TN 2 (09-85)
GN 01704.571 Obtaining Certified U.S. Earnings Records Under the Canadian Agreement
Because of the recency of the Canadian programs, Canada never needs coverage information prior to 1952. In addition, Canada has agreed to accept initially either a mini-certified earnings record (MCER) or SSA-794TR whichever is produced based on the SSA-451-A4, SSA-450 or SSA-5025-NC request. (See GN 01704.990, Exhibit 1.) Therefore, unless otherwise stated, when reference is made to furnishing a U.S. earnings record, either the MCER or SSA-794TR will suffice. However, if both are in file, send the SSA-794TR since it contains more information.
B. Earnings records for Canada—initial claims package
Ottawa/Quebec always needs a copy of the U.S. earnings record except when:
The applicant is requesting CPP or QPP retirement benefits (see Section 1, Question 2 of the CAN/USA 1 or Part II of the QUE/USA 1);
The applicant is requesting death benefits (the equivalent of our lump-sum death benefit) and the worker died before the effective date of the agreement; or
The applicant is requesting OAS benefits and alleges 22 or more years of Canadian residence after he/she attained age 18 (see Section IV, Question 20 of the CAN/USA 1).
If the claim originated in a U.S. nondesignated DO (see GN 01715.320 for a definition and list of those offices) or in a country other than the United States or Canada, the LC should take the following action:
Form SSA-794TR in file
Review Form SSA-794TR for completeness;
DO NOT reconcile #signs;
DO NOT develop lag earnings unless this information is required for the U.S. claim.
NOTE: If lag earnings are required for the U.S. claim, the DO should have developed them; or
DO NOT obtain 1937 through 1950 breakdown; or
DO NOT determine QCs for 1951 and 1952.
DO NOT affix a legend to a Form SSA-794TR being sent to Canada. Canada has been provided with a detailed explanation of the SSA-794TR and should have no difficulty interpreting it.
Change asterisks to QCs of the same type shown for that year.
Forward the earnings to the Canadian agency and if additional U.S. QCs could possibly be established after 1951, include a remark on the SSA-2960-U3-CQ as follows: “Additional coverage possible for . Please advise if you require quarter of coverage information for this (these) year(s).”
In the blank space, enter the years of possible additional coverage, including lag years, if appropriate; e.g., 1952, 1983 and 1984, etc. Do not include years where there are no postings; e.g., gaps in the record, unless there is reason to believe that the person actually had coverage for those years; e.g., lag earnings are alleged or earnings are shown for 1952. This will assist Canada in deciding whether the additional information we could provide will be of any use to them and will document the file to show that the development was intentionally not made.
Form SSA-794TR Is Not in File
Request an earnings record for 1952 to date;
DO NOT reconcile #signs;
DO NOT develop lag wages;
DO NOT request QC information for 1951 and 1952;
DO NOT affix a QC legend to the earnings record;
Forward the earnings record to the Canadian agency and include the remark discussed in section B.3.a.8) above on the SSA-2960-U3-CQ, if appropriate.
C. Foreign agency request
If a claim for Canadian totalization benefits is filed in Canada or Canada finds that the earnings record provided initially by SSA does not provide sufficient information, they will request INTPSC to provide a certified SSA-794.
1. Claim for Canadian totalization benefits initially filed in Canada
If Form SSA-794TR is in file, send a copy to the Canadian agency. Make no attempt to develop additional QCs; however, include years with potential additional QCs in the remark on the SSA-2960-U3-CQ as shown in B.1.b. above.
If there is no Form SSA-794TR in file, take the following actions:
Request coverage information for 1952 on (see D. below);
Have #signs reconciled;
Request QC information for 1952;
Correct all asterisks;
Do not develop lag wages;
Do not affix a QC legend;
Forward the earnings record to the Canadian agency and include the remark discussed in section B.3.a.8) above on the SSA-2960-U3-CQ if lag wages are not developed.
2. Earnings record initially provided to CANADA is insufficient
If Canada has specified the year(s) for which they are seeking additional QC information, clarify those years only; e.g., develop QCs for 1952 or lag wages for 1983, etc. However, if Canada is not specific in their request, develop coverage information for 1952 on, reconcile #signs, have QCs determined for 1952 and develop for any lag wages. Use the DCF of the claim filed in the United States or the DCF certified on the CAN/USA 1 or QUE/USA 1, whichever is earlier, to determine the lag period. Develop lag through the month before the month of filing.
D. Completing earnings record requests (Forms SSA-L5025NC)
When requesting a U.S. earnings record to include in an initial claims package, complete the SSA-L5025NC as follows:
From—Circle “INTPSC 995;”
SN—Enter number holder's (NH) SSN;
NH—Enter name of NH;
DB—Enter NH's date of birth in mm/dd/yy format, followed by the proof code (PF) “A.” If date of birth is unknown, make no entry. The date of birth on the earnings reference file will be shown on the ER.
SX—Enter sex of NH, “M” for male or “F” for female;
UN—Enter “TM7” or “TM8;”
CR—Enter NH's SSN. In double folder situations, the block should reflect the SSN of the top folder.
PB—Encircle PB, enter code “TB” followed by 5-letter totalization country code (TCC).
SR—Encircle SR, check “remarks” block and enter “Need 51TD QC. TOE , for reviewing office use only. DO not transmit.” Enter appropriate TOE (120, 190 or 430) for claims. Enter “TOE 520” if ER is requested for foreign agency.
Evidence Code—Enter 82P;
Diary Due Date—Do not complete;
Prepared By—Enter current date;
Date—Enter current date;
See GN 01704.570, if railroad is involved after 1952.
When requesting a U.S. record as a result of a foreign agency request, complete the SSA-L5025NC as above, except:
Follow instructions in a. through n. in 1. above;
LE—Encircle LE and enter lag earnings if the NH had covered wages and/ or SEI in any part of the lag period. (See GN 01704.510.)
NOTE: Complete this block only if required by section C.2. above.
MS—Encircle MS and enter military service data if the NH had military service in the period from January 1, 1952 through December 31, 1967, if it is proven and if the military service can be used in the computation. Only U.S. can be entered.
NOTE: Complete this block only if Ottawa has requested MS covered information from 1952 on in connection with an OAS claim or MS is alleged for 1966 or 1967 and Ottawa or Quebec has requested MS information from 1966 on in connection with a disability or survivor claim.
E. Dispatching and diarying
After completing the form, strip it, place the original in the “Direct Input” bin, file remaining copies in the folder. Prepare a 45-day diary via Form SSA-382-U2.
If the ER has not been received after 45 days, prepare a followup Form SSA-5025-NC and diary for 45 days. If no ER is received when that diary comes due, ask the lead file clerk to contact OCRO by phone.
G. Railroad earnings involved
If information about railroad earnings is shown in block 4 “RRB INFO” of Form SSA-794-C1, determine if railroad service months (SM) must be identified.
DO NOT identify SMs if:
The SMs are for periods for which QCs are already shown; or
There are 12 SMs shown for a calendar year; or
The NH has 120 SMs or more; or
The NH is an RRB annuitant—in this case, neither SSA nor foreign agencies may use the RR earnings; or
The NH is insured for RSDI benefits and either:
The claimant has restricted claim to benefits from U.S.; or
The claim is for CPP or QPP survivor or disability benefits and the year in “YLW” (year last worked)—box 9, block 4 of the ER—is 1965 or before; or
The claim is for OAS benefits and the year in “YLW” —block 9, box 4 of the ER—is 1951 or before.
Service Month Identification Necessary
If none of the situations above apply, LCs must request SM identification from RRB. RRB supplies this information on a Form RR-90 (Railroad Retirement Board—Certification of Compensation) in response to a Form SSA-790-RR (Request for Railroad Earnings Information) which must be completed as follows:
Item 1—“Unit No.”
Enter “Mod 7” or “Mod 8” in this block.
Enter the date the SSA-790-RR is prepared.
Item 3—“Name of RR Employee”
Enter the first name, middle initial and last name of the number holder and also his/her name as shown on the SSN card if different.
Item 4—“SSA Account Number”
Enter all known SSNs for the number holder.
Item 5—“RRB Claim Number”
Insert the RRB claim number, if available; otherwise, do not write in this space because RRB will enter its claim number, if any.
Item 6—“Type of Action”
Check one box to indicate the type of claim currently being processed or to indicate that the RRB ER is needed to answer an inquiry.
Item 7—“Date of Death”
For survivor cases, enter the number holder's date of death. If the exact date is unknown, enter the approximate date as accurately as possible.
Item 8—“Date of Birth”
Enter the number holder's date of birth.
Item 9—“Date of Onset”
For disability cases, enter the month and year that the number holder's alleged present disability began.
Item 10—“Furnish Information as Indicated Below”
Check block B and line-out the phrase “on attached RR-90”.
Check block C and line-out the phrase “on attached RR-90”. If the years are known, they should be entered in the block provided.
This form is designed for use by both the RRB and SSA. LCs should fold it so that the RRB address appears in the window of the envelope. LCs should enter the INTPSC totalization address in the bracketed space at the bottom of the form.
Diary the request for 45 days. If no response is received when the diary comes due, prepare a second request, checking block “A” of Item 10 of the Form SSA-790RR and diary for 45 days. If no response is received when diary comes due, route folder to SCS, annotate Form SSA-559, “RRB earnings case.”
When the RR-90 is received, the LCs must route the folder to a CA for converting SMs to QCs.
After the CA completes the necessary actions, the folder will be returned to the LC if a claims package must be prepared.
H. Preparing ER for the foreign agency
Once the ER is in the file, review it and take any necessary actions to make certain that:
U.S. MS is posted when required.
Lag wages are posted and QCs established as appropriate.
QCs are displayed for all the necessary periods.
RRB earnings are posted (if needed).
#signs are reconciled when necessary. #signs may be changed to “G's” if necessary. #signs may be changed to “G's” in years of maximum earnings.
“N's” are changed to “G's” in years of maximum earnings.
“*'s” are changed to “QC's” of the same type as the QCs posted for that year.
Note: Questions or problems related to ERs should be referred to CAs.
2. Preparing copies of the ER
When the ER is ready for transmission to the foreign agency, prepare a certified photocopy for the claims package. If an RSDI folder is available, prepare a photocopy for that folder. The original ER will be filed in the totalization folder.