TN 3 (02-95)
GN 01703.220 How to Process Alpha Claims Involving Totalization
Current policy prohibits assigning an SSN to a non-citizen unless that person will be paid a social security benefit. However, sometimes a person without an SSN files a claim for U.S. benefits and indicates work in a totalization country. If at least 6 U.S. QCs can be established (the minimum required for a totalization benefit), it is necessary to determine the amount of foreign coverage to see if totalization insured status can be met.
B. Procedure - IBO
CAs in IBO- Fully develop all possible QCs, including undeveloped pre '51 quarters and military service, if needed. Follow this procedure when processing alpha claims involving totalization.
1. Worker fully insured
If the worker is fully insured:
Assign an SSN
Adjudicate the claim following normal procedures
2. Worker has less than 6 QCs
If the worker has less than 6 QCs:
Do not assign an SSN
Process as an “abandoned” claim (See GN 01010.420 for abandoned claims procedure).
Prepare an SSA-382-U2 listing.
If the application contains a lead for benefits from the other country, forward that information to the appropriate module.
3. Worker has 6 or more QCs but not fully insured
If the worker has 6 or more QCs but is not fully insured:
Do not assign an SSN
Send a modified “abandoned” claim notice to the claimant(s) which includes paragraph (RG08) that explains the possibility of entitlement to totalization benefits.
Route the claim to the appropriate module.
Annotate the routing form “Alpha claim - foreign coverage record needed before SSN can be assigned.”
If the module returns the claim so that an SSN can be assigned, process the non-totalization disallowance but suppress the notice. Route the claim to the appropriate totalization module so that the totalization award can be processed.
C. Procedure - modules
Technicians - After an alpha totalization folder is prepared, follow this procedure.
1. Benefit Earnings Technician (BET)
Benefit Earnings Technician:
Request the foreign coverage record and include in the “Remarks” portion of the appropriate liaison form a statement that the coverage record should be returned under the “alpha” name since there is no U.S. SSN at this time.
Prepare an alpha diary for the normal diary period for requests from each country. (See specific country subchapter for diary periods)
2. Claims authorizer
Review the folder upon receipt of the foreign coverage record and determine if insured status can be met using the provisions of a totalization agreement.
If yes, send the claim to IBO where an SSN is assigned and the RSDI disallowance is processed. When the claim is returned to the module, process the award.
If no, send a second “abandoned” claim notice specifying that totalization benefits are not payable. Do not request assignment of an SSN. Prepare an SSA-382-U2 listing. Return the alpha folder to IBO to be stored in the abandoned claims file.