TN 22 (03-21)

RM 03803.053 Selecting Incomplete Cases for Direct Correspondence with Employers

1. A. 

   Cases cannot be processed per RM 03803.051 when evidence (W-2/statement) was not submitted for all discrepant periods. Process these cases per the instructions in this subsection or the instructions in RM 03803.055.

2. B. 

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

   1. The individual gave permission to use their name in an investigation.

   2. Discrepant period(s) must be open to correction (per RS 02201.008, 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. C. 

   Process cases per RM 03803.055 where the following conditions exist, 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. D. 

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

   1. Prepare a Form SSA-7011, Statement of Employer, one copy for each discrepant employer, in the following manner:

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

   b. Enter the number holder's name, Social Security Number and, if known their occupation in the appropriate spaces at the top of the form. Complete block 1 to show all periods for the year(s) in question.

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

   3. Release the letter for mailing.

   4. Establish the case as an earnings discrepancy as follows:

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

   b. Show “3333” as the current location.

   c. Diary the case for 45 calendar days.

   5. Establish and maintain a diary file as follows:

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

   b. File all cases in SSN order.

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

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

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

5. E. 

   Prepare follow up requests and diary the case as follows:

   1. Prepare and mail Form SSA-7011-F4 to each employer that did not respond to our original request per D. above.

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

   3. If 45 days have elapsed with no reply, close the case on the electronic control system and send the appropriate closeout letter.

6. F. 

   If the follow up request is returned as “undeliverable”, take the following actions:

   1. Check the address information in file for any errors.

   2. If the address information was incorrect, make the necessary changes and re-mail the letter.

   3. Annotate the electronic control system.

7. G. 

   When a reply is received from the employer, associate it with the related folder in the diary file. If the file reflects that the FO is developing the case as a result of a followup request per E. above, advise the FO of the receipt of the requested information (See RM 03844.009 for instructions on calling the FO). If no other information is necessary to resolve the case, advise the FO to cancel the development request.

8. H. 

   When replies are received from all employers involved and, if applicable, any FO development of undeliverables was completed, process the case per established procedure.