I-5-4-38.Hill v. Sullivan
Purpose | |
Background | |
Guiding Principles | |
Definition of Class | |
Determination of Class Membership and Preadjudication Actions | |
Processing and Adjudication | |
Case Coding | |
Inquiries | |
- Stipulation and Order Dated October 22, 1992; Approved and Filed by the Court on April 30, 1993 | |
- Hill Court Case Flag/Alert | |
- Route Slip or Case Flag for Screening | |
- Hill Screening Sheet and Screening Sheet Instructions | |
- Route Slip for Routing Class Member Alert and Prior Claim Files(s) to ODIO or PSC -- OHA No Longer Has Current Claim | |
- Non-Class Membership Notice | |
- Route Slip for Non-Class Membership Case | |
- Hill Class Member Flag for Headquarters Use (DDS Readjudication -- retention period expired) | |
- Hill Class Member Flag for Headquarters Use (DDS Readjudication -- retention period has not expired) | |
- ALJ Dismissal to DDS | |
- Notice Transmitting ALJ Order of Dismissal | |
- Hill Class Member Flag for HO Use (DDS Readjudication) |
ISSUED: April 20, 1994
I. Purpose
This Temporary Instruction (TI) sets forth procedures for implementing the parties' October 22, 1992 Stipulation and Order, approved and filed by the United States District Court for the Southern District of New York on April 30, 1993, in the Hill v. Sullivan class action involving the standard for determining disability in surviving spouse claims.
Adjudicators throughout the country must be familiar with this TI because Hill class members who now reside outside of New York must have their cases processed in accordance with the requirements of the stipulation and order.
II. Background
On June 19, 1987, plaintiff filed a complaint challenging the Secretary's policy of evaluating the title II disability claims of widows, widowers and surviving divorced spouses without considering the combined effects of multiple impairments when making an equivalency finding.¹ On October 22, 1987, plaintiff filed an amended complaint seeking class status and relief. On April 12, 1989, the district court certified the class (see Part IV. below, for class definition).
Congress enacted the Omnibus Budget Reconciliation Act of 1990 (OBRA 90) (Pub. L. 101-508) on November 5, 1990. Section 5103 of OBRA 90 amended § 223 of the Social Security Act to repeal the special definition of disability applicable in widows' claims and conform the definition of disability for widows to that for all other title II claimants and title XVI adult claimants. The amendment became effective for entitlement to monthly benefits payable for January 1991, or later, based on applications filed or pending on January 1, 1991, or filed later.
On May 22, 1991, the Commissioner of Social Security published Social Security Ruling (SSR) 91-3p to provide a uniform, nationwide standard for the evaluation of disability in widows' claims for the pre-1991 period.
Because the merits of plaintiffs' challenge were resolved by the enactment of § 5103 of OBRA 90 and the publication of SSR 91-3p, the parties agreed to settle the remaining class relief issues. On April 30, 1993, the district court approved and filed the parties' October 22, 1992 Stipulation and Order setting forth the terms for the implementation of relief to class members (Attachment 1).
¹ Hereinafter (except for use in Part IV. below), the term “widows” is used only for convenience; it is intended to refer to all persons treated similarly under title II, i.e., widows, widowers and surviving divorced spouses.
III. Guiding Principles
Under Hill, the Secretary will reopen and readjudicate the claims of those persons who: 1) respond to notice informing them of the opportunity for review and 2) are determined to be class members after screening (see Part V. below). The Disability Review Section in the Northeastern Program Service Center (NEPSC) will screen folders for class membership, unless there is a current claim pending at the Office of Hearings and Appeals (OHA). Regardless of the state of the claimant's current residence, the New York Disability Determination Service (NYDDS) will, in most cases, perform the agreed upon readjudications, irrespective of the administrative level at which the claim was last decided.
EXCEPTION:
The DDS servicing the claimant's current address will perform the readjudication if a face-to-face review is necessary; i.e., cessation or terminal illness (TERI) cases.
OHA will screen cases and perform readjudications under limited circumstances (see Part V. B. below).
Cases readjudicated by the NYDDS will be processed at the reconsideration level regardless of the final level at which the claim was previously decided. Class members who receive adverse readjudication determinations will have full appeal rights (i.e., Administrative Law Judge (ALJ) hearing, Appeals Council and judicial review).
Adjudicators must use the disability evaluation standards reflected in § 5103 of OBRA 90 (42 U.S.C. § 423(d)(2) (1992)) and SSR 91-3p for evaluating disability in Hill class member claims. The disability evaluation standard enacted by § 5103 of OBRA 90 is effective for entitlement to monthly benefits payable for January 1991 or later.² (See HALLEX TI 5-3-15, issued February 11, 1991, for further instructions on processing disabled widows' claims under the provisions of § 5103 of OBRA 90.) The disability evaluation standard announced in SSR 91-3p must be used for the evaluation of disability and entitlement to benefits payable for the pre-1991 period.
² The final rules implementing § 5103 of OBRA 90 were published in the Federal Register on July 8, 1992, at 57 Fed. Reg. 30116. (See 20 CFR §§ 404.1505(a) and 404.1511(a).)
IV. Definition of Class
For purposes of implementing the terms of the stipulation and order, the Hill class is divided into two subclasses. The first consists of all New York residents who:
filed for or received title II benefits as a disabled widow, widower or surviving divorced spouse; and
were issued a less than fully favorable (i.e., later onset, closed period, denied or terminated) final administrative determination or decision (issued by either the NYDDS or an OHA office that adjudicated claims of New York residents), based on medical reasons, between May 12, 1983, and August 22, 1987, inclusive; and
timely filed a request for reconsideration of the initial determination or reapplied for disabled widow's benefits between the date of the initial determination and June 3, 1991, inclusive.
The second subclass consists of all New York residents who:
filed for or received title II benefits as a disabled widow, widower or surviving divorced spouse; and
were issued a less than fully favorable (i.e., later onset, closed period, denied or terminated) final administrative determination or decision (issued by either the NYDDS or an OHA office that adjudicated claims of New York residents), based on medical reasons, between August 23, 1987, and June 3, 1991, inclusive.
EXCEPTIONS:
A person is not a class member eligible for class relief if
(1) the individual received an adverse decision on a worker's claim for disability benefits under title II or title XVI (adult) at steps 4 or 5 of the sequential evaluation and that decision covered the entire timeframe at issue in all the potential Hill claims; or
(2) the individual's only potential Hill claim was pending administratively on or after June 4, 1991; or
(3) the individual received a favorable determination or decision on or after June 4, 1991, on a subsequent claim that raised the issue of disability and covered the entire timeframe at issue in all the potential Hill claims, i.e., the onset date alleged in connection with the subsequent claim was on or before the onset date alleged in connection with the potential Hill claims (this exception applies only if the individual has received all benefits to which he or she could be entitled based on the potential class member claims); or
(4) the individual received an unfavorable determination or decision after June 3, 1991, on a subsequent claim that raised the issue of disability and covered the entire timeframe at issue in all the potential Hill claims, i.e., the onset date alleged in connection with the subsequent claim was on or before the onset date alleged in connection with the potential Hill claims.
V. Determination of Class Membership and Preadjudication Actions
A. Non-OHA Actions
Notification
SSA will send notices to all potential class members identified by computer run. Individuals have 60 days from the date of receipt of the notice to request that SSA readjudicate their claims under the terms of the Hill stipulation and order. SSA will presume the individual's receipt of the notice five days after mailing, unless the individual establishes that receipt actually occurred later. Notices returned as undeliverable will be mailed a second time if SSA obtains an updated address.
The Office of Disability and International Operations (ODIO) will retrieve the disability claim files of late responders and send them, together with the untimely responses, to the servicing Social Security field office (i.e., district or branch office) to develop good cause for the untimely response. Good cause determinations will be based on the standards in 20 CFR § 404.911. If good cause is established, the field office will forward the claim for screening.
Alert and Folder Retrieval Process
All response forms will be returned to ODIO and the information will be entered into the Civil Actions Tracking System (CATS). CATS will generate alerts to ODIO. See Attachment 2 for a sample Hill alert.
In most instances, ODIO will associate the computer-generated alerts with any ODIO-jurisdiction potential class member claim file(s) and forward them to the NEPSC for retrieval of any additional claim files and screening (see Part III. above).
Alerts Sent to OHA
If ODIO or NEPSC determines that either a potential class member claim or a subsequent claim is pending appeal at OHA, it will forward the alert to OHA, along with any prior claim file(s) not in OHA's possession, for screening, consolidation consideration and readjudication (if consolidated).
ODIO or NEPSC will send all alerts potentially within OHA jurisdiction and related prior claim files to the Office of Civil Actions (OCA), Division I, at the following address:
Office of Hearings and Appeals
Office of Civil Actions, Division I
One Skyline Tower, Suite 601
5107 Leesburg Pike
Falls Church, VA 22041-3200ATTN: Hill Screening Unit
Folder Reconstruction
In general, ODIO or NEPSC will coordinate any necessary reconstruction of prior claim files. Paragraph 15 of the Stipulation and Order provides that SSA shall make all reasonable efforts to obtain claim files, and shall reconstruct any missing files to the best of its ability.
Class Membership Denials
The NEPSC will hold all non-class member claim files and make them available for inspection by class counsel upon timely request. After review of the files, class counsel will contact the Office of the General Counsel (OGC) directly to resolve any remaining class membership disputes.
B. OHA Actions
Pre-Screening Actions
Current Claim in OHA
As provided in Part V. A. 3. above, if there is a current claim pending at OHA, OCA will receive the alert and related Hill claim file(s). OCA will determine which OHA component has the current claim and forward for screening as follows:
If the current claim is in a hearing office (HO), OCA will forward the alert and the prior claim file(s) to the HO for screening using Attachment 3.
If the current claim is before the Appeals Council, OCA will forward the alert and prior claim file(s) to the appropriate Office of Appellate Operations (OAO) branch for screening using Attachment 3.
If the current claim file is in an OAO branch minidocket or Docket and Files Branch (DFB), OCA will request the file, associate it with the alert and prior claim file(s) and perform the screening.
If OCA is unable to locate the current claim file within OHA, OCA will broaden its claim file search and arrange for folder retrieval, alert transfer or folder reconstruction, as necessary.
NOTE:
OCA, Division I is responsible for controlling and reconciling the class alert workload of potential class member claims shipped to OHA for association with a current claim. Because this is a relatively small class, the OHA alert workload will be minimal and a manual accounting should suffice. OCA will maintain a record of all alert packages transferred to other locations (to include the pertinent information about destinations), and a copy of all screening sheets. This information will be necessary to do the final class membership reconciliation.
Current Claim Pending in Court
If OCA receives an alert for a claimant who has a civil action pending, either on the alerted case or on a subsequent or prior claim, OCA, Division I will associate the alert with the claim file(s) (or court transcript) and screen for Hill class membership. See Part V. B. 2. b. below for special screening instructions when a civil action is involved.
Screening
General Instructions
The screening component will associate the alert, if any, and any prior claim file(s) with the claim file(s) in its possession and then complete a screening sheet (see Attachment 4) as follows:
NOTE:
If the claim pending at OHA is the only potential class member claim, then the individual is not a class member (see Part IV. above). Complete the screening sheet and follow the instructions in Part V. B. 3. a. below for processing non-class member claims.
Consider all applications denied (including res judicata denials/dismissals) during the Hill timeframe;
NOTE:
Although not the “final decision of the Secretary,” an Appeals Council denial of a request for review is the last action of the Secretary, and the date of such a denial controls for class membership screening purposes.
Follow all instructions on the screening sheet;
Sign and date the original screening sheet, place it in the claim file (on the top right side of the file); and
Forward a copy of the screening sheet to:
Office of Hearings and Appeals
Division of Litigation Analysis and
Implementation
One Skyline Tower, Suite 702
5107 Leesburg Pike
Falls Church, VA 22041-3200ATTN: Hill Coordinator
The Division of Litigation Analysis and Implementation will forward copies of the screening sheet to OCA, Division I and the Litigation Staff at SSA Headquarters.
If the HO or OAO branch receives an alert only or an alert associated with a prior claim file(s) for screening, and no longer has the current claim file, it will return the alert and the prior claim file(s) to OCA, Division I (see address in Part V. A. 3. above) and advise OCA of what action was taken on the current claim. OCA will determine the claim file location and forward the alert and any accompanying prior claim file(s) to that location (see Attachment 5).
NOTE:
Final determinations or decisions made after June 3, 1991, on a subsequent claim filed by a potential Hill class member may adjudicate the same timeframe covered by the Hill claim. Instead of applying the doctrine of administrative res judicata to the Hill claim, these claims are to be denied class membership.
Special OCA Screening Instructions if a Civil Action Is Involved
As noted in Part V. B. 1. b. above, OCA will screen for Hill class membership when a civil action is involved. OCA's class membership determination will dictate the appropriate post-screening action.
If the claim pending in court is a Hill class member claim, OCA will immediately notify OGC so that OGC can notify the claimant of the option to have the case remanded for readjudication.
If the claim pending in court is a subsequent claim and was adjudicated in accordance with the disability evaluation standards reflected in § 5103 of OBRA 90 and SSR 91-3p and resolved all Hill issues, the claimant is not a Hill class member. OCA staff will follow the instructions in Part V. B. 3. a. below for processing non-class member claims.
If the claim pending in court was adjudicated in accordance with the disability evaluation standards reflected in § 5103 of OBRA 90 and SSR 91-3p, but did not resolve all Hill issues, e.g., there is a prior (inactive) claim and the current claim did not adjudicate the entire period covered by the Hill claim, OCA staff will forward the Hill claim to the NYDDS for separate review. OCA will modify the case flag in Attachment 12 to indicate that the pending court case does not resolve all Hill issues and that the Hill class member claim is being forwarded for separate processing.
If the final administrative decision on the claim pending in court was not adjudicated in accordance with the disability evaluation standards reflected in § 5103 of OBRA 90 and SSR 91-3p, or is legally insufficient for other reasons, OCA will initiate voluntary remand proceedings and consolidate the claims.
Post-Screening Actions
Non-Class Member Cases
If the screening component determines that the individual is not a class member, the component will:
notify the individual, and representative, if any, of non-class membership using Attachment 6 (modified as necessary to fit the circumstances and posture of the case when there is a current claim);
NOTE:
Include the address and telephone number of the servicing Social Security field office at the top of Attachment 6.
retain a copy of the notice in the claim file;
send a copy of the notice to:
The Legal Aid Society
Hill Lawsuit Unit
11 Park Place, Room 1805
New York, New York 10007retain the claim file(s) for 140 days pending possible class membership dispute;
if class counsel makes a timely review request, send the non-class member claim file to the NEPSC using the pre-addressed route slip in Attachment 7; and
if after 140 days no review is requested, return the file(s) to the appropriate location.
NOTE:
Photocopy any material contained in the prior file that is relevant to the current claim and place it in the current claim file before shipping the prior file.
An individual who wishes to appeal a determination of non-class membership may do so only through class counsel, as explained in the notice (Attachment 6).
Cases Determined to be Class Members
If the screening component determines that the individual is a class member, it will proceed with processing and adjudication in accordance with the instructions in Part VI. below.
VI. Processing and Adjudication
A. Cases Reviewed by the DDS
The NYDDS will usually conduct the first Hill review. An exception may apply where the class member claim is a cessation or TERI case. An exception will also apply for cases consolidated at the OHA level (see Part VI. E. below). The DDS determination will be a reconsideration determination, regardless of the administrative level at which the class member claim(s) was previously decided, with full appeal rights (i.e., ALJ hearing, Appeals Council and judicial review). Except as otherwise noted in this instruction, ALJs must process and adjudicate requests for hearing on Hill DDS review cases in the same manner as for any other case.
B. Payment Reinstatement for Cessation Cases
If the Hill claim involves a cessation, the class member may elect to have disability benefits reinstated pending readjudication. In general, the servicing Social Security field office has responsibility for:
contacting the class member, who may have reinstatement rights;
completing the election forms;
verifying non-disability factors; and
making a good faith effort to quickly reinstate benefits after retrieval or reconstruction of the Hill claim file.
NOTE:
For OHA jurisdiction cases, the screening component will
(1) identify Hill claims involving cessations;
(2) immediately notify the servicing field offices by telephone of the pending Hill claims that may be eligible for benefit reinstatement and document the file accordingly; and
(3) provide the servicing field office with identifying information and any other information requested.
C. OHA Adjudication of Class Member Claims
The following instruction applies to both consolidation cases in which the ALJ or Appeals Council conducts the Hill readjudication and to DDS readjudication cases in which the claimant requests a hearing or Appeals Council review. Except as noted herein, Hos and Headquarters will process Hill class member cases according to all other current practices and procedures including coding, scheduling, developing evidence, routing, etc. Consistent with OHA practice, ¶ 15 of the Stipulation and Order provides that SSA shall develop the record in accordance with 20 CFR §§ 404.1512 - 404.1528. Paragraph 15 also provides that where there are gaps in the record due to missing or unavailable evidence, SSA will generally consider the existing evidence of record in the light most favorable to a claimant.
Type of Review and Period to be Considered
Pursuant to the Hill stipulation and order, regardless of whether the claim under review is an initial claim or cessation case, the type of review to be conducted is a reopening. The claim of each class member must be fully reopened to determine whether the claimant was disabled at any time from the onset date alleged in the Hill claim through the present (or through the date the claimant last met the prescribed period requirements if earlier).
Pursuant to ¶ 14 of the Hill stipulation and order, adjudicators will not consider disability for any period in which a class member has already received disabled widows benefits. Pursuant to ¶ 15, class members may submit new evidence. Paragraph 15 further provides that, if there are gaps in the record due to missing or unavailable evidence, SSA will generally consider the evidence of record in the light most favorable to a claimant.
In conducting Hill readjudications, adjudicators must consider the issue of disability from the class member's earliest potential entitlement or the date of alleged onset, whichever is earlier. This is required in the situation where a Hill claim has been readjudicated under the Stieberger and/or State of New York procedures, as long as that readjudication did not cover the entire time period covered by the Hill claim. In this situation, the remaining time period on the Hill claim must be readjudicated.
Disability Evaluation Standards
Adjudicators must use the disability evaluation standards reflected in § 5103 of OBRA 90 and SSR 91-3p for evaluating disability in class member claims. The disability evaluation standard enacted by § 5103 of OBRA 90 is effective for entitlement to monthly benefits payable for January 1991 or later. (See HALLEX TI 5-3-15, issued February 11, 1991, for further instructions on processing disabled widows' claims under the provisions of § 5103 of OBRA 90.) The disability evaluation standard announced in SSR 91-3p must be used for the evaluation of disability and entitlement to benefits payable for the pre-1991 period.
Class Member Is Deceased
If a class member is deceased, the usual survivor and substitute party provisions and existing procedures for determining distribution of any potential underpayment apply.
Class Member Has a Pending TERI Claim
If a class member has a pending TERI claim, implementation of the Hill order must not delay the processing of the pending TERI claim, and must not interfere with the operation of TERI procedures on such claim.
D. Claim at OHA But No Current Action Pending
If a claim file (either a class member or a subsequent claim file) is located in OHA Headquarters but there is no claim actively pending administrative review, i.e., Headquarters is holding the file awaiting potential receipt of a request for review or notification that a civil action has been filed, OCA will associate the alert with the file and screen for class membership. (See Part V. B. 3., above, for non-class member processing instructions.)
If the 120-day retention period for holding a claim file after an ALJ decision or Appeals Council action has expired, OCA will attach a Hill class member flag (see Attachment 8) to the outside of the file and forward the claim file(s) to the NYDDS for review of the Hill class member claim.
If less than 120 days have elapsed, OCA will attach a Hill class member flag (see Attachment 9) to the outside of the file to ensure the case is routed to the NYDDS, or other appropriate DDS, after expiration of the retention period. Pending expiration of the retention period, OCA will also:
return unappealed ALJ decisions and dismissals to DFB, OAO; and
return unappealed Appeals Council denials to the appropriate OAO minidocket.
The respective OAO component will monitor the retention period and, if the claimant does not seek further administrative or judicial review, route the file(s) to the NYDDS in a timely manner.
E. Processing and Adjudicating Class Member Claims in Conjunction with Current Claims (Consolidation Procedures)
General
If a class member has a current claim pending at any administrative level and consolidation is warranted according to the guidelines below, the appropriate component will consolidate all Hill class member claims with the current claim at the level at which the current claim is pending.
Current Claim Pending in the Hearing Office
Hearing Has Been Scheduled or Held, and All Remand Cases
Except as noted below, if a Hill class member has a request for hearing pending on a current claim, and the ALJ has either scheduled or held a hearing, and in all remand cases, the ALJ will consolidate the Hill case with the appeal on the current claim.
EXCEPTIONS:
The ALJ will not consolidate the claims if
the current claim and the Hill claim do not have any issues in common, or
a court remand contains a court-ordered time limit, and it will not be possible to meet the time limit if the claims are consolidated.
If the claims are consolidated, follow Part VI. E. 2. c. below. If the claims are not consolidated, follow Part VI. E. 2. d. below.
Hearing Not Scheduled
Except as noted below, if a Hill class member has an initial request for hearing pending on a current claim and the HO has not yet scheduled a hearing, the ALJ will not consolidate the Hill claim and the current claim. Instead, the ALJ will dismiss the request for hearing on the current claim without prejudice and forward both the Hill claim and the current claim to the DDS for further action (see Part VI. E. 2. d. below).
EXCEPTION:
If the hearing has not been scheduled because the claimant waived the right to an in-person hearing, and the ALJ is prepared to issue a fully favorable decision on the current claim, and this decision would also be fully favorable with respect to all the issues raised by the application that makes the claimant a Hill class member, the ALJ will consolidate the claims.
If the claims are consolidated, follow Part VI. E. 2. c. below.
If the claims are not consolidated, follow Part VI. E. 2. d. below.
Actions If Claims Consolidated
When consolidating a Hill claim with any subsequent claim, the issue is whether the claimant was disabled at any time from the earliest alleged onset date through the present (or through the date the claimant last met the prescribed period requirements, if earlier).
If the ALJ decides to consolidate the current claim with the Hill claim(s), the HO will:
give proper notice of any new issue(s) as required by 20 CFR §§ 404.946(b) and 416.1446(b), if the Hill claim raises any additional issue(s) not raised by the current claim;
offer the claimant a supplemental hearing if the ALJ has already held a hearing and the Hill claim raises an additional issue(s), unless the ALJ is prepared to issue a fully favorable decision with respect to the Hill claim; and
issue one decision that addresses both the issues raised by the current request for hearing and those raised by the Hill claim (the ALJ's decision will clearly indicate that the ALJ considered the Hill claim pursuant to the Hill stipulation and order).
Action If Claims Not Consolidated
If common issues exist but the ALJ decides not to consolidate the current claim with the Hill claim because the hearing has not yet been scheduled, the HO will:
dismiss the request for hearing on the current claim without prejudice, using the language in Attachment 10 and the covering notice in Attachment 11; and
send both the Hill claim and the current claim to the NYDDS for consolidation and further action.
If the ALJ decides not to consolidate the current claim with the Hill claim because: 1) the claims do not have any issues in common or 2) there is a court-ordered time limit, the ALJ will:
flag the Hill claim for DDS review using Attachment 12; immediately route it to the NYDDS for adjudication; and retain a copy of Attachment 12 in the current claim file; and
take the necessary action to complete the record and issue a decision on the current claim.
Current Claim Pending at the Appeals Council
The action the Appeals Council takes on the current claim determines the disposition of the Hill claim. Therefore, OAO must keep the claim files together until the Appeals Council completes its action on the current claim. The following sections identify possible Appeals Council actions on the current claim and the corresponding action on the Hill claim.
Appeals Council Intends to Dismiss, Deny Review or Issue a Denial Decision on the Current Claim -- No Hill Issue(s) Will Remain Unresolved.
This will usually arise when the current claim duplicates the Hill review claim, i.e., the current claim raises the issue of disability and covers the period adjudicated in the Hill claim, and the current claim has been adjudicated in accordance with the provisions of § 5103 of OBRA 90 and SSR 91-3p. In this instance, the Appeals Council will consolidate the claims and proceed with its intended action. The Appeals Council's order, decision or notice of action will clearly indicate that the ALJ's or Appeals Council's action resolved or resolves both the current claim and the Hill claim.
Appeals Council Intends to Dismiss, Deny Review or Issue a Denial Decision on the Current Claim -- Hill Issue(s) Will Remain Unresolved.
This will usually arise when the current claim does not duplicate the Hill claim, e.g., the current claim raises the issue of disability but does not cover the entire period adjudicated in the Hill claim. For example, the Hill claim raises the issue of disability for a period prior to the period adjudicated in the current claim. In this instance, the Appeals Council will proceed with its intended action on the current claim.
OAO staff will attach a Hill case flag (Attachment 12; appropriately modified) to the Hill claim, immediately forward the Hill claim to the NYDDS for adjudication, and retain a copy of Attachment 12 in the current claim file. OAO will modify Attachment 12 to indicate that the Appeals Council's action on the current claim does not resolve all Hill issues and that the Hill class member claim is being forwarded for separate processing. OAO staff will include copies of the ALJ's or Appeals Council's decision or order or notice of denial of request for review on the current claim and the exhibit list used for the ALJ's or Appeals Council's decision.
Appeals Council Intends to Issue a Favorable Decision on the Current Claim -- No Hill Issue(s) Will Remain Unresolved.
If the Appeals Council intends to issue a fully favorable decision on a current claim, and this decision would be fully favorable with respect to all issues raised by the application that makes the claimant a Hill class member, the Appeals Council should proceed with its intended action. In this instance, the Appeals Council will consolidate the claims, reopen the final determination or decision on the Hill claim and issue a decision that adjudicates both applications. The Appeals Council's decision will clearly indicate that the Appeals Council considered the Hill claim pursuant to the Hill stipulation and order.
Appeals Council Intends to Issue a Favorable Decision on the Current Claim -- Hill Issue(s) Will Remain Unresolved.
If the Appeals Council intends to issue a favorable decision on a current claim and this decision would not be fully favorable with respect to all issues raised by the Hill claim, the Appeals Council will proceed with its intended action. In this situation, the Appeals Council will request the effectuating component to forward the claim files to the NYDDS after the Appeals Council's decision is effectuated. OAO staff will include the following language on the transmittal sheet used to forward the case for effectuation: "Hill court case review needed -- following effectuation forward the attached combined folders to the appropriate New York DDS."
Appeals Council Intends to Remand the Current Claim to an Administrative Law Judge.
If the Appeals Council intends to remand the current claim to an Administrative Law Judge, it will proceed with its intended action unless one of the exceptions below applies. In its remand order, the Appeals Council will direct the ALJ to consolidate the Hill claim with the action on the current claim pursuant to the instructions in Part VI. E. 2. a. above.
EXCEPTIONS:
The Appeals Council will not direct the ALJ to consolidate the claim if
the current claim and the Hill claim do not have any issues in common, or
a court remand contains a court-ordered time limit and it will not be possible to meet the time limit if the claims are consolidated.
If the claims do not share a common issue or a court-ordered time limit makes consolidation impractical, OAO will forward the Hill class member claim to the NYDDS, or other appropriate DDS, for separate review. The case flag in Attachment 12 should be modified to indicate that the Appeals Council, rather than an Administrative Law Judge, is forwarding the Hill class member claim for separate processing.
VII. Case Coding
HO personnel will code prior claims into the Hearing Office Tracking System (HOTS) and the OHA Case Control System (OHA CCS) as “reopenings.” If the prior claim is consolidated with a current claim already pending at the hearing level (see Part VI. E. above), HO personnel will not code the prior claim as a separate hearing request. Instead, HO personnel will change the hearing type on the current claim to a “reopening.” If the conditions described in Part VI. E. 2. b. above apply, the HO should dismiss the request for hearing on the current claim, and enter OTDI in the DSP field.
To identify class member cases in HOTS, HO personnel will code “HI” in the “Class Action” field. No special identification codes will be used in the OHA CCS.
VIII. Inquiries
HO personnel should direct any questions to their Regional Office. Regional Office personnel should contact the Division of Field Practices and Procedures in the Office of the Chief Administrative Law Judge at (703) 305-0022.