I-5-4-45.Cuffee v. Shalala
Purpose | |
Background | |
Guiding Principles | |
Definition of Class | |
Determination of Class Membership and Preadjudication Actions | |
Processing and Adjudication | |
Case Coding | |
Reconciliation of Implementation | |
Inquiries | |
Stipulation and Consent Order Entered by the Court on December 2, 1993 | |
CUFFEE COURT CASE FLAG/ALERT | |
Screening Flag - Inside OHA | |
Cuffee SCREENING SHEET | |
Screening Flag - Outside OHA | |
Non-Class Membership Notice | |
Route Slip for Non-class Member Claims | |
Notice of Revised Class Membership | |
Readjudication Flag for OHA Retention Cases | |
ALJ Dismissal to DDS | |
Notice Transmitting ALJ Order of Dismissal | |
Readjudication Flag for No Common Issue Cases | |
Text for Appeals Council Remand to DDS Class Member Claim Associated with Current Claim Pending Appeals Council Review | |
Text for Appeals Council Remand to DDS Class Member Claim Pending Appeals Council Review |
ISSUED: March 17, 1995; REVISED: February 26, 1997
I. Purpose
This Temporary Instruction (TI) sets forth procedures for implementing the Stipulation and Consent Order approved and entered by the United States District Court for the Western District of Missouri on December 2, 1993, in the Cuffee v. Shalala class action (see Attachment 1). The Cuffee class action is principally oriented toward alleged deficiencies in Missouri Disability Determination Services (DDS) actions and procedures.
Adjudicators throughout the country must be familiar with this TI because of case transfers and because Cuffee class members who now reside outside of Missouri must have their cases processed in accordance with the requirements of the Stipulation and Consent Order.
II. Background
On January 22, 1991, the named plaintiff amended his individual complaint, filed in May 1990, to reflect class allegations and the addition of State defendants as parties. The complaint alleged, among other things, that the Missouri DDS failed to evaluate pain in accordance with the requirements of the Polaski court order, affecting Eighth Circuit residents. After protracted litigation and at the court's direction, the parties engaged in settlement negotiations and, on December 2, 1993, the district court approved the parties' proposed Stipulation and Consent Order.
III. Guiding Principles
Under the Cuffee Stipulation and Consent Order, the Secretary will readjudicate the claim(s) of those Missouri residents who, under titles II and/or XVI: 1) receive a fully or partially favorable disability determination, decision or court reversal based either on a new claim filed during the period between December 2, 1993, and April 30, 1995, inclusive, or on a claim pending as of December 2, 1993; or, receive a res judicata denial or dismissal based on a new claim filed during the period between December 2, 1993, and April 30, 1995, inclusive, or on a claim pending as of December 2, 1993; 2) filed a prior claim(s) that the Missouri DDS medically denied (including a closed period determination) during the period between January 22, 1987, and November 14, 1991, inclusive; 3) respond to notice informing them of the opportunity for readjudication; and 4) are determined to be class members.
The Secretary will also readjudicate the claim(s) of those Missouri residents who: 1) were entitled to disability insurance benefits and/or eligible for SSI benefits on December 2, 1993; 2) in response to public notice, notify an SSA field office (FO) (or OHA hearing office (HO)) that he or she had a final medical denial issued by the Missouri DDS dated on or between January 22, 1987, and November 14, 1991, inclusive; and 3) are determined to be class members. These individuals must self-identify and notify an SSA FO or HO by April 30, 1995.
In most cases, the Office of Disability and International Operations (ODIO) will screen the prior claims of those individuals who respond to individual or public notice, and forward class member claims to the Missouri DDS for readjudication.
Additionally, if the potential class member claim, or the new claim filed in response to Cuffee, is pending or stored in OHA when class membership becomes an issue, e.g., the claimant appealed a partially favorable determination issued on the new claim, OHA will perform the screening and, under limited circumstances as described in Part VI., will perform the readjudication.
The type of readjudication will be a “redetermination.” A redetermination consists of a de novo reevaluation of the class member's eligibility for benefits based on all evidence in his or her file, including newly obtained evidence, relevant to the period of time at issue in the administrative determination(s) or decision(s) that forms the basis for the claimant's class membership. If the redetermination results in a favorable decision, the adjudicator must also determine whether the class member's eligibility has been continuous through the date of the readjudication, i.e., through the current date or the date of the most recent allowance. The DDS will also assess disability through the current date, if: 1) a class member claim is pending a hearing or is associated with a common-issue current claim that is pending a hearing, and the Administrative Law Judge (ALJ) exercises discretion to dismiss the request for hearing and return the claim(s) to the DDS (see Part VI.); or 2) a class member claim is pending before the Appeals Council or is associated with a common-issue current claim that is pending before the Appeals Council, and the Appeals Council, under certain circumstances, remands the claim(s) to the DDS (see Part VI.).
Cases readjudicated by the Missouri DDS will be processed at the reconsideration level regardless of the final level at which the claim was previously decided. The class member claim(s) will be adjudicated under current policies and procedures. Class members who receive adverse readjudication determinations will have full appeal rights, i.e., ALJ hearing, Appeals Council and judicial review.
Other than “waterfall” cases, i.e., appealed cases, the primary implementation impact of the Cuffee settlement on OHA will be the responsibility for screening when a potential class member claim or current claim is pending or stored at OHA. Under the terms of the stipulation and order for settlement, SSA will consolidate cases only at the DDS level. However, the ALJ or the Appeals Council may consolidate a class member claim and a current claim for the purpose of issuing a decision that is fully favorable with respect to the class member claim.
IV. Definition of Class
Except as noted below, the Cuffee class members entitled to relief are all residents of Missouri who:
apply for title II and/or title XVI disability benefits, between December 2, 1993, and April 30, 1995, inclusive; or
have a disability claim pending at any administrative level or in Federal court on December 2, 1993; and
receive a medical allowance or res judicata denial on their disability claim; or
were entitled to or eligible for disability benefits as of December 2, 1993; and
had a prior claim for title II and/or title XVI disability benefits medically denied (including a closed period determination) by the Missouri DDS at the initial or reconsideration level between January 22, 1987, and November 14, 1991, inclusive; and
were residents of the State of Missouri at the time the prior decision was issued (between January 22, 1987, and November 14, 1991, inclusive) and at all other relevant times.
EXCEPTIONS:
A person is not a Cuffee class member entitled to relief if he or she:
is an individual not currently eligible for disability insurance benefits and/or Supplemental Security Income benefits who had a closed period of eligibility at any time between January 22, 1987, and November 14, 1991, inclusive; or
appealed to OHA and received an unfavorable decision (other than a dismissal) which became the final decision of the Secretary after receiving a denial from the Missouri DDS between January 22, 1987, and November 14, 1991, inclusive; or
received a subsequent fully favorable determination or decision issued at any time on or after November 14, 1991, which covered the entire period for which the individual might be eligible for additional benefits, and all benefits have been paid, i.e., all claims within the class member period have been reopened under the normal rules of administrative finality; or
had his or her prior claims reviewed pursuant to the Boyd, Peck, Polaski or Zebley class actions.
V. Determination of Class Membership and Preadjudication Actions
A. Pre-Screening Actions - General
Identification
SSA has provided poster notices concerning the right to file a new claim under Cuffee, to all SSA FOs and the four OHA HOs in the State of Missouri. SSA must publicly display the notices until May 1, 1995.
Individuals who file a new claim in response to the posters are not required to affirmatively state their intent under Cuffee, and are not potential class members unless and until they receive a favorable determination, decision or court reversal, or a res judicata denial or dismissal. The effectuating component will take all necessary actions to place favorable determinations, decisions or court reversals on claims pending as of December 2, 1993, or claims filed between December 2, 1993, and April 30, 1995, inclusive, into pay status. Then, using SSA's data processing systems, Litigation Staff will match favorable claims and res judicata denials against prior claims adjudicated during the class member period, i.e., between January 22, 1987, and November 14, 1991, inclusive.
Individuals who are already entitled to or eligible for disability under titles II or XVI and who received a Missouri DDS medical denial during the relevant 1987 - 1991 period must “self-identify.” The FO (or receiving HO) will:
obtain a signed SSA-795 from the individual with the statement "I request readjudication of my previous claim under the Cuffee v. Shalala class action lawsuit;"
include the individual's SSN, current address and phone number on the SSA-795;
ask the individual, “Do you have any side effects from the medication(s) you take?”;
have the individual document his/her answer on the SSA-795; and
then route the SSA-795 to Litigation Staff at the address shown in Part V. A. 3.
Notification and Routing
Litigation Staff will send notice to prospective class members, whose claims are matched against claims denied during the class member period, of their opportunity for readjudication. Prospective class members must return a bar-coded reply form to ODIO within 60 days of the date of receipt of notice. ODIO will scan the replies into the Civil Action Tracking System (CATS), and Litigation Staff will generate folder alerts (see Attachment 2 for a sample Cuffee Court Case Flag/Alert). Litigation Staff will also generate folder alerts for claimants who “self-identify.”
If a claim within the class period or a later claim is pending or stored at OHA, e.g., the claimant filed a civil action on a claim decided during the period between January 22, 1987, and November 14, 1991, inclusive, or the claimant appealed a partially favorable determination on the claim giving rise to potential Cuffee membership, Litigation Staff will forward the alert to the Office of Appellate Operations (OAO) at the following address (case locator code 5007):
Office of Hearings and Appeals
Office of Appellate Operations
One Skyline Tower, Suite 701
5107 Leesburg Pike
Falls Church, VA 22041-3200
ATTN: OAO Class Action CoordinatorNOTE:
The OAO Class Action Coordinator is responsible for controlling and reconciling the disposition of class alerts shipped to OHA for association with pending or stored claims. The OAO Class Action Coordinator will maintain a record of all alerts received and the location, if any, to which they are transferred. This information will be necessary to do the final class membership reconciliation.
Folder Reconstruction
Generally, ODIO, the program service centers or the Wilkes-Barre Data Operations Center will initiate any necessary reconstruction of prior claim files through the servicing FO. Consequently, OHA requests for reconstruction of potential Cuffee class member cases should be rare. Prior to requesting reconstruction, OHA will determine whether available systems data or other information provides satisfactory proof that the particular claim would not confer class membership. However, if it becomes necessary for OHA to request reconstruction, the OHA component (the HO or the OAO branch) will forward the alert and any accompanying claim file(s) (if the claim file(s) is not needed for adjudication purposes) to the servicing FO, along with documentation of attempts to locate the file and a covering memorandum requesting that the reconstructed folder be forwarded to OHA. HOs will route any reconstruction requests directly to the servicing FOs. The OAO branch will route requests to the servicing FO and will send a copy of the covering memorandum to the OAO Class Action Coordinator. For CATS purposes, HO personnel and the OAO Class Action Coordinator will forward a copy of the reconstruction request memorandum to Litigation Staff at the following address:
Litigation Staff
Office of Policy and Planning
3-K-26 Operations Building
6401 Security Boulevard
Baltimore, MD 21235
ATTN: Cuffee CoordinatorHO personnel and the OAO branch will identify in the reconstruction request the OHA location of any existing claim file(s) being retained for adjudication purposes, and the date(s) of the claim(s) involved.
The HO or OAO will not delay action on a pending claim when a prior claim is being reconstructed for screening purposes, unless the prior claim is needed for the adjudication of the pending claim. If OHA completes action on the pending claim prior to receipt of the reconstructed folder, the HO or OAO, as appropriate, will forward the class action material, including the alert, if still in its possession, unneeded claim files, if any, and a copy of the reconstruction request directly to the servicing FO using a covering memorandum. The HO or OAO will send a copy of the covering memorandum to the OAO Class Action Coordinator, along with a copy of the action taken on the pending claim (see Part V. B. 2.). For additional information on reconstruction procedures, see the Generic Class Action Implementation instructions in HALLEX I-1-7-5 C.
B. OHA Screening Actions
Determining Jurisdiction for Screening
Current Claim Pending or Stored in OHA
As provided in Part V. A. 2., if there is a current claim pending or stored at OHA, the OAO Class Action Coordinator will receive the alert and related Cuffee claim file(s). The OAO Class Action Coordinator will determine OHA jurisdiction for screening and forward as follows.
If the current claim is in an HO, the Coordinator will use Attachment 3 to forward the alert and any prior claim file(s) to the HO for screening. (Part V. B. 3. a. provides instructions to HOs regarding the action to be taken if they receive an alert package but no longer have a current claim pending.)
If the current claim is before the Appeals Council, or is located in an OAO branch mini-docket or in the OAO Docket and Files Branch (DFB), the Coordinator will use Attachment 3 to forward the alert and any prior claim file(s) to the appropriate OAO branch for screening. (Part V. B. 3. a. provides instructions to the OAO branches regarding the action to be taken if they receive an alert package but no longer have a current claim pending.)
If the Coordinator (or designee) is unable to locate the current claim file within OHA, the Coordinator (or designee) will broaden the claim file search and arrange for alert transfer or file reconstruction, as necessary.
Current Claim Pending in Court
If the OAO Class Action Coordinator receives an alert for a claimant who has a civil action pending, either on the alerted case or on another claim, the Coordinator will forward the alert and any accompanying claim file(s) to the appropriate OAO Court Case Preparation and Review Branch (CCPRB) for screening, using Attachment 3. See Part V. B. 3. b. for special screening instructions when a civil action is involved.
Pre-screening Procedures
Prior to screening an individual case, the screening component will obtain appropriate systems information to determine whether:
there is a subsequent claim pending at any administrative level or in court;
there are additional claims within the class dates which have not been associated;
the claimant has received a determination/decision on a subsequent claim which is fully favorable with respect to the time period at issue in the potential class member claim and all benefits have been paid thus providing a basis for determining that the claimant is not a class member eligible for relief.
The screening component will also:
obtain the files for all unassociated claims that fall within the class dates, as well as any inactive claims that postdate the class period (which potentially provide a basis for screen-out or for limiting class relief); and
if necessary, request reconstruction of any potential class member files for claims that cannot be located, unless available systems data or other information provides satisfactory proof that the particular claim would not confer class membership.
Screening
General Instructions
The screening component will associate the alert 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:
consider all applications denied (including res judicata denials/dismissals) during the Cuffee timeframe;
follow all instructions on the screening sheet and the screening sheet instructions (Attachment 4);
sign and date the original screening sheet, place it in the claim file (on the top right side of the file); and
if the screening component is an OHA Headquarters component, forward a copy of the screening sheet to the OAO Class Action Coordinator at the address in Part V. A. 2. (The Coordinator will enter information from the screening sheet into a database and forward a copy of the screening sheet to the Division of Litigation Analysis and Implementation (DLAI)). If the screening component is an HO, forward a copy of the screening sheet directly to DLAI at the following address:
Office of Hearings and Appeals
Division of Litigation Analysis and
Implementation
One Skyline Tower, Suite 702
5107 Leesburg Pike
Falls Church, VA 22041-3255
ATTN: Cuffee CoordinatorHO personnel may also forward material by telefax to DLAI at (703) 305-0655. (DLAI will retain a copy of each screening sheet, share a copy with the OAO Class Action Coordinator, and forward a copy to Litigation Staff.)
If the HO 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 or forward the alert and any prior claim file(s) to the OAO Class Action Coordinator (see address in Part V. A. 2.) and advise the Coordinator of the action taken on the current claim and its destination. The Coordinator will determine the current claim file location and, if it is located in OHA Headquarters, will forward the alert and any accompanying claim file(s) to the responsible OAO branch for screening, using Attachment 3. If the file(s) is no longer in OHA, the Coordinator will use Attachment 5 to send the alert and any accompanying claim file(s) to the non-OHA location for screening coordination.
If an OAO branch receives an alert only, or an alert associated with a prior claim file(s), and no longer has the current claim file, (and it is not located in an OAO branch mini-docket or in the OAO DFB), it will determine the location of the current claim file. If the current claim file is located within OHA, the OAO branch will use Attachment 3 to forward the alert and any accompanying prior claim file(s) to the current OHA location. If the file(s) is no longer in OHA, the OAO branch will use Attachment 5 to forward the alert and any accompanying prior claim file(s) to the non-OHA location for screening coordination. The OAO branch will also advise the OAO Class Action Coordinator of its actions.
Special OAO Screening Instructions if a Civil Action Is Involved
As noted in Part V. B. 1. b., the CCPRB will screen for Cuffee class membership when a civil action is involved. The CCPRB's class membership/eligibility for relief determination will dictate the appropriate post-screening action.
The receipt of a favorable determination/decision provides the threshold for class membership. The only cases pending in court which should require screening are those in which: 1) the claimant is in benefit status based on either a subsequent disability claim, e.g., the claim pending in court is under title II, and the claimant is eligible under title XVI; or, there was a partially favorable decision on the claim pending in court; or, there was a partially favorable decision on a claim filed prior to the claim now pending in court, e.g., the claimant filed the claim now pending in court subsequent to a partially favorable decision, and 2) the claimant self-identifies as a potential class member or the subsequent claim is effectuated during the pendency of the court action.
If the claim pending in court is the only claim, the claimant cannot be a class member even if the Missouri DDS denied the claim during the class period. This is because a claimant must not only meet the threshold requirement of being in receipt of a favorable determination or decision (or res judicata denial), but also must have had another claim that was denied within the class period.
If the claimant is a class member, the CCPRB will immediately notify OGC, Region VII, so that OGC can take appropriate action. OGC, Region VII, will advise the CCPRB of the action to be taken.
If the claimant is not a class member, the CCPRB will follow the instructions in Part V. 4. a.
Post-Screening Actions
Non-Class Member Cases
If the screening component determines that the individual is not a class member entitled to relief, 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 FO at the top of Attachment 6.
retain a copy of the notice in the claim file;
send a copy of the notice to:
Legal Aid of Western Missouri
600 Lathrop Building
1005 Grand Avenue
Kansas City, MO 64106-2216;retain the claim file(s) for 90 days pending a possible dispute regarding the individual's entitlement to relief;
if class counsel makes a timely written request to review the claim file, i.e., within 60 days from receipt of the notice of class membership denial, DLAI will notify the OHA component housing the non-class member claim file to send it to the Office of the Regional Commissioner in Kansas City using the pre-addressed route slip in Attachment 7. Class counsel will have 45 days from the notification of file availability to inspect the file. OGC, Region VII, will attempt to resolve all such disputes through negotiation with class counsel within 60 days;
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.
if SSA, through OGC, resolves the dispute in the claimant's favor: 1) the original screening component or Litigation Staff will prepare a revised screening sheet; 2) send the notice of revised class membership determination (Attachment 8) to the claimant and representative, if any, and to the class counsel; 3) OHA jurisdiction cases will proceed in accordance with Part VI.; 4) the screening component will notify DLAI of the revised determination by forwarding a copy of the revised screening sheet; 5) DLAI will coordinate with the OAO Class Action Coordinator as necessary; and
if the dispute cannot be resolved, OGC, Region VII, will send the claimant, and class counsel, notice indicating that the claimant will have 60 days to request district court review of the class membership/eligibility for relief determination.
if after 90 days no review is requested, return the file(s) to the appropriate storage location if not otherwise needed.
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.
VI. Processing and Adjudication
All disability claims pending as of December 2, 1993, the date the court approved the Stipulation and Consent Order, or filed between December 2, 1993, and April 30, 1995, inclusive, will automatically be considered under Cuffee. FOs will follow normal procedures when a new claim is filed and a claim is already pending in OHA. When appropriate, the new claim will be escalated to the OHA level. OHA decision makers will follow existing statutory and regulatory policies and procedures for processing and adjudicating new claims and class member claims.
The relevant policies and procedures include, but are not limited to, the development and evaluation of subjective symptoms, including pain (20 CFR §§ 404.1529 and 416.929), obtaining medical evidence of record from treating physicians (20 CFR §§ 404.1512, 404.1513 and 416.912, 416.913), obtaining consultative examinations (20 CFR §§ 404.1517, 404.1519 and 416.917, 416.919), the weight to be accorded the opinion of treating sources (20 CFR §§ 404.1527 and 416.927), and the determination of residual functional capacity and completion of the residual functional capacity assessment form (20 CFR §§ 404.1545 and 416.945).
When an ALJ or the Appeals Council issues a fully or partially favorable decision on a claim filed in response to Cuffee or pending at the time of the Stipulation and Consent Order, the ALJ or the Appeals Council may, in connection therewith, reopen a claim(s) within the class period under the normal rules of administrative finality. In this situation, even though the ALJ or the Appeals Council may have afforded all class relief, there is no special decisional language with respect to Cuffee. However, in any case in which the claimant had a prior claim finally decided within the class member period, and the ALJ or the Appeals Council does not reopen that claim in connection with favorable action on the current claim, HO or OAO personnel must annotate the transmittal sheet to the effectuating component, that a Cuffee notice may be needed.
As indicated previously, the Missouri DDS will ordinarily perform the class member readjudications, irrespective of the administrative level at which the claim was last decided. However, the following processing and adjudication procedures will apply when OHA has responsibility for screening, because a potential class member claim is pending or stored in OHA, and when the claimant is a class member.
A. Class Member Claim Is Associated with Current Claim Pending at Hearing Level
Claims Have Common Issues; Hearing Scheduled or Held
In this situation, the appropriate HO action will depend on the ALJ's consideration of the merits and disposition of the current claim.
If the ALJ issues a decision on the current claim, and that decision is fully favorable with respect to the class member claim, the ALJ will:
consolidate the claims;
notify the claimant, and representative, if any, that the decision on the current claim also resolves the class member claim; and
forward a copy of the decision directly to DLAI at the address in Part V. B. 3.
If the ALJ issues a decision on the current claim that is not fully favorable with respect to the class member claim, or dismisses the request for hearing on the current claim, HO personnel will flag the class member claim (see Attachment 9) for forwarding to the DDS on completion of all OHA actions and expiration of any appeal period.
Claims Have Common Issues; Hearing Not Scheduled
In this situation, the ALJ will dismiss the request for hearing on the current claim, using the language in Attachment 10 and the covering notice in Attachment 11, and forward both the current and class member claims to the DDS at the address on the alert, for a consolidated reopening.
EXCEPTIONS:
The ALJ will not dismiss the request for hearing on the current claim, when a hearing has not been scheduled, if 1) the claimant has waived his or her right to an in-person hearing and the current claim is ready for an on-the-record decision; 2) the ALJ is otherwise prepared to issue a fully favorable decision on the current claim; 3) the current claim is on remand from the Appeals Council; or 4) the current claim involves terminal illness.
If the ALJ is unable to dismiss the request for hearing on the current claim because an exception applies, and the ALJ proposes to issue a decision that is fully favorable with respect to the class member claim, the ALJ will follow the guidance in Part VI. A. 1. a. If the ALJ issues a decision on the current claim that is not fully favorable with respect to the class member claim, HO personnel will flag the class member claim (see Attachment 9) for forwarding to the DDS on completion of all OHA actions and expiration of any appeal period.
Claims Do Not Have Common Issues
HO personnel will retain and process the current claim separately and forward the class member claim to the DDS for redetermination without delay, using Attachment 12.
B. Class Member Claim Is Pending at the Hearing Level
Hearing Scheduled or Held
As in Part VI. A. l., the appropriate HO action with respect to class relief will depend on the ALJ's disposition of the request for hearing.
If the ALJ issues a decision that is fully favorable, this action provides all class relief and the ALJ will:
notify the claimant, and representative, if any, that the decision resolves class relief; and
forward a copy of the decision directly to DLAI at the address in Part V. B. 3. a.
If the ALJ issues a decision that is not fully favorable or dismisses the request for hearing, HO personnel will flag the claim (see Attachment 9) for forwarding to the DDS on completion of all OHA actions and expiration of any appeal period.
Hearing Not Scheduled
The ALJ will dismiss the request for hearing using the language in Attachment 10 and the covering notice in Attachment 11, and forward the claim to the DDS for reopening.
EXCEPTIONS:
The ALJ will not dismiss the request for hearing when a hearing has not been scheduled, if 1) the claimant has waived his or her right to an in-person hearing and the case is ready for an on-the-record decision; 2) the ALJ is prepared to issue a fully favorable decision; 3) the claim is on remand from the Appeals Council; or 4) the claim involves terminal illness.
If the ALJ is unable to dismiss the request for hearing because an exception applies, and the ALJ proposes to issue a decision that is fully favorable, the ALJ will follow the guidance in Part VI. A. 1. a. If the ALJ issues a decision that is not fully favorable, HO personnel will flag the claim (see Attachment 9) for forwarding to the DDS on completion of all OHA actions and expiration of any appeal period.
C. Class Member Claim Is Associated with Current Claim Pending at Appeals Council Level
Claims Have Common Issues
The appropriate Appeals Council action will depend on the Appeals Council's consideration of the merits and disposition of the current claim.
If the Appeals Council issues a decision on the current claim and that decision is fully favorable with respect to the class member claim, the Council will:
consolidate the claims;
notify the claimant, and representative, if any, that the decision on the current claim also resolves the class member claim; and
forward a copy of the decision, for coordination with DLAI, to the OAO Class Action Coordinator at the address in Part V. A. 2.
If the Appeals Council issues a decision on the current claim and that decision is not fully favorable with respect to the class member claim, OAO personnel will flag the claim for forwarding to the DDS (see Attachment 9) following effectuation and expiration of any appeal period.
If the Appeals Council finds a basis for remand, unrelated to the fact of Cuffee class membership, it will combine the claims and forward them to the DDS for a consolidated reopening (see sample remand language at Attachment 13).
In all other situations, i.e., after consideration of the merits, if the Appeals Council would otherwise dismiss or deny the request for review or issue an unfavorable decision, OAO personnel will combine the claims and forward them to the DDS for redetermination through the date of the ALJ's decision on the pending claim (or, if the ALJ dismissed, through the date of reconsideration) (see sample remand language at Attachment 13).
Claims Do Not Have Common Issues
If the class member claim file is not needed for adjudication of the current claim, OAO personnel will forward the class member file to the DDS, using Attachment 12, modified as appropriate for the Appeals Council.
If the class member claim file is needed for adjudication of the current claim, OAO personnel will flag the class member claim (see Attachment 9) for forwarding to the DDS on completion of all OHA actions and expiration of any appeal period.
D. Class Member Claim Is Pending at the Appeals Council Level
The Appeals Council's action with respect to class relief will depend on the Council's consideration of the merits of the request for review.
Appeals Council Decides to Issue a Fully Favorable Decision OAO personnel will:
notify the claimant, and representative, if any, that the decision resolves class relief; and
forward a copy of the decision, for coordination with DLAI, to the OAO Class Action Coordinator at the address in Part V. A. 2.
Appeals Council Decides to Issue a Partially Favorable Decision
OAO personnel will flag the claim for forwarding to the DDS (see Attachment 9) following effectuation and expiration of any appeal period.
Appeals Council Finds a Basis for Remand, Unrelated to the Fact of Cuffee Class Membership
The Council will remand the claim to the DDS for reopening, using Attachment 14.
Appeals Council Would Otherwise Dismiss or Deny the Request for Review or Issue an Unfavorable Decision
The Council will remand the claim to the DDS for redetermination through the date of the ALJ's decision or, if the ALJ dismissed, through the date of reconsideration, using Attachment 14.
E. Class Member Claim Is Stored Pending Appeal
OAO will flag the case (see Attachment 9) for forwarding to the DDS at the expiration of the appeal period.
VII. Case Coding
If the class member claim is pending at the hearing level, and the ALJ: 1) dismisses the request for hearing for the purpose of DDS readjudication of the class member claim; or 2) issues a fully favorable decision, HO personnel will change the hearing type on the claim to a “reopening.” For any other ALJ action on the pending class member claim, the hearing type, as a new request for hearing, will remain unchanged. However, in all situations, to identify class member cases in the Hearing Office Tracking System (HOTS), HO personnel will code “CU” in the “Class Action” field.
No special identification codes will be used in the OHA Case Control System (CCS). Additionally, HO personnel will code dismissal cases as “OTDI.” HOTS users will need to bypass the automated case routing capability and manually route dismissal cases through the special case disposition/routing function. Only the systems administrator can access this function. The individual will need to enter the DDS address from the Cuffee Court Case Flag/Alert attached to the case file.
If the class member claim is associated with a current claim pending at the hearing level, and the ALJ: 1) dismisses the request for hearing for the purpose of DDS readjudication, because the current claim and class member claim have common issues; or 2) issues a decision on the current claim that is fully favorable with respect to the class member claim, HO personnel will change the hearing type on the current claim to a “reopening.” For any other ALJ action on the current claim, the hearing type, as a new request for hearing, will remain unchanged. However, in all situations, to identify class member cases in HOTS, HO personnel will code “CU” in the “Class Action” field. HOs will not use special identification codes in the OHA CCS. Additionally, HO personnel will code dismissal cases as “OTDI.” HOTS users will need to bypass the automated case routing capability and manually route dismissal cases through the special case disposition/routing function. Only the systems administrator can access this function. The individual will need to enter the DDS address from the Cuffee Court Case Flag/Alert attached to the case file.
VIII. Reconciliation of Implementation
At an appropriate time, Litigation Staff will request SSA components to reconcile their screening activity and disposition of class member claims with information available on CATS. Within OHA, the OAO Class Action Coordinator is responsible for maintaining a personal computer-based record of OHA implementation activity (e.g., a record of alerts processed by OHA, and a record of cases screened and consolidated by OHA), as reported by HOs and OAO to the Coordinator. See HALLEX I-1-7-12 with respect to reporting requirements.
IX. Inquiries
Hearing office 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. Headquarters personnel should contact the Division of Litigation Analysis and Implementation at 305-0708.