TN 31 (04-18)

A. Policy – SSA-5524-U3, Request for Assistance

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)).

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 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.”

Complete the Request for Corrective Action section per GN 04440.501B.2.e.

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.

C. Disposition of the SSA-5524-U3 and the SSA-1774-U5

Upload the SSA-5524-U3 and the SSA-1774-U5 to the CEF at the OQR legacy system clearance.

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.