Appeal).

   4. d. 

      SSA-3820 (Disability Report - Child).

   5. e. 

      SSA-454 (Continuing Disability Review Report).

   6. f. 

      SSA-455 (Disability Update Report).

   7. g. 

      School records (Teacher Evaluations Only).

   8. h. 

      Supplemental questionnaires (Function Report forms).

   9. i. 

      Unsuccessful attempts to obtain necessary non-medical disability documentation.

   10. j. 

       Any other documentation relating to development of disability.

   11. k. 

       State vocational reports.

   12. l. 

       SSA-821 (Work Activity Report - Employee).

   13. m. 

       SSA-820 (Work Activity Report - (Self Employed Persons).

   14. n. 

       SSA-5002 (Disability-related non-medical contact)

   15. o. 

       Electronic Disability Collect System (EDCS) routing form

6. 6. 

   Example 6. Part F -- Medical Records – Yellow (Back) section.

   (Filed in treatment-date order - the earliest date on top).

   1. a. 

      CDI Report of Investigation (When in file)-must be filed on top of all documents, including the DDS Worksheet.

   2. b. 

      DDS Worksheet

   3. c. 

      Treatment records.

   4. d. 

      Hospital records.

   5. e. 

      Laboratory reports.

   6. f. 

      Outpatient notes.

   7. g. 

      Clinic notes.

   8. h. 

      Physician's records and reports.

   9. i. 

      Cover letters from treatment sources if medical evidence is not otherwise identified.

   10. j. 

       X-ray findings.

   11. k. 

       Examination reports.

   12. l. 

       Medical opinions.

   13. m. 

       School records (Multi-Discipline evaluations and/or Psychologist evaluations).

   14. n. 

       Professional Qualifications (PQs) of all physicians and mental health professionals whose reports, analyses, assessments, or judgments are entered into the record of exhibits.

   15. o. 

       SSA-5002 (Report of Contact) - Disability related.

   16. p. 

       Letters of unsuccessful attempts to obtain medical evidence.

   17. q. 

       SSA-4734 (Physical Residual Functional Capacity Assessment).

   18. r. 

       SSA-2506 (Psychiatric Review Technique Form (PRTF)) (DDS MC/Psychological Consultant (PC)).

   19. s. 

       Capability opinions - DDS MC/PC completes.

Exhibit 1-- First request for hearing

Claimant: John Doe SSN: 000-00-0000

Exhibit 2 — Subsequent Request for Hearing

Claimant: John Doe SSN: 000-00-0000

Exhibit 3-- Appeals Council or Court Remand Cases

Claimant: John Doe SSN: 000-00-0000

Exhibits admitted in connection with Appeals Council Remand

Additional claim file (two-part brown folder), if applicable:

Part (SSI) - Supplemental Security Income

Part (DWB) - Disabled Widow(er)

Part (CDB) - Child's Disability Benefits

The following is an alphabetical list of documents that the HO receives or generates subsequent to a request for hearing and the MDF section in which the appropriate offices filed each.

* HO staff places “Requests” in Part C -- Current Development/Temporary -- Green section, pending receipt of evidence. If the HO staff does not receive the evidence, the staff transfers the original request and documentation regarding follow-up attempts to Part E -- Disability Related Development and Documentation -- Blue section, prior to release of the file, unless the request and documentation are for medical evidence. If the request and documentation concern medical evidence, place them in Part F – Medical Evidence -- Yellow (Back) section.

In addition, HO staff places locally developed forms in the folder, according to the procedure in DI 70005.005B.

NOTE: The Appeals Council houses its working papers in an Appeals File (AF).