TN 1 (03-13)

RM 02032.025 Processing Possible Duplicate (PD) Alerts

DEBS’ technicians must follow these steps to process the PD indicator for the Possible Duplicate Alerts:

  1. 1. 

    Receive a batch containing Possible Duplicate Alerts.

  2. 2. 

    Print the listing for each batch.

  3. 3. 

    Compare the Employer Identification Numbers (EIN) from the listing to the Employer Identification Number (EIN) List for Military and Known Multiple Form W-2 Filers in RM 02032.030.

    1. a. 

      EIN is on the list – No action is necessary (NAN)

      • Remove the PD indicator through Falcon67; and

      • Release the batch to the Earnings Operations Expert (EOE) for review.

    2. b. 

      EIN not on the list - Continue processing the alert

  4. 4. 

    Access WRS for the Incoming and Existing EINs.

    1. a. 

      EIN is not present – Go to Step 5.

    2. b. 

      EIN is present - Check the tax year field.

    If …

    Then …

    Tax year is not shown

    Continue case processing - Go to Step 5.

    Tax year is shown and the date is more than one year

    For special processing, refer to the Employer Reporting Specialist (ERS).

    Tax year shows one of the following status:

    • Pending in RO;

    • Pending in OCO, Adjustment in Process;

    • Report in Process – Report sent to WBDOC; or

    • Investigate.

    • No action is necessary (NAN) - Do not remove PD indicator.

    • Release to EOE for review.

    Tax year shows one of the following status:

    • Resolved at RO level;

    • Complete – Employer Problem Resolved;

    • Unable to Resolve – Take EM 2.8 action, if necessary;

    • Barred to Correction – Statue of Limitation applies; or

    • Other.

    Continue case processing - Go to Step 5.

  5. 5. 

    Access the Employer Report Query and Response (ERQY/ERQR) to identify if an error was made for the Existing and Incoming EINs shown on the listing. Review the ERQR for the following:

    • Print the ERQR for the alert year, the year before and the year after for the Existing and Incoming EINs.

    • Compare the employer names, address, number of employees and number of original reports to identify employer reporting patterns and wage reporting errors.

    • Locate the ECN for the existing and incoming reports.

    • Identify the Source field to determine where to locate the copy of the original report.

    • Check for correction activity for the incoming or existing report.

    • Verify if the correction activity resolve the alert.

    Use the following chart to identify the necessary fields:

    If …

    Then …

    Earnings Report Source (ERS) field shows one original report

    Identify original wage reports for each EIN listed.

    Electronic Control Number (ECN) field

    Identify wage report for each EIN shown on the listing.

    Wage amounts, report type, source, and number of employees – Existing and Incoming wage reports

    Identical reports suggest that one may have been processed or submitted in error.

    SOURCE field

    Determine where to locate a copy of the original wage report submitted by employer; (i.e., microfilm, ORS, EAMATE).

    Processed W-2s and Reported W-2s (if paper report)

    Two reports could have been processed as one.

    Correction Activity (corrected wage report, RCOR, ICOR, MOS adjustments)

    • Determine if previous correction activity (RCOR or Employer corrected Report) resolved the duplicate wage posting.

    • Query ICOR or MOS adjustments for rationale.

    NOTE: The ECN for the alert (shown in the APDA application) corresponds with the “EXISTING” EIN on the ERQR.

    1. a. 

      No previous correction activity that resolves the duplicate wage posting – Go to Step 6.

    2. b. 

      Previous correction activity shown resolves the duplicate posting (e.g., Corrected Wage Report, Blanket Adjustment, RCOR, ICOR, and MOS).

      • Randomly check several SSNs from the beginning, middle, and end of the report to determine if alert condition has been resolved.

      • No corrective action necessary (NAN).

      • Remove PD indicator via Falcon67 (if necessary).

      • Release to EOE for review.

        NOTE: To determine if the tax year (TY) is the current reporting year or two years prior to the current reporting year, use the Reconciliation System EM 1.5.

        See Details:

      • MSOM EM 005.001 Reconciliation Process Overview

      • SharePoint DEBS (SharePoint Link)

  6. 6. 

    Query Report Correction (RCOR) for pending adjustment(s)

    1. a. 

      No pending adjustment showing in RCOR – Go to Step 7.

    2. b. 

      Pending RCOR action resolves duplicate posting for alert tax year(s) – No action is necessary (NAN).

  7. 7. 

    Access the Detail Earnings Query and Response (DEQY/DEQR) for each SSN, the alert year(s), the previous year and subsequent year to determine if the PD indicator is present.

    NOTE: Another systems application may clear the indicator and not resolve the alert condition.

    1. a. 

      PD indicator is not present:

      • Review DEQR to determine if a questionable condition needs to be resolved.

      • No corrective action is necessary (NAN).

      • Release to EOE for review.

    2. b. 

      PD indicator is present – Go to Step 8.

  8. 8. 

    Analyze wage data on DEQR and then locate your situation on the following chart:

    Situation 1:

    If…

    Then …

    DEQR shows both the existing and incoming EIN; and the PD indicator is present for those years

    Request additional years (other than the alert year) to locate a year without a PD indicator.

    Earnings pattern is not present

    Access appropriate microfilm or online microfilm resources to make a determination.

    Employer name does not validate to EIN as shown on W-2 for either the incoming or existing EIN

    If SSA error, use RCOR or ICOR (as appropriate) to take corrective action.

    Situation 2:

    If …

    Then …

    DEQR shows the existing EIN in the year before and the incoming EIN in the year after the alert TY

    Add both amounts from the existing and incoming EIN to determine if an earnings pattern is present.

    Earnings pattern is not present.

    Access appropriate microfilm or online microfilms resources to make a determination.

    Employer name does not validate to EIN as shown on W-2 for either the incoming or the existing EIN.

    If SSA error, use RCOR or ICOR (as appropriate) to take corrective action.

    Employer name validates to the EIN shown on DEQR and W-2 for both postingS

    No corrective action is necessary to resolve the duplicate posting.

    Situation 3:

    If …

    Then …

    DEQR shows Incoming EIN in the year before and the year after; and the existing EIN is shown for the alert year

    Access appropriate microfilm or online microfilm resources to determine if you must take corrective action.

    No corrective action is necessary

    Go to Step 10.

    Corrective action is necessary

    Go to Step 9.

    Situation 4:

    If …

    Then …

    The existing EIN is present the year before and after the alert year and the incoming EIN is not present

    Access appropriate microfilm or online microfilms resources to determine which Employer Report to retain.

    No corrective action is necessary.

    Go to Step 10.

    Corrective action is necessary.

    If there is an SSA error, use RCOR or ICOR (as appropriate) to take corrective action.

    Situation 5:

    If …

    Then …

    DEQR shows previous corrective action to the incoming EIN and the existing EIN shows posted wages

    • Access appropriate microfilm or online microfilm to determine which Employer Report to retain; and

    • Resolve duplicate posting via RCOR or ICOR, as appropriate.

    If previous deletion action removed the incorrect EIN

    Restore wages via ICOR/RCOR, as appropriate.

    Situation 6:

    If …

    Then …

    DEQR shows earnings posted under temporary EIN 70-9990000 for the TY in question and LOAC field shows ARCH (which means that the Office of Systems (OS) compressed the earnings because the “over max details” limit was reached on the MEF).

    • No corrective action is necessary to resolve duplicate posting; and

    • Go to Step 10.

    Situation 7:

    If …

    Then …

    DEQR identifies either the existing or the incoming EIN as a third-party (3PTY) sick pay company (e.g., UNUM, Aetna, or Hartford)

    • No corrective action is necessary to resolve the duplicate posting; and

    • Go to Step 10.

    Situation 8:

    If …

    Then …

    Any situation not identified in the seven situations above

    Consult with the Earnings Operations Expert (EOE) for a Potential Problem Referral Situation.

  9. 9. 

    Contact the employer to determine if the employee(s) listed earned the same amount under both EINs before processing an adjustment to remove duplicate postings.

    1. a. 

      Employer contact shows that one of the postings is erroneous:

      • If employer error, advise the employer to submit Corrected W-2s (W-2Cs and W-3C) to resolve the multiple postings.

      • If the employer does not agree to submit corrected W-2Cs, advise the employer the employee(s) will not receive proper credit for the wages posted and the Internal Revenue Service (IRS) may contact him or her about possible penalties.

      • If this is an SSA error, use RCOR or ICOR (as appropriate) to take corrective action.

      • Document with a Report of Contact or Remarks screen (as appropriate).

    2. b. 

      If the employer confirms that both postings are correct:

      • Determine if this is the employer manner of reporting (filing multiple W-2 s).

      • Advise the Center for Program Support (CPS) of the EIN to update the “EIN Multiple Filers” list.

      • No adjustment action is necessary.

      • Remove the PD indicator from the earnings record via Falcon67.

    3. c. 

      If there is no connection between the two EINs (two separate business entities) and each employer confirms that the postings are correct:

      • Advise the CPS of the EINs to update the “EIN Multiple filers” list.

      • No adjustment is necessary.

      • Remove the PD indicator from the earnings record via Falcon67.

        IMPORTANT: There may be occasions when you must prepare both ICOR and RCOR actions; complete the ICOR adjustments before establishing RCOR.

        NOTE: When processing RCOR adjustments, obtain a DEQR after the RCOR run cycle. Check for posted adjustment items to verify that the previous action removed the PD indicator.

        If …

        Then …

        Adjustment is not shown

        Perform an RCOR search;

        Reprocess any Manual Intervention (MI) pending correction, as necessary;

        Recheck DEQR after the next RCOR run cycle; and

        Retain adjustment documentation for 90 days

        Adjustment is shown on DEQR and PD indicator is not removed

        Remove PD indicator – Go to Step 10.

        Adjustment is shown on DEQR and PD indicator is removed

        No action is necessary (NAN)

        Release to EOE for review.

  10. 10. 

    Create a batch to cancel PD indicators via Falcon67. Refer to RM 02032.040.

  11. 11. 

    Place a check mark (v) in the “Update” column in the APDA application to close the corresponding alerts; after entering all SSNs (related to the EIN) in Falcon.

    NOTE: Retain Form(s) W-2 or an ICOR or RCOR printout for 90 days if you processed an adjustment to the MEF using either:

    • EM 2.8 (ICOR), or

    • EM 3.1 (RCOR).


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0102032025
RM 02032.025 - Processing Possible Duplicate (PD) Alerts - 05/23/2016
Batch run: 10/17/2016
Rev:05/23/2016