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125.5 Establishment And Maintenance Of Files 

125.5.1 Field Office Files 

Each office is required to maintain files to provide for the timely handling of inquiries and 

proper development of retirement and survivor claims. While the particular filing system 

used may be subject to the approval of the network director, it must readily indicate: 

A. The present state of development of each active case; what forms, documents or 

other information has been previously submitted to Headquarters (such as check 

list forms) or is still to be obtained to complete field action in the case; and 

information indicating the return of any documents requested by the applicant; 

and 

B. Cases on which field office action has been taken. Records from completed 

cases may be purged and destroyed after 12 months from the date the field 

office completes its handling. Anticipated need for material in particular cases is 

justification for its retention. 

All Forms G-671 (third party disclosure) are to be marked “RRA File Only or RUIA 

General Correspondence File Only" and sent to imaging when all action has been 

completed. 

All file entries should be complete and clear enough to permit all qualified 

personnel to be readily able to understand what has transpired in the case. 

125.5.2 Headquarters Claim Folders 

Claim folders at Headquarters are maintained either by the social security (terminal 

digit) number of the railroad employee or by a serial claim number preceded by “A” or 

“D”. 

Generally speaking, if no contact (retirement pre-retirement, or notice of death) had 

been made prior to April 1, 1964, the claim folder is established by social security 

number. If a contact requiring the establishment of a claim folder was made prior to 

April 1, 1964, a serial claim number was assigned, a “D” prefix indicating that the death 

of the employee and subsequent adjudicative action called for the establishment of a 

file; an “A” prefix indicating a file has been established prior to the employee’s death. 

The control over the movement of claim folders is done through a mechanical system 

called the Automated Folder Control System (AFCS). The AFCS is used to obtain the 

current location “charge” of a claim folder. For a detailed description of the procedure 

and information about the Automated Folder Control System see the AFCS Folder 

Control Directory or Administrative Circular BSS-6 which is on Boardwalk under Bureau 

of Information Services. 

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125.5.3 Preservation of Facsimile Transmissions 

All thermal paper facsimile (fax) transmissions that must be kept as a folder record 

should be copied on plain paper prior to filing. 

Incoming copies on some fax machines are printed on "thermal paper," as opposed to 

plain paper. The images on thermal paper are extremely unstable and may begin to 

deteriorate in as few as 6 months. Such thermal papers are sensitive to heat and light, 

will react with chemicals found in ordinary office environments (including markers, 

cosmetics, and some types of plastic folders), and may contain impermanent dyes. As 

a result, the text is likely to fade and become illegible or the whole paper surface may 

darken, making the image indistinguishable. Thermal paper can be recognized by its 

smooth sheen and tendency to curl, making it difficult to handle. 

Facsimile transmissions received via personal computer fax/modems and software are 

the same as those transmitted via fax machine. 

Most current models of fax machines produce copies on plain paper by xerographic 

means, which produces a much more stable image than a copy made on thermal paper. 

Plain paper is easier than thermal paper to mark, copy and file. 

125.10 Tracing Procedure 

In the interest of processing claims as quickly as possible, a tracing schedule has been 

established to secure information in a timely manner. An itemized breakdown of tracing 

procedures for various forms used to certify payment is contained in Appendix E at the 

end of this article. 

Use judgment in contacting an employer. If the number of tracers for employer 

information (i.e., Forms G-88P, G-88A.2, G-3EMP, etc.) appears to be large in relation 

to the employer, discuss the matter with the appropriate contact official. Stress the 

importance of completing such forms promptly to permit RRB payment within a 

reasonable time. 

125.15 Transmittal Of Original Documents 

If it is necessary to submit to Headquarters an original document that must be returned, 

insert the document in an envelope marked, "Document - To Be Returned." Mark the 

claim number on the document. Be careful not to staple through the document when 

transmitting it with other material. 

125.20 Application Defects 

An application defect or error is generated by conflicting, omitted or incorrect 

information on forms necessary for the mechanical payment of a retirement annuity. 

RASI, the mechanical system responsible for awarding retirement annuities, relies on 

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the information it is furnished from forms completed by a contact representative for a 

person filing for an annuity. Information is entered into RASI by data entry operators 

who have no knowledge of the provisions of the Railroad Retirement Act. 

Information is coded directly from various retirement-related forms. Any defect in a 

form's completion causes RASI to reject the application and/or produce a referral 

explaining the defect. Referrals from RASI require an examiner's action to verify or 

correct the data in question; the correct or verified information must be reentered into 

RASI. The additional handling required to correct defects may cause award delays. 

Records of application errors are maintained for each office. When an error is charged, 

the original is sent to the field office involved; copies are retained in Headquarters and 

sent to the appropriate regional office. 

Any questions you have regarding a particular error should be directed to the program 

services section of the bureau of field services. 

125.25 Mailing Documents or Media with Personal Identifying 

Information 

The following have been developed for shipping documents or media containing 

sensitive or personally identifiable information (PII). 

	 Large quantities (more than 20 pages) medical evidence including medical 

evidence on CD’s 

o	 Should be shipped in a secure manner such as registered mail or private 

courier with tracking capabilities, such as United Parcel Service (UPS). 

	 Smaller quantities (20 or fewer pages) 

o	 Should be shipped using security envelopes. It is not necessary to use 

registered mail or private courier with tracking capabilities. 

If UPS is used to ship material to RRB headquarters, “MAILROOM” should be shown on 

the Name line in box item number 2 (DELIVERY TO) on the UPS Shipping Document. 

A telephone number for the recipient is not required. The RRB agency name is shown 

on the Company line while the RRB’s headquarters address is shown on the Street 

Address, City/State, and Zip Code lines. 

Note: UPS cannot be used to ship material to a post office box. 

NOTE: For Medical evidence, terminally ill (TERI) and/or Compassionate Allowance 

(CAL) cases, disability freeze only applications, or other material which otherwise would 

have been sent directly to the Disability Benefits Division using Post Office Box 10695, 

send via UPS to the Disability Benefits Division using 844 N. Rush Street, Chicago, IL 

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60611. Indicate “DISABILITY” on the Name line in box 2 “DELIVERY TO” on the UPS 

Shipping Document. Again, a telephone number not is required. 

If it is determined that UPS is the appropriate method of shipping, always consider using 

the least expensive shipping option that is appropriate for the type of document or 

electronic media being sent. Two options are available. 

 Use the “UPS 2nd Day Air” service delivery option whenever possible. 

 Use the “UPS Next Day Air” service delivery option when circumstances 

warrant overnight shipping. 

The UPS 2nd Day Air and the UPS Next Day Air have separate yet similar shipping 

forms. The requested information shown in the box items listed below must be 

completed when preparing either form manually: 

1. Shipment From 

2. Delivery To (for 2nd Day Air) / Extremely Urgent Delivery To (for Next Day Air) 

8. Method of Payment – check box labeled “Bill Shipper’s Account Number” 

10. Shipper’s Signature 

NOTE: Instructions and training has been provided to individuals who have access to 

UPS website (www.UPS.com) to prepare shipping documents on-line. 

125.30 Incoming Mail Distribution 

Refer to RCM 10.2 Appendix D for Headquarters Mail Distribution chart. 

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