I-5-4-50.Mason v. Shalala

Table of Contents
I Purpose
II Background
III Guiding Principles
IV Definition of Class
V Determination of Class Membership and Preadjudication Actions
VI Processing and Adjudication
VII Case Coding
VIII Inquiries
Attachment 1 - Mason v. Shalala Stipulation; Approved by the United States District Court for the District of Vermont and Filed January 23, 1995.
Attachment 2 - Mason COURT CASE FLAG/ALERT
Attachment 3 - Route Slip or Case Flag for Screening
Attachment 4 - MASON SCREENING SHEET
Attachment 5 - Route Slip for Routing Mason Court Case Flag/Alert (and Prior Claim File(s) -- OHA No Longer Has Current Claim
Attachment 6 - Non-Class Membership Notice
Attachment 7 - Route Slip for Non-Class Membership Cases
Attachment 8 - Acting Associate Commissioner's Memorandum Dated February 21, 1991, Entitled “The Standard for Evaluating 'Not Severe' Impairments”
Attachment 9 - Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period expired)
Attachment 10 - Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period has not expired)
Attachment 11 - ALJ Dismissal to DDS
Attachment 12 Notice Transmitting ALJ Order of Dismissal
Attachment 13 - Mason Class Member Flag for HO Use (DDS Readjudication)

ISSUED: October 20, 1995


I. Purpose


This Temporary Instruction (TI) sets forth procedures for implementing the parties' joint Stipulation in the Mason v. Shalala class action involving the “not severe” impairment issue. The Stipulation was approved by the United States District Court for the District of Vermont on January 23, 1995.


Adjudicators throughout the country must be familiar with this TI because Mason class members who now reside outside of Vermont must have their cases processed in accordance with the requirements of the Stipulation.


II. Background


On March 21, 1985, the United States Magistrate Judge issued a report recommending that the United States District Court declare the Secretary's severity regulations and ruling (20 CFR §§ 404.1520(c), 404.1521, 416.920(c), 416.921 and Social Security Ruling (SSR) 82-55) invalid and permanently enjoin the use of the regulations and ruling. The Magistrate Judge also recommended that the class be certified.


On May 21, 1986, the United States District Court for the District of Vermont substantially adopted the Magistrate Judge's Report and Recommendation and certified a class. In connection with its class certification action, the court enjoined the Secretary from denying or terminating disability benefits at step two of the sequential evaluation and ordered the Secretary to readjudicate class member claims.


On October 8, 1986, the district court granted in part both the Secretary's and plaintiffs' motions to amend the earlier judgment and denied the Secretary's request to stay the judgment pending review by the United States Supreme Court of a related case known as Yuckert v. Heckler, 774 F.2d 1365 (9th Cir. 1985).


On October 31, 1986, the United States Court of Appeals for the Second Circuit granted a partial stay of the district court's orders, which required the Secretary to reopen and readjudicate “closed” disability claims retroactive to May 31, 1984, only weeks before oral argument, pending the Supreme Court's decision in Bowen v. Yuckert.


On January 21, 1987, the district court granted a partial stay of the injunction which required reopening and readjudication of disability claims that were “abandoned” or “closed,” pending final disposition of the appeal to the Second Circuit.


On June 8, 1987, the United States Supreme Court held in Bowen v. Yuckert, 482 U.S. 137 (1987) that the severity regulation was facially valid and an appropriate de minimis screening device for disability determinations. The Court in Yuckert did not consider directly whether the regulation had been misapplied by the Secretary. However, in a concurring opinion, Justice O'Connor noted that “[e]mpirical evidence cited by respondent and the amici [supported] the inference that the regulation [had] been used in a manner inconsistent with the statutory definition of disability.” Id. at 157.


On August 11, 1987, in response to the joint motion of class counsel and the Secretary, following the Supreme Court's decision in Bowen v. Yuckert, the court of appeals remanded this case to the district court for further consideration in light of Yuckert.


On August 31, 1987, the district court vacated its May 21, 1986 order and judgment.


On May 24, 1988, the district court denied the Secretary's motion for summary judgment and granted plaintiffs' motion for discovery. Although the court agreed that Yuckert disposed of plaintiffs' facial validity challenge to the severity regulations, it found that the class action complaint included a challenge to the regulation as applied by the Secretary and a challenge to the regulation and policies under the Administrative Procedure Act (APA).


On February 8, 1989, the district court issued an opinion and order granting the Secretary's motion for summary judgment with respect to the APA issue, concluding that the severity regulation did not violate the APA and that SSR 82-55 was an interpretive ruling exempt from the notice and comment provisions of the APA.


On November 12, 1991, the district court issued a decision again confirming that the class consisted of all Vermont applicants who had received unfavorable step two decisions from May 31, 1984 to the present.


Settlement discussions brought the case to a close without the need for further litigation. On January 23, 1995, the district court approved the parties' joint Stipulation setting forth the definition of the class and terms and conditions for the implementation of relief (Attachment 1).


III. Guiding Principles


Under Mason, the Secretary will redetermine the claims of those persons who: 1) timely respond to individual or publication notice informing them of the opportunity for readjudication; and 2) are determined to be class members after screening (see Part V. below). Regardless of the claimant's current state of residence, the Northeastern Program Service Center (NEPSC) will, in most cases, screen for class membership and the Vermont Disability Determination Services (DDS) will perform the agreed upon readjudications, regardless of the administrative level at which the class member claim was last decided.


EXCEPTION:

The DDS servicing the claimant's current address will perform the readjudication if a reconsideration disability hearing or a face-to-face review is necessary, i.e., cessation or terminal illness (TERI) cases.


If the potential class member claim or a subsequent claim is pending or stored in OHA when class membership becomes an issue, OHA will perform the screening and readjudication under the limited circumstances described in Part V. B. below.


Cases readjudicated by the DDS will be redetermined at the reconsideration level regardless of the final level at which the case 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).


Mason does not require any change in OHA's current adjudicatory policies or practices because the severity regulations (20 CFR §§ 404.1520, 404.1521, 416.920 and 416.921) and SSR 85-28 remain the proper standards for adjudicating claims at step two of the sequential evaluation.


IV. Definition of Class


Except as noted below, for purposes of implementing the January 23, 1995 Stipulation, the Mason class consists of all individuals who:


  • resided in Vermont between May 30, 1984, and August 31, 1987, inclusive; and

    
    

  • were issued a final administrative determination or decision denying or terminating title II or title XVI disability benefits based on a finding of “no severe” impairment, i.e., a step two denial.

    
    

    EXCEPTION:

    A person is not a class member if

    
    

    (1) the last administrative denial or termination the individual received on the potential Mason claim was issued after August 31, 1987; or

    
    

    (2) the last administrative denial or termination the individual received on the potential Mason claim was based on a finding other than “no severe” impairment, i.e., denied at a step other than step two of the sequential evaluation; or

    
    

    (3) a federal court affirmed the denial or termination; or

    
    

    (4) the individual had a subsequent claim denied after August 31, 1987, and the subsequent claim covered the entire period of disability at issue in the potential Mason claim; or

    
    

    (5) the individual applied for SSI child's benefits and was entitled to readjudication pursuant to Sullivan v. Zebley, 110 S. Ct. 885 (1990), for the entire period at issue in the potential Mason claim; or

    
    

    (6) the individual applied for widow's(er's) benefits for the entire period at issue in the potential Mason claim; or

    
    

    (7) the individual was or will be entitled to readjudication pursuant to Aldrich v. Sullivan, Civil No. 80-270 (D. Vt.) for the entire period at issue in the potential Mason claim.

    
    

V. Determination of Class Membership and Preadjudication Actions


A. Preliminary Actions


1. Notification


On January 13, 1995, SSA published notice of this settlement in the following papers: Burlington Free Press, Caledonian Record, Rutland Herald, Times Argus, Valley News, Brattleboro Reformer, The Newport Daily, St. Albans Messenger and Bennington Banner.


On June 2, 1995, SSA sent notices to all potential class members identified by computer run. Individuals are given 120 days from the date of receipt of the notice to request that SSA readjudicate their claims under the terms of the Mason Stipulation.


On June 2, 1995, SSA also posted notice in each SSA district office within Vermont and provided a public service announcement to radio stations in Vermont. Potential class members who do not receive an individual notice will have until January 22, 1997, to request that SSA readjudicate their claims under the terms of the Mason Stipulation.


If mailed notices are returned as undeliverable, SSA will attempt to obtain updated addresses by providing a computer tape to the Vermont Department of Social Welfare and the Vermont Agency of Human Services for a computerized match with public assistance, food stamp and/or other relevant records. Thereafter, SSA will mail a second notice to all potential class members for whom updated addresses are obtained.


The Office of Disability and International Operations (ODIO) will send untimely responses to the servicing Social Security field office (i.e., district office or branch office) to develop good cause for the untimely response. Good cause determinations will be based on the standards set forth in 20 CFR §§ 404.911 and 416.1411 and SSR 91-5p. If good cause is established, the field office will forward the claim for screening.


2. Alert and Folder Retrieval Process


All response forms and undeliverable notices will be returned to ODIO where they will be entered into the Civil Action Tracking System (CATS). CATS will generate folder alerts to ODIO for all response forms. See Attachment 2 for a sample Mason alert.


For Title II and concurrent claims, in most instances, ODIO will associate the computer-generated alerts with any claim file(s) that it has within its jurisdiction or that it retrieves from another location. ODIO will then forward the alert package and potential class member files to NEPSC or OHA for screening.


For Title XVI claims, in most instances, Wilkes-Barre Data Operations Center (Wilkes-Barre) will have the file. Consequently, ODIO will mail the alert package to Wilkes-Barre. Wilkes-Barre will forward the alert package and the file to NEPSC or OHA for screening.


3. Alerts Sent to OHA


If ODIO, NEPSC or the Wilkes-Barre Folder Staging Operation determines that either a potential class member claim or a subsequent (current) claim is pending or stored 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, NEPSC or Wilkes-Barre will send all alerts potentially within OHA jurisdiction and related prior claim file(s) to the Office of Appellate


Operations (OAO) at the following address:

 

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 Coordinator

NOTE:

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.


4. Folder Reconstruction


After a thorough search not to exceed 120 days, ODIO, NEPSC or Wilkes-Barre will initiate folder reconstruction through the servicing Field Office (FO). Because the NEPSC, FO and Wilkes-Barre DOC will either obtain all appropriate claim files within the Mason timeframes, or arrange for their reconstruction prior to forwarding files for screening, OHA requests for reconstruction of potential class member cases should be rare. 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 with a covering memorandum requesting that folder reconstruction be initiated and that the reconstructed file be sent to OHA after the reconstruction action is completed. The OAO branch will route requests through the OAO Class Action Coordinator. 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 the Deputy Commissioner
for Programs, Policy, Evaluation and Communications
3-K-26 Operations Building
6401 Security Boulevard
Baltimore, MD 21235

ATTN: Mason Coordinator

HO personnel or 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.


5. Class Membership Denials (Non-Eligibility for Relief)


NEPSC or OHA, as appropriate, will hold for 75 days all claim files of individuals to whom SSA sends notice of non-class membership or ineligibility for relief pending review by class counsel. If an individual wishes to request SSA's further consideration of the class membership/eligibility for relief determination, he or she must do so through class counsel. Class counsel has 60 days from receipt of the notice of non-class membership/ineligibility for relief to notify the Office of the General Counsel (OGC) of their disagreement. Upon timely written request by class counsel (i.e., within 60 days of receipt of the notice that the individual is not a class member eligible for relief) to review the files, Litigation Staff will coordinate with NEPSC or OHA to forward the claim files to:


 

Social Security Administration
District Office
58 Pearl Street
Burlington, VT 05401

NOTE:

The district office will hold the case for 30 days.


Class counsel will then have 30 days to review the file. If class counsel's review establishes that there is a dispute, they must notify OGC. If the parties are unable to resolve a dispute, class counsel may submit any unresolved dispute to the court for final resolution by proper motion made within 30 days of the date of written notice by OGC.


B. OHA Actions


1. Pre-Screening Actions


a. Current Claim Pending or Stored at OHA

As provided in Part V. A. 3. above, if there is a current claim pending or stored at OHA, the OAO Class Action Coordinator will receive the alert and related Mason claim file(s). The OAO Class Action Coordinator will determine which OHA component has the current claim and forward for screening as follows.


  • If the current claim is in an HO, the Coordinator will use Attachment 3 to forward the alert and prior claim file(s) to the HO for screening. (Part V. B. 2. a. below provides instructions to HOs regarding the action to be taken if they receive an alert package from the OAO Class Action Coordinator but no longer have a current claim pending.)

    
    

  • If the current claim is pending before the Appeals Council, or is located in an OAO branch mini-docket or in an OAO Docket and Files Branch, the Coordinator will use Attachment 3 to forward the alert and prior claim file(s) to the appropriate OAO branch for screening. (Part V. B. 2. a. below provides instructions to the OAO branches regarding the action to be taken if they receive an alert package from the OAO Class Action Coordinator but no longer have a current claim pending.)

    
    

If the Coordinator (or his designee) is unable to locate the current claim file within OHA, the Coordinator (or the designee) will broaden the claim file search and arrange for alert transfer or claim file reconstruction, as necessary.


NOTE:

Do not screen pending cases in newly implemented class actions unless an alert has been received. Claimants sometimes allege class membership before their cases have been alerted. The presence of an alert is evidence that the claimant has responded to notice of potential class membership and that his or her case is ready for review. However, if class action implementation is nearly complete and a claimant with a non-alerted pending case should allege class membership, contact the Mason coordinator in the Division of Litigation Analysis and Implementation (DLAI) for assistance in determining the claimant's status. DLAI's address is

 

Office of Hearings and Appeals
Division of Litigation Analysis
  and Implementation
Office of Policy, Planning
  and Evaluation
One Skyline Tower, Suite 702
5107 Leesburg Pike
Falls Church, VA 22041-3255

ATTN: Mason Coordinator

The DLAI Mason Coordinator's telephone number is (703) 305-0725.


b. 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 a current or prior 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. 2. b. below for special screening instructions when a civil action is involved.)


2. Screening


a. General Instructions

The screening component will associate the alert and any prior claim file(s) with the claim file(s) in its possession and complete the screening sheet (see Attachment 4) as follows.


NOTE:

If the claim pending at OHA is the only potential Mason claim, then the individual is not entitled to relief under Mason (see Part IV. above). Complete the screening sheet and follow the instructions in Part V. B. 3. a. below for processing non-Mason claims.


  • Consider all applications denied (including res judicata denials/dismissals) during the Mason 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 and screening sheet instructions;

    
    

  • 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 the OAO Class Action Coordinator at the address in Part V. A. 3. above. (The Coordinator will enter information from the screening sheet onto a database and forward the screening sheet to DLAI. DLAI will retain a copy of each screening sheet and forward a copy to Litigation Staff.)

    
    

    NOTE:

    Final determinations or decisions made after August 31, 1987, on a subsequent claim filed by a potential Mason class member may have adjudicated the entire timeframe at issue in the Mason claim. These claims should be denied class membership.

    
    

If the HO receives an alert only, or an alert associated with a prior claim file(s), and the HO no longer has the current claim file, it will return the alert and any prior claim file(s) to the OAO Class Action Coordinator (see address in Part V. A. 3. above) 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 prior 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 prior claim file(s) to the non-OHA location and request that the file(s) be forwarded to NEPSC for screening.


If an OAO branch receives an alert only, or an alert associated with a prior claim file(s), and the branch no longer has the current claim file (and it is not located in an OAO branch mini-docket or Docket and Files Branch), 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 files are no longer in OHA, the OAO branch will use Attachment 5 to send the alert and any accompanying prior claim file(s) to the non-OHA location and request that the file(s) be forwarded to NEPSC for screening. The OAO branch will also advise the OAO Class Action Coordinator of its actions.


b. Special OAO Screening Instructions if a Civil Action Is Involved

As noted in Part V. B. 1. b. above, the CCPRB will screen for Mason class membership when a civil action is involved. The CCPRB's class membership determination will dictate the appropriate post-screening action.


  • If the claim pending in court was adjudicated in accordance with SSR 85-28 and resolved all Mason issues, the claimant is not a Mason class member entitled to relief. The CCPRB 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 SSR 85-28, but did not resolve all Mason issue(s), e.g., there is a prior (inactive) Mason claim and the claim pending in court did not include the entire period covered by the Mason claim, and the claimant elects to have the case remanded to the Secretary for a redetermination (instead of proceeding in court), the CCPRB will forward the Mason claim to the Vermont DDS for separate review. The CCPRB will modify the case flag in Attachment 9 to indicate that the pending court case does not resolve all Mason issues and that the Mason class member claim is being forwarded for separate processing. The CCPRB will notify the Class Action Coordinator of this action.

    
    

  • If the final administrative decision on the claim pending in court was not adjudicated in accordance with SSR 85-28 or is legally insufficient for other reasons, the CCPRB will initiate voluntary remand proceedings and consolidate the claims.

    
    

3. Post-Screening Actions


a. 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 facts 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:

     

    Dixie Henry, Esq.
    Vermont Developmental
    Disabilities Law Project
    P.O. Box 1367
    Burlington, VT 05402

  • retain the claim file(s) for 75 days pending a possible class membership dispute; and

    
    

  • if class counsel makes a timely request for review, send the non-class member claim file(s) to the Burlington Vermont district office using the pre-addressed route slip in Attachment 7.

    
    

    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) proceed in accordance with Part VI. below; and 3) notify the Class Action Coordinator at the address in Part V. A. 3. above, for coordination with DLAI, of the revised determination by forwarding a copy of the revised screening sheet. OGC will advise class counsel of the reversal of class membership determination, and class counsel will notify the claimant.

    
    

    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).

    
    

b. Cases Determined To Be Class Members Entitled to Relief

If the screening component determines that the individual is a class member entitled to relief, 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 Vermont DDS will conduct the first Mason review, except for cases consolidated at the OHA level (see Part VI. D. below) and cases in which a reconsideration disability hearing or a face-to-face review is appropriate (see the exception in Part III. above). The DDS determination will be a reconsideration determination, regardless of the administrative level at which the class member's 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 should process and adjudicate requests for hearing on Mason DDS review cases in the same manner as for any other case.


B. OHA Adjudication of Class Member Claims


The following instruction applies to both consolidation cases in which the ALJ or Appeals Council conducts the Mason 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 Mason class member cases according to all other current practices and procedures including coding, scheduling, developing evidence, routing, etc.


1. Type of Review and Period To Be Considered


  1. Pursuant to the Mason Stipulation, regardless of whether the claim under review is an initial claim or cessation case, the type of review to be conducted is a redetermination. The redetermination shall be a de novo readjudication of the class member's eligibility for benefits based on all the evidence in his or her file including newly obtained evidence relevant to the period that was at issue in the administrative decision(s) that forms the basis for Mason class membership. The redetermination shall readjudicate the class member's eligibility for benefits only through the date of the prior decision(s) that forms the basis for Mason class membership.

    
    

  2. If the redetermination results in a favorable decision, the adjudicator will determine, under the medical improvement standard, whether the class member's disability has continued through the date of the readjudication (or through the date of onset of disability established in any allowance on a subsequent application).

    
    

  3. If evidence comes to light that suggests that disability began only at some point after the administrative determination(s) that forms the basis for Mason class membership, the class member must file a new application to establish entitlement or eligibility. The scope of the ALJ's review in connection with the class member claim is limited to the period from the alleged onset date through the date of the last final determination or decision that forms the basis for class membership. If the ALJ determines that a claimant was disabled on or before the ending date of the period under review, the ALJ will proceed with full reopening of the claim, i.e., the ALJ will consider the issues through the current date. If, as noted above, the evidence suggests that disability only began after the ending date of the period under review, the ALJ will advise the claimant to file a new application but will not attempt to take jurisdiction or adjudicate the subsequent period unless a current, consolidated claim allows the ALJ to do so. Even in the latter case, payment would be restricted by the retroactivity limitations of the current claim.

    
    

2. Step Two of the Sequential Evaluation


Mason does not require any change in OHA's current adjudicatory policies or practices with respect to step two of the sequential evaluation. Effective with the enactment of the 1984 Amendments to the Social Security Act, OHA's adjudicators have considered the combined effect of individual “not severe” impairments in evaluating disability claims at step two. ALJs and the Appeals Council may, when the evidentiary record warrants, continue to deny or cease the disability claims of Vermont residents in accordance with 20 CFR §§ 404.1520(c), 404.1521, 404.1523, 416.920(c), 416.921 and 416.923, as well as SSR 85-28. The Acting Associate Commissioner's memorandum, dated February 21, 1991 (Attachment 8), regarding the proper standard for adjudicating claims at step two, remains in effect.


3. 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.


C. Claim at OHA but No Current Action Pending


If the claim file (either a class member or a subsequent claim) 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, OAO will associate the alert with the file and screen for class membership (the OAO Class Action Coordinator will coordinate the necessary actions, as explained above in Part V.). (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, OAO will attach a Mason class member flag (see Attachment 9) to the outside of the file and send the claim file(s) to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for review of the Mason class member claim.

    
    

  • If less than 120 days have elapsed, OAO will attach a Mason class member flag (see Attachment 10) to the outside of the file to ensure that the case is routed to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) after expiration of the retention period. Pending expiration of the retention period, the OAO Branch 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 components will monitor the retention period and, if the claimant does not seek further administrative or judicial review, route the file(s) to the Vermont DDS (or the appropriate DDS if the exception in Part III. above applies) in a timely manner.


D. Processing and Adjudicating Class Member Claims in Conjunction with Current Claims (Consolidation Procedures)


1. 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 Mason class member claims with the current claim at the level at which the current claim is pending.


2. Current Claim Pending in the Hearing Office


a. Hearing Scheduled or Held and all Remand Cases

Except as noted below, if a Mason 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 Mason case with the appeal on the current claim.


EXCEPTIONS:

The ALJ will not consolidate the claims if


  • the current claim and the Mason 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. D. 2. c. below. If the claims are not consolidated, follow Part VI. D. 2. d. below.


b. Hearing Not Scheduled

Except as noted below, if a Mason 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 Mason claim and the current claim. Instead, the ALJ will dismiss the request for hearing on the current claim and forward both the Mason claim and the current claim to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for further action (see Part VI. D. 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 issues raised by the application that makes the claimant a Mason class member, the ALJ will consolidate the claims.


If the claims are consolidated, follow Part VI. D. 2. c. below. If the claims are not consolidated, follow Part VI. D. 2. d. below.


c. Action if Claims Are Consolidated

If the ALJ decides to consolidate the current claim with the Mason 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 Mason claim raises an additional issue(s) not raised by the current claim;

    
    

  • offer the claimant a supplemental hearing if the ALJ already has held a hearing and the Mason claim raises an additional issue(s), unless the ALJ is prepared to issue a fully favorable decision with respect to the Mason claim; and

    
    

  • issue one decision that addresses both the issues raised by the current request for hearing and those raised by the Mason claim (the ALJ's decision will clearly indicate that the ALJ considered the Mason claim pursuant to the Mason Stipulation).

    
    

d. Action if Claims Are Not Consolidated

If common issues exist but the ALJ decides not to consolidate the current claim with the Mason claim because a hearing has not yet been scheduled, the ALJ will:


  • dismiss, without prejudice, the request for hearing on the current claim, using the language in Attachment 11 and the covering notice in Attachment 12; and

    
    

  • send both the Mason claim and the current claim to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for DDS consolidation and further action.

    
    

If the ALJ decides not to consolidate the Mason claim with the current 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 Mason claim for DDS review using Attachment 13; immediately route it to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for readjudication; and retain a copy of Attachment 13 in the current claim file; and

    
    

  • take the necessary action to complete the record and issue a decision on the current claim.

    
    

3. Current Claim Pending at the Appeals Council


The action the Appeals Council takes on the current claim dictates the disposition of the Mason claim. Therefore, OAO must keep the claim folders together until the Appeals Council completes its action on the subsequent claim. The following sections identify the possible Appeals Council actions on the current claim and the appropriate corresponding action on the Mason claim.


a. Appeals Council Intends to Dismiss, Deny Review or Issue a Denial Decision on the Current Claim -- No Mason Issue(s) Will Remain Unresolved.

This situation will usually arise when the current claim duplicates the Mason review claim, i.e., the current claim raises the issue of disability and covers the entire period adjudicated in the Mason claim, and the current claim has been adjudicated in accordance with the provisions of SSR 85-28 and the current severity regulations, i.e., 20 CFR §§ 404.1520(c), 404.1521, 404.1523, 416.920(c), 416.921 and/or 416.923. 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 Mason claim.


b. Appeals Council Intends To Dismiss, Deny Review or Issue a Denial Decision on the Current Claim -- Mason Issue(s) Will Remain Unresolved.

This situation will usually arise when the current claim does not duplicate the Mason claim, e.g., the current claim raises the issue of disability but does not cover the entire period adjudicated in the Mason claim, i.e., the Mason 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.


When action on the current claim is completed, OAO staff will attach a Mason case flag (Attachment 9) to the Mason claim, forward the Mason claim to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for adjudication, and retain a copy of Attachment 9 in the current claim file. OAO will modify Attachment 9 to indicate that the Appeals Council action on the current claim does not resolve all Mason issues and that the Mason 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.


c. Appeals Council Intends To Issue a Favorable Decision on the Current Claim -- No Mason 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 Mason class member, the Appeals Council will proceed with its intended action. In this instance, the Appeals Council will consolidate the claims, reopen the final determination or decision on the Mason claim, and issue a decision that adjudicates both applications.


The Appeals Council's decision will indicate clearly that the Appeals Council considered the Mason claim pursuant to the Mason Stipulation.


d. Appeals Council Intends To Issue a Favorable Decision on the Current Claim -- Mason 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 Mason 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 Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) 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: "Mason court case review needed -- following effectuation forward the attached combined files to:

 

Vermont Disability Determination Service
Ladd Hall Building
103 South Main Street
Waterbury, VT 05676

(or to the appropriate DDS if the exception in Part III. above applies)."


e. Appeals Council Intends To Remand the Current Claim to an ALJ.

If the Appeals Council intends to remand the current claim to an ALJ, 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 Mason claim with the action on the current claim pursuant to the instructions in Part VI. D. 2. a. above.


EXCEPTIONS:

The Appeals Council will not direct the ALJ to consolidate the claim if


  • the current claim and the Mason 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 Mason class member claim to the Vermont DDS (or to the appropriate DDS if the exception in Part III. above applies) for separate review. The case flag in Attachment 9 should be modified to indicate that the Appeals Council, rather than an ALJ, is forwarding the Mason class member claim for separate processing.


E. Class Member Claim Is Stored Pending Appeal


OAO will flag the case (see Attachment 10) for forwarding to the DDS at the expiration of the appeal period.


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. D. 2. c. 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. D. 2. b. and d. above apply, the ALJ should dismiss the request for rehearing on the current claim, and HO personnel should enter “OTDI” in the “DSP” field.


To identify class member cases in HOTS, HO personnel will code “M2” 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.


Attachment 1. - Mason v. Shalala Stipulation; Approved by the United States District Court for the District of Vermont and Filed January 23, 1995.


UNITED STATES DISTRICT COURT FOR THE DISTRICT OF VERMONT

WENDELL MASON, on behalf of )  
himself and all others )  
similarly situated, )  
  )  
Plaintiffs,
)
Civil No. 83-390
  )  
v. )  
  )  
DONNA E. SHALALA. )  
Secretary of Health and )  
Human Services, )  
  )  
Defendant.
)  

STIPULATION


The parties to this action, by their undersigned counsel, hereby agree to a settlement of plaintiff's claims in this litigation in accordance with the following terns and conditions:


  1. The class members who shall be entitled to seek relief pursuant to this settlement shall be limited to those defined as follows:

    
    

    1. all Vermont applicants for Social Security disability benefits or Supplemental Security Income (SSI) benefits based upon disability who, between May 30, 1984 and August 31, 1987, received an unfavorable final administrative decision by the Secretary while residing in Vermont resulting in denial or termination of such benefits based on a finding that they did not have a severe impairment.

      
      

    2. However, the class shall exclude those individuals who subsequently received a final decision in federal court with respect to an unfavorable administrative decision, or who have received a subsequent administrative determination or decision after August 31, 1997, with respect to the same period at issue. The class shall also exclude claimants for SSI child's benefits, who are or will be entitled to redeterminations pursuant to Zebley v. Sullivan, 110 S. Ct. 885 (1990), claimants for widows benefits, and those person who were or will be entitled to readjudications under Aldrich v. Sullivan, Civil No. 80-270 (D Vt.) for the same period at issue.

      
      

  2. Those claim members who received an unfavorable final administrative decision by the secretary while residing in Vermont resulting in a denial or termination of Social Security disability benefits of Supplemental Security Income based on a finding that they did not have a severe impairment between September 1, 1987 and the date this Stipulation is approved by the Court are not entitled to any relief under this settlement and they will be notified accordingly by counsel for the class.

    
    

    Plaintiff's counsel agrees that if plaintiffs send individual notices to claimants excluded from further relief pursuant to ¶ of this Stipulation and Order that they will provide the Secretary with a draft of the notice and allow the Secretary 10 days to comment prior to the mailing.

    
    

  3. The Secretary agrees to publish notice of this settlement one time, within ten days prior to the date set by the court for hearing on approval of the settlement, in the following papers: Burlington Free Press, Caledonian Record, Rutland Herald, Times Argus, Valley News, Brattleboro Reformer, The Newport Daily, St. Albans Messenger and Bennington Banner.

    
    

  4. Within 120 days after court's approval of this stipulation, the Social Security Administration (SSA) shall, by means of its data processing systems, identify the names, Social Security numbers and last known addresses of potential class members in accordance with the criteria set forth in ¶ 1 and 2. SSA shall provide plaintiffs' counsel with a copy of the list of potential class members. The list provided to plaintiffs counsel will be divided into two groups, those class members identified in ¶ 1 (a) and those class members identified in ¶ 2 who are not entitled to any relief.

    
    

  5. Within 120 days of the Court's approval of this Stipulation, SSA will issue advance copies of final instructions for screening and re-adjudicating the claim of class members, including the notice referred to in ¶ ¶ 6 and 9, to all SSA adjudicators responsible for processing adjudications hereunder. The Secretary will provide copies of the proposed final instructions to plaintiffs' counsel within a reasonable time prior to distribution of the final instructions and will allow plaintiffs 10 days after receipt to review and comment on the instructions.

    
    

  6. Within 10 days of the issuance of the instructions described in ¶ 5 of this Stipulation, SSA shall send a notice by first class mail to each potential class member so identified under ¶ 1.a., at his or her last known address. This notice will advise potential class members of their possible entitlement to a redetermination of their claims and will further inform such individuals that they must return an enclosed pre-addressed, postage prepaid form, within 120 days of receipt of the notice in order to receive consideration for relief. The notice will contain the name and telephone number of designated class counsel and will advise the individual that legal assistance is available. The notice will also contain a short tag statement in French, to be provided by plaintiff's counsel, stating that the individual may be entitled to additional benefits and to contact SSA for further assistance.

    
    

    1. Potential class members who never received the individual notices mailed pursuant to this paragraph, may request readjudication at any SSA field office within two years of the date of this order.

      
      

    2. For a period of 180 days after the date the notices in ¶ 6 are released, SSA will post the notice in each SSA district office within Vermont and provide plaintiffs' counsel with 100 additional posters which they may distribute at offices other than the SSA.

      
      

    3. Further, the Secretary will provide a public service announcement to radio stations in Vermont with the understanding that the Secretary will not attempt to control, and will not have control over, the announcements broadcast.

      
      

    4. SSA Survivor and substitute party provisions and existing procedures for determining the distribution of any potential underpayment will apply to any deceased class member's claims.

      
      

  7. In the event that a notice mailed pursuant to ¶ 6 is returned as undeliverable, SSA will attempt to obtain updated addresses by providing a computer tape to the Vermont Department of Social Welfare and the Vermont Agency of Human Services, with a request for the performance by said agency of a computerized a computerized match with public assistance, food stamp and/or other relevant records. SSA will use its best efforts to effect, subject to the requirements of the Privacy Act, as amended by the Computer Matching and Privacy Protection Act, 5 U.S.C. § 552a, a computer match with a compatible, current or archival state data system. Such match is restricted to the data available under income and maintenance program. This attempt to deliver otherwise undeliverable notices to potential class members is conditioned upon the willingness and ability of the state agency to participate in a matching process.

    
    

    1. SSA will thereafter mail e second notice to all potential class members for whom updated addresses are obtained.

      
      

    2. After the state tape match and second notice, SSA will also provide plaintiffs' counsel with a list of potential class members for whom mailed notices were returned as undeliverable and plaintiffs' counsel shall have 90 days to search their records for an updated address.

      
      

  8. If a potential class member receives a notice and requests class membership by responding more than 120 days after receiving such notice, SSA shall determine whether the person has “good cause” for the late request as defined in 20 C.F.R. §§ 404.911 and 416.1411 and SSR 91-5p.

    
    

  9. SSA will send an acknowledgment of receipt to those class members who have responded. For those individuals who respond to the notice, SSA will screen the applicable claims folders or other relevant records to determine if they are class members. Those individuals who have been determined not to be class members will be notified in writing of such determination, and the basis for such denial, and will be further informed of their right to a review thereof, in accordance with the procedures set forth in ¶ 10 to this Stipulation. Copies of said notices shall be sent contemporaneously to plaintiff's counsel.

    
    

    For individuals whom SSA has determined to be class members, SSA will contact these class members at the tine their redetermination is processed as described in ¶ 13, to advise them of their right to submit additional evidence pertaining to the period covered by the prior denial.

    
    

  10. Individuals who disagree with a finding that they do not meet the class membership criteria may contact or write plaintiffs' counsel for additional review. Class counsel may, within 60 days of the date of the class membership determination notice, in turn notify in writing an individual to be designated in the Office of the General Counsel, Region I, Boston, Massachusetts that review of the individual's claims file or relevant records is desired. Within 30 days of the receipt of class counsel's written request, SSA will make available that individual's claims file or other relevant records at a designated SSA field office location in Vermont and will notify, class counsel in writing. Such records will be available for review by class counsel for a period of 30 days. At the expiration of the 30 days, if class counsel has still not reviewed the records, it shall be assumed that review is no longer desired and SSA's non-class membership determination shall become final and not subject to further review.

    
    

  11. If class counsel's review establishes that there is a dispute as to whether the individual is a class member, class counsel wi1l notify the Office of the General Counsel, Department of Health and Human Services, Region I, Boston, within 30 days of such review. Both parties will then attempt to resolve the dispute. In the event the parties are unable to settle the dispute, class counsel may submit any unresolved dispute to the Court for final resolution by proper motion made within 30 days of the date of written reaffirmation, by the Office of the General Counsel, of the prior non-class membership determination, and the defendant shall have the opportunity to respond consistent with federal and local court rules. Failure of class counsel to request a judicial determination within the aforesaid 30 day period shall render SSA's non-class membership determination final and not subject to further review.

    
    

  12. The claims of individuals determined to be class members will be reviewed and, if determined to be eligible, class members will be paid benefits from:

    
    

    1. the sixth month following the date of onset of disability; or 12 months prior to the date of filing, whichever is later, in cases of Title II disability benefits;

      
      

    2. the date of application or established onset of disability, whichever is later, in cases of Title XVI disability benefits; or

      
      

    3. the date of the termination of benefits in continuing disability cases.

      
      

      SSA shall provide plaintiffs' counsel with a copy of the notice of all denied claims and shall make available to plaintiffs' counsel upon written request a 10% random sample of these claim folders.

      
      

  13. The Secretary shall redetermine the applications of all persons found to be class members using the Secretary's present severity regulations and SSR 85-28. The Secretary will consider new evidence, but only as it pertains to the period covered by the prior decision. If the evidence of record at the time of the prior decision is considered insufficient to make a determination at step two of the sequential evaluation, the Secretary will attempt to obtain any evidence necessary to make a step two determination. Where, upon such redetermination, the individual's impairments are considered to have been severe (either individually or in combination), the Secretary shall evaluate the individual's claim in accordance with the sequential evaluation set forth at 20 C.F.R. §§ 404.1520 and 416.92D. If a determination at steps three through five of the sequential evaluation cannot be made without additional medical or vocational evidence the Secretary shall seek to obtain such evidence. If a redetermination under the paragraph results in a finding of disability for the period covered by the prior decision, the claim shall be reopened and the individual's disability shall be considered through the date of the new determination. However, if a class member had obtained benefits for a subsequent period, that subsequent period of eligibility will not be reopened except in accordance with normal regulatory requirements or valid continuing disability reviews.

    
    

  14. Except as noted in ¶¶ 15 and 16 of this Stipulation, all reviews shall be conducted at the reconsideration level, with determinations being appealable to an Administrative Law Judge upon request made pursuant to the procedures set forth at 20 C.F.R. §§ 404.933 and 416.1433. Appeal of an Administrative Law Judge decision will be to the Appeals Council upon request made pursuant to the procedures set forth at 2O C.F.R §§ 404.968 and 416.1468. Class members will retain rights to judicial review as provided in 42 U.S.C. §§ 4O5(g) and 1383(c)(1) and (3).

    
    

  15. At the option of SSA, class members with subsequent disability claims active and simultaneously pending at any administrative level of review at the time the class claim is being evaluated may have all other claims covered by this stipulation consolidated with the current claim. SSA will use its best efforts to ensure that current adjudication of current claims will not be delayed by consolidation and claims will not be consolidated at the Appeals Council level except for the purposes of issuing a fully favorable decision.

    
    

  16. Class members having individual actions pending in federal court with respect to the unfavorable administrative decision resulting in class membership may elect either to have their claim remanded decides to proceed with his or her individual action in administrative and judicial review as provided in 20 C.F.R. §§ 404.933, 404.968, 416.1433, and 416.1468) or to have the action proceed in federal court pursuant to, and subject to, the limitations contained in 42 U.S.C. §§ 405(g). Nothing in this Stipulation shall be construed to avoid or preclude the res judicata effect of a final court decision where a class member decides to proceed with his or her individual action in federal court.

    
    

  17. SSA will monitor the implementation of this Stipulation and shall provide plaintiffs' counsel, on a quarterly basis until all class member's claims are processed, reports containing the following information.

    
    

    1. the total number of persons notified initially of potential class membership;

      
      

    2. the total number of persons who responded to the notice;

      
      

    3. the total number of persons responding who were found not to be class members,

      
      

    4. the total number of persons responding determined to be class members;

      
      

    5. the total number of class members found eligible for disability benefits upon readjudication by the Vermont Disability Determination Service (“DDS”);

      
      

    6. the total number of class members whose applications were denied upon readjudication by the DDS.

      
      

  18. The time limitations set forth in this Stipulation shall be subject to modification by mutual agreement of the parties at any time, or at the request of either of the parties hereto, by motion duly served, upon a showing of one or more of the following reasons:

    
    

    1. due to a material change in circumstances, compliance with the provision(s) sought to be modified would impose an undue or unreasonable burden not reasonably contemplated by the party seeking such modification at the time this Stipulation was executed;

      
      

    2. despite good faith efforts by the party seeking such modification, the time limitation sought to be modified is impractical or unworkable in practice; or

      
      

    3. any other reason justifying relief from the operation thereof pursuant to Rule 60 of the Federal Rules of Civil Civil Procedure.

      
      

  19. Plaintiffs shall have 30 days from the entry of the order approving this stipulation within which to file a petition pursuant to the equal access to Justice Act, and the Secretary shall have 10 days to respond.

    
    

    Individual class members who are successful in appealing the denial of their individual claims on redetermination shall not be precluded from pursuing Peer; pursuant to the Equal Access to Justice Act and/or 42 U.S.C. § 406.

    
    

  20. The terms set forth in this stipulation shall be in full settlement and satisfaction of any and all claims and demands, except for claims for attorney fees, costs and monitoring and implementation expenses, of whatever nature, the plaintiffs had or may hereafter acquire against the defendant, and any of her agencies, agents, servants, employees or instrumentalities on account of and with respect to the incidents, claim or circumstances giving rise to and/or alleged, in the above-entitled action and as more particularly set forth in the pleadings filed herein. Upon the Court's approval of this Stipulation, the complaint herein and any amendments thereto shall be dismissed, with prejudice, and the court shall retain continuing jurisdiction of this matter solely for the purposes of interpreting and enforcing the terms of this Stipulation.

    
    

  21. Because this Stipulation is entered by agreement of the parties, as a means of avoiding further litigation, the terms of this Stipulation shall not be cited as precedent in any other case.

ATTORNEYS FOR PLANTIFFS ATTORNEYS FOR DEFENDANT
   
_________________________ CHARLES R. TETZLAFF
DIXIE HENRY  
Vermont Developmental United States Attorney
Disabilities Law Project  
P.O. Box 1367 by: ______________________
Burlington, VT 05402 CHRISTOPHER B. BARIL
Federal Bar No.__________ Assistant U.S. Attorney
  P.O. Box 10
  Rutland, VT 05702
  (802) 773-0231
  Federal Bar No.000295734
PAULA J. KANE  
18 Kingman Street  
St. Albans, VT 05478  
Federal Bar No.__________  
   
_________________________  
RICHARD A. JOHNSTON, ESQ.  
BRIAN E. WHITELEY, ESQ.  
Hale Dorr  
60 State Street  
Boston, MA 02109  

The foregoing Stipulation of the parties is approved and so ORDERED this ____ day, of _____________, 1993.

  ___________________________
  FRED I. PARKER, Chief Judge
  U.S. DISTRICT Court

Attachment 2. - Mason COURT CASE FLAG/ALERT

TITLE: CATEGORY:



REVIEW OFFICE PSC MFT DOC ALERT DATE



FUN NAME



SSN OR HUN RESP DTE TOE
000-00-0000


FOLDER LOCATION INFORMATION
TITLE CFL CFL DATE ACN PAYEE ADDRESS

     SCREENING OFFICE ADDRESS:
     SOCIAL SECURITY ADMINISTRATION
    NORTHEASTERN PROGRAM SERVICE CENTER
    SECOND FLOOR
    P.O. BOX 314600
    JAMAICA, NEW YORK 11431

    ATTN: DISABILITY REVIEW SECTION

     IF CLAIM IS PENDING IN OHA, THEN SHIP FOLDER TO:


     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 COORDINATOR

Attachment 3. - Route Slip or Case Flag for Screening

Mason Class Action Case

   
   

SCREENING   NECESSARY

   
   
Claimant's Name: __________________________________
   
   
SSN : __________________________________
   
   
This claimant may be a Mason class member. The attached folder location information indicates that a current claim file is pending in your office. Accordingly, we are forwarding the attached alert [and prior claim file(s)] for association, screening for class membership, consolidation consideration and possible readjudication.
   
Please refer to HALLEX TI 5-4-50 for additional information and instructions.
   

TO: ______________________________

__________________________________

__________________________________

__________________________________

   

Attachment 4. - MASON SCREENING SHEET

CLASS ACTION CODE: M  2

1. CLAIMANT'S SSN

   ___ ___ ___ - ___ ___ - ___ ___ ___ ___

2. CLAIMANT'S NAME CLAIMANT'S NAME (LAST, FIRST, MI) (PLEASE PRINT)

3. DATE OF BIRTH (MM/DD/YYYY)

   ___ ___ - ___ ___ - ___ ___ ___ ___

4. CLAIM NUMBER                         (BIC/ID)

   ___ ___ ___ - ___ ___ - ___ ___ ___ ___ - ___ ___

5. DATE OF SCREENING (MM/DD/YYYY)

   ___ ___ - ___ ___ - ___ ___ ___ ___

6. a. SCREENING RESULTS

Member (J)                      Non-Member or Member (F)

Entitled to Relief                Not Entitled to Relief

      ___                                      ___

b. SCREENOUT CODE

      ___  ___   

(see Item 14 for screenout codes)

7.  Is this a DIB, CDB claim or a SSID adult claim?

___  Yes       ___ No

   (if No, go to 14)

8.  Did the claimant receive a less than fully favorable final title II or title XVI determination/decision or termination at any administrative level, that was issued between May 30, 1984, and August 31, 1987, inclusive? (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 the class membership screening purposes.)

___  Yes       ___ No

   (if No, go to 14)

9.  Did the claimant reside in the State of Vermont termination was issued?

___  Yes       ___ No

   (if No, go to 14)

10.  Was the final determination/decision or termination made on the basis of a finding that the claimant did not have a severe impairment(s)?

___  Yes       ___ No

   (if No, go to 14)

11.  Was the claim reviewed or will the claim be reviewed under Zebley or Aldrich for the entire period at issue in Mason, i.e., May 30, 1984, through August 31, 1987, inclusive?

___  Yes       ___ No

   (if Yes, go to 14)

12.  Was the final administrative decision reviewed and decided by a Federal court at any time?

___  Yes       ___ No

   (if Yes, go to 14)

13.  Did the claimant receive an administrative or judicial decision, either favorable or unfavorable, after August 31, 1987, on a subsequent claim which covered the entire period at issue in the potential Mason claim?

___  Yes       ___ No

   (if Yes, go to 14)

14.The claimant is not a Mason class member entitled to relief. Check the nonmember block in item 6.a. and enter the screenout code in item 6.b. as follows:

   Enter 07 if question O7 was answered “NO.”

   Enter 08 if question 08 was answered “NO.”

   Enter 09 if question 09 was answered “NO.”

   Enter 10 if question 10 was answered “NO.”

   Enter 11 if question 11 was answered “YES.”

   Enter 12 if question 12 was answered “YES.”

   Enter 13 if question 13 was answered “YES.”

     

     

   Reason to use in the Nonmember Notice:

 

  If screenout code is 07, check reason No. 1.

  If screenout code is 08, check reason No. 2.

  If screenout code is 09, check reason No. 3.

  If screenout code is 10, check reason No. 4.

  If screenout code is 11, check reason No. 5.

  If screenout code is 12, check reason No. 6.

  If screenout code is 13, check reason No. 7.

   

No other screenout code entry is appropriate

 

 

SCREENER'S NAME:

COMPONENT PHONE NUMBER DATE

Enter dates of all applications screened and the date of the final determination/decision for each application.

    ________________ _________________ ________________ _________________


INSTRUCTIONS FOR COMPLETING MASON SCREENING SHEET



Questions 1-3: Fill in the claimant's own SSN, name and date of birth.


Question 4: Fill in the SSN on which the claim was filed and the BIC.


Question 5: Date on which the screening is completed.


Question 6: Fill in the member/nonmember block when the screening is completed.


Question 7: This preliminary screening question limits relief to certain title II and/or title XVI disability claims, e.g., DWB claims are excluded under the order. If the answer to this question is “NO,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Question 8: This screening question is looking for final determinations/decisions issued during the class membership timeframe. Screen for date of determination/decision, not date of application. The term “final” refers to the date of the administrative determination/decision that became the binding decision of the Secretary pursuant to 20 CFR §§ 404.905, 404.921, 404.955, 404.972, 404.981, 416.1405, 416.1421, 416.1455, 416.1472 and 416.1481 and does not mean that a class member must have exhausted administrative remedies under §§ 205(g) and (h) of the Social Security Act (42 U.S.C. §§ 405(g) and (h)). 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. If the answer to the question is “NO,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Question 9: This screening question is looking for the residency of the claimant at the time of the final determination/decision. The claimant must have been residing in the State of Vermont at the time the final determination/decision was issued. If the answer to the question is “NO,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Question 10: This screening question is looking to see if the final determination/decision was made on the basis of a non-severe impairment. To answer this question, start with a review of the Form SSA-831-U5 for denial cases or a review of the Form SSA-833-U5 for cessation cases. If the regulation basis code on these forms does not reflect a non-severe determination (e.g., FI and F2 for Title II cases or N30 or N41 for Title XVI cases), check “NO” and enter the appropriate screenout code as directed in Item 14 on the screening sheet. See POMS DI 26510.45 for a description of the Reg. Basis Codes. In a DHU or OHA case, read the decision to determine the basis for the denial. Use the latest date on the Form SSA-831-U5, or other denial form, or the date of the DHU or OHA decision as the date of the final determination/decision. If the answer to this question is “NO,” enter the appropriate screenout code as directed in item 14 on the screening sheet. If a “lower level” determination/decision was made on the basis of a non-severe impairment, but the final determination/decision on appeal was not based on a finding of a non-severe impairment, the claimant is not a class member entitled to relief.


Question 11: This screening question is looking to see if the claim was or will be reviewed under Zebley or Aldrich for the entire period at issue in the potential Mason case. If the claim was or will be reviewed pursuant to one of these class actions, the claimant is not a Mason class member. If the answer to this question is “YES,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Question 12: Check to see if the final administrative decision made during the class member timeframe (i.e., May 30, 1984, through August 31, 1987, inclusive) was appealed to a Federal court and decided by the court. If the answer is “YES,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Question 13: This class relief exception applies only if the individual has received all benefits to which s/he could be entitled based on the potential class member claim. Review the file to determine whether benefits were subsequently (e.g., since August 31, 1987) allowed or continued (in cessation or closed period cases) from the earliest onset date, cessation date or a control date of a claim decided within the timeframes for class membership. The allowance or continuance could have been either on the same claim or on a subsequent application. If the answer to this question is “YES,” enter the appropriate screenout code as directed in Item 14 on the screening sheet.


Note:   If full retroactive benefits were not awarded because of subsequent application filing date limitations, route the case to a claims authorizer, if Title II, or to the appropriate FO, if Title XVI, for the preparation of an amended award in accordance with DI 42529.010 C.6.


Processing Class Member Determinations


  1. Be sure to check the “Member Entitled to Relief” block in item 6. a. of the screening sheet.

    
    

  2. Sign and date the screening sheet. Enter the name of the screening component, e.g. OHA, OAO, Branch XX, and the screener's phone number.

    
    

  3. Show the dates of all applications screened and the dates of the final administrative action on each.

    
    

  4. Retain the original screening sheet in the claim file (on the top right side of the file). Send a copy to:

    
    

    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 Coordinator
    
    

    [The Class Action Coordinator will enter information from the screening sheet onto a data base and forward the screening sheet to the Division of Litigation Analysis and Implementation (DLAI). DLAI will retain a copy of each screening sheet and forward a copy to the Litigation Staff at SSA Central Office.]

    
    

  5. Follow HALLEX I-5-4-50, _________ .

    
    

Processing Non-class Member Determinations


  1. Be sure to check the “Nonmember or Member Not Entitled to Relief” block in item 6. a. of the screening sheet and enter the screen-out code in item 6. b.

    
    

  2. Follow items b. - d. above.

    
    

  3. Prepare notice and forward the claim file(s) as indicated in HALLEX I-5-4-50, ________.

    
    

Attachment 5. - Route Slip for Routing Mason Court Case Flag/Alert (and Prior Claim File(s) -- OHA No Longer Has Current Claim

ROUTING AND TRANSMITTAL SLIP DATE:

TO: INITIALS DATE
1.    
2.    
3.    
4.    
5.    
6.    
7.    

XX ACTION   FILE   NOTE AND RETURN
  APPROVAL   FOR CLEARANCE   PER CONVERSATION
  AS REQUESTED   FOR CORRECTION   PREPARE REPLY
  CIRCULATE   FOR YOUR INFORMATION   SEE ME
  COMMENT   INVESTIGATE   SIGNATURE
  COORDINATION   JUSTIFY    
           
REMARKS  

MASON CASE

   
Claimant: ___________________________  
   
SSN: ________________________________  
   
OHA received the attached alert [and prior claim file(s)] for screening and no longer has the current claim file. Our records show that you now have possession of the current claim. Accordingly, we are forwarding the alert and any accompanying prior claim file(s) for association with the current claim. After associating the alert with the current claim, please forward to the NEPSC or to the DDS, if appropriate, for screening. SEE POMS DI 12529.001 ff., DI 32529.001 ff., OR DI 42529.001 ff.
   
   
Attachment
   
DO NOT use this form as a RECORD of approvals, concurrences, disposals,
clearances, and similar actions.
FROM: Office of Hearings and Appeals __________________________________________ SUITE/BUILDING
PHONE NUMBER

OPTIONAL FORM 41 (Rev. 7-76)
*U.S.GPO:1985-0-461-274/20020 Prescribed by GSA
FPMR (41 CFR) 101-11.206


Attachment 6. - Non-Class Membership Notice


SOCIAL

SECURITY        Important   Information

NOTICE

_____________________________________________________________

From: Social Security Administration

(Insert address and phone number here.)

_____________________________________________________________


___________________________     DATE: ______________________________

___________________________     CLAIM NUMBER: ________________________

___________________________     DOC: ___________________________________


We are writing to tell you that we received your request to review your earlier claim for disability benefits under the Mason settlement agreement. We have looked at your case and have decided that you are not a class member entitled to relief. This means that we will not review our earlier decision that you were not disabled. The reason that you are not a class member entitled to relief under the Mason court order is checked below.

   
You are not a Mason class member entitled to relief because:
   
1. _____ We have no record that you filed a claim for Disability Insurance Benefits, Child's Insurance Benefits based on disability, or adult Supplemental Security Income disability benefits or that your benefits were ceased between May 30, 1984, and August 31, 1987, inclusive.
   
2. _____ We did not issue a final decision denying or stopping your Social Security or adult Supplemental Security Income disability benefits between May 30, 1984, and August 31, 1987, inclusive.
   
3. _____ You did not live in the state of Vermont when we issued the final decision denying or stopping your benefits.
   
4. _____ We denied or stopped your benefits between May 30, 1984, and August 31, 1987, inclusive, but not because you did not have a severe impairment.
   
5. _____ Your claim was or will be reviewed under the Zebley or Aldrich court orders for the same time period as your Mason claim.
   
6. _____ Your claim was reviewed and decided by a Federal court.
   
7. _____ You already received a decision on a later claim which covered the same time period as your Mason claim.
   
8. _____ Your claim was denied for other reasons. They are as follows:
  _____________________________________________________
  _____________________________________________________
  _____________________________________________________
  _____________________________________________________
   
   

We are Not Deciding If You Were Disabled


It is important for you to know that we are not making a decision about whether you were disabled at the time of your earlier claim. We are deciding only that you are not a Mason class member entitled to relief.


If You Do Not Agree With This Determination


A copy of this letter will be mailed to the attorney representing the Mason class. If you do not agree with our decision that you are not a class member, you should call or write to the class attorney, who will answer your questions about class membership. If the attorney thinks this determination is incorrect, she has 60 days from the date of this letter to ask us to look at your case again. The name and address of the attorney is:

 

Dixie Henry, Esq.
Vermont Developmental
Disabilities Law Project
P.O. Box 1367
Burlington, VT 05402
(802) 863-2881

If You Think You Are Disabled Now


If you think you are disabled now, you should fill out a new application. A new application is not the same as asking us to review your claim under Mason. In the new application, you may not be able to receive disability benefits for the period of time you asked for in your prior claim. If you decide to file a new application, contact any Social Security office.


If You Have Any Questions


If you have any questions, you may contact your Social Security office. The address and phone number are printed at the top of this letter. If you call or visit an office, please have this notice with you. It will help us answer your questions. You may also contact your personal legal representative, if you have one, or the Mason class attorney listed above.


SI VOUS NE COMPRENEZ PAS CET AVIS, VOUS POUVEZ VISITER UN BUREAU DE SÉCURITÉ SOCIALE POUR UNE EXPLICATION. PRIERE D'APPORTER CET AVIS AVEC VOUS.


cc: Dixie Henry, Esq.


Attachment 7. - Route Slip for Non-Class Membership Cases

ROUTING AND TRANSMITTAL SLIP DATE:

TO: INITIALS DATE

1.

SSA District Office
58 Pearl Street
Burlington, VT 05401

   
2.    
3.    
4.    
5.    
6.    
7.    

XX ACTION   FILE   NOTE AND RETURN
  APPROVAL   FOR CLEARANCE   PER CONVERSATION
  AS REQUESTED   FOR CORRECTION   PREPARE REPLY
  CIRCULATE   FOR YOUR INFORMATION   SEE ME
  COMMENT   INVESTIGATE   SIGNATURE
  COORDINATION   JUSTIFY    
           
REMARKS  

Mason

   
Claimant: ___________________________  
   
SSN: ________________________________  
   
We have determined that this claimant is not entitled to relief as a Mason class member. (See screening sheet and copy of non-class membership notice in the attached claim folder(s).) SEE POMS DI 12529.001 ff.
   
   
Attachment
   
DO NOT use this form as a RECORD of approvals, concurrences, disposals,
clearances, and similar actions.
FROM: Office of Hearings and Appeals __________________________________________ SUITE/BUILDING
PHONE NUMBER

OPTIONAL FORM 41 (Rev. 7-76)

*U.S.GPO:1985-0-461-274/20020 Prescribed by GSA

FPMR (41 CFR) 101-11.206

Attachment 8. - Acting Associate Commissioner's Memorandum Dated February 21, 1991, Entitled “The Standard for Evaluating 'Not Severe' Impairments”

dhhs.gif

     
Department of Health and Human Services Social Security Administration
------------------- ----------------------------------------------------------------------- ------------ -------------------------------------------

Refer to:

    Office of Hearing and Appeals
 

PO Box 3200
 

Arlington, VA 22203
MEMORANDUM TO:  
 

Headquarters Executive Staff
Appeals Council Members
Regional Chief Administrative
Law Judges
Hearing Office Chief
Administrative Law Judges Administrative Law Judges
Supervisory Staff Attorneys
Decision Writers

FROM: Acting Associate Commissioner
SUBJECT: The Standard for Evaluating “Not Severe” Impairments - ACTION

During the past few months, the Office of the General Counsel (OGC) has requested voluntary remand in a number of cases, denied by the Secretary at step two of the sequential evaluation, on the grounds that the decisions have not been fully consistent with SSA policy and the Supreme Courts opinion in Bowen v. Yuckert, 82 U.S. 137 (1987).


Despite the Yuckert decision, extensive litigation, both in individual cases and in significant class actions, continues on the issue of how the Agency applies the step two standard expressed in Social Security Ruling (SSR) 815-28. Because the courts continue to give step two denials close scrutiny, I am asking all adjudicators and decision writers to carefully review SSR 85-28 to ensure that they are applying the proper standard for adjudicating claims at step two.


In accordance with SSR 85-28, a step two denial is appropriate only in very limited situations. The evidence must establish that the claimant's impairment or combination of impairments is so slight that it does not have more than a minimal effect on the individual's ability to perform basic work activities. When the (medical evidence is inconclusive and does not clearly establish the effect of a claimant's impairment(s), or when the evidence shows more than a minimal effect, the claim may not be denied at step two.


Decisions denying claims at step two must include a comprehensive analysis of all the evidence of record and a decisional rationale consistent with SSR 85-28). Even when the medical evidence of accord clearly fails to establish that the claimant has more than a slight mental or physical abnormality, the decision must clearly show that the adjudicator evaluated all the evidence and must articulate the reasons for finding that the impairment(s) is not severe. Furthermore, when the claimant has a medically determinable impairment(s) which might reasonably be expected to cause pain or other symptoms, the decision must include an evaluation of the claimant's subjective complaints using the factors outlined in SSR 88-13 or its equivalent, i.e., SSR 90-1p for Fourth Circuit cases.


If hearing office personnel have questions or need copies of applicable instructions, they should contact the appropriate Regional Office. Regional Office personnel should direct their questions to the Division of Field Practices and Procedures, Office of the Chief Administrative LAW Judge.

  Andrew J. Young

Attachment 9. - Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period expired)

Mason Class Action Case

   
   

READJUDICATION  NECESSARY

   
   
Claimant's Name: __________________________________
   
   
SSN : __________________________________
   
   
This claimant is a Mason class member. Accordingly, we are forwarding the attached claim file(s) to the DDS for readjudication.
   
Send the file(s) to:
   
   
   
   
(Destination code: ____)
   

NOTE:

If a reconsideration disability hearing or a face-to-face review is required, the claim file must be sent to the “resident” DDS (see Part III. of the TI).


Attachment 10. - Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period has not expired)

Mason Class Action Case

   
   

READJUDICATION  NECESSARY

   
   
Claimant's Name: __________________________________
   
   
SSN : __________________________________
   
   
This claimant is a Mason class member. After expiration of the retention period, forward claim file(s) to the DDS for readjudication.
   
Send the file(s) to:
   
   
   
   

(Destination code: ____)

   

NOTE:

If the claimant has filed a civil action and elected to remain in court for review of the current claim, forward the Mason claim file(s) without delay to the DDS for readjudication.


If a reconsideration disability hearing or a face-to-face review is required, the claim file must be sent to the “resident” DDS (see Part III. of the TI).


Attachment 11. - ALJ Dismissal to DDS


Social Security Administration
OFFICE OF HEARINGS AND APPEALS

ORDER OF DISMISSAL

IN THE CASE OF   CLAIM FOR
     
__________________________   __________________________
     
__________________________   __________________________
     
This case is before the Administrative Law Judge pursuant to a request for hearing filed on _________________ with respect to the application(s) filed on _________________.
 
In accordance with the Stipulation negotiated by the parties and approved by the United States District Court for the District of Vermont in the case of Mason v. Shalala, No. 83-390 (D. Vt. January 23, 1995), the claimant has requested a redetermination of the final (determination/decision) on the prior application(s) filed on ______________. The claimant has been identified as a Mason class member and is entitled to have the final administrative denial of the prior application(s) reviewed under the terms of the Mason Stipulation and Order. Because the claimant's current claim shares certain issues in common with the prior claim, the undersigned hereby dismisses without prejudice the request for hearing.
 
The claimant's current application(s) will be associated with the prior claim(s) and forwarded to the Vermont Disability Determination Service [or the “resident” DDS, if appropriate] which will conduct the Mason redetermination.
     
The Disability Determination Service will notify the claimant of its new determination and of the claimant's right to file a new request for hearing.
     
    _________________________
    Administrative Law Judge
     
    _________________________
    Date

Attachment 12. Notice Transmitting ALJ Order of Dismissal

   

NOTICE OF DISMISSAL

   
Claimant's Name  
Address  
City, State Zip  
   
Enclosed is an order of the Administrative Law Judge dismissing your request for hearing and returning your case to the Vermont Disability Determination Service [or the “resident” DDS, if appropriate] which makes disability determinations for the Social Security Administration. Please read this notice and Order of Dismissal carefully.
   
What This Order Means  
   
The Administrative Law Judge has sent your current claim and your Mason class member claim back to the Vermont Disability Determination Service [or the “resident” DDS, if appropriate] for further processing. The enclosed order explains why.
   
The Next Action on Your Claim
   
The Vermont Disability Determination Service will contact you to tell you what you need to do. If you do not hear from the Vermont Disability Determination Service [or the “resident” DDS, if appropriate] within 30 days, contact your local Social Security office.
   
Do You Have Any Questions?
   
If you have any questions, contact your local Social Security office. If you visit your local Social Security office, please bring this notice and the Administrative Law Judge's order with you.
   
Enclosure  
   
cc:  
   (Name and address of representative, if any)
   (Social Security Office (City, State))

Attachment 13. - Mason Class Member Flag for HO Use (DDS Readjudication)

Mason Class Action Case

 

READJUDICATION  NECESSARY

 
 
Claimant's Name:   __________________________________
     
SSN:   __________________________________
     
This claimant is a Mason class member. The attached Mason claim file was forwarded to this hearing office for possible consolidation with a current claim.
     
_______   The Administrative Law Judge has determined that the prior and current claims do not share a common issue and, therefore, should not be consolidated.
     
OR
     
_______   The claims have not been consolidated because:
     
    [state reason(s)]__________________________________
    ______________________________________________
     
Accordingly, we are forwarding the attached alert and prior claim file(s) to your location for any necessary Mason readjudication action.
 
We are sending the alert and prior folder(s) to:
 
 
 
 

(Destination code: ____ )

 

NOTE:

If a reconsideration disability hearing or a face-to-face review is required, the claim file must be sent to the resident “DDS” (see Part III. of the TI)