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GN 04440.510: Completing the SSA-5524-U3, Request for Assistance

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  • Effective Dates: 01/09/2014 - Present
  • Effective Dates: 04/18/2018 - Present
  • TN 14 (12-10)
  • TN 31 (04-18)
  • GN 04440.510 Completing the SSA-5524-U3, Request for Assistance
  • A. Background on using the SSA-5524-U3
  • A. Policy – SSA-5524-U3, Request for Assistance
  • Use the SSA-5524-U3 to request development from the field office (FO). For an exhibit of the SSA-5524-U3 see GN 04440.915.
  • Electronic assistance requests (AR) allow one processing component to contact another for assistance, while retaining full jurisdiction of the Certified Electronic Folder (CEF). Any office processing a CEF can initiate or receive an AR (e.g., Disability Determination Services (DDS), Office of Hearings Operations (OHO), and the Office of Quality Review (OQR)).
  • B. Procedure for completing the SSA-5524-U3
  • NOTE: Field offices (FO) receive, but cannot initiate ARs.
  • Only the office with jurisdiction of the CEF can initiate an AR. Once an office receives an AR, the receiving office has limited access control to the case, which provides the ability to categorize imaged documents. The receiving office can update the CEF in response to the AR.
  • Create an SSA-5524-U3 (Request for Assistance) using OQR’s legacy system to request development from the field office (FO) when a case contains work or earnings issues you must resolve prior to the final determination. In addition, use OQR’s legacy system to create an SSA-1774-U5 (Request for Corrective Action) to notify the adjudicating component of the deficiency. For an exhibit of the SSA-5524-U3 see GN 04440.915. For an exhibit of the SSA-1774-U5, see GN 04440.901.
  • B. Procedure – Completing the SSA-5524-U3
  • 1. Completing the fields on the SSA-5524-U3
  • Complete the appropriate information throughout the SSA-5524-U3. For the FO to address the deficiency properly, all information must be accurate and complete.
  • Complete all appropriate information throughout the SSA-5524-U3. All information must be accurate and complete for the FO to address the deficiency properly.
  • 2. Completing the SSA-5524-U3 narrative
  • Select the “Assistance Needed” box and complete the narrative section as follows:
  • * Explain what information is missing from the file and the actions you need the FO to take
  • * Cite the evidence that supports your deficiency (document name, date, page number, etc.)
  • * Exclude any information not relevant to the issue the FO must resolve (e.g., age, education, medical summaries, etc.)
  • * Note the appropriate deficiency return diary date per GN 04440.202B.1 in the Diary Due Date box
  • * Create a continuation page(s), SSA-5524A-U3, as needed to continue your narrative
  • 3. Completing the SSA-1774-U5 for use with the SSA-5524-U3
  • Complete or verify the demographic information in items 1 through 9. Verify or complete the header section in item 11 (Action Requested and Rationale) per GN 04440.501B.2.b.
  • Complete the Issue section with a one to two sentence statement of fact that quickly lets the reader know the reason for the return. You may also use one of these statements, as appropriate:
  • * There is insufficient work/earnings information to determine the correct onset date of disability; or
  • * There is insufficient work/earnings information to determine whether we can establish a period of disability.
  • * There is insufficient information to determine when/whether the claimant ceased SGA.
  • a. No DDS corrective action required
  • Under the Case Discussion and Policy Analysis header, you may complete a succinct explanation of the deficiency and why it was the DDS’ responsibility to resolve the issue (including any POMS reference(s)), or state, “Work/ Earnings issue referred to field office. See SSA-5524-U3 for details.”
  • Under the Request for Corrective Action header, enter the statement, “No corrective action required.”
  • Complete the signature blocks appropriately and date the form with the date you release the form to the adjudicating component.
  • NOTE: The review component’s management determines who signs the SSA-1774-U5.
  • b. DDS corrective action required
  • Complete the Case Discussion and Policy Analysis section describing the issues the DDS must address in accordance with GN 04440.501B.2.c. and d.
  • For the issues addressed on the SSA-5524-U3, you may complete a succinct explanation of the deficiency and why it was the DDS’ is responsible for resolving the issue (including any POMS reference(s)). It is also sufficient to state, “Work (or Earnings) issue referred to field office. See SSA-5524-U3 for details.”
  • 2. Completing the SSA-5524-U3 continuation page(s)
  • Complete the Request for Corrective Action section per GN 04440.501B.2.e.
  • Prepare a continuation page(s) for additional space to:
  • * fully explain the deficiency being cited; or
  • * clarify to the FO what assistance is being requested.
  • Complete the signature blocks appropriately and date the form with the date you release the form to the adjudicating component.
  • At times, the review component must “work around” the space limitation (displayed in the “current field” attributes in each of the narrative fields) by selecting and moving some of the text to a continuation page.
  • NOTE: The review component’s management determines who signs the SSA-1774-U5.
  • To access a continuation page, you must create a new form using the SSA-5524-U3.
  • C. Disposition of the SSA-5524-U3 and the SSA-1774-U5
  • To access additional continuation pages of the SSA-5524-U3, you must create additional SSA-5524-U3 forms in eForms.
  • Upload the SSA-5524-U3 and the SSA-1774-U5 to the CEF at the OQR legacy system clearance.
  • C. Disposition of the SSA-5524-U3
  • * Make copies of the completed original SSA-5524-U3 for paper cases. Place one copy in the paper folder and mail additional copies to the adjudicating component and the center for disability (CD), when applicable. For further explanation on distribution of the SSA-5524-U3, refer to GN 04440.501B.6. NOTE: Please mail copies of the SSA-5524-U3, and the SSA-1774-U5 (Request for Corrective Action), to both the adjudicating component and CD.
  • * For certified electronic folders (CEF), the same disability components that currently receive copies of the SSA-5524-U3 should also be able to view the SSA-5524-U3 in the CEF. Upload the SSA-5524-U3 by selecting the [send to EF] block at the Office of Quality Performance’s legacy system clearance. The FO receive an assistance request on the Electronic Disability Collect System Actions Page and is able to view the SSA-5524-U3 in the CEF. For further explanation on distribution of the SSA-5524-U3, refer to GN 04440.501B.7.
  • * For a prior paper modular disability folder (MDF) and a current CEF, return both the prior paper MDF and the CEF to the adjudicating component for corrective action, when necessary.
  • The FO receives an assistance request on the Electronic Disability Collect System Actions page and is able to view the SSA-5524-U3 in the CEF. The DDS receives notification via OQR’s weekly deficiency report and can view the SSA-1774-U5 in the CEF.
The materials available at this web site are provided free of charge, for informational purposes only, and without warrant by True Link Financial, Inc., and are not legal advice or Social Security benefits advice. You should contact your attorney to obtain advice with respect to any particular issue or problem, or the Social Security Administration with any general inquiries. Click here to view this section of the POMS on the Social Security Administration website.