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CHAPTER 1-501 - TRANSFER OF FILES

1. Purpose and Scope. This Chapter of the PM describes the guidelines and procedures used in transferring files from one DO to another or to the NO.

2. Authority and Responsibility. DO authorization for transfer of any file is assigned to the DD.

a. Initiation. The transfer of files is to be initiated by the DD having jurisdiction. The DD making the transfer may, by letter to the DD to whom the case file is being transferred, give advice, comments, suggestions, or directions, as deemed appropriate, to the particular case.

b. Control. The Index and Files Unit in each DO is responsible for the control of the Longshore case files and case file mail requested by or transferred from the NO or another DO at the request of or approval by the DD. Case files and case file mail sent to or forwarded from the NO or another DO must be routed through this unit, and the records are maintained there.

c. Mailing. Cases shall be transferred by registered or certified mail.

3. Transfer Of Case Files.

a. Prepare a Case File Transfer Form, CA-58. The DO having custody of the LHWCA program case file, upon receipt of a proper request to transfer the file outside the office, prepares the CA-58, Case File Transfer, (Exhibit 11, PM 10-200), completing Section A as appropriate. Item 1 must be completed to show whether the case file is on loan and is to be returned to the originating office for further action, or is being permanently transferred. Section B of the form need not be completed. Form CA-58 is to be completed in triplicate. After completion, the original and copies are attached to the outside of the case folder and routed to the Index and Files Unit where the copies of the CA-58 are distributed as follows:

(1) Regardless of whether the case is being loaned or permanently transferred, the original of the CA-58 is retained in the originating DO and maintained numerically in a "Transfer File" folder.

(2) The two copies of the CA-58 are attached to the file being transferred and used as follows:

(a) For a loaned case, the copies of the CA-58 remain attached to the top of the case jacket until the case is ready to be returned to the originating office. At that time, Section C of the CA-58 (excluding that part concerning electronic records) should be completed. One copy should remain attached to the front of the case jacket when it is returned to the originating office. The other copy should be retained by the office returning the file and maintained numerically in a "Transfer File" folder so as to document receipt and return of the loaned case.

(b) Upon receipt of a permanently transferred case file, the receiving office will file down one copy of the CA-58 in the case file in chronological order, and retain the other copy maintaining it numerically in a "Transfer File" folder.

b. District Directors may at their discretion develop and use a single letter/form in lieu of the CA-58 and CA-67 (discussed in paragraph 4.d, below) when transferring or loaning a case file. This same letter/form should also be used to notify the claimant, attorneys and parties of interest when the case is permanently transferred. The letter/form should contain sufficient information to identify case name and number, date and type of transfer, where transferred and reason for the transfer. It should also show the name of the authorizing DD, and whether the transfer is permanent or a loan.

c. Produce an LCMS Case List. Regardless of whether the case is being loaned or transferred, the originating office should produce a Case List for that case. This is done by clicking on the "Print" icon on the Claim Screen of the LCMS, then select all. The Case List should be placed in the case jacket.

d. Prepare a Transmittal Sheet, CA-67. Upon receipt of a case file for transfer, the transferring clerk in the Index and Files Unit is to complete Form CA-67, Case File Transmittal Sheet (Exhibit 12, PM 10-200) in triplicate. The reason for the transfer must be shown on Form CA-67 as well as on the Form CA-58. Number the CA-67 forms (item 3) consecutively for the office each fiscal year, starting with LHWCA 1, regardless of the office to which the case is transferred. This means there will be only one series of numbers in each DO to identify the CA-67 forms each year. More than one case may be entered on a CA-67 form if several cases are being transferred to the same office at the same time. Distribution of the CA-67 is as follows:

(1) The original is sent to the receiving office by separate mail. When the cases arrive at the receiving office, they should be checked against the CA-67. If all cases are received, the original CA-67 and the copy that accompanied the case files should be initialed and dated (item 7) and filed in numerical order in the "Transfer File" folder. Any discrepancies between the CA-67 and the cases actually received are to be noted on the CA-67 prior to placing it in the "Transfer File" folder.

(2) One copy is retained by the originating office and maintained numerically in a "Transfer File" folder. When the receipted copy is returned by the receiving office, it should be filed in the "Transfer File" folder in place of this copy. If the copy returned by the receiving office shows that there was a discrepancy between the CA-67 and the cases actually received, the originating office should take appropriate action to correct the discrepancy.

(3) The second copy is sent with the case file being transferred. As described above, when the cases arrive at the receiving office, they should be checked against the CA-67. This copy should also be initialed and dated (item 7) with any discrepancies clearly noted and returned to the originating office.

e. Update the LCMS.

(1) When a case is transferred to another office, the originating office must change the LCMS case status to "Transferred" and the case location to reflect the receiving office. This can be done through the LCMS Claim Screen Case/Location. A transferred case should not be deleted from the LCMS of the office originating the transfer.

(2) Upon receipt of a transferred case, the receiving office must add the case to its LCMS data base. This should be done using the LCMS Supplemental Tab Case/Modify icon. Since the case has already had a number assigned, the case cannot be created on the system using the LCMS Case Create function.

g. Advise the Interested Parties. At the time the case is permanently transferred (or is loaned to another office for a period expected to be more than four months), the transferring office must advise all interested parties (claimant, EC, representatives, etc.) of the transfer. This may be done with either a form or brief narrative letter which provides the name, address and telephone number of the receiving office.

h. Prior to Transfer. The DD should insure that the transfer is for a proper purpose. A specific written request should be received from the claimant and his/her representative outlining the basis for the transfer. In addition, the DD should insure that all required actions have been completed prior to transfer. A file is not to be transferred when outstanding adjudication actions have not been completed that can be completed by the originating office. The transmittal memo must state the reason for transfer and the action required.

4. Transfer Of Case Mail. Where a case file has been loaned or permanently transferred to another office, related mail will always follow the case file. Any such mail will be accumulated in a central point within the Mail and Files Section. At the end of the day, the mail will be collected and mailed to the DO where the case file is located, except for Congressional inquiries. Congressional inquiries should be referred to the DD for acknowledgment before transferring it to the office having jurisdiction. The acknowledgment letter should advise that the inquiry is being forwarded and should provide the full address of the district office now having jurisdiction.

5. Transfers To The Office of Solicitor. Case files should never be transferred directly by a DO to the Office of the Solicitor (SOL) in the National Office. They must be transferred to the Longshore NO for forwarding to SOL. SOL will return case files to the DO through the NO. District offices may transfer cases directly to the regional SOL.

6. Transfer for Hearing. The DD is delegated the authority and responsibility for authorizing the transfer of submitted material for hearing (see 20 C.F.R. sections 702.317-.319). In accordance with 20 C.F.R. section 702.318, the administrative file is not to be transferred under any circumstances. The DD should ensure that a record is maintained of all cases with the OALJ or BRB.