I-3-4-6.Premature or Erroneously Established Request for Review

Last Update: 2/7/14 (Transmittal I-3-63)

A. General

Under 20 CFR 404.971 and 416.1471, the Appeals Council (AC) does not have the authority to dismiss requests for review that a claimant files prematurely or requests for review that are erroneously established. Rather, the AC notifies the claimant and representative, if any, that the AC will not act on the request for review.

Requests are premature when the hearing office has not completed its action in a case. For example, a request for review is premature when a request for hearing has not been filed or a hearing decision has not been issued. Premature requests are usually easy to identify because the case will still be pending in, or will not exist in, the hearing level Case Processing and Management System (CPMS).

Requests are erroneously established when a case is forwarded to the AC based on correspondence from the claimant that does not constitute a request for review, and the AC establishes a record in the Appeals Review Processing System (ARPS).

B. Premature Request for Review

Staff will not enter premature requests for review into ARPS. Rather, staff will send a brief letter to the claimant and representative, if applicable, explaining that the form was completed in error and the AC cannot review the case. Staff will use the COR 18 letter template available in the Document Generation System (DGS) for premature filings.

If the file is electronic, the staff will use the “Send to efolder” button in DGS to associate a copy of the letter with the electronic folder. If the file is paper, staff will send a copy of the letter to the SSA component with jurisdiction over the claim.

After the letter is sent and associated with the record, staff will add a Remark in ARPS explaining the situation. Staff will then close the case in ARPS using the “SPDI” dismissal code.

C. Request for Review Erroneously Established

If a request for review was erroneously established, staff will advise the claimant and representative, if applicable, that a case was prepared in error. Staff will use the COR 19 letter template available in DGS.

If the file is electronic, the staff will use the “Send to efolder” button in DGS to associate a copy of the letter with the electronic folder. If the file is paper, staff will send a copy of the letter to the SSA component with jurisdiction over the claim.

After the letter is sent and associated with the record, staff will add a Remark in ARPS explaining the situation. Staff will then close the case in ARPS using the “SPDI” dismissal code.