A. Policy on requesting legal opinions
As described in GN 01010.835A, legal opinions interpret or clarify a principle of law. As such, they constitute
advice as to how courts would most likely interpret the laws in question. The Office
of General Counsel (OGC) prepares legal opinions on questions regarding either federal
laws or the laws of foreign countries. The Office of Chief Counsel for a respective
region, i.e., Regional Chief Counsel or “RCC,” prepares legal opinions that interpret
the laws of the states within its region relating to coverage, initial Title 2 and
Title 16 entitlement, eligibility, and continuing entitlement or eligibility issues.
Before requesting a legal opinion, thoroughly review POMS for national policy instructions,
including current precedent opinions (PR and PS) sections:
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PR-Title II Regional Chief Counsel
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PR-Title II Regional Chief Counsel
When an established precedent opinion clearly applies, write a formal determination
on a Report of Contact (RPOC) in the Modernized Claims System (MCS) or Report of Contact
page in the Consolidated Claims Experience (CCE), if MCS or CCE is available or a
Special Determination (SSA-553) as explained in GN 01010.810 , GN 01010.360 , GN 01010.365 , and GN 01010.800C.
Reference the legal precedent opinion, and provide the issue that requires a legal
opinion, facts, and the determination as explained in GN 01010.365B3. Ensure that all supportive documentation (e.g. birth certificate, divorce decree,
etc.) included in the determination is properly photocopied (make sure a legible copy
is obtained), certified per GN 00301.095, annotated in the electronic file or on the evidence (EVID) screen per GN 00301.286 and then retain the determination in the electronic file, e.g. eVIEW or the Evidence
Portal (EP).
Do not use legal precedent opinions that are no longer part of the PR and PS POMS
sections. The current version of these POMS sections are the only agency-approved
sources for legal precedents.
For further information about the electronic file, see GN 00301.310, DI 81001.005, and DI 81010.135.
B. Procedure for requesting legal opinions for the Chicago Region
If established policy and legal precedent opinions do not provide sufficient guidance,
refer the case to the Chicago Center for Disability, Integrity, and Program Support
(CDIPS) for a legal opinion. Full case documentation and development is mandatory
prior to submitting a legal opinion request to the Chicago CDIPS. Complete the following
steps prior to referring a case.
OGC will not accept a case that has not been fully developed with all necessary supportive
evidence already obtained (clear and legible copy(ies), properly certified [if necessary],
and faxed into EP.
1. Write a case summary on a paper or electronic Report of Contact (SSA-5002). Provide
the following information:
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A brief description of the issue(s) to be decided
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All relevant domiciles (city and state) for the number holder (NH) and the claimant(s)
party to the legal opinion (see note below)
A "domicile" is the place where a person has their true, fixed, and permanent home,
and to which they intend to return to whenever away. "Relevant domiciles" determine
which state laws apply to a case. A NH's current domicile, or the NH's domicile at
the time of death for a survivor claim, is always relevant. Additionally, the claimant's
domiciles are potentially relevant, e.g. domiciles covering major events directly
related to the legal issue under consideration, such as the child's place of birth,
the child's primary domicile over the course of their life, and the child's current
domicile. Include all dates that the NH or claimant(s) changed domiciles. For additional
guidance on determining domicile, see GN 00305.001.
2. Fax the SSA-5002 into the electronic file (e.g., EP) in the Modernized Claims System
(MCS) or Report of Contact page in the Consolidated Claims Experience (CCE) if available.
). Reference the SSA-5002 on a Report of Contact (RPOC
available.
3. Fax all supporting evidence pertaining to the legal opinion request into the electronic file:
for example:
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Summary Report of Contact (SSA-5002),
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State vital records (e.g., certified record of birth, marriage, domestic partnership,
divorce, death, etc.),
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SSA certified Translation Request (SSA-533) for foreign documents,
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SSA forms, e.g., Child Relationship Statement (SSA-2519), Statement Regarding Contributions
(SSA-783), Certificate of Support (SSA-760-F4), Modified Benefit Formula Questionnaire
(SSA-150), etc.,
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Statement(s) from the NH, claimant, and third parties (SSA-795),
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4. Initiate an inquiry through vHelp.
5. In the first line of the "My Question" textbox, document:
•Summary Report of Contact - Reference the SSA-5002 from the Subsection B1 in this section, and briefly restate
the issue to be decided in one or two sentences. Reference the date and location where
the SSA-5002 is posted in the electronic file.
•FO Determination of Domicile - Reference the SSA-5002 from Subsection B1 in this section, and briefly restate the
final determination about domicile. Reference the date and location where the SSA-5002
is posted in the electronic file.
•Supporting Evidence - Provide a bulleted list (in chronological order) of supporting evidence. Reference
the date and location where each document is posted in the electronic file.
C. Procedure after submitting a legal opinion request to the Chicago
Region
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1.
Establish a 180-day tickle to control the case for a response from the Chicago CDIPS
in an appropriate mainframe system.
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Process "partial" awards, e.g., for parties not affected by the legal decision, while
the legal opinion is pending per GN 01010.110 and GN 01010.815A .
Do not process the case if the pending legal opinion will impact accurate payment
processing or any factor of entitlement.
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Upon receiving a response from CDIPS, write a formal determination on a Report of
Contact (RPOC
) in the Modernized Claims System (MCS) or Report of Contact page in the Consolidated
Claims Experience (CCE), if MCS or CCE is available , or a
paper form (SSA-553) as explained in GN 01010.365B.3 and GN 01010.800C.
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4.
Review the claim and verify that all the applicant's responses on the claim are accurate
and current.
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Process the outstanding action along with any other claims which were held pending
receipt of the legal opinion determination, according to Chicago CDIPS guidance.
If the case attracts Congressional or media attention while the legal opinion request
is pending, inform the Chicago CDIPS RSI/SSI team immediately.
D. Example of Case Development
Sample Report of Contact (SSA-5002) for the electronic file, e.g.,
EP:
Issue: Is Clark Kent eligible for surviving child's benefits and the lump sum death payment
(LSDP) on the record of alleged claimant Jonathan Kent?
Background: Jonathan Kent (NH) never married the child's biological parent , and Jonathan passed
away five months after the child's birth. As proof of relationship, the parent submitted
a posthumous judgment of paternity and a DNA test showing a strong likelihood of the
child's biological relationship to their paternal grandparent (grandparent). In addition,
the NH's parent signed a statement indicating that the NH was their only son.
POMS: GN 00306.008, GN 00306.100, GN 00306.480, PR 01105.016
Domicile: Metropolis, Illinois. NH passed away in Metropolis, Illinois. The claimant (CL) was
born in Illinois, and the CL lives in Illinois. All events transpired in Illinois.
Sample required text for the "MY QUESTION" section in
vHelp:
In the first line of the "My Question" text box, input in all-caps: POSSIBLE LEGAL
OPINION REQUEST FOR THE CHICAGO REGION
Summary Report of Contact (SSA-5002) - Posted in EP on 7/15/2018.
Issue: Is Clark Kent eligible for surviving child's benefits and the lump sum death payment
(LSDP) on the record of Jonathan Kent?
Domicile: Metropolis, Illinois. Jonathan Kent (NH) passed away in Metropolis, Illinois. The
CL was born in Metropolis, Illinois, and currently lives in Illinois. All events transpired
in Illinois.
Summary Case Facts:
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On 10/31/2017, Clark Kent was born in Metropolis, Illinois.
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On 3/30/2018, Jonathan Kent passed away in Metropolis, Illinois. At the time of their
death, the NH was domiciled in Metropolis, Illinois.
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On 6/15/2018, the Superior Court of Illinois issued a Judgment finding the deceased
NH to be the CL’s parent .
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On 7/01/2018, the CL filed for surviving child’s benefits and the Lump Sum Death Payment
(LSDP) on the late NH’s earnings record.
Supporting Evidence:
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Clark Kent’s (CL) Certificate of Live Birth, born 10/31/2017 in Metropolis, Illinois,
no parent shown (see EP dated 7/1/2018)
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Certificate of Death showing that Jonathan Kent (NH) died 3/30/2018 in Metropolis,
Illinois (see EP dated 7/1/2018)
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DNA test dated 5/15/2018, showed a high probability of biological relationship to
the CL’s paternal grandparents (see EP dated 7/01/2018)
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Judgment dated 6/15/2018 from the Superior Court of Illinois, found the deceased NH
to be the CL’s parent (see EP dated 7/01/2018)
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Statement from Ms. Molly Kent (paternal grandparent) dated 4/15/2018 stated that the
NH was their only son, and that the CL is their grandchild (see EP dated 7/15/2018)
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Child Relationship Statement (SSA-2519) dated 7/10/2018 from the CL’s biological parent,
Georgia Reeves (see EP dated 7/15/2018)
Direct all program-related and technical questions concerning this transmittal to
the Regional Office (RO) CDIPS staff or Program Service Center (PSC) Operations Analysis
(OA) staff. RO CDIPS or PSC OA staff may further refer issues and concerns to their
Central Office contacts.