RCM 5.11

RCM_5.11 Legal Submissions Revised May 9, 2017 Page 1 of 5 

5.11.1 Submissions to The Board

Submissions to the Board usually consist of two parts:

• A transmittal memorandum explained or justifying the proposal; and/or

• A Board recommendation (G-20a) which becomes a Board Order if the proposal is 

approved.

Address submissions to "The Board" from the Director of Programs.

Prepare an original and 8 copies of both the transmittal memorandum and the G-20a. 

Have at least 3 Xerox copies made for any additional copies that may be requested.

Do not sign or date submissions. The chief of the division in which the submission 

originates initials the next to the last copy of the transmittal memorandum.

5.11.2 Transmittal Memorandum

A transmittal memorandum is typed double spaced with the first line of each paragraph 

indented five spaces. The original copy of the first page is typed on G-115 and the 

original copy of any succeeding page is typed on heavy bond paper. Show on the 

original and all copies of the memorandum the titles of bureaus, offices or persons to 

whom copies are being sent, e.g., cc: Office of the General Counsel (3).

5.11.3 Board Recommendation

A Board recommendation must be double spaced and written in the form and language 

of the Board Order; a recommendation of more than ten pages may be single- spaced.

If the subject of the Board recommendation breaks naturally into separate paragraphs, 

write each part as a separately numbered paragraph. Uniformly indent any 

subparagraphs and number them in parentheses.

A. Paper Requirements - When a Board recommendation is not duplicated it must 

be prepared on the following kinds of paper:

1. First page (original and all copies) - typed on Form G-20a.

2. Second and any succeeding pages - original typed on heavy bond; carbon 

copies are typed on tissue. 

B. Preparation - The stenographers and typists have detailed instructions for setting 

up Board recommendations. Some of the specific requirements that must be 

observed are given here for the information of the person who initiates a Board 

recommendation.
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1. The number of pages of the Board recommendation must be entered in 

the appropriate space in the upper right corner of the G-20a.

2. Starting two spaces below the last ruled line of the heading of the G-20a 

and two spaces to the right of the printed line, enter a title (entirely in 

upper case type) that clearly states the subject of the recommendation. 

Two or more single spaced lines may be used for the title. Keep the title 

as short as possible, typed in block style.

3. The text should start three spaces below the last line of the title and, for 

paragraph indentation, five spaces to the right of the designated left 

margin of the G-20a. Leave at least four spaces between the end of each 

typed line and the printed line on the right side of Form G-20a.

4. On page 2 and succeeding pages, the page number should be typed four 

spaces below the top edge of the paper and six spaces to the left of the 

right margin. The text should start six spaces below the upper edge of the 

sheet.

5.11.4 Employer Pension Plans

Ordinarily, the Policy and Systems (P&S) section in Programs determines whether an 

employer pension plan is a "supplemental pension plan" under the RRA. P&S sends a 

memorandum to the Office of the General Counsel (OGC) for an advisory opinion.

If the OGC advises that a new or revised plan is questionable, P&S will submit the plan 

to the Board for approval. In this situation, Board approval is required before any SUP 

ANN payments are reduced because of the employer pension payments, or before any 

tax credits are given to the employer. The Board also will determine if the plan was 

established by a collective bargaining agreement.

P&S prepares the submission memorandum in the manner outlined in sec. 5.11.3 and 

attaches a copy of the plan and copies of the G-88r, Request for Information About 

Employer Pension Plans. A copy of both the plan and the memorandum is always sent 

to the OGC. The Chief Actuary also receives a copy of the memorandum.

Pension plan submissions are routed in the same manner as other Board submissions.

5.11.5 Assembling

Assemble only the one set that will be returned to the originating unit. Staple that set to 

the material to be retained by the originating unit. The Director of Program’s secretary 

will assemble the remaining sets.
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5.11.6 Disposition

Forward the original and all copies of a submission through channels to the office of the 

Director of Programs. 

If the Director of Programs approves the submission, he will sign the originals of the 

transmittal memorandum and G-20a. The Director’s secretary will stamp his signature 

and the current date on all copies. One copy will be returned to the originating unit and 

the remaining copies sent to their proper destinations.

5.11.7 Legal Submissions 

5.11.7.1 Introduction

All formal legal submissions are to be prepared by Policy and Systems (P&S). Informal 

legal submissions, such as individual case questions or coverage issues, are prepared 

and released by the units. 

5.11.7.2 Types of Legal Questions

The two types of legal questions are formal and informal and may or may not involve a 

specific claim number.

5.11.7.2.1 Informal Legal Questions

Informal legal questions usually refer to a special situation or individual case such as a 

question about a void or conflicting marriage. Refer these questions to the attorney 

advisor assigned to your unit through the supervisor or quality analyst. The attorney 

advisors may return legal questions for formal submission for the following reasons:

• The question will require substantial research and cannot be answered quickly. 

• The question involves a matter that should be addressed in an opinion that can be 

applied to all cases. 

If the attorney advisor returns the question, send the case to P&S. P&S will attempt to 

resolve the issue and if necessary will prepare a formal submission to the Office of 

General Counsel.

5.11.7.2.2 Formal Legal Questions

Individual units should submit issues of a more general nature which may affect policy 

or procedure to P&S for review and submission to OGC, if necessary. General 

questions can result from a new law, change in current law, or a decision which affects 

a group or category of cases.
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5.11.7.3 Preparation of Questions for P&S

The following information should be included in legal questions that are forwarded to 

P&S for handling.

• A summary of the issue including a thorough description of the question being asked 

and all the facts in the case.

• The attorney advisor’s request, if any, for a legal submission

• If the attorney advisor’s request was oral, document the name of the attorney 

advisor and the fact that formal submission to the OGC was requested.

5.11.7.4 Routing Questions to P&S

Route all questions/issues to the Director of P&S through a supervisor or quality analyst 

who will review and sign it. If there is a claim folder involved, include the folder with 

your request.

5.11.7.5 P&S Handling 

Cases and questions received in P&S will be assigned according to subject matter. A 

P&S analysts will review the issue and either answer the questions or prepare a formal 

legal submission. In folderless cases, the P&S analyst will send an e-mail to the 

examiner, with a cc to the manager/supervisor of the unit, advising that he/she has been 

assigned the case for handling. If there is an applicant or annuitant awaiting action on 

their benefit, P&S will release a letter explaining the involvement of a legal question.

After a legal opinion has been issued, it will be reviewed by the P&S analyst to 

determine if any procedure changes are necessary. After appropriate action is taken 

the opinion and case file will be returned to the unit that originated the submission. 

If a legal opinion cannot be issued because further development is required of the unit, 

P&S will return the case with specific development instructions. The unit will take the 

required development action and handle the case to conclusion, without resubmitting, 

unless directed otherwise by P&S.