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HALLEX I-4-125
Office of Hearings and Appeals
Social Security Administration (S.S.A.)
Department of Health and Human Services

Volume I
Division IV: Civil Action
Subject: New Court Cases
Chapter: I-4-100

June 30, 1994

Current through June 1997

I-4-125 ANALYST REVIEW--NON-SCREENING PROCEDURES

In some instances technical defects in the record require analyst action. Generally these concern missing or incomplete hearing transcripts and claim files.

A. Inaudible Cassettes

When Contracts Staff returns a hearing cassette with a report that the tape is completely inaudible (see > I-4-114), the analyst must complete an HA-552 (see > I-4-199, Exhibit A) requesting remand for a de novo hearing. When Contracts Staff reports that a portion of the tape is inaudible, the analyst must determine whether the missing portion precludes defense of the case. If it does, the analyst must complete an HA-552 requesting remand for a de novo hearing. If the analyst concludes the inaudible portions do not preclude defense of the case, he or she must prepare a brief Memorandum for File (see > I-4-299, Exhibit E) to the Court Records (CR) technician. The memorandum must note that the analyst reviewed the inaudible portions and determined they did not preclude defensibility of the case and that the CR technician must prepare the certified administrative record (CAR).

B. Missing Files or Exhibits

If the analyst cannot locate the claim file (see > I-4-112 D.), he or she must note on the HA-552 that remand is being requested "to locate or re-construct the record."

Occasionally the CR technician may return a new court case to an analyst noting that one or more exhibits are missing from the record. The analyst must request these missing documents from the Administrative Law Judge (ALJ) and/or the claimant's attorney. If the analyst cannot locate the documents, he or she must review the decision and the record to determine whether the missing exhibits preclude defensibility of the case. If the analyst determines that the case cannot be defended, he or she must complete a HA-552 noting the missing documents and requesting remand. If the analyst concludes that the missing exhibits do not preclude defense of case, he or she must complete a Memorandum for File (see > I-4-299, Exhibit E) to this effect. When the Director, OCA certifies the record, the certification must identify the missing exhibits.

C. Additional Evidence

A court records technician may discover additional evidence which the claimant has submitted to the Appeals Council, but which the Council has not yet considered (see > I-4-152 D). The analyst will review the record in these cases in light of the additional evidence to determine whether remand appears warranted.

If the analyst believes remand is not warranted, he or she will draft a letter for the "A" Administrative Appeals Judge's signature advising the claimant and his or her representative that the Council has considered the evidence and does not find that it provides any basis for seeking remand in order to further review the case. If necessary, the analyst will also prepare a brief analysis for the Appeals Council's consideration. If the Appeals Council approves the letter, the analyst will prepare an HA-551 (see > I-4-199, Exhibit C), advising OGC that the case should be defended, and attaching copies of the additional evidence and the Appeals Council's letter. The CR technician will not include the Council's letter and the additional evidence in the CAR, but the documents must be placed in the claim file.

If the analyst believes remand is warranted, he or she will prepare an analysis for the Appeals Council's consideration as described in > I-4-122. If the Council agrees, the analyst will send an HA-552 (see > I-4-199, Exhibit A) to OGC requesting remand.

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