TN 11 (09-87)

RM 03803.053 Selecting Incomplete Cases for Direct Correspondence With Employers

  1. Cases which cannot be processed per RM 03803.051 because evidence (W-2/ statement) was not submitted for all discrepant periods, must be processed per the instructions in this subsection or the instructions in RM 03803.055. Select cases for direct correspondence with employers per instructions in B. below.

  2. Select cases for direct correspondence with employers if the following conditions exist:

    1. The individual has given permission to use his/her name in an investigation.

    2. Discrepant period(s) must be open to correction (the time limit has not expired or an exception to the statute of limitations applies).

    3. Discrepant period(s) involved is within 4 years of the current year.

    4. The employer(s) involved is covered under FICA.

    5. The requirements in RM 03812.003 D.4.c apply.

  3. Cases where the following conditions exist should be processed per RM 03803.055 even if the conditions in B. above are present:

    1. A question of coverage exists, such as State and local employment or foreign employment, where we could not close the case even if we had a signed statement from the employer.

    2. Discrepant SEI is involved.

    3. Congressional or other sensitive issue is involved.

    4. Earnings reported by a military establishment are involved.

    5. Earnings reported by Southwestern Bell Telephone Co. are involved.

  4. If the case qualifies for direct correspondence with the employer(s) per A. and B. above, apply the following instructions:

    1. Address a Form SSA-L509, Request for ER to Furnish Statement of Earnings Paid, to each discrepant employer.

      NOTE: Ensure that the appropriate establishment number is included where the discrepancy involves an establishment reporting employer.

    2. Prepare a Form SSA-7011, Statement of Employer, (1 carbon) for each discrepant employer, in the following manner:

      1. Enter your branch's file symbols and the current date in the upper right margin.

      2. Enter the number holder's name, social security number and, if known his /her occupation in the appropriate spaces at the top of the form. Complete block 1 to show all periods for the year(s) in question.

    3. Insert the SSA-L509, both copies of the SSA-7011, and return addressed, penalty indicia envelope into a window envelope.

    4. Note beside each discrepant employer listed on the SSA-7009 in the ED folder “7011 sent (date).”

    5. Release the letter for mailing.

    6. Establish the Case as an earnings discrepancy as follows:

      1. Annotate the control system to show that the case is an ED.

      2. Show “3333” as the current location.

      3. Diary the case for 45 calendar days.

    7. Establish and maintain a diary file as follows:

      1. Establish a separate diary file for all “Direct Correspondence with Employer” cases.

      2. File all cases in SSN order.

      3. Receive a listing of those cases that are over 45 days old.

      4. Remove cases shown on the listing from the file.

      5. Assign the case to a technician and further handle the case per E. below.

  5. Prepare followup requests and rediary case as follows:

    1. Prepare and mail Form SSA-L68, Social Security Followup Requests for Information, and Form SSA-7011 to each employer that did not respond to our original request per D. above.

    2. Rediary the case for 45 calendar days or until a reply is received for all discrepant employers.

    3. If 45 days have elapsed, forward the case (via route slip) to the Office of Retirement and Survivors Insurance (ORSI). Indicate on the route slip that the conditions of the “Note” in RM 03870.008 B.2 are applicable. Request instructions for further development. Diary the case for 30 days pending a response from ORSI.

  6. If the SSA-L509 or followup request is returned as “undeliverable” , take the following actions:

    1. Associate the undeliverable form(s) with the related folder in file.

    2. Annotate the SSA-7009 in file to reflect that the material was returned as “undeliverable.”

    3. Initiate a development request with the FO servicing the emplo