TN 79 (06-10)
GN 00204.007 Application Filing Date
20 CFR 404.614, 404.630, 416.325, 416.340, and 416.345
1. Application filing date
The application filing date is the earlier of the:
NOTE: Use of a date other than the receipt date or protective filing date as the application filing date is not permissible in either the Title II or Title XVI programs. Recent systems enhancements in the Modernized Claims System (MCS) now allow for the protective filing date to be input as the date of filing on the Master Beneficiary Record (MBR) to conform to Title II regulations. The earliest possible protective filing date must be reflected as the PROTFL issue request (REQ) date on the DW01. When a protective filing date does not exist, the receipt date is the application filing date.
A Title XVI protective filing date is always material to eligibility. For information on using a Title XVI protective filing date as the filing date in all cases, see SI 00601.015B. The protective filing date functionality already exists in the Title XVI program, except in situations where the protective filing date or receipt date is prior to the date of attainment of age 65. For examples on using the correct application filing date, see GN 00204.007F.
The protective filing date is the application filing date if the protective filing closeout period has not expired. For clarity, the term application date is used for both Title II and Title XVI programs.
For instruction on Title II filing before entitlement, see GN 00204.007F.3.
For instructions on how to make a filing date determination, see GN 00204.007D.
For instructions on when the Title XVI age 65 system exception applies (that requires entering the application receipt date into MSSICS rather than the protective filing date), see GN 00204.007E.
2. Deemed filing date based on misinformation
A deemed filing date may be established based on misinformation. For misinformation policy and procedures, see GN 00204.008.
3. Incorrect application filing date
Applications that have been adjudicated with an incorrect application filing date must be reviewed to determine if reopening is appropriate, see GN 04001.010.
B. Policy for the application receipt date
The application receipt date is determined as follows.
1. Valid application taken and filed the same day
If a proper applicant files a valid application at one of the locations in GN 00204.006, that date is the receipt date.
2. Valid application is hand-carried
If a proper applicant signs a valid application with a “wet” signature and it is hand-carried to one of the locations in GN 00204.006, the date the application is hand delivered to the location is the receipt date.
3. Valid application received via the United States (U.S.) mail
If a valid application or protective writing is received through the U.S. mail, the postmark date is the receipt date if use of that date is more advantageous to the claimant than the actual receipt date. If the U.S. postmark date is missing or illegible, presume a receipt date 5 days before the actual receipt date. If evidence exists indicating that the applicant mailed the application less than 5 days before it is received, presume that the individual mailed the application on that date (e.g., if an application is signed on 3/7/09 and received on 3/9/09, the application receipt date is 3/7/09).
CAUTION: Be alert to instances where the claimant's protective filing period ended before a signed application is received. In these instances, it is important to review the evidence, including the postmark date on the envelope, to determine the most advantageous application receipt date.
EXAMPLE 1: Postmark Date Establishes a More Advantageous Filing Date
The claimant signs his retirement application on 11/28/09 and mails it the same day at his local U.S. post office. The application is physically received in the FO on 12/3/09. The claimant's 6-month protective filing closeout period ends on 10/30/09. The claims representative (CR) reviews the application and envelope and determines that the postmark date of 11/28/09 establishes a more advantageous receipt date than the actual receipt date of 12/3/09. The CR uses the electronic evidence screen to document the 11/28/09 application receipt date and establishes 11/28/09 as the application filing date.
EXAMPLE 2: Postmark Date Does Not Result in a More Advantageous Filing Date
The claimant signs his retirement application on 9/26/09 and mails it at his local U.S. post office on the same day. The application is actually received in the FO on 9/28/09. The claimant's 6-month protective filing closeout period ends 8/31/09. The CR reviews the application and envelope and determines that the postmark date of 9/26/09 does not result in a more advantageous filing date than 9/28/09, the actual receipt date. The CR establishes 9/28/09 as the application filing date.
4. Valid application completed via Internet
If we receive a complete Internet application, the application receipt date is the date we receive the transmission, not the date we establish the application in MCS. The correct application receipt date is displayed on the Internet Database query in the COMPLETED DATE field (e.g., COMPLETE: INTERNET COMPLETED DATE: 033009). Refer to MSOM INTERNETT2 001.003 for more information about the Internet Database query.
NOTE: If a claimant-signed paper application summary is received from an Internet claim initiated by a third party, follow GN 00204.007B.3. in this section.
5. Documenting the receipt date
a. Valid automated applications taken and filed the same day
The application receipt date must be entered directly in the REC field of the application issue on the DW01 screen. For the application receipt date policy, see GN 00204.007B.1. through GN 00204.007B.4. in this section.
b. Applications, Internet application summaries, and protective writings received via the U.S. mail or hand carried to the field office
All applications, Internet application summaries, claims forms, protective writings, documents, etc. must be date stamped on the day they are actually received. If a date stamp is not available, the date must be hand written on the document and initialed. For forms that do not contain a date stamp block, use the reverse side of the form to avoid stamping over an entry.
NOTE: Paper applications contain a date stamp block. The Internet application summary does not have a date stamp block.
C. Policy for filing before entitlement or eligibility
1. Title II application
a. Retirement or survivor applications
You can take a retirement or survivor application and effectuate it as an allowance up to 4 months before:
The claimant meets all entitlement factors if the entitlement factors that will be met in the future month are based on events that will definitely happen (e.g., insured status, or age attainment); or
The future month of election.
If the applicant insists on filing more than 4 months before entitlement, you must take the application and disallow it. For additional procedures on denying and disallowing applications for lack of insured status see GN 01010.440A.2.
b. Disability applications
You can take a disability application and adjudicate it as an allowance when the number holder (NH) does not meet insured status in the filing date month but will meet it in a future month within the same calendar year. However, you will not be able to effectuate it until all factors of entitlement are met. For the disability factors of entitlement, see DI 10105.005B.
2. Title XVI application
For the policy on when a Title XVI application may be taken and effectuated as an allowance, see SI 00601.010B.3.
NOTE: For processing a child's application in the month he or she attains age 18 and deeming applies resulting in Title XVI ineligibility for the filing date month, see SI 00601.009.
D. Procedure for making a filing date determination
Review internal SSA records (e.g., office pending file, 800 Number System) for protective filing documentation that could establish the earliest application filing date. For documents that may serve to protect the filing date see GN 00204.010D.
If the protective filing period is closed per GN 00204.012F.1., use the next earliest protective filing date where the protective filing period, if any, has not expired. For information on when the protective filing closeout period expires, see GN 00204.012B.
REMINDER: The printing date of the MCS or MSSICS application or the completion date of the manually prepared application form can establish a protective filing date, e.g., the signed application is received after the protective filing closeout date.
If there is no protective filing date that could be used, the receipt date is the application filing date. For establishing the receipt date, see GN 00204.007B.
NOTE: For cases involving the reopening of a prior denied claim, the application receipt date is the date the reopening is requested. The material file date (MFD) should be the same as the application receipt date. The protective filing date is the original protective filing date from the previously denied claim. Enter the FDC of “C” on the DECI screen for (MI) purposes. The FDC code of C will exclude the FO1 time, from the original application date through the date the reopening is requested on the new DW01. However, this time will not be excluded from the mean overall time on the case.
E. Procedure for Title XVI age 65 systems limitation
1. Determining the application filing date when attainment of age 65 is involved
If the Title XVI protective filing date, receipt date, and attainment of age 65 falls within the same month, input the receipt date into the system as the application filing date, but only if the receipt date is later than the date of attainment. If the receipt date is prior to the date of attainment of age 65, input the date of age 65 attainment into the system as the application filing date.
REMINDER: An individual attains age 65 on the day before his or her birthday.
When the receipt date or date of attainment of age 65 is entered in MSSICS as the application filing date, annotate the Supplemental Security Record (SSR) remarks field with the claimant’s correct filing date.
3. Eligibility or entitlement based on Title XVI filing date
When the eligibility or entitlement for other benefits is based on the Title XVI filing date, check the MSSICS record or SSR for the applicant’s correct filing date (e.g., when the Title XVI application is an application for Title II benefits).
If a protective filing date exists and the protective filing period has not yet expired, the application filing date is the protective filing date. For documenting the claimant’s intent to file for Title II benefits, see GN 00201.005.
F. Examples: Using the correct application filing date
1. Concurrent Title II and Title XVI applications filed - valid disability application filed in the field office (FO)
On 10/2/09, Ms. Williams walks into her local FO to apply for Title II and Title XVI disability benefits. She completes and files her application that day. Her application filing date for both Title II and Title XVI benefits is 10/2/09, the date the FO received her valid application.
2. Title II - protective filing date established
Ms. Jones attained age 62 on 8/25/09. She calls the 800 Number on 9/15/09 to file for benefits. Her in-office appointment is scheduled for 10/15/09. She filed her application on that date. The claims representative (CR) uses the protective filing of 9/15/09 as Ms. Jones' application filing date.
3. Title II - filing before entitlement
On 5/15/09, Ms. Johnson calls the 800 Number to inquire about filing for retirement benefits. She turns 62 on 7/25/09. The teleservice representative (TSR) completes the appropriate 800 Number System screens to protect her filing date and schedules an application appointment for 6/27/09. Since the application appointment is for a Title II only application, the 6-month protective filing closeout language is included in the appointment confirmation notice.
On 6/27/09, the CR completes the application and mails it to Ms. Johnson along with the Title II application cover notice (SSA-L566-U2) for a wet signature because Ms. Johnson insists on signing the application with pen-and-ink. Ms. Johnson's signed application is received in the FO on 6/30/09. Since Ms. Johnson filed her application for retirement benefits within 4 months of meeting all factors of entitlement, we can effectuate her application as an allowance with a future month of entitlement of August. The 5/15/09 protective filing date is entered into the system as Ms. Johnson's application filing date. In other words, the date the NH called was used because it is within the 6-month closeout period.
4. Concurrent Title II and Title XVI applications filed - aged Title XVI application - age 65 systems limitation applies
Mr. Brown calls the 800 Number on 10/03/09 to file for both Title II and Title XVI benefits. The TSR documents the protective filing date and schedules the application appointments for 10/09/09. The CR completes the Title II and Title XVI appointment interviews on 10/09/09 and the applications are filed on that date. Mr. Brown appears eligible for Title XVI benefits effective with October. He attained age 65 on 10/15/09. Mr. Brown’s application filing date for Title II and Title XVI is 10/03/09; however, since the age 65 systems limitation applies, the CR enters 10/15/09 into the system as the Title XVI application filing date and enters the correct filing date of 10/03/09 in the remarks field of the SSR.