TN 49 (05-23)

GN 01070.430 Documenting The Request And Reply (PC)

A. Policy for documenting the request and reply (PC)

When a “high priority” development response is received, management is responsible for ensuring that the action receives priority handling. To provide sufficient documentation, the PC must prepare a record of the development information supplied by the FO. This is especially true when the response is provided over the telephone.

A telephone response should be accepted, without any further action from the FO if:

  • The source of the information was already in SSA's possession, or

  • Electronic certification of the information is permitted per GN 00301.286.

When interim documentation is not appropriate, do not take any adjudicative action until the material from the FO is received and reviewed.

B. Procedure

1. Documenting the response on RPOC Screen Or Report of Contact page

In initial claim situations the requesting claims adjudicator will:

  1. a. 

    Document the response onto the RPOC screen in MCS or the Report of Contact page in CCE.

  2. b. 

    Always record the following:

    • Sufficient data to describe and authenticate the evidence and support the action to be taken;

    • The material facts provided by the assisting office (FO); and

    • The name, job position, unit number of the assisting claims adjudicator and date of response.

  3. c. 

    Record the following when appropriate:

    • Any information not involving evidence of a factor of entitlement (e.g., payment history, recent pending actions not yet reflected on the MBR);

    • A statement that the evidence/information request is not in file or that the prior claims file is not available.

  4. d. 

    Annotate the appropriate application screen(s) or the RMKS screen per GN 00301.288.

  5. e. 

    Destroy paper record of request for assistance or close out issue on the MDW.

2. Documenting the response on paper

  1. a. 

    When electronic documentation is not possible, document the telephone response and include it in the electronic folder in paperless. Follow steps “b,” “c” and “e” in #1 above.

  2. b. 

    For interim documentation situations involving:

    • Public or religious record of birth, marriage, etc., complete an SSA-795 and mark “interim documentation.” Include the name of the assisting contact, the FO office, or PC and MOD number and date on the form.

    • Divorce and other court records, complete an SSA-4385 and mark “interim documentation.” Line through the certification statement on the form. In the “Remarks” section show the name of the assisting contact, the FO office, or PC and MOD number and date.

3. Interim documentation

  1. a. 

    Accept interim documentation when the issue under development is relatively simple (i.e., may be resolved without the need to weigh several pieces of conflicting evidence) or when the assisting office produces one document of sufficient probative value to overcome discrepancies in all other available documents.

    Note: Resolve any doubts as to whether interim documentation may be acceptable in favor of requesting the assisting office to forward the actual development before a determination is made.

  2. b. 

    Request sufficient data to adequately describe and authenticate the document and support the action to be taken.

  3. c. 

    Request the document from the assisting field office and, once received, compare on a post-adjudicative basis, the document with the record of the material previously provided to ensure that the file is adequately documented.

  4. d. 

    Associate the document with the current file before it is released from the office.

  5. e. 

    In entitlement situations, follow the reopening rules in GN 04010.020 if the interim documentation of the entitlement factor is clearly wrong.

    Note: Judgmental decisions are not subject to reopening. The fact that the requesting office did not follow established procedures does not constitute an error on the face of the evidence.

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GN 01070.430 - Documenting The Request And Reply (PC) - 05/31/2023
Batch run: 05/31/2023