Effective Dates: 09/03/2024 - Present Previous | Next

TN 77 (09-24)

SI 02301.235 Failure to Provide Information (N20)

CITATIONS:

Section 1631(e)(1) of the Social Security Act;
20 CFR 416.701 through 416.714 and 20 CFR 416.1322

A. Policy on when to apply the N20 suspension

You may suspend a Supplemental Security Income (SSI) record using payment status code (PSY) N20 when a person fails to provide non-medical information needed to determine continuing SSI eligibility and payment amount. If a person does not provide any or all the requested information in response to an initial request, you may have to request information more than once before you are able to determine that a recipient is ineligible due to failure to provide necessary information.

You may suspend an SSI record using PSY N20:

Step

Action

When:
  • •

    a capable recipient; or

  • •

    a representative payee who is a custodial parent of a minor recipient; or

  • •

    recipient's legal guardian

    fails to provide information needed to determine continuing SSI eligibility and payment amount.

After:
  • •

    you have sent an initial request that provides at least 30 days to respond, refer to SI 02301.235C; and

  • •

    followed up by phone and mail, refer to SI 02301.235D and SI 02301.235E; and

  • •

    completed the mandatory N20 Checklist (Form SSA-5001) with the development actions, signed by the technician, approved and signed by management, and stored in the Evidence Portal (EP), refer to SI 02301.235H.

If:
  • •

    there is no period of development inactivity greater than 75 calendar days, refer to SI 02301.235C.3.

  • •

    you have exhausted all efforts to obtain the information from the recipient, representative payee, or legal guardian, refer to SI 02301.235G.

  • •

    you are unable to obtain the information from other sources, refer to SI 02301.235G; and

  • •

    there is no indication the recipient's capability is in question or an indication that development of a new representative payee is needed, refer to SI 02301.235G.

ADDITIONAL INSTRUCTIONS: Select this Video on Demand (VOD) on Representative Payees and N20.

Select this process document for adult recipients.

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Select this process document for child recipients.

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SI 02301.235B through SI 02301.235H provide instructions for developing, documenting, and obtaining approval for the use of the N20 payment status code for failure to provide non-medical information. After following all instructions above, you may suspend SSI payments using PSY N20.

NOTE: 

A capable recipient or the representative payee must provide requested information for individuals listed in SI 01310.030. An N20 suspension may apply if we do not receive the pertinent requested information.

EXCEPTION: For a recipient who is a blind or a disabled child living overseas with a member of the U.S. military, refer to SI 00501.416, or fails to give permission to contact financial institutions, refer to SI 00515.001, the proper payment status is N05 (not N20) when suspending SSI for failure to provide information.

B. Policy on when the N20 suspension does NOT apply

1. N20 suspension not applicable

  1. a. 

    Do not apply the N20 when there is sufficient information to establish current SSI eligibility and payment amount. Apply N20 only when there is insufficient evidence to establish current SSI eligibility and payment amount.

    Sufficient information to establish current eligibility and payment amount involves requesting primary and secondary evidence needed to determine the eligibility factor(s) at issue. Always try to obtain secondary evidence if the recipient, representative payee, or legal guardian is unable to provide the primary evidence or the primary evidence is not available (see GN 00301 for more information on evidence.) Disclosures to third parties in order to obtain evidence need to be legally authorized and should be minimized to what is necessary to obtain the required information from the third parties (see GN 03316.065 discussing disclosure without consent of non-tax information to third parties to assist in administering our programs)

    If you are unable to confirm eligibility for a past non-pay period (that is, no payment issued), but can determine current eligibility, suspend SSI for the closed period using payment status N05, refer to SI 02301.220. Do not apply N05 for any past months that we issued a payment.

  2. b. 

    Do not apply N20 when capability is in question.

    If there is an indication that the recipient cannot manage or direct the management of their benefits, initiate capability development, refer to GN 00502.020.

  3. c. 

    Do not apply N20 when development of a new representative payee is more appropriate.

    If it appears that the representative payee is missing, no longer acting for the recipient or is uncooperative, develop for a successor representative payee, refer to GN 00504.100. Suspending payments for payee development is only permissible in limited situations. Determine whether the recipient is capable, refer to GN 00502.001 through GN 00502.070 and develop for a representative payee if necessary, refer to GN 00502.085 through GN 00502.302. If appropriate, consider whether to suspend payments during payee development, refer to GN 00504.110.

  4. d. 

    Do not apply N20 when someone other than a capable recipient, a representative payee who is the parent with custody of a minor recipient, or a recipient's legal guardian fails to comply with a request for information.

    If a third party such as a neighbor, household member, employer or financial institution fails to comply with a request for information, follow the instructions in SI 02301.235C through SI 02301.235E to request the information from a capable recipient, a representative payee who is the parent with custody of a minor recipient, or a recipient’s legal guardian.

  5. e. 

    Do not apply N20 when there is an indication the recipient's whereabouts are unknown. Follow the Whereabouts Unknown (S06) instructions in SI 02301.240 when:

    • •

      the U.S. Postal Service (USPS) returns an initial written request to the field office (FO) as undeliverable;

    • •

      there is documentation of other returned mail; or

    • •

      the USPS returns the SSA-L2001 (Address Information Request) indicating the recipient no longer uses the address on record.

    CAUTION: Do not misuse or overuse the N20 suspension. Be careful to apply the appropriate payment status.

2. Examples of when the N20 suspension is not applicable

The following are examples of some situations in which to apply a payment status other than N20.

EXAMPLE 1 - Unable to Locate: The USPS returns an initial written request as undeliverable and you cannot locate the recipient. If you are unable to locate the recipient, then follow the instructions in SI 02301.240 and apply the S06 suspension if appropriate. If you obtain the correct address and locate the recipient, then reinstate payments and send a new initial request. For more information on Title XVI undeliverable notices, refer to GN 02605.060.

EXAMPLE 2 - Capability Development Needed: You do not receive a response on the initial and follow-up requests, but you receive information that suggests the recipient may be incapable. The recipient’s neighbor informs the FO that the recipient is recovering from a serious accident and is experiencing slight memory loss. The recipient may need a representative payee because direct payment is not possible. Develop for capability and consider the S08 suspension if appropriate. For more information about when we may suspend payments, refer to GN 00504.110.

EXAMPLE 3 - Payee Development Needed: The FO does not receive a response on the initial and follow-up requests. A relative of the recipient informs the FO that the current representative payee has been in a nursing home for more than 60 days. Consider whether there is a need for a change in representative payee and use the S08 suspension, if appropriate, when further development is needed, refer to GN 00504.110.

EXAMPLE 4 - Past Non-Pay Period (N05): The technician suspended a recipient’s SSI due to excess resources for an unreported joint bank account. The recipient is in non-pay for several months. They appeal the determination and SSA locates proof that they are no longer the current joint owner of the bank account. However, there is no information as to when the recipient's name was removed from the account and they cannot remember the exact month. The technician reinstates SSI payments based on current eligibility and uses the N05 payment code for months where no payment was issued and eligibility is still in question.

EXAMPLE 5 - Current Eligibility is Established, Eligibility for Past Months in Question: The recipient informs the FO that they are not currently employed. The employment ended three months before the current redetermination (RZ) was initiated and the recipient does not have records of the wages for the past period. The technician follows development of this issue in the specific instructions pertaining to earned income or wages. Since current eligibility is established, it would not be appropriate to use N20 suspension.

EXAMPLE 6 - Information Not Needed for Current Eligibility or Payment Amount: The representative payee completed the RZ but failed to submit proof of child support for the ineligible child. The representative payee (ineligible parent) does not have any current income to be deemed. Therefore, any income the ineligible child receives will not affect the recipient's current eligibility as deeming does not apply.

C. Procedure for sending an initial written request

SSI records may indicate that the recipient, representative payee, or legal guardian has a history of providing incomplete or incorrect information. Therefore, when requesting information, always consider the person's:

  • •

    Understanding of, and agreement to comply with reporting requirements; and

  • •

    Knowledge of the occurrence of events that should have been reported; and

  • •

    Ability to comply with SSA’s reporting requirements and any efforts to report information.

1. When to send an initial written request

Send an initial written request each time you request new information, evidence, or an action that you did not request before. Allow 30 calendar days plus 5 days for mailing after the date of the request for the recipient, representative payee, or legal guardian to comply with the request.

The following are examples of when to send an initial written request.

EXAMPLE 1: You send an initial written request dated April 1 asking the recipient to call in for an RZ interview. You complete the RZ interview by telephone on April 24 and need evidence of a special-needs trust. You send an initial written request to the recipient dated April 24 with the due date allowing May 29 to provide the requested evidence.

EXAMPLE 2: You send an initial written request dated April 1 asking the representative payee to come in for an RZ interview and bring evidence of wages. On April 24, the representative payee comes in and provides the evidence. The representative payee reports that the recipient also has income from part-time employment. You hand the payee an initial written request dated April 24, which allows the representative payee through May 29 to provide evidence of the income.

2. How to send an initial written request

Follow these steps to send an initial written request:

STEP

ACTION

1

Complete only one of the following notices. No other notices are approved for this use.

  • •

    SSA-L3074-U2 (Supplemental Security Income Notice of Appointment), SI 02305.019

  • •

    SSA-L3075-U2 (Supplemental Security Income Notice of Appointment (1619(b)), SI 02305.019

  • •

    SSA-L8202-F4-INST (Important Facts about Your Supplemental Security Income), SI 02305.020

  • •

    SSA-L8003-U2 (Supplemental Security Income – Request for Information (PE)), refer to SI 02306.020

  • •

    SSA-L8004-U2 (Supplemental Security Income – Important Information (1619(b)), refer to SI 02306.020

    Address the request to the recipient, representative payee, or legal guardian.

    NOTE: 

    You may also use eMailer to request proofs and follow up on outstanding requests for proofs, but this option does not replace the requirement to send one of the above notices by U.S. mail.

2

Enter a due date (month/day/year) that gives the person 30 calendar days plus 5 days for mailing after the date of the request to comply.

NOTE: Form SSA-L8202-F4-INST contains preprinted language about the 30-day period.

3

Retain a copy of the request in the Online Retrieval System (ORS). If you generate the notice outside of StaRZ and StriPEs-The Next Generation (SSTNG) or the Document Processing System (DPS), or Consolidated Claims Experience (CCE), fax a copy of the written request to the EP, if applicable.

3. When to send a new initial written request

You must follow up on the initial written request as instructed in SI 02301.235E. However, in addition to the situations discussed in SI 02301.235C, there are some situations that require a new initial written request, along with new telephone attempts, and follow-up notices.

If you have not made contact or followed up with the recipient, representative payee, or legal guardian, and more than 75 calendar days have elapsed since the last date of activity (i.e., date of the initial request, date of the follow-up notice or date of the documented telephone call), issue a new initial written request. The new initial request must have a new due date that allows the person 30 calendar days plus 5 days for mailing to comply.

Document all telephone and face-to-face request attempts on the Report of Contact page, or a paper SSA-5002 faxed into EP in non-CCE cases. Include the date of the new initial request; OR

If USPS returns the SSA-L2001 (Address Information Request) showing the recipient receives mail at a different location, the financial institution returns the request for information showing the recipient receives mail at a different location, or the FO located the recipient after whereabouts unknown development, send a new initial written request to the new address on record. Refer to SI 02301.240 for instructions on whereabouts unknown development.

The cycle of the new initial request starts again and requires a new telephone attempt and follow-up notice.

Additional instructions: Select this VOD on Requests and Follow-up Attempts.

D. Procedure for following up with non-responders

If a non-responder does not provide any or all of the requested information in response to an initial request, you may have to request information more than once before you are able to determine that a recipient is ineligible because of failure to provide necessary information.

1. When to follow up

Follow up on an initial request when the non-responder:

  • •

    does not respond within the 15 calendar days after the date on the written request for non-medical information has elapsed; or

  • •

    fails to comply with a scheduled appointment date on the written request.

You must follow up by telephone if there is a phone number listed on the record. Then follow up by mail.

NOTE: 

You may also use eMailer to follow up on outstanding requests for proofs, but this option does not replace the requirements to send a written follow-up by U.S. mail and make a phone call.

IMPORTANT: If more than 75 calendar days have elapsed since the last date of activity and there has been no contact with the recipient, representative payee, or legal guardian, you must issue a new initial request as instructed in SI 02301.235C.3. The cycle of the new initial request starts again and includes a new telephone attempt and follow up.

2. How to follow up by telephone

Follow up by telephone using these steps:

STEP

ACTION

1

Check the Supplemental Security Record (SSR), and Master Beneficiary Record (MBR), if applicable and an active record exists, and FO records for a current telephone number. If a telephone number is shown on the recipient's record(s), proceed to Step 2. If not, STOP. Go to SI 02301.235D.3.

2

Attempt to contact the person by telephone (refer to GN 00203.020 to establish the recipient's identity when you contact the person by telephone) to remind them of the information we need and the due date.

NOTE: In some situations, you may be able to collect the needed information via telephone follow-up call. For those situations, follow the appropriate POMS instructions for collecting and processing the information. If existing policies do not reference delivery of an oral Privacy Act Statement, give an oral summary of Form SSA-5000.

If contact is not made, (i.e., if the phone line is busy or there is no answer), follow up at a later time. When possible, leave a message to remind the recipient of the information needed and the due date.

CAUTION: When leaving a message, be careful not to disclose any Personally Identifiable Information (PII) about the recipient or other individuals, including the nature of the individual’s business with the agency. For example, leave a generic message saying: "It is important that the person responds to our request for information by XX/XX/XX." Do not say anything specific such as, "I'm calling about the SSI check." The fact that a recipient is receiving a benefit from Social Security is PII.

3

Document attempts to follow up by telephone on the Development Worksheet page, Report of Contact page, or a paper Form SSA-5002 faxed to the EP for non-CCE cases.

NOTE: 

The Development Worksheet page in (MS 08122.004) can be used to list and record follow ups on requesting evidence.

NOTE:: 

The phone call attempt for the first missed appointment cannot be considered a follow-up attempt. The first missed appointment is part of the initial written request.

3. How to follow up by mail

Mail a written follow-up request using these steps:

STEP

ACTION

1.

Complete steps 1 through 3 in SI 02301.235C.2 in this section.

2.

Enter "SECOND REQUEST" on the notice if you generate the notice outside of SSTNG or DPS. NOTE: "SECOND REQUEST" is automatically included on the DPS and SSTNG notices.

3.

Use the same due date from the last written request if it gives the person at least 15 calendar days left for the person to comply. If less than 15 calendar days remain, extend the due date and fill in the new date which gives the person 15 calendar days after the date of the follow-up request to comply. (Refer to SI 02301.235F.2 when the person requires more time). Change references to the 30-day period in the text to 15 days.

NOTE: 

It is not necessary to fax a copy of the request to the EP if SSTNG or DPS produces the request. The ORS stores the request. If you generate the notice outside of SSTNG or DPS, you must fax a copy of the written request to the EP.

The following are examples of some situations in which to follow up by mail.

EXAMPLE 1: Telephone Appointment No Show with Rescheduled Appointment You send an initial written request dated April 1 for a RZ interview April 15. On April 15, you call the recipient, and the recipient does not answer. Document the phone call attempt and send a follow-up request by mail with a rescheduled appointment date and time following the instructions above.

If the recipient does not answer the phone call for the rescheduled appointment, document the phone call attempt following the instructions above and continue with the development and approval actions for use of the N20 payment status code.

EXAMPLE 2: Telephone Appointment No Show Without Rescheduled Appointment You send an initial written request dated April 1 for a RZ interview April 15. On April 15, you call the recipient, and the recipient does not answer. Document the telephone call attempts and send a follow-up request by mail.

If the recipient does not respond after 15 days, attempt another phone call. If unsuccessful, document the phone call attempt following the instructions above and continue with the development and approval actions for use of the N20 payment status code.

EXAMPLE 3: In-office Appointment No Show With Rescheduled Appointment You send an initial written request dated April 1 asking the recipient to visit the office for a RZ interview April 15. On April 15, the recipient does not show up at the office for the appointment. Attempt contact by phone if a telephone number is listed. If you are unable to make contact by phone, document the in-office appointment as a no show and the attempted telephone calls. Send a follow-up request by mail with a rescheduled appointment date and time following the instructions above.

If the recipient does not show up at the office for the rescheduled appointment, attempt contact by phone. If you are unable to reach the recipient by phone, document the phone call attempt following the instructions above and continue with the development and approval actions for use of the N20 payment status code.

EXAMPLE 4: In-office Appointment No Show Without Rescheduled Appointment - You send an initial written request dated April 1 asking the recipient to visit the office for an RZ interview April 15. On April 15, the recipient does not show up at the office for the appointment. Attempt contact by phone if a telephone number is listed. If you are unable to make contact by phone, document the in-office appointment as a no show and the attempted phone calls. Send a follow-up request by mail following the instructions above.

If the recipient does not respond after 15 days, attempt contact by phone. If you are unable to reach the recipient by phone, document the phone call attempt following the instructions above and continue with the development and approval actions for use of the N20 payment status code.

EXAMPLE 5: Evidence Request Non-responder - You send an initial written request dated April 1 for an RZ interview April 15. On April 15, you call the recipient and complete the RZ interview. During the RZ interview you determine you need the recipient's marriage certificate. You send the recipient an SSA-L8003 requesting the evidence. You must give the recipient 30 days plus 5 days for mailing to respond and provide a due date of May 20. On May 5, you attempt to contact the recipient by phone but you are unsuccessful. You mail the recipient a follow-up notice and extend the due date to May 25 to provide 15 calendar days to respond.

E. Procedure for handling personal follow-up contacts

For each telephone or face-to-face contact involving a request for information, take these actions:

  • •

    Remind the person of the information we need and the due date.

  • •

    Explain to the recipient, representative payee, or legal guardian that the recipient may lose other benefits based on receiving SSI such as Medicaid, food stamps, State Medicare buy-in and public housing if they do not comply with the request.

  • •

    Consider the need for a representative payee, refer to GN 00502.020 if the recipient does not understand the request or the possibility of losing SSI eligibility or other benefits.

  • •

    Arrange for an interpreter if the person has limited English proficiency or is hearing-impaired, refer to GN 00203.012.

  • •

    Offer to help obtain the information, refer to SI 02301.200.

  • •

    Grant more time to comply with the request if needed.

  • •

    Discuss voluntary termination (payment status code (PSY) N19) if the person does not want to pursue SSI eligibility, refer to SI 02301.230.

  • •

    Stop telephone or face-to-face efforts and mail a follow-up notice if the person is hostile or abusive, refer to GN 00203.013.

  • •

    Document attempts for each telephone and face-to-face contact on the Report of Contact page or a paper Form SSA-5002 faxed in the EP for non-CCE cases.

F. Procedure for extending the time to comply

1. The person needs more time

When the person needs more time to comply with a request for information, grant the time if the person has a good reason for needing it. Discuss the time needed and grant:

  • •

    The number of days agreed on; or

  • •

    Another 45 calendar days if the person is trying or willing to comply and is uncertain how much longer they need.

Grant additional extensions if the person appears to be cooperating. Offer assistance in obtaining the information and additional time to comply if appropriate.

2. When more time is required

If a person has less than 5 calendar days to comply after a personal contact (telephone or face-to-face) or would have less than 5 calendar days to comply after the written follow-up request, extend the due date to:

  • •

    5 calendar days after the personal follow-up contact; explain the new due date to the person; or

  • •

    10 calendar days after the date on a written follow-up request (refer to SI 02301.235D.3 in this section).

EXAMPLE: You attempt to contact a recipient by telephone, but do not speak with the recipient and can only leave a message and send a written follow-up request. The recipient returns your telephone message 2 days before the period to comply with the request ends. You explain that they have until (month/day/year that gives them 10 additional calendar days after the initial due date) to comply or their SSI payments may stop.

NOTE: If the recipient returns your telephone message but was unable to speak with a person and left a voice mail, consider granting a short extension as the person appears to be cooperating per SI 02301.235F.1 in order to establish personal contact.

G. Procedure before applying the N20 suspension

The N20 suspension cannot be earlier than 35 calendar days from the date of the initial notice due to the 5-day mailing time.

Before you request approval to use the N20 suspension, you must exhaust all efforts to obtain the requested information by:

  • •

    Reviewing the SSR, MBR, Modernized Development Worksheet (MDW), SSI Stand-Alone PE events, and other SSA records for any reports of a change of address; and

  • •

    Obtaining the information from secondary sources (i.e., yellowpages.com or other SSA-approved sources), if possible. The requested information does not need to come directly from the recipient, representative payee, or legal guardian. However, you must verify third-party reports with the recipient.; and

  • •

    Documenting the Form SSA-5001 (N20 Checklist) that you have completed these actions. See SI 02301.235H.1. in this section for information on the N20 Checklist.

When the recipient has moved, has no residence address, or is homeless, exhaust efforts to locate before applying the S06 (SI 02301.240) suspension by:

  • •

    Reviewing Work Track for returned mail; and

  • •

    Sending Form SSA-L2001 (Address Information Request) to the servicing post office (allow 30 days for a response); and

  • •

    Sending a request for address information to the financial institution if the recipient is using direct deposit (allow 30 days for a response). DO NOT contact Comerica if Direct Express is involved per the note in GN 02402.007.

  • •

    EXCEPTION: 

    It is not necessary to send the form if the post office returned the initial request as "Undeliverable" or "Moved/Left No Forwarding Address," or you have documented contact with the recipient, payee, or legal guardian and confirmed the address on record is correct. Also, it is not necessary to send the SSA-L2001 or bank letter if you have documented contact with the recipient, representative payee, or legal guardian and confirmed the address on record is correct.

IMPORTANT: If any of these attempts yields a new address, do NOT request approval of the N20 suspension. Send a new initial request for information, following subsection SI 02301.235C.3., or develop for whereabouts unknown, refer to SI 02301.240.

NOTE: 

For failure to cooperate in medical continuing disability reviews (CDR), prior to applying an N20 suspension, follow procedures in DI 13005.025 and DI 13015.005.

H. Procedure for obtaining management approval and applying an N20 suspension

1. Technician documents an N20 suspension

Complete Form SSA-5001 (N20 Checklist) documenting the completion of all required actions using the N20WIZ tool

You must obtain approval to apply an N20 suspension from a member of management (i.e., Management Support Specialist or above) for all N20 inputs (i.e. RZs, LIs, PE actions, CDRs). The N20WIZ will automatically route the checklist to office management for approval of the N20 suspension.

2. Management approval and application of the N20 suspension

Management must complete all of these actions section before an N20 suspension can be input.

  • •

    Access the N20 Checklist in the N20WIZ, review the checklist and ensure the technician took all required actions;

  • •

    Annotate the approval of the use of the N20 payment status code on the checklist by posting the N20 effective date, signing the checklist, and selecting the “Certify and Upload to EP” button; 

  • •

    Confirm successful upload to the Evidence Portal (EP) as N20WIZ will automatically store the completed and signed checklist in the EP; and

  • •

    Input the N20 and build the suspension to the SSR.

Apply N20 suspension on the Payment Status page SSI (MS 08125.008) or via 1719B input in non-CCE cases, refer to SM 01305.001.

Apply N05 suspension if the recipient is a blind or disabled child of military personnel stationed overseas, refer to SI 02301.220. Refer to SI 00515.001 for failure to provide permission to contact financial accounts.

3. Management disapproval of the N20 suspension

If management disapproves the N20 determination, management will not apply the N20 suspension and return the checklist to the technician with instructions for additional action.

I. Policy on effective dates for an N20 suspension and reinstating payments

1. Effective dates for N20 suspension

Suspension is effective the first month after management approves an N20 suspension that you can stop payments under Goldberg/Kelly (GK) procedures (SI 02301.300). Do not create an overpayment due to an N20 suspension under any circumstances.

NOTE: 

During the GK temporary period, the system can reduce the following month's payment automatically and issue the GK notice timely if you input the required selection in the Goldberg/Kelly Screen (DBGK) or the Goldberg Kelly page (MS 08125.015). Outside of CCE, the system can produce an online GK notice in most cases. For exceptions and manual GK notice instructions, refer to SI 02301.307.

2. Reinstating payments after an N20 suspension

Reinstatement is effective the first month of an N20 suspension or a later month (or earliest day in a month) that:

  • •

    information establishes eligibility and payment amount or;

  • •

    the recipient or representative payee makes attempts to cooperate.

NOTE: 

When the recipient or representative payee contacts SSA, take action to remove the N20 suspension.

Refer to SI 02301.205 on when to take a new application to reestablish SSI eligibility for recipients who are in payment status N20 and N05.

To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0502301235
SI 02301.235 - Failure to Provide Information (N20) - 09/03/2024
Batch run: 12/18/2024
Rev:09/03/2024