I-4-4-60.Processing Cases in Which Claimant Asks to Withdraw When Claim Is Before the AC or the ALJ Issued a Dismissal or a Recommended Dismissal

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

A. General

  1. When a court remands a case to the Commissioner under sentence 4, the court remand includes a judgment that terminates the civil action. This places the case back within the administrative review process and the procedures provided for in the Commissioner's regulations apply. The regulations at 20 CFR 404.983 and 416.1483 provide that if the AC remands the case, the procedures explained in 20 CFR 404.977 and 416.1477 will be followed. In turn, cases remanded to an ALJ are handled under the procedures in 20 CFR 404.944 ff and 416.1444 ff. Because the case is now handled under the same regulatory scheme as an initial request for hearing, the provisions of 20 CFR 404.957 and 416.1457 (Dismissal of a Request for Hearing before an Administrative Law Judge) are available (consistent with the terms of the particular court order) to the same extent as in an initial claim.

  2. When a court remands a case to the Commissioner under sentence 6, the court remand does not include a judgment and, therefore, the court retains continuing jurisdiction over the case. Here, the language in sentence 6 that “the Commissioner ... shall ... modify or affirm the Commissioner's findings of fact or the Commissioner's decision, or both ... ” controls. This means that the policy prohibiting dismissal will continue to apply to these cases.

B. Claimant Asks to Withdraw From Claim Before the AC

In this event, the AC must determine whether the court remanded the case to the Commissioner under sentence 4 or sentence 6 of section 205(g) of the Social Security Act. If the court remanded the case under sentence 4, then the AC can consider the claimant's request to withdraw the claim under provisions similar to I-3-4-3 (Party Requests Dismissal). If the court remanded the case under sentence 6, then the AC must issue a decision which documents the facts of the withdrawal and the effect the claimant's action has on the proceedings. The decision in such cases must contain the following:

  • A statement of the procedural history on remand from the court.

  • A discussion of the facts surrounding the claimant's request to withdraw the claim.

  • A discussion of the supporting documents entered in the record.

  • An explanation that the claimant's action renders the controversy moot, thereby making additional administrative proceedings unnecessary.

  • A statement adopting the prior final decision of the Commissioner, as modified.

C. ALJ Issues a Dismissal or Recommended Dismissal

When an ALJ dismisses a request for hearing in a sentence 4 case and the claimant does not file exceptions or a request for review (RR), the AC is not required to take any further action; however, the AC may take own motion review if the circumstances in the case warrant such action, e.g., the AC receives additional evidence which indicates a favorable decision may be issued. Absent additional evidence, exceptions, or an RR, the CCPRB will not refer a sentence 4 dismissal for substantive review.

When an ALJ dismisses a request for hearing in a sentence 6 case and the claimant does not file exceptions or an RR, the AC must take jurisdiction of the case within 60 days in order to take corrective action. When the circumstances indicate that the claimant has abandoned the claim or withdrawn the request for hearing, the corrective action can be a single-step action using a combination own motion/decision document (see I-4-4-106).

Exhibits

I-4-4-99

Exhibit - Recording Audit Requirements Chart

I-4-4-100

Exhibit - Memorandum dated June 20, 1997 Concerning Recording Audit Requirements

I-4-4-101

Exhibit - Summary of Notice Requirements - AC Assumes Jurisdiction

I-4-4-102

Exhibit - Decision After Court Remand Case Analysis/Appeals Council Recommendation Form

I-4-4-104

Exhibit - Routing Instructions for Court Remand Cases

I-4-4-105

Exhibit - Court Case Route Slip

I-4-4-106

Exhibit - Sample AC Notice and Decision – ALJ Dismissal After Court Remand – Sentence 6 Case