I-3-1-26.Exhibit – Claim(s) File and Hearing Recording Search Checklist

1. Checking the location of the claim(s) file:

a) Be sure that the file is not electronic. Even if it is not a Certified Electronic File (CEF), check the Electronic Disability Collect System (EDCS) to determine what information is available online.

b) Check the branch for the file.

c) If the file is not in the branch, search for the file using the Personal Communications (PCOM) system's Query Master by selecting the T2Fld and/or T16Fld macro buttons (see Program Operations Manual System DI 11005.085). To use the site, log into Session A in the PCOM system.

d) Alternatively, use the individual PCOM system queries to locate and request the file (see POMS DI 11005.085). To use this method, log into Session A in the PCOM system.

Possible queries:

• AACT (Abbreviated Account Query or Master Beneficiary Record)/FACT (Full Account Query) (Note: it is best to request FACT);

• SSID (Supplemental Security Record Display – SSR) Full Record (Note: it is best to mark “all records”) and the SSA-8028 (see No. 7);

• DDSQ (Disability Determination Services Query) for DDS records;

• PCACS (Processing Center Action Control System) for title II files (see No. 3);

• CSR (Customer Service Record) – may show which office the claimant is currently working with; and

• MDW (Modernized Developmental Worksheet) – may contain updated information from the field office (FO) personnel.

e) For hearing office (HO) records, also use the Case Processing Management System (CPMS) through ARPS. To access CPMS, query the HO records in ARPS.

• previous names;

• beneficiary's and representative payee's previous addresses (the file could be in an FO servicing a previous address);

• cross-referenced Social Security numbers;

• concurrent claim(s) files; and

• when calling an HO or FO, suggest searching pending files and checking closed files or boxes awaiting shipment.

Most of the instructions below say to email the offices where records indicate a file may be located. To expedite a case, phone calls may be used; however, we suggest sending a follow-up email to provide a written record of the request and the name and email address of the contact in the other office. This email also gives the other office your information in case the information from the phone call is not available later. Best practices show that putting both the office email address and one or more contact names as addressees on the email has been most successful in obtaining files. Also, be sure to include your office code in the text of the email so the HO or FO can find it on the Detailed Office/Organization Resource System (DOORS) and make any necessary case control inputs.

2. Requesting a claim(s) file from an HO (if applicable)

If the CPMS or any other query or document indicates that the file is in an HO, or if the last known location of the file was an HO, request the file from the HO:

a) Send an email to the general email box of the HO adding the name(s) of a Group Supervisor (GS) and/or the name of the Hearing Office System Administrator (HOSA):

• To find an HO's general email address, type ^OHO [region number] into the global address book and locate the appropriate hearing office. For example, to locate the Boston HO email address, type in ^OHO 01 in the global address book and locate the Boston office.

• Alternatively, the addresses can be found at the homepage of the Office of Chief Administrative Law Judge's intranet site. (The names of the GS and HOSA may be found in the Outlook Global Listing for the office.)

• If the case is critical, include this information in the email and request that the claim(s) file be forwarded within 10 days. A follow-up call should be made to a GS after 10 days.

Date requested___________ GS or HOSA (Name) ________________________

• If you need to contact a National Hearing Center (NHC) to locate a missing paper claim(s) file (this should rarely happen, because they handle mostly electronic records), the general email address is OHO OCALJ NHC (name of NHC location).

b) If no response in an additional 14 days, email the Hearing Office Director (HOD), with a copy to the GS.

Date requested____________ HOD (Name) ____________________________

3. Requesting a claim(s) file from a processing center (PSC), including the Office of Disability Operations (ODO-PSC7)

a) If the request for the file was made through T2Fld or PCACs, the first follow-up will be automatically generated in 14 days.

b) Follow-up 28 days from the original request by calling the Module Manager (Mod. Mgr). Use DOORS to determine which module has jurisdiction or see the MOD telephone list on the ODO or PSC Intranet site for PSC or ODO Mod. Mgr. telephone number.

4. If the PCOM search shows that the claim(s) file is in an FO, request by one of the following methods:

• FO contact____________________________________ FO code ____________

• Telephone______________

• E-mail__________________

• FAX____________________

• Remarks___________________________

If more than one FO must be contacted:

• 2^nd FO contact______________________________________ FO code ____________

• Telephone______________

• E-mail__________________

• FAX____________________

• Remarks___________________________

• Follow-up in 14 days with FO management

• Date of Contact: __/__/_____ Mgmt. official's name: ______________________________

• If the claim(s) file is not received in 14 additional days, assume it is not available; however, if any further indication is found during the 14 days that the file is in the FO, contact the FO and share the information to help locate the file.

5. Title II Claim(s) File in Social Security Administration's National Records Center (SSANRC) or Federal Record Center (FRC)

• If the file is in the SSANRC (N88), then request the file via the T2Fld and/or T16Fld method in the PCOM system's Query Master or the individual PCACS query.

DO NOT REQUEST files from SSANRC if they are reading:

• L47 = File Meets Destruction Criteria/File Destroyed;

• L50 = Unable to locate (UTL) in SSANRC;

• L51 = UTL in the FRC;

• Claim(s) File in DDS Location (e.g., Snn) (unless there is also an FRC code (Lnn) indicating a file is in SSANRC/FRC); or

• Files located at the SSANRC can also be requested through the SSANRC website.

6. Title XVI Claim(s) File in SSANRC or FRC

If the file is in the SSANRC (L0E) or FRC (L##) (where ## denotes the year of inactivation), then request the file via one of the following methods (in the order of priority shown):

• a) Request for the file can be made through the T2Fld and/or T16Fld macros in PCOM's Query Master. If not, go to PCOM and use the SSA-8028: The Type of Action (TA) field will be “A” for alert, the Alert Response (AR) field will be “AR: 33 Recall” (see Program Operations Manual System SM 01201.055).

• b) AR: 25 can be used to find the last six locations (offline response). This means that the response will come to the printer assigned to your PIN the next day. To be sure you get the query, be sure to fill out the Unit field. The three letters of your name are often used (see POMS SM 01201.050).

• c) Follow up after 14 days with a call to 1-888-281-2999 or e-mail to ^NRC QAT Action Items, and document:

  Date of Contact: __/__/____ Contact Name __________________________

• d) If the claim(s) file is not received 14 days after the follow-up with SSANRC/FRC, assume it is not available from SSANRC/FRC.

7. Call to appointed representative (for request for review cases only)

• If unable to locate the file, call the appointed representative, if any, for a copy of the record.

• If a copy is available, diary the case in ARPS for 14 days and follow-up as needed.

• If a copy of the claim(s) file is not received 30 days after a request for a copy of the file from the representative, assume it is not available.

If the representative only has a partial file, and it does not appear that the remainder will be located, do not request the partial file. The case will be remanded, and the representative may forward his or her records to the HO.

Representative's Name________________________ Telephone No. __________________

Date of Contact __/___/_____ Remarks: ____________________________________

8. If no appointed representative (for request for review cases only)

• If there is no appointed representative, and it appears likely that the claimant has a copy of the claim(s) file material, contact the claimant for a copy of the record. You may advise the claimant that they may have them copied at the local Social Security office.

  Claimant's Telephone Number_______________ Date of Contact __/__/____

  Comments ____________________________________________________

• If a copy is available, diary the case in ARPS for 14 days and follow-up as needed.

• If a copy of the claim(s) file is not received 30 days after a request for a copy of the file from the claimant, assume it is not available.

The Office of Appellate Operations has attempted to locate this claim(s) file; however, we are unable to locate it at this time.

Branch chief's signature: _______________________________________

Title_______________ Date: __/__/_____