If certain criteria are met, protective filing is established on the date SSA receives a written statement of intent to file for Title II, Title VIII, or Title XVI benefits or an oral inquiry about Title XVI benefits at one of the locations described in GN 00204.006.

For additional information see the following references:

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  GN 00204.010B for the criteria of a protective writing,

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  SI 00601.015 through SI 00601.020 for Title XVI protective writings,

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  VB 00201.020 and VB 00201.025 for Title VIII protective writings,

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  SI 00601.015 and SI 00601.025 through SI 00601.027 for Title XVI oral inquiries, and

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  GN 00204.055 for protective filing policy when an Internet application is established.

IMPORTANT: Information input into the Visitor Intake Process (VIP) system is not a protective filing. However, information entered into the enhanced Leads and Appointment System (eLAS) screens establishes a protective filing.

The policy in GN 00204.007B also applies to determining the receipt date of a protective writing.

If a proper applicant files a valid application within the Title VIII 60-day protective filing period, as described in VB 00201.020C, or the Title II 6-month protective filing period or Title XVI 60-day protective filing period, as described in GN 00204.012B, the protective filing date is the application filing date. See GN 00204.007A.1. and the EXCEPTION in SI 00601.009C.2.a. for when the receipt date of the application may be input into the system as the application filing date.

A protective filing date must be documented per GN 00204.010H.

A protective filing date must be closed out unless any of the exceptions in GN 00204.012 apply. Failure to closeout a protective filing results in filing protection that will remain open indefinitely.

For protective filing closeout instructions, see:

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  GN 00204.012 for Title II,

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  SI 00601.035 through SI 00601.040 for Title XVI, and

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  VB 00201.020C for Title VIII.

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  GN 00203.016B.5. for protective filing closeout in iAppt.

The earliest open protective filing date is always controlling. However, there may be more than one protective filing closeout period that is established before a signed application is obtained. Therefore, if a protective filing closeout notice was already issued but a new protective filing occurs, the new protective filing date must also be documented and closed out.

See GN 00204.014 for completing the Title II application cover notice and SI 00601.040 for completing the Title XVI application cover notice.

An inquiry to reschedule an application appointment does not meet the criteria of a new protective filing date since the contact for the initial appointment established the protective filing date.

See GN 00204.012 for protective filing closeout instructions, SI 00601.037 through SI 00601.040 for specific instructions related to Title XVI protective filing closeout, and VB 00201.020C for specific instructions related to Title VIII protective filing closeout.

The written statement must show the writer's intent to claim benefits either for themselves or on behalf of another.

Use the following policy guidelines in establishing intent to file by a claimant or proper applicant:

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  The expression of intent need not be on a specific form, or in a particular format. If intent to file for Title II benefits is made orally, it must be documented and signed per GN 00204.010B.2.

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  If intent to file is not clearly expressed, evaluate the facts in the writing to determine if intent can be reasonably inferred. When in doubt and intent can be reasonably inferred, assume intent to file.

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  The writer must be reasonably indicating intent to file for benefits currently and not intent to file at some future date; e.g., wishes to file at full retirement age which is beyond the Title II four month or Title XVI one month advance filing procedure.

For policy guidelines used in establishing intent to file by a third-party, non-proper applicant, see GN 00204.013.

A written statement of intent to file must be signed or initialed (this includes typed signatures and initials) by the claimant, a third party, or an SSA employee to establish the protective filing date. An SSA employee's personal identification number (PIN) satisfies the signature requirement when the employee completes the eLAS Worksheet to document the protective filing date. A written statement also includes the date the claimant or third party first completes the Internet Claim (iClaim) Applicant Identification screens and selects the “Next Page” to receive the Application Number. See GN 00204.003 for determining a proper applicant for Title II benefits and SI 00601.012 for determining a proper applicant for Title XVI benefits. See GN 00204.055 for iClaim instructions.

Only the person claiming benefits or a proper applicant for that person may sign an application for benefits. See GN 00204.003 and SI 00601.012 for proper applicant policy. A valid application must be received within the Title II 6-month protective filing closeout period or the Title XVI 60-day protective filing period. For requirements and general information of a valid application, see GN 00204.001.

The claimant must be alive when the application is filed.

EXCEPTION: If the claimant dies before the application is filed or dies after it is filed but before we effectuate it, follow the instructions in GN 00204.005 (Claimant Dies before Filing/Effectuation). If Title XVI benefits are involved, also see SI 02101.003 through SI 02101.010 for who may receive a Title XVI underpayment.

Naming a current spouse on the NH's Title II application or iClaim who is potentially entitled to spouse benefits (i.e., except for filing an application) and appears to meet the factors of entitlement for spouse's benefits in RS 00202.001B establishes a protective filing for spouse’s benefits and any other Title II benefits unless:

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  the form specifically states that the NH does not wish to protect the current spouse's filing date, or

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  the NH is not entitled to benefits (and, therefore, the spouse cannot be entitled on the NH's SSN).

For instructions on closing out the protective filing, see GN 00204.010A.5.

Since the spouse will be automatically protected, it is not necessary to ask the NH about their desire to protect the spouse's benefits. However, if the NH raises the issue and does not wish to protect the potentially entitled current spouse's filing date or the spouse is not entitled to a spouse benefit but could be entitled to a benefit on another SSN, treat the naming of the current spouse as a lead for potential Title II entitlement and process promptly to prevent a loss of benefits. See GN 00202.020 Processing Leads.

Naming a potentially entitled divorced spouse on the NH's Title II application, as required by marriage documentation procedure in GN 00205.070C, constitutes a lead that must be processed promptly in accordance with GN 00202.020.

Naming a child on a Title II application establishes a protective filing for the child. If a child is not specifically named, but the application includes enough information to identify the child, find intent to file for that child. For example, an unborn child whose birth is referred to on the NH's application with a statement such as: “My spouse is pregnant and expecting our baby in 4 months” receives the same filing date protection as the NH. The CR must prepare a manual diary to control and send out the closeout notice to the NH in the month of the child's expected birth.

EXCEPTION: If the NH's spouse, former spouse, widow(er), or any other applicant who files a Title II application on behalf of their child with the NH also states that they think the NH may have a child in another household, but has no information about that child, this as a lead. See GN 00202.020 for processing leads. Do not establish a delayed claimant on the MBR for this individual per GN 01010.140A.2.

Example 1

If Henry is specifically listed as a child on Fred’s DIB (HA) application, this is a protective writing for Henry.

Example 2

If Fred’s ex-spouse, Kathy, names or provides enough information to identify Henry as the NH’s child on an application for Fred’s other children, this is also a protective writing for Henry. Place Henry on the MBR as a Delayed Claimant if development is still outstanding for them and the other criteria in GN 01010.140A.1. are met. This will ensure the children for whom Kathy is filing are not overpaid if Henry’s claim is subsequently awarded.

Example 3

If Kathy only thinks there is another child of Fred’s in another household but she cannot provide enough information to identify this child, this is only a lead. Do not establish this child on the MBR as a Delayed Claimant since no protective writing has been established, and doing so would erroneously reduce the other children’s monthly benefit amounts (see GN 01010.140A.2.).

Naming a parent during the CDB application process establishes a lead for the parent if the parent is providing care for the CDB beneficiary, see GN 00202.020 on processing leads. If a parent is the one who files the CDB application and indicates providing care for the CDB beneficiary, this establishes intent to file and creates a protective writing for the parent. If the parent does not wish to file (e.g., parent is working and earnings would result in a suspension of benefits), the protective writing must be closed out, see GN 00204.012C

The following documents may serve as protective writings if the requirements are met in GN 00204.010B. This list is not all-inclusive. For documents not listed, determine if the criteria are met. If so, treat the document as a protective writing.

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  An eLAS screen

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  A letter asking about benefit rights

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  An email sent to SSA asking about benefit rights

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  A faxed document

  NOTE: SSA's receipt of a faxed application form may protect the claimant’s filing date but is not considered a filed application until we receive the paper copy containing the proper applicant's signature.

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  An SSA-2514 (Record of Claimant's Intent to File) (or its electronic equivalent) signed by an SSA official or employee

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  The claimant's statement of intent to file on a form (e.g., SSA-795)

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  Welfare referral form

  NOTE: The date SSA receives the welfare referral form from the State agency referring a potential claimant to SSA to file for Title XVI benefits may serve to protect the Title XVI filing date.

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  A claimant-initiated Social Security Statement request if, at the time the request is made, the claimant appears potentially eligible for benefits or expresses an interest in filing for benefits.

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  For Title II and Title XVIII (Medicare) applications, a written statement of intent to file that is filed with a hospital, e.g., admittance form or admission records, if:

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    the claimant is a patient in the hospital;

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    the hospital provides services covered by hospital insurance (Part A) under the Medicare program;

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    a valid application is not pending; and

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    the statement is sent to SSA.

  NOTE: The protective filing date is the date the individual files the statement with the hospital.

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  A Title II or Title XVI application form

  Naming an individual on an application form can protect that individual's filing date if the criteria in GN 00204.010B.1. are met. See SI 00601.020A.2. for when an individual named on a Title XVI application form constitutes a protective filing.

  NOTE: You must manually establish a Protective Filing (PROTFL) issue on the Development Worksheet (DW01) for any individual named on the claimant's application that meets the criteria of a protective filing. Enter the protective filing date in the REQ field.

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  Title XVI RZ form (see GN 00204.015 for when a Title XVI RZ form is a protective filing for Title II benefits for the NH and their child(ren) named on the RZ).

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  A request for expedited reinstatement (EXR) of disability benefits filed with SSA if the individual decides not to pursue EXR or the EXR request is denied.

  NOTE: A request for reinstatement of Title II disability benefits will also protect any potentially eligible children not previously entitled on the individual's record if they are named on the EXR request.

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  DD-1300 (Report of Casualty) for “Missing In Action (MIA)” only situations

  The date the DD-1300 is prepared establishes intent to file for Title II benefits on behalf of the service person and any individual eligible on their earnings record. See RS 01702.370 for the policy on processing DD-1300s in other than MIA situations and additional instructions on processing survivor applications.

  If the DD-1300 indicates that the service person was placed in MIA status earlier than the date the DD-1300 was prepared, the protective filing date is the date the service person was placed in MIA status.

  When the DD-1300 is received, document the protective filing information on the eLAS Worksheet. Since the request date on the Worksheet will always be the date the Worksheet is prepared, the remarks portion of the Worksheet must contain the actual protective filing date established. The receipt fields for any issues posted must be blank otherwise the system will purge the protective filing documentation. The unit field must contain the entry “MIA” so these open protective filings can be identified on the pending leads listings. If an application is subsequently filed, the protective filing information will come up in the Modernized Claims System (MCS) path.

  NOTE: The Air Force sends the DD-1300 to the San Antonio, Texas FO (815). All other branches of the service send forms DD-1300 to the Alexandria, Virginia FO (294).

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  A written statement of intent to file received by the RRB is also a protective filing for Social Security benefits if:

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    The statement indicates intent to claim benefits under the Railroad Retirement Act;

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    The individual filing the statement signs it;

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    An application is not filed with the RRB on one of its forms; and

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    The RRB sends us the statement.

  NOTE: If an RRB application is filed, we will use the filing date of the RRB application as the filing date of the Social Security application.

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  Title II request for appeal

  To protect the beneficiary against a loss of Title II benefits, use the date we receive the appeal request as a protective filing only if the beneficiary becomes eligible to Title II benefits while their appeal is pending. If the claimant requests to file a new disability application while their appeal is pending, see DI 51501.005.

  The application filing date of the new application may also apply to the auxiliaries named on it. For more information on the application filing date, see GN 00204.007A.1. See GN 00204.010C for when intent to file is established for auxiliaries named on an application.

  To determine when a Title XVI request for an appeal is a protective filing, see SI 00601.020.

  NOTE: An appeal pends from the date we receive it to the date the appeal determination or decision is final, see GN 03101.060. For more information on the period covered by a final determination or decision, see DI 27510.001B.

  EXAMPLE 1

  Randall Anderson's period of disability terminated effective 6/06. In 7/06, they appealed the cessation determination, which was affirmed in a reconsideration determination dated 9/10/06. On 9/20/06, Mr. Anderson filed a request for a hearing, and the Administrative Law Judge (ALJ) upheld the decision in 6/07. Mr Anderson filed a new disability application in 12/07. The Disability Determinations Service established a period of disability for them beginning 9/6/06. Since Mr. Anderson became disabled again while his appeal was pending, the request for appeal dated 7/06 protects their filing date and the month of entitlement (MOET) is 10/06, the month after their onset date. If we did not use the 7/06 request for appeal as a protective writing, Mr. Anderson would lose benefits because we could only pay them based on the application they filed in 12/07, which would have 12 months retroactivity to 12/06.

  EXAMPLE 2

  Same as Example 1 except Mr. Anderson does not have a subsequent period of disability. Rather, they attain age 62 in 8/06 and becomes eligible for retirement benefits. Since 8/06 is within the appeal pending period, Mr. Anderson's filing date is 7/06 the date of the appeal request and the month of entitlement (MOET) is 9/06.

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  A request for Appeals Council (AC) review

  A request for AC review that is based on additional evidence relating to a period after the Administrative Law Judge (ALJ) hearing decision is a protective writing. For guidelines on AC review of additional evidence, see DI 51501.015.

  If the proper applicant does not file an application, the protective filing will be closed out based on the protective filing closeout language (60 days after the date of the notice) included in the AC notice explaining why it did not accept the evidence relating to the period after the ALJ decision.

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  Telephone Response Unit

  A recorded message indicating intent to file for benefits may be a protective writing. See GN 00204.011 for the criteria and documentation requirements.

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  MCS Screens

  The following screens are not retained in the MCS system beyond the day they are completed. Document the protective filing date established by these screens per GN 00204.010H.2.d.

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  Pre-Interview Output Screen (PREI). The PREI serves to protect the claimant’s filing date when the screen shows “Inquiry” based on intent to file for benefits, or “New Claim.” The date of contact shown on the screen is the protective filing date.

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  Pre-Interview Data Report (PR51). The PR51 serves to protect the claimant's filing date when the PREI reason for contact is, “New Claim.” The date of contact shown in the report is the protective filing date.

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  Title II unsigned application

  If a closeout notice was issued for an earlier protective filing date or there is no earlier protective filing date, the date the SSA employee completed the Title II application may serve to protect the claimant's filing date if the signature requirements in GN 00204.010B.2. are met. See GN 00204.055 for protective filings involving Internet Claims completed on SSA’s website.

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  National disability report forms, e.g., SSA-3368-BK, Disability Report – Adult, SSA-3820-F4, Medical History and Disability Report, Disabled Child, or i3820.

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  Interim Assistance Reimbursement (IAR) Authorization

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    Manual IAR States. The date the State receives the IAR Authorization serves as the claimant's written statement of intent to file for SSI benefits and establishes a protective writing. The receipt date is the date the form is signed by the State representative.

    NOTE: Not all States include protective filing closeout language on their IAR manual forms.

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    Automated IAR States. The date shown on the PR-73 Alert is presumed to be the date the IAR Authorization is signed by the applicant and the State representative.

    NOTE: Automated IAR States must include protective filing closeout language on the IAR Authorization. See SI 02003.007 for the policy on when an IAR authorization must be used as the SSI filing date.

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  A Pre-effectuation Review Contact (PERC) may be used as a protective writing when initiated after adjudication of the SSI claim to process an appeal reversal. The PERC initiation date may serve as the claimant's Title II filing date provided the following criteria are met:

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    the Title II application that was filed as a result of the claimant filing the Title XVI application was correctly adjudicated and, therefore, not subject to reopening (e.g., the claimant was not insured or was not entitled to a higher Title II benefit than they were already receiving);

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    the claimant did not appeal the Title II decision or the decision was not reversed; and

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    the claimant became entitled to Title II benefits after the initial Title II determination.

    NOTE: A PERC may not be used as a protective writing for Title II benefits if a PERC was initiated before adjudication of the SSI claim. The Title II application that was filed as a result of the claimant filing the Title XVI application is still open and must be adjudicated. Before adjudication, the PERC is used to update and complete the initial application process. Likewise, if the Title II application that was filed as a result of the claimant filing the Title XVI application has not been adjudicated, there is an open application issue. In either of these situations, the Title XVI application filing date (not the PERC initiation date) would be the Title II application filing date.

If you do not have the actual protective filing document supporting the alleged protective filing date, the following evidence is acceptable documentation:

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  written documentation of the CR's or SR's recollection of the date of the protective filing, or

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  a copy of the protective filing closeout notice that includes the protective filing date.

Use the eLAS screens as the preferred means for documenting a protective filing by the claimant or third party. If an application appointment is scheduled at least 7 days in the future, eLAS:

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  Generates an appointment confirmation notice when you schedule an application appointment at least 7 days in the future,

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  Includes Title II protective filing closeout language on the Title II only appointment confirmation notice,

  NOTE: Closeout language is not included when the appointment is for a concurrent Title II and Title XVI application or when appointment scheduled is less than 7 days in the future.

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  Propagates the protective filing date to MCS or SSI CCE when the application is taken in these systems,

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  Eliminates retaining a paper copy of the protective filing documentation, and

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  Purges the protective filing documentation if a valid application is filed within 6 months (Title II) or 60 days (Title XVI) on the eLAS Worksheet REC date for the corresponding Title II or Title XVI closeout issue.

If you are unable to document the protective filing date in eLAS, use the following national forms: