Identification Number:
RM 03803 TN 10
Intended Audience:See Transmittal Sheet
Originating Office:DCO OCO OEIO DTPS
Title:General Instructions
Type:POMS Transmittals
Program:Records Maintenance (Earnings & Enumeration)
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM
Part RM – Records Maintenance
Chapter 038 – Earnings Discrepancies
Subchapter 03 – General Instructions
Transmittal No. 10, 08/26/2020

Audience

Originating Component

OCO

Effective Date

Upon Receipt

Background

This is a Quick Action Transmittal. These revisions do not change or introduce new policy or procedure.

Summary of Changes

RM 03803.011 Disposition of Case Where the Record(s) is in Claim Status

In A., added OF-41 routing slip form number. In E., removed "off the controls" and replaced "is to be filed for 4 years" with current MICES retention.

 

RM 03803.013 Complete Case - Definition

In A.1., replaced "definitely" with "confirmed as".

In A.1.a, replaced "has" with "did", changed "questioned" to "question".

In A.1.b. replaced "can be considered to be" with "is considered" and removed "set out".

In A.2.b, replaced "being processed" with "in process".

In A.2.c., removed "that". Replaced "told previously that" with "informed". Replaced "should" with "will", changed "correct" to "corrected", replaced "at a later date" to "later".

In B., removed "to be".

In C.2., replaced "has" with "was" and removed "been".

In C.3., replaced "have not been" with "were not".

In C.4., removed "that".

In D., removed "to be".

In D.2., removed "earnings in excess of the maximum,", added "are the", added "earnings" and replaced "have been" with "were".

In D. 3. replaced "has been" with "was" and replaced "and" with "while".

In D.4., removed "has", inserted "of the.." after "..the year...". Replaced "alleged" with "allegation".

In D.5., changed "The total of a", to "An...", inserted "total" before "...agricultural...". Changed "...wages were reported" to "...reported wages are...".

In D.6., removed, "has" and replaced "our" with "SSA", replaced "...even though..." with "although", replaced "...is not in agreement..." with "...disagrees...".

In D.6.a, replaced "If a wage case is involved, for..." with "Wage cases involving...", changed ",...consider the case" to "are considered", added comma after "if".

In D.6.a, formatted sentences into bullets and made last sentence a note.

In D.6.a, 1st bullet, changed "correction" to "Correction" and added comma after RS reference.

In D.6.a, 2nd bullet, capitalized "The", replaced "have been" with "were", removed "that" and "has" and inserted "is" between "furnish" and "primary".

In E., replaced "For" with "Handle", removed "take the following action", and added "as follows:".

In E.1., removed archived POMS reference.

In E.2., replaced "on" with "in". In E.3., removed archived POMS reference.

 

RM 03803.011 Disposition of Case Where the Record(s) is in Claim Status

  1. A. 

    Address an OF-41 route slip to the appropriate office responsible for the claim.

  2. B. 

    Enter under “Remarks”: “Claims Case—your jurisdiction”.

  3. C. 

    If a non-claimant is also involved, add to the remark: “Please notify the non-claimant of the results of your investigation”.

  4. D. 

    Forward the case material (including any scouting or MBR) to the responsible office.

  5. E. 

    Close the case.

  6. F. 

    After the case is completed, the file material for the non-claimant is retained in MICES for 7 years. Do not establish a file under the claimant's SSN.

RM 03803.013 Complete Case - Definition

  1. A. 

    Consider the case to be “complete” if one of the following conditions exists:

    1. 1. 

      The alleged employment or self-employment is confirmed as not covered under the Social Security Act, and:

      1. a. 

        The individual did not question the coverage of his/her employment or self-employment, or

      2. b. 

        The earnings reported are in agreement with the amount alleged per the rules in “B” below.

    2. 2. 

      A report for the alleged employer is in process, and:

      1. a. 

        It cannot be determined if the correct earnings should post, and

      2. b. 

        The file does not include sufficient evidence to establish the alleged earnings, and

      3. c. 

        There is no indication the NH was informed his/her record will be corrected later.

  2. B. 

    Consider the reported earnings in agreement with the allegation if one of the following conditions exists:

    1. 1. 

      The earnings reported are in exact agreement with the allegation.

    2. 2. 

      The earnings reported are not in exact agreement but the conditions cited in D. below exist.

  3. C. 

    Agreement does not exist if one or more of the following conditions are present:

    1. 1. 

      A QC is involved (the individual must have less than 40 QC's for it to be an issue).

    2. 2. 

      A report was not filed by the employer for the period alleged or part of it.

    3. 3. 

      Wages were not reported for the employee by the employer.

    4. 4. 

      The individual insists his/her earnings record be investigated.

    5. 5. 

      Evidence was submitted with the allegation.

  4. D. 

    When “exact” agreement does not exist, reported earnings are deemed in agreement if one or more of the following conditions apply:

    1. 1. 

      LAG PERIOD

      The only earnings not reported are in the lag period.

    2. 2. 

      MAXIMUM INVOLVED

      The individual alleged earnings are the maximum earnings or over the maximum earnings were posted, and the individual is seeking to add to the posting(s); or

      NOTE 1: In wage cases, apply the maximum rule to each alleged employer separately.

      NOTE 2: In SEI cases, consider that the maximum rule is met if both an amount of SEI and wages are credited for the year alleged and the combined total equals the maximum.

    3. 3. 

      NO QC OR “NR PERIOD” IS INVOLVED

      Evidence was submitted and the difference between the reported earnings and the evidence is less than the amount required for a quarter of coverage for the period in question while there is no positive indication in file of an incorrect reporting practice by the employer.

    4. 4. 

      APPROXIMATE ALLEGATION OF SEI

      The individual alleged an approximate amount of SEI and SEI is posted to the record for the year of the allegation.

    5. 5. 

      COMBINING AG AND NON-AG WAGES

      An annual amount of total agricultural wages, plus any quarterly amounts reported by the same employer in the same year, are in exact agreement with the allegation. This applies whether the reported wages are under the same or different EIN's.

    6. 6. 

      TIME LIMITATION EXPIRED

      The time limitation of 3 years, 3 months, and 15 days elapsed for all of the years in which SSA records do not agree with the allegation although the amount reported disagrees with the amount alleged. The following exceptions are applicable:

      1. a. 

        Wage cases involving years prior to 1978 are considered “incomplete” if,

        • Correction may be possible under one of the exceptions to the statute of limitations (see RS 02201.020), and

        • The case includes either sufficient evidence to establish a reasonable probability that the unreported wages were paid, or the information the employer consented to furnish is primary evidence of wages. NOTE: For 1978 and later, consider the case incomplete if correction may be possible under one of the exceptions to the statute of limitations.

      2. b. 

        If SEI is involved, consider the case “incomplete” if no SEI is reported and the individual states he/she filed the report within the time limitation.

  5. E. 

    Handle all complete cases meeting the applicable requirements in A - D above, as follows:

    1. 1. 

      Prepare a closeout letter.

    2. 2. 

      Close the case in the electronic control system.

    3. 3. 

      Dispose of all material.


RM 03803 TN 10 - General Instructions - 8/26/2020