I-4-8-20.Preliminary Consideration of Exceptions

Last Update: 12/8/17 (Transmittal I-4-78)

A. No Exceptions Received

If no exceptions have been filed within 90 calendar days on a sentence six remand, Court Case Preparation and Review Branch (CCPRB) staff will determine whether the hearing office (HO) used the correct cover notice. If the correct cover notice was not used, CCPRB staff will prepare and release a correcting notice (see Document Generation System (DGS) letter CCOR 30). If the CCPRB does not receive exceptions within 20 calendar days after release of the correcting notice, CCPRB staff will prepare the certified administrative record (CAR) or supplemental CAR.

If no exceptions have been filed within 90 days on a sentence four remand case, CCPRB staff will determine whether the HO used the Schaefer cover notice, which provides: (1) 30 days for filing “exceptions” to the hearing decision, rather than 60 days for filing a request for review (see 20 CFR 404.984(b) and 416.1484(b)) and (2) information about filing a new civil action in those cases where exceptions will not be filed with the Appeals Council (AC).

If the Schaefer cover letter was not used, CCPRB staff will:

  • contact the claimant's representative to determine whether exceptions were filed and, if not,

  • prepare and release a correcting notice (see DGS letter CCOR 20).

Subsequently, 90 days after the correct notice was used, or 60 days after the corrective notice was sent, CCPRB staff will hold the paper claim(s) file for an additional 6 months for notice of a new civil action.

B. Claimant Requests Additional Time to Submit Exceptions

1. Requests for Additional Time of 30 Days or Less

If a claimant requests no more than 30 additional days to file written exceptions and submits the request within 30 days of the date of receipt of the administrative law judge (ALJ) decision, CCPRB staff will grant the request (see DGS letter CCOR 10). The Social Security Administration presumes that a claimant received his or her notice five days after the date on the notice of the decision.

2. Requests for Additional Time of More than 30 Days

If a claimant timely requests more than 30 additional days to file written exceptions, the case will be assigned to a CCPRB analyst who will prepare a recommendation and proposed action document for an administrative appeals judge's (AAJ) consideration as follows:

  • If the AAJ decides to grant an extension of more than 30 days, the analyst will use DGS letter CCOR 10.

  • If the AAJ decides not to grant an extension of more than 30 days, the analyst will prepare a letter for the AAJ's signature explaining why the AC is denying the request for the additional time beyond 30 days (see DGS letter CCOR 12).

3. Untimely Submitted Requests for Additional Time

If the claimant's request for additional time to submit exceptions does not appear to have been filed timely, i.e., within 30 days of the date of receipt of the ALJ decision, we will provide the claimant with an opportunity to establish that the request was actually filed within the 30 day period. If the claimant cannot establish that the request was filed timely, the AC will not assume jurisdiction based on 20 CFR 404.984(b) or 416.1484(b).

If the request for additional time to submit exceptions does not appear to have been filed timely, CCPRB staff will prepare a letter advising the claimant that he or she must establish that the request was filed within 30 days of the date of receipt of the ALJ's decision (see DGS letters, CCOR 13A and CCOR 13B).

If the response indicates that the claimant filed the request timely, i.e., within 30 days of the date of receipt of the ALJ's decision, CCPRB staff will forward the case to a CCPRB analyst to prepare a recommendation for an AAJ. If the response does not establish timely filing or the claimant does not respond, the case will be assigned to a CCPRB analyst who will prepare an appropriate letter for a sentence four or sentence six remand case for an AAJ's signature (see DGS letters, CDEN 20A and CDEN 20B). When the letter is signed by the AAJ and released, CCPRB staff will prepare the CAR or supplemental CAR in a sentence six case. CCPRB staff will route paper claim(s) files to the Social Security Administration's National Records Center, as described in HALLEX I-4-2-50 B.