TN 8 (04-04)

DI 30005.227 Correcting Group II Onset Date Deficiencies Involving a Reopening

A. Policy - corrective action

1. Prior folder in the review component

If the prior folder is in the review component, the review component will cite a group II onset date decisional deficiency and, in most instances, correct the onset date in the review component. However, the review component will return the folder to the adjudicating component for pre-effectuation correction when:

  • the case has another deficiency or incorrect action which requires corrective action by the adjudicating component; or

  • the claimant is already receiving a non-disability Title II benefit; or

  • the determination has been inadvertently effectuated.

See GN 04440.227B.1.

2. Prior folder not in the review component

If the prior folder is not in the review component, the review component will cite a group II onset date documentation deficiency and return the case to the adjudicating component for correction by SSA-1774-U5.

a. Return before effectuation

The review component will return the group II onset date documentation deficiencies to the adjudicating component for correction before effectuation of the determination when:

  • the group II onset date documentation deficiency can be corrected without delaying the first payment (i.e., a waiting period case); or

  • the case has another unrelated deficiency which requires corrective action by the adjudicating component; or

  • the claimant is currently receiving a non-disability Title II benefit; or

  • the claimant dies before the review is completed.

See GN 04440.222 for an explanation of pre-effectuation corrective action.

b. Return after effectuation

If none of the conditions in DI 30005.227A.2.a. apply, and the review component can establish an onset date based on the evidence in file, i.e., an IOD, the case will be returned to the adjudicating component for correction of the group II onset date documentation deficiency after effectuation of the determination.

The review component will either:

  • sign the SSA-831-C3/U3 prepared by the adjudicating component if the IOD is the same as the adjudicating component EOD; or

  • make a pen-and-ink correction to the adjudicating component's EOD on the SSA-831-C3/U3.

In addition, the review component will prepare any necessary forms, e.g., a personalized notice, release the notice and send the SSA-1774-U5 to the adjudicating component.

If the claim is an initial claim, the review component will send the folder to the adjudicating component and fax the SSA-831-C3/U3 to the FO to effectuate payment. If the claim is a reconsideration claim, the review component will send the SSA-1774-U5 and supporting documentation to the adjudicating component and send the folder to the FO to effectuate payment.

See GN 04440.223 GN 04440.225 for a more detailed explanation of the post-effectuation review component corrective action.

B. Procedure - DDS pre-effectuation corrective action

Upon receipt of the SSA-1774-U5:

  • Obtain the prior folder if it is not sent with the current folder, i.e., in a group II onset date documentation deficiency case.

  • Take all corrective action.

  • Prepare a revised SSA-831-C3/U3 and notice if development results in a different onset date.

  • Do not date or release the notice, if a new notice is prepared.

  • Return the corrected case and folder(s) to the review component.

Refer to DI 27530.001 DI 27530.025 for instructions on completing the SSA-831-C3/U3 and notices in reopening cases.

C. Procedure - DDS post-effectuation corrective action

1. SSA-1774-U5 and folder received in DDS

Upon receipt of the SSA-1774-U5 and folder:

  • Obtain the prior folder.

  • Begin onset date development as soon as possible.

  • Prepare a revised SSA-831-C3/U3 and notice if development results in a different onset date.

  • Do not date or release the notice, if a new notice is prepared.

  • Return the corrected case to the review component.

Refer to