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HALLEX I-2-170

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division 2: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

April 26, 1995

Current through March 1997

I-2-170 FOREIGN LANGUAGE INTERPRETERS (REVISED 10/95)

When a claimant cannot communicate in English, the ALJ or HO staff will arrange for a qualified interpreter to assist the claimant and the ALJ at the hearing.

A. Determining If a Claimant Needs an Interpreter

To determine if a claimant needs an interpreter, review the following:

1. Form HA-501 or HA-5011, Request for Hearing (RH).

This form contains a question which asks the claimant if an interpreter is needed, and if so, for what language.

2. Modernized Claims System (MCS) Appeals Screen, HNG 2.

3. Form SSA-3368, Disability Report.

This form contains a question which asks the claimant if he or she can speak English and, if not, what language he or she does speak.

4. Any reports of contact with the claimant or other statements which indicate the need for an interpreter.

B. Criteria for a Qualified Foreign Language Interpreter

A qualified foreign language interpreter is an individual or vendor who:

1. reads, writes and demonstrates fluency in the English language;

2. reads, writes, and demonstrates fluency in the foreign language of the claimant;

3. demonstrates a familiarity with basic SSA terminology;

4. agrees to comply with SSA's disclosure and confidentiality of information requirements;

5. agrees to act in the best interest of both the claimant and the public at large; and

6. agrees to provide an exact translation of the claimant's responses; i.e., not to assume or infer facts or dates not actually provided by the claimant.

C. Sources of Qualified Interpreters

Sources of qualified interpreters include the following:

 

1. SSA employee in the same area or region.

2. State employee in the same area or region.

3. Consultative examination provider in the same area or region.

4. SSA employee in a different area or region.

5. State employee in a different area or region.

6. Consultative examination provider in a different area or region.

7. Non-SSA interpreter in the community who does not charge (e.g., an interpreter with a church, university, advocacy group, or other Federal, State or local agency).

8. Employee of a vendor contracted to provide interpreter services.

9. Non-SSA interpreter in the community who charges.

10. Claimants' family members and friends.

NOTE: Claimants' family members and friends should serve as interpreter only when all claimants agree and all efforts to obtain a qualified outside interpreter have been unsuccessful.

D. Obtaining an Interpreter

1. If the hearing office (HO) maintains a list of qualified interpreters, contact an interpreter directly.

2. If the HO does not maintain a list of qualified interpreters, or the HO maintains a list of qualified interpreters but no interpreter on the list is available, contact the servicing field office (FO) for assistance.

3. If the servicing FO is unable to assist, contact the OHA Regional Office.

(See also > I-2-610, Hearing Procedures -- Foreign Language Interpreters.)

E. Payment for Interpreters

To generate payment for interpreters, complete a Form SF-147 and submit it through the OHA Regional Office.

 

 

 

HALLEX I-2-172

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division 2: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

April 26, 1995

Current through March 1997

I-2-172 INTERPRETERS -- HEARING-IMPAIRED CLAIMANT (REVISED 10/95)

A. Sign Language Interpreters When the claimant has a hearing impairment which prevents the claimant from understanding speech at normal conversational levels even with a hearing aid, the ALJ must ensure that a qualified sign language interpreter is available to translate at the hearing. (See > I-2-612, Hearing Procedures -- Hearing-impaired Claimant.) As soon as the ALJ or HO staff become aware that a claimant has such a hearing impairment, the HO staff should contact the claimant or representative to determine if the claimant needs a sign language interpreter or if the claimant wants to communicate by sign language.

B. Claimant Has a Qualified Interpreter

If the hearing-impaired claimant has a qualified interpreter, the ALJ may use this individual as the interpreter at the hearing.

C. Claimant Does Not Have a Qualified Interpreter

If the hearing-impaired claimant does not have a qualified interpreter, the ALJ may use a qualified individual in the community or a qualified employee of SSA or another Federal agency who is acceptable to the claimant.

1. An individual in the community is deemed qualified to act as an interpreter if he or she is:

a. certified by the National Registry of Interpreters,

b. certified by a state registry of interpreters, or

c. his or her name appears on a list of qualified interpreters compiled by the National Association of the Deaf or any State association of the deaf.

2. An employee of SSA or another Federal agency is considered qualified to act as an interpreter if he or she is able to accurately and simultaneously express and receive in sign language.

NOTE: The HO may obtain a list of sign language interpreters available in the community from a field office.

 

 

 

HALLEX I-2-174

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division 2: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

April 26, 1995

 

Current through March 1997

I-2-174 CONTACTING HEARING-IMPAIRED CLAIMANTS WITH TELECOMMUNICATIONS DEVICES FOR THE DEAF

When the claimant has Telecommunications Devices for the Deaf (TDD) equipment, the hearing office staff may contact the Social Security Administration Teleservice Center in St. Louis, Missouri, which also has TDD equipment, and have a message sent to the claimant.

To send a message by TDD, if you are in Missouri, call 1-800-392-0812. If you are outside Missouri, call 1-800-325-0778.

 

 

 

HALLEX I-2-175

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division 2: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

April 26, 1995

Current through March 1997

I-2-175 PREHEARING CONFERENCE

Citations: > 20 CFR §§ 404.961 and > 416.1461; > 42 CFR §§ 498.47 - 498.50

The ALJ may decide on his or her own initiative, or on a claimant's request, to hold a prehearing conference to facilitate the hearing. Depending upon the issues to be discussed, the ALJ or designee may conduct the conference by telephone or in a face-to-face meeting. The ALJ or his or her designee shall:

1. notify the claimant of the time, place and purpose of the conference at least 7 days before the conference date, unless all parties have indicated in writing that they waive the right to written notice of the conference (See > I-2-190, Sample 2, Letter to Unrepresented Claimant Confirming Prehearing Conference, and Sample 3, Letter to Representative Confirming Prehearing Conference.);

2. make a record of the conference; and

3. as appropriate, issue orders or prepare stipulations setting forth all agreements and actions resulting from the conference.

NOTE: The record of the conference and all orders, stipulations or agreements shall become a part of the record and shall be binding on all parties.

 

HALLEX I-2-180

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division II: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

June 30, 1994

Current through March 1997

I-2-180 WITHDRAWAL OF REQUESTS FOR HEARING

A. General

A claimant may change his or her mind after filing a request for hearing (RH) and withdraw the request. The request for withdrawal must be a signed, written request or an oral request made on the record at the hearing.

B. Hearing Office (HO) Receives Request for Withdrawal

1. If the HO has the claim file (CF), immediately assign the case to an ALJ to consider whether the RH should be dismissed. (See > I-2-420, Dismissal at the Claimant's Request.)

2. If the HO does not have the CF, the HO staff should obtain the CF before assigning the case to an ALJ. The CF is needed to determine whether there is any other party who may be adversely affected by dismissal of the RH. (See > I-2-420 B., Another Claimant to the Hearing May be Adversely Affected by Dismissal of the RH.)

C. Effect of Withdrawal

The dismissal of an RH is binding unless it is vacated by an ALJ or the Appeals Council. (See > I-2-400ff, Dismissals.)

 

 

 

HALLEX I-2-185

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division II: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

June 30, 1994

 

 

Current through March 1997

I-2-185 CLARIFICATION OF APPEALS COUNCIL REMAND ORDERS (REVISED 09/92)

A. When an Administrative Law Judge (ALJ) May Seek Clarification

An ALJ may seek clarification of an Appeals Council remand order only when the ALJ (1) cannot carry out the directive(s) set forth in the order or (2) the directive(s) appears to have been rendered moot. ALJs will not seek clarification of Appeals Council remand orders under any other circumstances.

1. The following are examples of valid clarification requests:

a. The Appeals Council directs that the ALJ obtain a hearing test and examination performed by a qualified otolaryngologist. There is no otolaryngologist in the area servicing the hearing office.

b. The Appeals Council remands a case solely because the hearing tape cannot be located. The hearing tape is found before a new hearing is held.

2. The following are examples of clarification requests that are not valid and will not be granted.

a. The ALJ takes issue with the Appeals Council's finding that the claimant had "good cause" for failing to appear at the scheduled hearing.

b. The ALJ asks the Appeals Council to specify its basis for review, since the remand order did not cite a regulatory basis for granting review.

B. Procedure to Request Clarification

1. If an ALJ has a valid clarification request, the ALJ or a hearing office (HO) staff person the ALJ designates must request concurrence from the Regional Chief ALJ (RCALJ). The request must be made within 20 days after the date the HO receives the Appeals Council's remand order and the claim file(s). It may be made orally or in writing via E-Mail.

2. If the RCALJ believes the request is a valid clarification request, the RCALJ or a Regional Office (RO) staff person the RCALJ designates will request concurrence from the Chief ALJ. The RCALJ or designee must make the request to the Chief ALJ within 5 days after the date the RO receives the ALJ's request for concurrence. It may be made orally or in writing via E-Mail, and must be directed to the Director of the Division of Field Practices and Procedures (DFPP) in the Office of the Chief ALJ (OCALJ). The E-Mail address is: :::S3GJ2 OCALJ/DFPP.

 

3. The Chief ALJ will approve or disapprove the clarification request and inform the RCALJ or designee of the decision orally or in writing via E-Mail within 5 days after the date the Director of DFPP received the RCALJ's request for concurrence. If the Chief ALJ informs the RCALJ or designee of the decision orally, the RCALJ or designee will be responsible for informing the ALJ. If the Chief ALJ informs the RCALJ or designee via E-Mail, a copy of the E-Mail message will be sent to the ALJ.

4. With the Chief ALJ's approval, the ALJ will send the clarification request and claim file(s) to:

Deputy Chair, Appeals Council

Office of Hearings and Appeals

One Skyline Tower, Suite 1400

5107 Leesburg Pike

Falls Church, Virginia 22041-3255

The ALJ must include the following or a similar statement at the beginning of the clarification request:

The Chief Administrative Law Judge has approved this request for clarification of an Appeals Council remand order.

The ALJ will also send a copy of the clarification request to the claimant, representative, Chief ALJ (Attention: Director of DFPP) and RCALJ.

5. The Appeals Council will respond to the ALJ in writing, with copies to the claimant, representative, Chief ALJ (Attention: Director of DFPP) and RCALJ, within 20 days after the date it receives the clarification request and claim file(s).

NOTE: The Appeals Council will not vacate a Remand Order after a new hearing has been held.

 

 

 

HALLEX I-2-190

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division II: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

June 30, 1994

Current through March 1997

I-2-190 SAMPLES

SAMPLE 1

 

MEMORANDUM FOR REQUESTING MISSING MEDICAL EVIDENCE

MEMORANDUM TO: (Name and address of RCALJ)

FROM: (Name and address of HO)

SUBJECT: Request for Additional Assistance in Reconstructing Claim File of (Name and SSN of Claimant)

The reconstructed claim file does not contain all the medical evidence needed to adjudicate the case. Therefore, please obtain, through the Office of the Regional Commissioner (ORC), the evidence indicated below.

[Use paragraphs as needed, and revise as appropriate.]

Please request (a copy) (copies) of the report(s) from the claimant's treating physician(s) covering the period from the date of first treatment to the present date.

Physician's name, medical specialty, and address Date of first treatment

------------------------------------------------ -----------------------

*** ***

Please request (a copy) (copies) of the report(s) from the hospital(s) in which the claimant has received treatment.

Name and address of Date of hospitalization or Patient's ID

hospital treatment at clinic number

----------------------- ----------------------------------- -----------------

*** *** ***

(A) consultative examination(s) (was) (were) obtained from the following source(s).

Physician's name specialty, and address Date of examination Date of report

--------------------------------------- ------------------- --------------

*** *** ***

If the DDS retained (a copy) (copies) of the consultative report(s), please send (a copy) (copies) to us. If (a copy) (copies) (was) (were) not retained, please request a contact with the physician(s) in order to obtain (a copy) (copies) of the report(s).

The claimant is represented by (insert name, address, telephone number).

The representative must be sent copies of any correspondence with the claimant.

To assist you, we have attached original authorization forms for the release of medical evidence and (photocopies of the SSA-3368 and/or SSA-3369) (photocopies of the SSA-3820).

 

In view of the delay in this case, please have the ORC request priority handling by (insert name and address of the appropriate DDS).

Administrative Law Judge

SAMPLE 2

LETTER TO UNREPRESENTED CLAIMANT CONFIRMING PREHEARING CONFERENCE

Addressee

Address

______

______

Dear __________:

This is to confirm my telephone call setting up a prehearing conference. As was indicated in our conversation, the Administrative Law Judge believes such a conference will help expedite your case. (He) (She) has asked me to conduct the conference with you.

As I stated in our telephone conversation, the prehearing conference will be held on (Day of Week), (Full Date), at (Time) o'clock in Room __________ of _________________________ Building, (Number and Street), (City), (State).

You should bring to the conference any additional evidence you wish to submit.

The time of this conference has been set aside especially for you. If you are not able to appear at the scheduled time or if you decide that you do not wish to attend the conference, please call me at once at (telephone number).

The purposes of this conference is (1) to clarify the factual data and issues in your case and (2) to determine if additional evidence is needed. The conference will be informal and no testimony will be taken. Therefore, you need not bring any witnesses with you.

If you have obtained, or are planning to obtain, an attorney or other individual to represent you in your Social Security claim, please advise me at once.

Sincerely yours,

Staff Attorney (or other designated staff person)

SAMPLE 3

LETTER TO REPRESENTATIVE CONFIRMING PREHEARING CONFERENCE

Addressee

Address

______

______

Dear __________:

This is to confirm my telephone call setting up a prehearing conference in the case of (Name). As was indicated in our conversation, the Administrative Law Judge believes such a conference will help expedite your client's case. (He) (She) has asked me to conduct the conference with you.


As I stated in our telephone conversation, the prehearing conference will be held on (Day of Week), (Full Date), at (Time) o'clock in Room _________ of _________________________ Building, (Number and Street), (City), (State).

You should bring to the conference any additional evidence you wish to submit.

The time of this conference has been set aside especially for you. If you are not able to appear at the scheduled time or if you decide that you do not wish to attend the conference, please call me at once at (telephone number).

The purposes of this conference is (1) to clarify the factual data and issues in your client's case and (2) to determine if additional evidence is needed. The conference will be informal and no testimony will be taken. Therefore, you need not bring any witnesses with you.

You may wish to have your client accompany you to the conference.

Sincerely yours,

Staff Attorney (or other designated staff person)

SAMPLE 4

Exhibit List (Final)

LIST OF PROPOSED EXHIBITS

_______________

(Claimant)

_______________

(Wage Earner)

_______________

(Social Security Number)

_______________

(Social Security Number)

EXHIBIT DESCRIPTION NUMBER

NUMBER OF

PAGES

--------- ---------------------------------------------------------- --------

1 Application for disability insurance benefits dated 4

January 11, 1988.

2 Earnings Record dated January 26, 1988. 1

3 DDS Determinations dated March 21, 1988 and June 15, 1988. 3

 

4 Medical History and Disability Report dated March 8, 1988. 8

5 Medical report dated May 6, 1988 regarding hospitalization 5

for the period September 10, 1987 to September 11, 1987,

received from Cook County Hospital.

6 Medical report dated February 5, 1988, from Ralph Jones, 3

M.D., with professional qualifications.

7 Copy of letter dated August 19, 1988 to James Rogers, Ph.D 1

8 Statement of Education and Experience of James Rogers, 4

Ph.D.

RECEIVED DURING HEARING

----------------------------------------------------------

9 Medical report dated April 15, 1982 from R. Jones, M.D. 2

APPEALS COUNCIL REMAND

----------------------------------------------------------

10 Appeals Council Remand Order dated July 15, 1989. 2

FORM HA-540-U6 (6-88)

Prior editions may be used

ATTACH TO CLAIM FILE COPY OF THE DECISION

Exhibit List--Second Hearing (Final)

EXHIBIT DESCRIPTION NUMBER

NUMBER OF

PAGES

--------- ---------------------------------------------------------- --------

EXHIBITS IN CONNECTION WITH PRIOR APPLICATION

1 " 47 Exhibits from prior hearing. 60

B"1 ALJ's decision dated November 19, 1987, Notice of 15

Decision, list of exhibits marked 1 thru 47, and

transcript of hearing held on November 1, 1987.

B"2 Request for Review of ALJ's Action, November 26, 1987. 1

B"3 Appeals Council Exhibit--Medical report dated November 30, 2

1987, from Joseph Jones, M.D.

 

B"4 Appeals Council Exhibit--Professional Qualifications of 1

Joseph Jones, M.D.

B"5 Action of Appeals Council on Request for Review, dated 1

December 17, 1987.

B"6 Summons and complaint, dated December 29, 1987. 5

B"7 Decision of the U.S. District Court for the District of 4

Oregon, dated July 6, 1988.

EXHIBITS IN CONNECTION WITH CURRENT APPLICATION

B"8 Application for period of disability and insurance 4

benefits, filed on August 2, 1988.

SAMPLE 5

Critical Case Flag

TABLE

[...]

 

SAMPLE 6

TERI Flag

TABLE

[...]

 

 

 

HALLEX I-2-195

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division II: Administrative Law Judge Hearings

Subject: Prehearing Analysis and Case Workup

Chapter: I-2-100

June 30, 1994

Current through March 1997

I-2-195 EXHIBITS (ADDED 06/93)

EXHIBIT 1

REPRESENTATIVE FIRMS SERVICING HEARING
OFFICE

------------------------- . . . ------------------------------

Integrated Benefits, Inc. Office of Hearings and Appeals

P.O. Box 7200 11475 Olde Cabin Road

Jefferson City, MO 65102 Creve Coeur, MO 63144

 

 

Principal Financial Group Office of Hearings and Appeals

711 High Street Suite 221

Des Moines, IA 50309 950 Office Park Road

West Des Moines, IA 50265

 

 

Robert Johnson Office of Hearings and Appeals

Disability Consultant Suite 221

108 3rd Street 950 Office Park Road

Des Moines, IA 50309 West Des Moines, IA 50265

 

 

Occudata, Inc. Office of Hearings and Appeals

Suite 230 Federal Office Building

5310 Lamar Avenue Room 901

Overland Park, KS 66202 911 Walnut Street

Kansas City, MO 64106

Singleton & Associates Office of Hearings and Appeals

P.O. Box 9277 Federal Office Building

Shawnee Mission, KS 66201 Room 901

911 Walnut Street

Kansas City, MO 64106


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