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RS 01602.202: Processing Survivor and Lump Sum Death Payment (LSDP) Claims with Railroad Involvement

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  • Effective Dates: 01/24/2014 - Present
  • Effective Dates: 01/03/2018 - Present
  • TN 12 (01-14)
  • RS 01602.202 Processing Survivor and Lump Sum Death Payment (LSDP) Claims with Railroad Involvement
  • A. Overview of automation between SSA and the RRB
  • Earnings Computation (EC) interfaces with the Disability, Railroad, Alien, and Military Service (DRAMS) file to read Railroad Retirement Board (RRB) jurisdiction determinations. The RRB provides weekly updates to the DRAMS file with jurisdiction information. EC generates processing limitations and alerts on the Earnings Comp Remarks (DRMK) screen that identify whether or not the RRB has made a jurisdiction determination for the number holder’s (NH) social security number (SSN). If a jurisdiction determination is available, the remarks on the DRMK screen will advise you which agency has jurisdiction (SSA or RRB).
  • This section summarizes the processing instructions for a survivor claim with railroad (RR) earnings. These instructions describe situations where EC correctly identifies the RRB jurisdiction determination using DRAMS; and when to process the claim using EC, an Automated 101 (A101), or Electronic Form 101 (EF101);
  • NOTE: The claim type “survivor” also includes a combined SUR/LSDP claim.
  • B. Automated processing for claims with RRB jurisdiction
  • When the DRAMS file indicates that RRB has jurisdiction for a survivor or a lump sum death payment (LSDP) only claim, EC will generate the following processing limitations:
  • * ‘(SU or LSDP) RRB JURISDICTION’
  • * ‘RAILROAD INVOLVED (999-99-9999)’
  • The FO will:
  • * Print the application and a hardcopy of the EC determination from the Earnings Comp Print screen (DAPR) to include in the claims package as a record of SSA’s certified earnings, and
  • * Send the package to the RRB. When sending claims material to RRB, follow instructions in RS 01602.200D, and
  • * Notify the claimant of the transfer, and
  • * MANCLR the Modernized Claims System (MCS) claim to your office code to lock the segment and clear the claim from WMS/WMI.
  • NOTE: Resolve any earnings issues (OEO feedback, etc.) before you print the hardcopy.
  • NOTE: Resolve any earnings issues (OEIO feedback, etc.) before you print the hardcopy.
  • C. Procedure for claims with SSA jurisdiction
  • When the DRAMS file indicates that SSA has jurisdiction for a survivor claim, EC will generate the ‘(SU OR LSDP) SSA JURISDICTION’ alert. You should start the processing for these cases through MCS EC, but the processing limitation will require an A-101. By starting in EC, the EC information will propagate to the A-101 so you do not need to manually enter the information. NOTE: For SSA jurisdiction claims, RR-CERT can still apply. See RS 01602.202F in this section.
  • D. Procedure for claims when RRB has not made a jurisdiction determination
  • 1. Survivor or LSDP only claim with 60 or more railroad service months after 1995, or 120 or more months at any time.
  • EC will generate the following processing limitation and alert:
  • * ‘RAILROAD INVOLVED (999-00-9999)’
  • * ‘(SU OR LSDP) RRB JURISDICTION NEEDED’
  • Request an ICER. The online screen will indicate an interim response by showing a “Y” in the DERO CONDITIONS field. To obtain the reason for the interim response, enter “Y” in the PRINT FULL RECORD field. The Office of Earnings Operations (OEO) must use the DERO process to secure a final jurisdiction determination. Once you receive the determination from OEO via fax, your action depends on whether:
  • * RRB has jurisdiction. Send the claims package to the RRB according to instructions in RS 01602.202B in this section. Include the faxed response from OEO as the record of SSA’s certified earnings; or
  • Request an ICER. The online screen will indicate an interim response by showing a “Y” in the DEBS CONDITIONS field. To obtain the reason for the interim response, enter “Y” in the PRINT FULL RECORD field. The Office of Earnings and International Operations (OEIO) must use the DEBS process to secure a final jurisdiction determination. Once you receive the determination from OEIO via fax, your action depends on whether:
  • * RRB has jurisdiction. Send the claims package to the RRB according to instructions in RS 01602.202B in this section. Include the faxed response from OEIO as the record of SSA’s certified earnings; or
  • * SSA has jurisdiction. Use the Informational/Certified Earnings Record (ICER) to determine insured status and the Primary Insurance Amount (PIA) for survivor claims. Process the claim by A101 or EF101 following procedures in RS 01602.202 C., in this section. For SSA jurisdiction case, RR CERT can apply, following instructions in RS 01602.202F in this section. If the survivor benefits are certified to the RRB, the Lump sum Death Payment (LSDP) has to be processed as a LAF G1 award as the RRB does not pay the LSDP
  • For additional information regarding DERO conditions on an ICER, see SM 00349.020 and SM 00349.400.
  • For additional information regarding DEBS conditions on an ICER, see SM 00349.020 and SM 00349.400.
  • 2. Survivor or LSDP only claim with less than 60 RR service months after 1995 and less than 120 service months
  • If the worker has less than 120 or 60 (after 1995) railroad service months, we assume SSA has jurisdiction for these cases. EC generates the ‘(SU or LSDP) SSA JURISDICTION’ alert. Process these cases through EC. For SSA jurisdiction case, RR CERT can apply, following instructions in RS 01602.202F in this section. If the survivor benefits are certified to the RRB, the Lump sum Death Payment (LSDP) has to be processed as a LAF G1 award as the RRB does not pay the LSDP.
  • E. Processing limitations for death claims with RR involvement
  • EC may generate the following processing limitations with multiple SSNs:
  • * ‘RAILROAD INVOLVED (999-99-9999)’
  • * ‘CONFLICT--RR JURISDICTION CODE (R, S or U) ON MULTI (999-99-999)’
  • EC generates the following processing limitation and alert if there is a jurisdiction code on DRAMS but no RR earnings are present on the master earnings file:
  • * ‘RAILROAD INVOLVED (999-99-9999)’
  • * ‘(SU OR LSDP) RRB JURISDICTION NEEDED’
  • To resolve these processing limitations, request an ICER. The online screen will indicate an interim response by showing a “Y” in the DERO CONDITIONS field. To obtain the reason for the interim response, enter “Y” in the PRINT FULL RECORD field. OEO must use the DERO process to obtain a final jurisdiction determination. When you receive the determination from OEO via fax and you learn that:
  • * RRB has jurisdiction, send the claims package to the RRB. Include the faxed response from OEO as the record of SSA’s certified earnings; or
  • To resolve these processing limitations, request an ICER. The online screen will indicate an interim response by showing a “Y” in the DEBS CONDITIONS field. To obtain the reason for the interim response, enter “Y” in the PRINT FULL RECORD field. OEIO must use the DEBS process to obtain a final jurisdiction determination. When you receive the determination from OEIO via fax and you learn that:
  • * RRB has jurisdiction, send the claims package to the RRB. Include the faxed response from OEIO as the record of SSA’s certified earnings; or
  • * SSA has jurisdiction, use an ICER to determine insured status and the PIA for survivor claims. Process the claim by A101 or EF101. NOTE: For SSA jurisdiction case, RR CERT can apply, following instructions in RS 01602.202F in this section. If the survivor benefits are certified to the RRB, the Lump sum Death Payment (LSDP) has to be processed as a LAF G1 award as the RRB does not pay the LSDP
  • For additional information regarding DERO conditions on an ICER, see SM 00349.020 and SM 00349.400.
  • For additional information regarding DEBS conditions on an ICER, see SM 00349.020 and SM 00349.400.
  • F. Survivor claims that require a jurisdiction determination and RR Cert
  • For all survivor claims that require a jurisdiction determination, RR certification rules may apply. SSA jurisdiction does not preclude RRB certification responsibility.
  • For example, if the RRB determines that SSA has jurisdiction but the survivor claimant has 60 RR service months after 1995, process the claim as a RR Cert case. For the certification criteria, refer to RS 01601.310.
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