TN 18 (12-13)

GN 02403.055 Controlling and Following Up on Fee Transmittal Registers (SSA-414-U3s) for Fees Sent to Office of Finance (OF) and Office of Earnings Operations (OEO)

A. Introduction for fee transmittal registers

Management is responsible for controlling and following up on the SSA-414-U3s. The field office (FO) uses the SSA-414-U3 to transmit fees to OF and OEO. For information on how to prepare the SSA-414-U3, see GN 02403.013. The following provides how OF and OEO verifies fees.

1. OF fee verification

OF verifies fee remittances by sending an automated email to the main FO email box titled “SSA-414-U3 Receipt Confirmation” containing the following information:

  • FO Code;

  • check number (if paid by credit card, the receipt number will read “CRXXXXXX”);

  • date of the SSA-414-U3 that the remittances are associated with; and

  • fee amounts.

The receipt confirmation email will inform the FO that OF verified fees on the SSA-414-U3. OF will not return a copy of the paper SSA-414-U3 to the FO.

NOTE: If the FO does not include the FO code and the date of the corresponding SSA-414-U3 on the check, OF will not send an email reply nor will they send a paper verification of the SSA-414-U3.

Ensure that you retain the remaining copy of the SSA-414-U3 in the pending file so that the FO can confirm the fees sent and the fees verified by OF match. The FO must associate the email with the remaining copy of the SSA-414-U3 and retain in the control file to use for audit purposes.

NOTE: The email may contain verified fee remittances for multiple dates. Ensure that you compare the verified remittances with all applicable SSA-414-U3s in that date range. For an example of the receipt confirmation email, see GN 02403.055D in this section.

2. OEO fee verification

OEO mails the verified SSA-414-U3 back to the FO. The FO must associate the returned SSA-414-U3 with the pending SSA-414-U3s.

NOTE: OEO does not send an automated email to verify fees. OEO will continue to send a verified paper SSA-414-U3.

B. Procedure for fee transmittal registers

Use the following procedures for controlling and following up on these fees.

1. Did you establish two control books for the SSA-414-U3s?

You must establish two control books to track receipt of the fee verification.

  • One control book will contain, in chronological order, all completed and verified SSA-414-U3s (and receipt confirmation email if applicable) from OF and OEO. Keep in the control book for 1 year from date generated and then destroy them.

  • The second control book will contain the pending remaining copy of the SSA-414-U3s awaiting verification from OF/OEO. Maintain the control books in a secure area accessible only to FO management staff.

2. Did you receive the receipt confirmation email from OF or the verified SSA-414-U3 from OEO within 45 days?

If yes, take the following actions:

  • associate the confirmation email or the verified form with the pending SSA-414-U3.

  • review any changes made by OF/OEO following the procedure in GN 02403.065.

  • file the receipt confirmation email with the paper SSA-414-U3 if returned from OF or the verified form if returned from OEO in the control book of verified registers.

  • write a destruction date (month and year) in red ink in the upper right corner of the receipt confirmation email or verified form, which is 12 months from the current date.

  • discard the pending copy of the SSA-414-U3 if you sent the fee remittance to OEO; do not discard the pending SSA-414-U3 if the fee was sent to OF since you will associate it with the confirmation email in the first control book. STOP.

  • destroy the receipt confirmation email with the remaining paper copy SSA-414-U3 or verified form when the destruction date matures.

If no, contact OF/OEO. For instructions on how to contact OF/OEO, see GN 02403.055C in this section. If they indicate that they mailed a copy of the SSA-414-U3 or sent the receipt email to the FO but the FO has no record of receiving it, request that OEO send a signed photocopy of the register or for OF to resend the confirmation email.

If OF/OEO indicates non-receipt of the SSA-414-U3, follow lost-in-transit procedures located in GN 02403.155.

3. Did you receive receipt confirmation email or verified form within 10 days of the first follow-up?