I-5-4-67.Grant v. Commissioner of Social Security Administration

Attachment 1. Grant Settlement and Order; Approved by the U.S. District Court for the Middle District of Pennsylvania on February 7, 2002.

IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF PENNSYLVANIA

SETTLEMENT AGREEMENT
IMPLEMENTING DISTRICT COURT ORDER ENTERED ON AUGUST 23, 2000

The parties to this dispute wish to resolve and settle all outstanding issues arising from the filing of this action and the entry of this Court's order on August 23, 2000, granting Plaintiffs' motion for summary judgment and ordering new administrative hearings for the class. Accordingly, the parties enter into the following agreement that, inter alia, sets forth an implementation plan, resolves Plaintiffs' claim for counsel fees, and withdraws Defendant's currently pending appeal. This agreement implements this Court's Order of August 23, 2000; it does not compromise the substance of Plaintiffs' class claims. Accordingly, under Rule 23(e) of the Federal Rules of Civil Procedure no notice to the class is required.

The class, as certified, consists of:

all applicants for Social Security disability benefits or Supplemental Security Income disability benefits, or both, who have received . . . an adverse decision from Administrative Law Judge Russell Rowell on or after January 1, 1985....^[1]

Judge Muir ordered an opportunity for new hearings for “each member of the Plaintiff class whose claim for disability benefits was denied by ALJ Rowell.” Order, August 23, 2000, No. 3.

1. The parties hereby agree that the class consists of those claimants who received unfavorable decisions from ALJ Rowell on or after January 1, 1985, and those claimants who received partially favorable decisions from ALJ Rowell on or after January 1, 1985, in that ALJ Rowell awarded them either disability benefits for a closed period of time or disability benefits from a later onset date of disability than that alleged by such claimants.

2. The parties agree that class members who have already received all of the relief sought in this case, that is, disability benefits going back to the onset date alleged in the application(s) considered by ALJ Rowell, and class members who have already received new hearing decisions from another ALJ based on the same claim that was denied by ALJ Rowell need not be provided additional hearings.

   1. Therefore, class members will not get an opportunity for new hearings if: (i) they successfully appealed adverse decisions of ALJ Rowell and ultimately received all of the benefits sought before ALJ Rowell; (ii) they appealed adverse decisions of ALJ Rowell and were granted remands for new hearings before other ALJs based on the same applications that were considered by ALJ Rowell; (iii) they did not appeal the adverse decisions of ALJ Rowell, but later reapplied and were found either eligible or ineligible for disability benefits(on the merits and not on res judicata grounds) on the subsequent applications, so long as these subsequent applications covered the same time period as was covered in the applications considered by ALJ Rowell.

   2. On the other hand, class members will be entitled to new hearings if: (i) they appealed ALJ Rowell's decisions but lost on appeal and either never reapplied for benefits or reapplied and were denied2 or were awarded benefits with later onset dates than those alleged before ALJ Rowell; (ii) they did not appeal ALJ Rowell's decisions and either did not reapply or reapplied and were denied3 or were awarded benefits with a later onset date than that alleged in the application(s) considered by ALJ Rowell.

3. Although no notice to the class of this settlement is required in this case under Rule 23(e), nonetheless, Defendant shall send the attached notice to class members who may be eligible for relief, as specified in paragraphs 1 and 2, supra, using last known addresses available to the Defendant. The notice will advise each class member that he/she may qualify for a new hearing on the claim previously brought before ALJ Rowell. It will inform class members that if they wish to seek a new hearing they must contact the Defendant, by filling out and returning the attached response form, within 90 days of the date of notice (or of the date of mailing of the second copy of notice pursuant to paragraph 4 below). The notice shall inform the class members of Plaintiffs' counsel's toll-free number (to be maintained and operated at Plaintiffs' counsel's expense), so they can discuss with counsel the advisability of requesting a hearing.

4. Should any mailed notice be returned as undeliverable, Defendant shall provide to class counsel a list of these persons and their last known addresses. The parties will then determine what methods to utilize to obtain updated mailing addresses for remaining class members whose addresses have not been already obtained. Class counsel shall have 180 days after receipt of such names to furnish current addresses for such listed individuals. Upon timely receipt of such addresses from class counsel, the Defendant shall mail a second copy of the attached class member notice to those class members potentially eligible for relief at the updated addresses (see paragraph 3, supra).

5. If a hearing is timely requested by a class member, then Defendant will examine its computer database and, if appropriate, the claim folders, to decide whether the individual falls within the category of class members set out in Paragraph 2B, who are entitled to new hearings. If Defendant determines that a class member is entitled to a new hearing the class member (as well as class counsel and individual counsel, if any) will be so informed, and, Defendant shall use its best efforts to locate and, if necessary, reconstruct the file(s) pertaining to that individual's claim(s) for disability benefits, and Defendant shall forward the claim folder to the Hearing Office servicing the claimant's address for scheduling of a new hearing. Defendant shall provide notice of the hearing according to the regulations, and shall include in the notice the information that the hearing is pursuant to this agreement implementing the Court's August 23, 2000 order. If, however, upon further review of the class member's file, Defendant determines that the claimant falls within the category of class members set out in Paragraph 2A, who are not entitled to new hearings, Defendant shall follow the procedures set out in Paragraph 6, infra.

6. If Defendant finds that an individual sending in a notice seeking a new hearing falls within the category of class members set out in Paragraph 2A, Defendant shall send to the individual, class counsel, and the individual's counsel written notification which will include an explanation of the factual and any other basis for the conclusion that the individual will not get an opportunity for a new hearing. The individual can seek further review of that decision by contacting within 60 days of the date of the notification the Office of General Counsel of the Social Security Administration, which shall render the final agency determination on the question. That determination would then, at the election of the class member, be subject to review by this Court.

7. The parties agree that the process for redetermining the class members' claims shall begin at the ALJ hearing level and proceed with further review from this point in the administrative process in accordance with existing laws and regulations, i.e., class members who receive new ALJ hearing decisions may seek Appeals Council review and thereafter, if they so choose, court review.

8. The parties agree that Plaintiffs' claim for past and future attorneys' fees, including costs and expenses shall be fixed at $ 125,000, payable by the Defendant to the Community Justice Project, Inc. within 60 days of the date this settlement agreement is approved by the District Court. Additional fees shall only be available if Plaintiffs are able to demonstrate to the Court that such fees were incurred to address actions of the Defendant, occurring after the date of this settlement agreement, for which there is no substantial justification.

9. It is understood by Plaintiffs that the Defendant may seek an order from this Court vacating its judgment issued on August 23, 2000. The filing and pursuit of such motion shall not be considered a violation of this settlement agreement, and the decision of the Court on such motion shall not affect this agreement. Upon execution of this agreement by the parties and upon approval of this settlement agreement by this Court, Defendant shall withdraw its currently pending appeal before the Third Circuit Court of Appeals.

10. Additional details involving matters discussed herein or other aspects of implementation of the Court's Order not addressed in this agreement shall be discussed between the parties and, to the extent possible, resolved by agreement.

11. This Court shall retain jurisdiction of this case for the limited purpose of enforcement of the terms of this agreement, including any matters not able to be resolved by agreement of the parties pursuant to paragraph 10, supra.

Approved by the Court this ________ day of __________, 2001.

______________________

Attachment 2. Privacy Act and Protective Order approved by the U.S. District Court for the Middle District of Pennsylvania on September 9, 2002.

IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF PENNSYLVANIA

STIPULATED PROTECTIVE ORDER

The parties, by and through counsel, stipulate to the following, subject to the approval of the Court.

On February 7, 2002, the Court approved the agreement settling this litigation involving allegations that now-deceased Administrative Law Judge Russell Rowell was generally biased against disability claimants. The court retained jurisdiction in this case “for the limited purpose of enforcement of the terms of this agreement[.]” Settlement Agreement ¶11. As part of the implementations of that Settlement, defendant must disclose certain records regarding individual claimants to class counsel. However, those records protected from disclosure by the Privacy Act, 5 U.S.C. § 552a, the Social Security Act, 42 U.S.C. 405, et seq. and Social Security regulations, 20 C.F.R. Part 401. Accordingly, in order that the parties may implement the settlement, they agree to the following:

Pursuant to 5 U.S.C. 552a(b)(11), 42 U.S.C. 1306(a), and 20 C.F.R. 401.115:

1. Defendant may disclose to class counsel information necessary to be disclosed to them to implement the Settlement approved by the Court on February 7, 2002 without obtaining the prior written consent of the individual to whom such records pertain, for the purpose of monitoring compliance with the Settlement, facilitating implementation of the Settlement and assisting class members in effectuating their rights under the Settlement. Such information consists of names, addresses, and claim files of potential class members, and other claimant-specific information reasonably relevant to the implementation of the Settlement.

2. Class counsel shall use the information disclosed pursuant to ¶1 of this Protective Order only for the purposes described in ¶1. Except as provided in ¶6 of this Order, class counsel shall not make disclosures of such information except: (a) to each other; (b) to members of class counsel's staff and any outside consultants required to assist in the implementation of this Settlement; (c) to defendant or her agents or counsel; (d) to the particular class member to whom the records pertain; (e) to that individual's representative, as defined at 20 C.F.R. 404.1705, 416.1505; and (f) to the Court in this action. Class counsel may, however, disclose identifying information concerning absent class members solely for the purpose of locating such absent class members in order to provide them with notice of the settlement pursuant to ¶4 of the “Settlement Agreement Implementing District Court Order Entered on August 23, 2000.” Class counsel shall advise any persons and entities to whom identifying information is disclosed that in accordance with the terms of this Order, they shall not otherwise use or redisclose the data obtained from class counsel.

3. Class counsel and members of their staff shall limit the making of copies of the records disclosed pursuant to ¶I of this Order to those necessary to the purposes described in ¶1.

4. Before any confidential information is released or disclosed to any outside consultant or representative acting on behalf of a particular class member in accordance with ¶2 of this Order, class counsel shall provide such representative or consultant with a copy of this Order. Class counsel shall obtain the signed Acknowledgment of Protective Order Form (Exhibit A hereto) from the aforementioned representative or consultant stating that the individual has received a copy of this Order and agrees that he or she is bound by the terms of this Order and that any violation of this Order may constitute contempt of court punishable by fine or imprisonment or both. Class counsel shall retain copies of such acknowledgments and will present them to defendant upon request.

5. Each person to whom any of the confidential information described in ¶1 is disclosed or released shall:

   1. use the information solely for the purpose described in this Order;

   2. make no copies of the documents, containing confidential information and make no summary or exhibits of the confidential information except at the discretion of class counsel;

   3. maintain the documents containing confidential information in a safe and secure location; and

   4. shall destroy all documents and all copies immediately upon the conclusion of the implementation of the Settlement. Class counsel shall certify in writing to the defendant that the documents have been destroyed. Any documents created by class counsel, any consultants, or anyone acting as plaintiffs' representative containing information protected by the referenced statutes and regulations must also be destroyed immediately upon the conclusion of the implementation of this Settlement. Class counsel shall also certify in writing to defendant that these latter documents have been destroyed. Under no circumstances shall the documents be retained by such person more than two years from the date of receipt from class counsel unless the person advises defendant's counsel that the documents are still required, in which case the time for return of the documents shall be extended for one year. Additional one-year extensions may be granted by defendant if necessary.

6. Nothing in this Order shall prejudice the rights of class counsel to use the information that they receive pursuant to the Settlement that is not subject to restrictions on disclosure contained in the Privacy and Social Security Acts and Social Security regulations, or their rights to use information obtained outside of the context of the Settlement.

7. Failure to comply with all of the terms of this Order shall subject the responsible individual to appropriate sanctions by the Court, including a finding of contempt, punishable by fine, imprisonment or both.

8. Any party may seek modification of this Order from the Court upon twenty days notice to the other parry.

So agreed:

APPROVED:

DATE: 9/9/02

MALCOLM MUIR,
UNITED STATES DISTRICT JUDGE

IN THE UNITED STATES DISTRICT COURT FOR THE
MIDDLE DISTRICT OF PENNSYLVANIA

ACKNOWLEDGMENT OF STIPULATED PROTECTIVE ORDER

I, ______________, hereby acknowledge that I have read the Stipulated Protective Order (“Order”) approved on _______________, a copy of which is attached hereto. I hereby agree to be bound by the terms of the Order. I further agree that I will use private information, as disclosed pursuant to the Order, solely for the purposes of the implementation of the Settlement in this case, and only to the Court or to the employees, counsel and outside consultants of the parties who are required to assist the parties or the Court with this matter, and who have signed this Acknowledgment, and not to any other person. I hereby acknowledge that my duties under this Acknowledgment are binding upon me for all time. In addition, I acknowledge that violation of this Order will subject me to appropriate sanctions by the Court, including a finding of contempt, punishable by fine, imprisonment, or both.

Exhibit A-1

Attachment 3. Request for Court Case Review/Change of Address Worksheet

1. COURT CASE NAME: GRANT

2. CCID: G T

3. CHECK ONE OR BOTH: [ ] REQUEST FOR REVIEW [ ] CHANGE OF ADDRESS

4. DATE OF CONTACT: _ _ -_ _ -_ _ _ _

5. CLAIMANT'S OWN SSN: _ _ _ - _ _ - _ _ _ _

6. CLAIMANT'S DATE OF BIRTH: _ _ -_ _ -_ _ _ _

7. CLAIMANT'S FIRST NAME: _ _ _ _ _ _ _ _ _ _ _ _

   CLAIMANT'S MIDDLE INITIAL: _

   CLAIMANT'S LAST NAME: _ _ _ _ _ _ _ _ _ _ _ _

8. STREET ADDRESS: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

   _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

   _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

   CITY: _ _ _ _ _ _ _ _ _ _ _ _ _ STATE: _ _ ZIP: _ _ _ _ _

9. PHONE #: (_ _ _) _ _ _ - _ _ _ _

10. NAME OF PAYEE: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

11. NAME OF ATTY/REP: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

12. CLAIM/SSN NUMBERS (LIST ALL KNOWN CLAIM/SSN NUMBERS)

    Complete only if claimant/payee/representative is requesting court case review. It is not necessary to complete the claims information when only reporting a change of address. This information is required to establish a “walk-in” record on the Civil Action Tracking System (CATS). If not complete, the form will be returned for completion. Provide all claim numbers, including BIC and/or ID, under which the claimant filed for benefits. Use the back of the sheet if necessary. This is needed to ensure that all appropriate claims are reviewed under the class action. Attempt to verify the claim numbers via MBR and/or SSR/STALE. If there is no record on the MBR/SSR, verify the SSN on the Numident. Be sure to write “YES” in the space provided in the “VERIFY” column on the worksheet indicating the account numbers were verified.

    TII (CLAIM NO. & BIC)	VERIFY	TXVI (SSN & ID)	VERIFY
    _ _ _-_ _-_ _ _ _-_ _	_ _ _	_ _ _-_ _-_ _ _ _-_ _	_ _ _
    _ _ _-_ _-_ _ _ _-_ _	_ _ _	_ _ _-_ _-_ _ _ _-_ _	_ _ _
    _ _ _-_ _-_ _ _ _-_ _ _	_ _ _	_ _ _-_ _-_ _ _ _-_ _	_ _ _

13. _____________________________________________________________

    SIGNATURE (If claimant/payee appears in person, please obtain signature).

    ******************************************************************

14. For SSA Use Only

    PREPARED BY: ______________________________ OFFICE CODE

    PREPARER'S TELEPHONE NO: _______________ (INCLUDE AREA CODE)

Instructions For Completion of the Request For Court Case Review/Change of Address Worksheet

MAIL THE COMPLETED WORKSHEET TO THE FOLLOWING ADDRESS:

Office of Disability and International Operations
Class Action Section
Attn: Grant Coordinator
P. O. Box 17369
Baltimore, MD 21298-0050

Item 1.

Print the name of the court case claimant/payee/representative is inquiring about (i.e., “Grant”).

Item 2.

This worksheet can be used to implement all class action court cases. The court case identifier for “Grant” is GT.

Item 3.

If a claimant/payee/representative is requesting review (e.g., walk-in) under the “GRANT” Settlement Agreement, check the first block. If the claimant/payee/representative has previously requested review under “GRANT” and is informing SSA of a new address, check the second block. If the claimant/payee/representative is requesting review and notifying SSA of a new address simultaneously, check both blocks.

Item 4.

Provide date of contact (mm/dd/yyyy).

Item 5.

Provide claimant's own social security number.

Item 6.

Provide claimant's date of birth (mm/dd/yyyy).

Item 7.

Print claimant's complete first name, middle initial, if appropriate, and complete last name, allowing one letter for each underscore provided on the worksheet.

Item 8.

Print the street address, city, state abbreviation, and zip code of the claimant or claimant's payee/representative, as appropriate, allowing one letter for each underscore provided on the worksheet.

Item 9.

Provide the telephone number, including area code, of the claimant/payee/representative, as appropriate.

Item 10.

Print the complete first name, middle initial, and last name of the payee, not to exceed 19 characters, if appropriate. If the complete name exceeds 19 characters, shorten the first name to ensure that the complete last name is provided. Leave a space after the first name and after the middle initial.

Item 11.

Print the complete first name, middle initial, if appropriate, and complete last name of the attorney/representative, if claimant has representation.

Item 12.

Complete only if claimant/payee/representative is requesting court case review. It is not necessary to complete the claims information when only reporting a change of address. This information is required to establish a “walk-in” record on the Civil Action Tracking System (CATS). If not complete, the form will be returned for completion.

Provide all claim numbers, including BIC and/or ID, under which the claimant filed for benefits. Use the back of the sheet, if necessary. This is needed to ensure that all appropriate claims are reviewed under the class action. Attempt to verify the claim numbers via MBR and/or SSR. If there is no record on the MBR/SSR, verify the SSN on the Numident. Be sure to write “YES” in the space provided in the “VERIFY” column on the worksheet indicating that the account numbers were verified.

Item 13.

Obtain the signature of the claimant/payee/representative only if he/she appears in person.

Item 14.

Print the name, office code, and telephone number, including area code, of the SSA employee completing this form.

Attachment 4. Grant Court Case Flag/Alert

                                                 999xxx   00000

CTWALT01               GRANT COURT CASE FLAG/ALERT

REVIEW   PSC   DOC  TOE  ALERT DATE  RESPONSE DATE  OLD BOAN/PAN

OFFICE


SSN (BOAN OR PAN)   NAME               BIRTH DATE    REFERENCE #




                                   FOLDER LOCATION INFORMATION
*CAN / HUN       BIC/MFT   CATG  TITLE  CFL    CFL DATE    CAN

*NOTE: A separate screening sheet must be prepared for each claim number noted above.

PAYEE ADDRESS

SHIP TO ADDRESS:

Office of Hearings and Appeals
Office of Appellate Operations
One Skyline Tower, Suite 1400
5107 Leesburg Pike
Falls Church, VA 22041-3200

SPECIAL INSTRUCTIONS:

IF CURRENT CLAIM IS PENDING/STORED IN OHA HEADQUARTERS OR FEDERAL COURT, THEN SHIP FOLDER(S) TO: (OAO Case Locator Code Y46)

Office of Hearings and Appeals
Office of Appellate Operations (OAO)
One Skyline Tower, Suite 1400
5107 Leesburg Pike
Falls Church, VA 22041-3200

ATTN: OHA Class Action Coordinator

IF CURRENT CLAIM IS PENDING IN AN OHA HEARING OFFICE, THEN SHIP FOLDER(S) DIRECTLY TO THAT OFFICE. IF UNABLE TO LOCATE THE CLAIM FILE(S), FORWARD A RECONSTRUCTION REQUEST TO THE SERVICING FIELD OFFICE.

Attachment 5. Route Slip/Case Flag with Alert: Possible Grant Class Action Case for Screening

SCREENING NECESSARY

Attachment 6. Grant Case Screening Sheet

INSTRUCTIONS FOR COMPLETING GRANT SCREENING SHEET

Complete a screening sheet in cases where the individual has requested relief under the Grant settlement.

Questions 1 - 4

You must consider all applications decided during the period covered by the court order when making the class membership determination. A SEPARATE SCREENING SHEET MUST BE PREPARED FOR EACH CLAIM NUMBER. Multiple applications during the period covered by the court order on the same claim number should be screened using the same screening sheet.

Fill in the identifying information as requested. Make sure the Claim Number, BIC/ID and SSN, if different from the claim number, are correct and legible. (If SSN is different from claim number, copy SSN from BOAN/PAN field on alert).

Question 5

Fill in the member/nonmember information in question 5 when the screening process is completed.

Questions 6 - 8

Answer the questions based on the individual instructions for questions 6 - 8.

Questions 6 - 15 - General

1. In a multiple claims case, begin screening with the earliest claim in the Grant period and stop with the last claim in the Grant period. Remember, a separate screening sheet must be completed for each claim number. Multiple claims covered by the court order under the same claim number should be screened using the same screening sheet.

2. Read the Administrative Law Judge (ALJ)/Appeals Council (AC) decision to answer the questions.

3. If the OHA decision does not yield enough information to answer the questions, look further into the file.

4. If questions 6-8 are answered “NO,” or questions 9-12 are answered “YES,” check the nonmember block found in item 5.b. on the screening sheet, then enter the appropriate screenout code in Item 5.c. as directed in question 13 on the screening sheet.

5. Remember to follow instructions for members/nonmembers.

Question 6

Review the file and case control queries to determine if the individual filed a claim for Social Security disability or SSI benefits and subsequently requested a hearing before an ALJ.

Question 7

Review the file and case control queries to determine if the individual received a dismissal or less than fully favorable decision on his or her claim(s) for title II or title XVI benefits from ALJ Russell Rowell (subsequently referred to as the “subject ALJ”). If information in the file or the case control queries indicate that the individual did not receive a decision or dismissal from the subject ALJ, the individual is not a class member eligible for relief.

Question 8

Screen for date of decision, not date of application. Individuals are potentially eligible for relief if they received a dismissal or less than fully favorable decision from the subject ALJ on or after January 1, 1985.

Question 9

Review the file and case control queries. Review all subsequent administrative and judicial determinations to determine if the dismissal or less than fully favorable decision referred to in Questions 7 and 8 was changed to a fully favorable decision.

Question 10

Review the file and case control queries. Determine if the individual received a fully favorable decision on another claim that effectively was the equivalent of a fully favorable decision on the potential class member claim. This requirement would be met if the decision on the other claim resulted in an award of benefits for the entire time period(s) at issue in the potential class member claim.

NOTE

A claim cannot be screened out on the basis of Question 10 unless it is clear that an ALJ or the Appeals Council issued a fully favorable decision that adjudicated the entire period covered by the Grant claim back to the earliest alleged onset/entitlement date. At the OHA level, ALJ and Appeals Council decisions that do not consider the previously adjudicated period usually will indicate that the claimant's request for hearing has been dismissed on the basis of res judicata with respect to the previously adjudicated period. These cases cannot be screened out.

Question 11

Review the file and case control queries to determine if the individual received a new hearing and decision (whether favorable or unfavorable), from an ALJ other than the subject ALJ, on the potential class member claim, that considered the entire time period(s) at issue.

Question 12

Self-explanatory.

Question 13

Fill in the dates of the application(s), decision(s) and the level of adjudication of the final decision(s), that were reviewed in deciding class membership for the claim number in item 4. Remember a separate screening sheet must be prepared for each claim number.

INSTRUCTIONS FOR MEMBERS

1. Check the “MEMBER ELIGIBLE FOR RELIEF” block in item 5 a. of the screening sheet.

2. Sign the form and retain the original screening sheet in the claim file.

3. The screening component will send a copy of the screening sheet to:

   Office of Appellate Operations
   One Skyline Tower, Suite 1400
   Attn: OHA Class Action Coordinator

   The OHA Class Action Coordinator will enter the screening sheet information into a data base and forward the screening sheet to the Special Counsel Staff (SCS).

   [SCS will retain the screening sheets received from the OHA Class Action Coordinator and coordinate data entry into the Civil Actions Tracking System.]

4. Follow HALLEX I-5-4-67, V.B.5.b.

INSTRUCTIONS FOR NONMEMBERS

1. Check the “NONMEMBER/MEMBER NOT ELIGIBLE FOR RELIEF” block in item 5 a. and enter the appropriate screenout code (the number of the question that determined the individual is not a class member, numbers 6-12, see Item 13 on the screening sheet) in item 5.c.

2. Follow items b and c above.

3. Prepare and send the class membership denial notice (Attachment 6) to the claimant with a copy to his/her representative, if any, and class counsel. Retain a copy of the denial letter in the claim file. Forward the claim file(s) as indicated in HALLEX I-5- 4-67, V.B.5.a.

Attachment 7. Grant Notice of Non-Class Membership/Ineligibility for Relief

Important Information

SOCIAL SECURITY NOTICE

From: Social Security Administration

____________________________ Date: ____-____-____

____________________________ Claim Number: ____________________

____________________________ DOC ___________________________

THIS NOTICE IS ABOUT YOUR PAST CLAIM FOR SOCIAL SECURITY OR
SUPPLEMENTAL SECURITY INCOME (SSI) BENEFITS

PLEASE READ IT CAREFULLY!

You asked us to review your case under the terms of the Grant v. Commissioner of Social Security Administration settlement agreement. We have looked at your case and decided that you are not eligible for a new hearing decision under the Grant settlement agreement. The reason you are not eligible for a new hearing decision is checked below.

• You did not file a claim for Social Security disability or Supplemental Security Income (SSI) disability benefits.

• You did not receive a dismissal or less than fully favorable decision issued on or after January 1, 1985 by ALJ Rowell whose conduct was the subject of the Grant case.

• The less than fully favorable decision on your claim was changed to a fully favorable decision following appeal, remand or reopening.

• You filed another claim which resulted in a decision having the effect of a fully favorable decision on your Grant claim.

• Your case was remanded to another ALJ and you received a new hearing decision that considered the entire time time period(s) at issue in your Grant claim.

• You filed a subsequent application for Social Security disability benefits or Supplemental Security Income and received a decision on that claim which covered the time period(s) in your Grant claim.

• You have already received all the benefits you could receive under the Grant settlement agreement.

• Other:

  _____________________________________________________________________

  _____________________________________________________________________

  _____________________________________________________________________

THIS NOTICE IS NOT A DETERMINATION ABOUT WHETHER YOU ARE DISABLED

It is important for you to understand that we are not making a decision about whether you are disabled. We are deciding only that you are not eligible for a new decision under the Grant settlement.

IF YOU DISAGREE WITH THIS DETERMINATION

You must write within 60 days of the date you receive this notice to:

Office of the General Counsel (OGC)
Social Security Administration
Attn: Grant Attorney
611 Altmeyer Building
6401 Security Boulevard
Baltimore, MD 21235

It will be helpful if your letter tells us the reasons why you disagree with this determination.

IF YOU WANT MORE INFORMATION

You may contact the lawyers who brought the Grant lawsuit. They can be reached as follows:

Grant Lawyers
Laurence E. Norton, II, esq.
Peter Zurflieh
Community Justice Project
118 Locust Street
Harrisburg, PA 17101
Telephone: (800)-322-7572, ext. 217

The Grant lawyers can provide information about the lawsuit, including the information about how to notify Social Security that you disagree with this determination.

Si usted no entiende esta carta, llevela a la oficina de seguro social para que se la expiquen.

Attachment 8. Route Slip for Forwarding Grant Class Action Claim File(s) When Ineligibility Determination is Disputed

REMARKS

Grant Case

We have determined that this claimant is not a Grant class member eligible for relief. (See screening sheet and copy of notice of non-class membership/ineligibility for relief in the attached claim file(s).) We are forwarding this file to your office because the claimant disputes the non-class membership determination and class counsel has asked to review the file. SEE HALLEX I-5-4-67, Part V.B.5.a.

Attachment

DO NOT use this form as a RECORD of approvals, concurrences, disposals, clearances, and similar actions.

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

Attachment 9. Text for Notice of Revised Grant Class Membership/Eligibility for Relief Determination

In an earlier letter that we sent you, we said that you were not a class member eligible for relief under the Grant v. Commissioner of Social Security Administration class action. After reviewing all of the facts, we have decided that you are a Grant class member eligible for relief. Therefore, we will review your claim in accordance with the terms of the Grant v. Commissioner of Social Security Administration settlement agreement.

We have received many requests for review and it may take several months before we take any further action on your claim.

If you think that you are disabled now, you should fill out a new application at any Social Security office.

If you have any questions, you may call us toll-free at 1-800-772- 1213, or call your local Social Security office at XXX-XXXX. We can answer most questions over the phone. You can also write or visit any Social Security office. The office that serves your area is located at:

District Office
Address
City, ST ZIP

If you do call or visit an office, please have this letter with you. It will help us answer your questions. Also, if you plan to visit an office, you may call ahead to make an appointment. This will help us serve you more quickly.

If you have someone helping you with your claim, you should contact him or her. You may also ask for legal help by contacting a legal aid organization in your area.

Attachment 10. Grant Class Action Case Flag for OAO Use

Grant Class Member Case

REDETERMINATION NECESSARY

This claimant is a Grant class member. The attached Grant claim file was forwarded to OAO for possible consolidation with a current claim.

• The Appeals Council 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 Grant action.

We are sending the alert and prior file(s) to:

_____________________________

_____________________________

_____________________________

_____________________________

(Destination code: )

Attachment 11. Routing and Transmittal Slip for Forwarding of Grant Class Claim

REMARKS

GRANT CASE

We have determined that this claimant is a Grant class member entitled to relief (see screening sheet). We are forwarding this file to the hearing office which should follow normal procedures for updating the file.

Attachment