DI 81001.035 Copying a Certified Electronic Folder (CEF) to Compact Disc (CD) or Portable Document Format (PDF)

When a claimant, beneficiary, or appointed representative requests a copy of the official file folder in either paper or electronic format, all documents that make up the case must be included. The official disability case folder consists of documentation per GN 00301.285. Requests for certified copies of a CEF must be forwarded to the Regional Office per GN 03360.025.

B. Documents included in the Official Folder

Documents and records (e.g., applications, notices, prescribed Modernized Claims System [MCS]/Modernized Supplemental Security Income Claims System [MSSICS]/Consolidated Claims Experience (CCE) screens and Evidence [EVID]);

All disability-related electronic collection forms. For details on available Electronic Disability Collect System (EDCS) forms, see DI 81010.005.

REMINDER: If a case is an EDCS exclusion or limitation, it will have an associated paper folder, which must also be copied for the requestor.

Statements of claimants or others (e.g., SSA-795 [Statement of Claimant or Other Person], CCE Person Statement, Report of Contact [ RPOC] or CCE Report of Contact, Remarks [RMKS] screens, or EVID per GN 00301.286E. when MCS, MSSICS, or CCE cannot be used);

Personal observations by the interviewer or other pertinent information (e.g., CCE Report of Contact, RPOC or EVID per GN 00301.286E. where MCS, MSSICS, or CCE cannot be used);

RPOC or CCE Report of Contact screens for SSA-553 (Special Determination) showing the adjudicator's evaluation of conflicting evidence or complex issues and inferences made;

C. Locating Documents in the Official Disability Folder

It is necessary to consider all appropriate documents from the official disability folder when a copy is requested. To identify the location of documents for the official disability folder check:

Available Queries/Systems – MCS, MSSICS, CCE, Master Beneficiary Record (MBR) query, Supplemental Security Record (SSR) query, Disability Determination Services Query (DDSQ), Modernized Development Worksheet (MDW), Processing Center Action Control System (PCACS, and Paperless Read Only Query System (PPL ROQS).

DIBwiz to see what information might be available on the claim and where it can be located. NOTE: Currently there is no interface between DIBwiz and Case Processing and Management System (CPMS), the Certified Electronic Folder (CEF)/Document Management Architecture (DMA), or the Online Retrieval System (ORS).

SHARED PROCESSES (item 4 of the SSA mainframe menu) to determine if any development or evidence recorded on the screens would need to be copied.

Disability Control File (DCF) (item 32 of the SSA mainframe menu) for additional disability-related material.

Electronic Representative Payee System (eRPS) (item 23 of the SSA mainframe menu) for all applicable representative payee applications that need to be printed.

ORS for the claims summary for both Title 2 and Title 16 applications, amendments, and notice information. Documents stored in ORS may be imported into the CEF using eView prior to burning a CD.

Check Appeals Review Processing Systems(ARPS) for current information about Appeals Council (AC) level claims

D. Determining whether documents can be released in a copy of the Certified Electronic Folder (CEF)

The office making a copy of the case must review the folder to identify which documents or portions of documents can and cannot be released, based on access and disclosure rules.

For details on access and disclosure, see:

Who May Consent - GN 03305.005 (for restrictions on parental disclosure of a minor child’s medical records); and

Providing Access to Medical Records - GN 03340.035 (concerning parental access to a minor child’s medical records).

While preparing a copy of the record, consider the following:

Documents contained in the Current Development/Temporary (green) section of the CEF are not considered part of the official folder and should not be released.

Some documents should not be released based on SSA access and disclosure rules. Such documents should be identified with a Sensitive Document Indicator in the Case Documents tab to alert all eView users that the document marked may contain sensitive information that should not be disclosed. See Case Documents Tab - DI 81005.050 for additional information about the Sensitive Document Indicator. Do not select these documents for burning to a CD.

If a document that is not stored in the CEF should be included in the file copy, print the document and provide the paper copy to the requester along with the medical information that is contained in the CD. Do not fax the printed document into the CEF.

Provide the paper copy of the redacted document to the requester. Do not fax/scan redacted copy into the electronic file.

If there are documents stored in ORS, import the applicable documents from ORS into the CEF using eView prior to burning the CD.

E. Burning Documents from a Certified Electronic Folder (CEF) to CD

To create an encrypted CD using the CD burning utility in eView, take the following steps:

If there is an alert, message and/or flag present:

If sensitive information in a section is identified, ensure that the case is flagged by adding the EDCS or eView Special Handling flag. After entering the flag, explain why the information is sensitive and that it should only be disclosed to a third party. (For a complete list of flags that can be added to the CEF via EDCS or eView, refer to the Electronic Folder Flags List.)

Documents linked to the CEF, such as comparison point decision (CPD) documents. To copy linked documents, they must first be copied from the stored location (CPD folder, ORS, etc.) to the current folder. For more information about copying documents, see DI 81005.052.

Audio and indexing files from exhibits housed in an individual's electronic folder are part of the official disability record since they are part of the hearing. These audio files cannot be copied to the CD.

Once all desired documents are selected, place a CD in the burner and click on the “Copy to CD” button.

The CD should be “finalized” to prevent additions or deletions from the file copy provided.

Once the CD is copied, open the CD and review the information on it to ensure that the CD copied correctly.

Add a message or SSA-5002 (Report of Contact) to the CEF to show what was copied, to whom the copy was given and the date it was given. Do not put an expiration date on the message. See Editing a Certified Electronic Folder (CEF) in eView - DI 81001.040 regarding locking the case to add a message to the CEF.

Create a document that gives instructions for playing the CD and include it in the case with the CD. (A mailing label measuring approximately 1” x 2-5/8” is recommended). The instructions must include the following statement: Instructions for playing CD: Place CD in CD drive. The “Getting Started” screen should load automatically in your browser. If it does not, load the index.html page from the CD in your browser and select “Getting Started”.

Unauthorized disclosure of information in the file is a crime under section 1106 of the Social Security Act.

Provide the disclosure document an envelope or folder (large enough to contain 8" x 11" printed documents as applicable) with every electronic disability folder CD distributed. The envelope/folder is required to lessen the risk of electronic folders/CDs being lost, misplaced, etc.

SSA employees should not enter SSNs on the CD labels or disclosure page. For information on who is authorized to receive and certify copies, the specific language that is required, and information on applying the certification seal, see GN 03360.025.

F. Sending an Encrypted PDF via Secure Email

To encrypt a PDF and send it to the claimant’s personal email, take the following steps:

Create the PDF using steps in section E - Burning Documents from a Certified Electronic Folder (CEF) to CD and PDF format;