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Office of Analytics, Review, and Oversight

Volume I

Transmittal No. I-3-187

Chapter: I-3-2

Subject: General Workup and Analysis Procedures


This transmittal amends Hearings, Appeals and Litigation Law (HALLEX) manual section I-3-2-36 to update guidance on what actions are necessary when an excluded medical source of evidence (excluded medical source) does not provide a written statement of exclusion. We also made additional minor editorial changes throughout this section.

Explanation of Content and Changes

I-3-2-36 A – We added a bulleted list to clarify exceptions to the general policy of not considering evidence from an excluded medical source.

I-3-2-36 B NOTE 3 – We added “NOTE 3” to subsection B to refer the reader to subsection F for additional guidance when an excluded medical source furnishes evidence to us without including a written statement of exclusion.

I-3-2-36 B2 NOTE 2 – We moved the content in “NOTE 2” to newly created subsection I-3-2-36 F but with reformatting and minor changes. We changed the numbering of the notes so that “NOTE 3” is now “NOTE 2.”

I-3-2-36 F – We changed subsection F to provide specific guidance on all required actions when an excluded medical source fails to provide a written statement of exclusion. In making this change, we moved the information previously found in subsection F concerning reopening to a newly created subsection G. We included a bulleted list instructing Office of Appellate Operations staff to send an email to the Office of Appellate Operations' Executive Director's Office (EDO), to confirm that the source is an excluded medical source. The EDO will keep a record of excluded medical source violations and send any required notice(s) to the excluded source if necessary.

Date: June 28, 2022