I-4-4-11.OAO Processing of Unfavorable and Partially Favorable ALJ Decisions After Court Remand

Last Update: 9/13/05 (Transmittal I-4-15)

A. Initial Routing of Files and Correspondence

  1. Following receipt of a CF and/or CAR and recording(s) from the HO in unfavorable ALJ decision cases or from the effectuating component in partially favorable decision cases made after court remand, the mailroom staff forwards all the materials received to the appropriate Court Case Preparation and Review Branch (CCPRB).

    NOTE:

    Jurisdiction is determined in the same manner as request for review cases (i.e., based on the claimant's residence). If a claimant moves to a different judicial circuit after a court remands his or her case, cross-jurisdictional questions (e.g., interpretations of the remand order or relevant prece­dents) may be referred to the OAO branch having jurisdiction of the judi­cial circuit in which the remand order was issued.

  2. Immediately upon receipt of correspondence on an ALJ decision after court remand, the mailroom staff will forward the correspondence to the CCPRB having jurisdiction.

B. CCPRB Actions Before the AC Acts on Case

  1. Upon receipt of a CF or CAR with an ALJ decision after court remand, CCPRB staff will:

    • Determine whether the case is a sentence 4 or sentence 6 remand by reviewing the court remand order or judgment (if there is doubt, an operations supervisor must be consulted).

    • Associate any correspondence related to the case.

    • Determine whether the claimant has filed exceptions by reviewing any correspondence received.

    • In cases that have been remanded under sentence 6, update the Litigation Overview and Tracking System (LOTS) and Office of Hearings and Appeals Case Control System (OHA CCS) to reflect receipt of the case. When cases that have been remanded under sentence 4 are received, no input is made in either LOTS or OHA CCS unless exceptions have been received. If no exceptions have been received, sentence 4 cases are sent to the OAO Mega-site to await the filing of exceptions.

      NOTE:

      If no CF or CAR is received, an entry to that effect will be made in the remarks portion of the appropriate case tracking system, along with the date the CF or CAR was requested.

    • Associate the CF and/or CAR with the appeals file (AF) or working papers.

    • Retrieve current hearing recording(s) from the OAO Mega-site via the Mega-site Information Management System (MIMS) (if the recording(s) is not with the materials received from the HO).

    • Retrieve CFs from the Office of Disability Operations (ODO); Program Service Center (PSC); Field Office (FO); and/or Folder Servicing Operation (FSO) (if the CFs are not received from the HO).

    • If the case is a sentence 6 remand, CCPRB will request preparation of the supplemental transcript of the oral hearing and will prepare a supplemental Certified Administrative Record (CAR).

    • In a sentence 6 case, if the claimant has not filed exceptions, once the CAR is prepared, the CF is sent to the OAO Mega-site pending further Court action.

  2. If correspondence is received in the CCPRB before a CF becomes available (usually when the ALJ issues a partially favorable decision and the CF has not yet been released by the effectuating component), the CCPRB will review the correspondence and:

    • If exceptions are not included, refer the correspondence to a CCPRB technician to determine any necessary action, e.g., respond to a request for an extension of time to file exceptions, a status inquiry on the case, a request for the CF, etc.

    • If the correspondence does include exceptions, CCPRB staff will establish a control for the exceptions while they await the CF. If the CF is not received within 30 days, CCPRB will request the file and follow-up every 30 days until the CF is received. Upon receipt of the CF, CCPRB personnel will proceed as above.

    NOTE:

    If the CF cannot be obtained, the CAR may be used to process the case provided that all of the evidence obtained on remand and the hearing recording(s) are available.

  3. Obtaining Hearing Transcripts

    NOTE:

    These procedures apply only to CCPRB staff. When a transcript is needed for a court case assigned to an OAO Disability Program Branch (DPB) or the Retirement and Survivors Insurance and Supplemental Security Income (RSI/SSI) Branch, the request for a transcript must be approved by the Branch Chief and routed, with the envelope containing the hearing recordings, to the CCPRB.

    1. To obtain a hearing transcript on a sentence 6 case, the CCPRB staff will:

      • Remove the hearing recording and its envelope from the file.

      • Complete the transcription request.

      • Deliver the hearing recording and the request for a transcript to:

        OAO Contract Staff
        One Skyline Tower, Room 1403
      • Diary the case for 20 days.

      • Follow-up with the Contract Staff after 20 days if the transcript has not been received.

      • Pick up returned transcripts daily from the Contract Staff office.

    2. After receiving the hearing recording and transcript, the CCPRB staff will:

      • Prong-file the envelope containing the hearing recording on the left side of the CF.

      • Prong-file the transcript on the right side of the CF.

      • For sentence 6 cases that are not appealed, i.e., cases in which no exceptions are filed after 60 days, proceed with preparation of the CAR or supplemental CAR.

      • For cases in which exceptions are filed, transfer (or return) the files to the OAO branch having jurisdiction over the claimant's residence for consideration by the AC.