I-5-4-50.Mason v. Shalala
Purpose | |
Background | |
Guiding Principles | |
Definition of Class | |
Determination of Class Membership and Preadjudication Actions | |
Processing and Adjudication | |
Case Coding | |
Inquiries | |
- Mason v. Shalala Stipulation; Approved by the United States District Court for the District of Vermont and Filed January 23, 1995. | |
- Mason COURT CASE FLAG/ALERT | |
- Route Slip or Case Flag for Screening | |
- MASON SCREENING SHEET | |
- Route Slip for Routing Mason Court Case Flag/Alert (and Prior Claim File(s) -- OHA No Longer Has Current Claim | |
- Non-Class Membership Notice | |
- Route Slip for Non-Class Membership Cases | |
- Acting Associate Commissioner's Memorandum Dated February 21, 1991, Entitled “The Standard for Evaluating 'Not Severe' Impairments” | |
- Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period expired) | |
- Mason Class Member Flag for Headquarters Use (DDS Readjudication -- retention period has not expired) | |
- ALJ Dismissal to DDS | |
Notice Transmitting ALJ Order of Dismissal | |
- 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 |
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.)
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.
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.
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:
Vermont Developmental
Disabilities Law Project
P.O. Box 1367
Burlington, VT 05402retain 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
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.
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).
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.
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.
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).
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.
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.