SSA - POMS: GN 00204.012 - How to Close a Protective Filing

A. Policy – protective filing must be closed out

A protective filing must be closed out either by taking an application or by providing the individual with a closeout notification, otherwise, it will remain open indefinitely.

The protective filing closeout period is determined as follows:

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Title II - the Title II protective filing closeout date is 6 months from the date of the Title II closeout notification.
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Title XVI - the Title XVI protective filing closeout date is 60 days from the date of the Title XVI closeout notification.

If the protective filing closeout date for either Title II or Title XVI falls on a non-workday, the protective filing closeout date is the following workday.

B. Procedure - closing out a protective filing

1. Individual in-person at the field office (FO) or by telephone

If an individual visits the FO or calls Social Security and provides an intent to file, close out the protective filing by either:

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Obtaining a valid application,
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Scheduling an appointment that includes closeout notification, or
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Providing a manual closeout notice.

Enhanced Leads and Appointment System (eLAS) - If the appointment is scheduled by a technician using eLAS and the appointment is at least 7 days in the future, protective filing closeout language is included in all initial claim appointment confirmation notices. If an appointment is scheduled via eLAS for less than 7 days in the future, the technician must issue a manual closeout notice promptly. In situations where the NH provides intent to file for an auxiliary (i.e., child or spouse) when he or she schedules an appointment to file a Title II claim, use the "create a new lead" screen in eLAS to create a protective filing record for each auxiliary for whom the NH provided intent to file. Promptly issue a Title II closeout notice for each auxiliary by selecting the “Print Title 2 Closeout Notice” radio button on the eLAS Development Worksheet screen. Refer to the important note below for auxiliaries protected on a Title II disability application.

IMPORTANT: For Disability Insurance Benefit (DIB) appointments, follow the same process to ask the NH for intent to file for any auxiliaries (i.e., spouse, child(ren)) at the time of scheduling an appointment, and record the intent. However, do not send closeout notification to auxiliaries, as their application will be deferred until the NH's disability claim is allowed at any level of adjudication (e.g., initial, reconsideration, or hearing). For more information, refer to DI 11010.025C and DI 11010.030.

NOTE: Intent to file for DIB auxiliaries exists for the life of the claim, including the appeal period.

2. Individuals using other service channels

a. Online appointment scheduling systems (e.g., iAppointment (iAppt))

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If the individual goes online and self-schedules an appointment via iAppt, the protective filing closeout language is presented on-screen to the individual. The individual must click a check box confirming they have read and understand the protective filing statement. For more information refer to GN 00204.010D.3.b.

b. Internet claim (iClaim)

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For first party applications completed in iClaim, the system provides closeout language online.
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For third party applications initiated in iClaim, both the third party and claimant are provided language for closeout. iClaim provides the third party with the closeout language during the completion of the iClaim application and SSA mails the claimant both the SSA-L1 and SSA-L2 notices, which contain closeout language.

c. Written statement mailed to an SSA office

For written statements mailed to an SSA office, follow GN 00204.010D.2. If unable to contact the individual to make an appointment, the technician must send a manual DPS letter as closeout notification. For the appropriate 6-month protective filing closeout notice for Title II refer to NL 00703.740 and for the appropriate 60-day protective filing closeout notice for Title XVI refer to NL 00804.245.

C. Paper application as protective filing

In situations where the claimant insists on providing a wet signature instead of attestation to sign or the claim is completed by a third party who is not a proper applicant, the claim interviewer must provide a cover notice with closeout language (if no closeout notice was provided before) and explain to the applicant that:

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If the signed valid application is returned within the existing closeout period, we will use the date they first contacted us as the filing date.
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If we receive the signed valid application after the closeout date, we will use the date we receive the signed application as the application filing date. For determining the receipt date refer to GN 00204.007B.

NOTE: There are no provisions to extend the protective filing date based on “good cause” for late filing or for mail time when an application is returned through the United States mail, refer to application receipt date policy GN 00204.007B.

Social Security

Program Operations Manual System (POMS)

GN 00204.012 How to Close a Protective Filing