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GN 03106.037: Effectuating ALJ/AAJ Decisions in Court Remand Cases

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  • Effective Dates: 08/17/2016 - Present
  • Effective Dates: 11/03/2017 - Present
  • TN 9 (05-02)
  • GN 03106.037 Effectuating ALJ/AAJ Decisions in Court Remand Cases
  • A. Policy - Effectuation
  • The component responsible for effectuation of ALJ/AAJ decisions issued after a court remand must promptly effectuate any partially or fully favorable ALJ/AAJ decision. If the court imposes a time limit, the specific agency action identified in the court's order must be completed within that time limit. Any special instructions that the effectuating component must follow will be identified on the Court Remand Flag, GN 03106.099, Exhibit C, which ODAR attaches to the case.
  • The component responsible for effectuation of ALJ/AAJ decisions issued after a court remand must promptly effectuate any partially or fully favorable ALJ/AAJ decision. If the court imposes a time limit, the specific agency action identified in the court's order must be completed within that time limit. Any special instructions that the effectuating component must follow will be identified on the Court Remand Flag, GN 03106.099, Exhibit C, which OHO attaches to the case.
  • B. Process - routing ALJ/AAJ decisions
  • After ODAR adjudication of the remand has been completed, the hearing office (HO) or ODAR, OAO forwards claims requiring effectuation to the appropriate effectuating component (that is, the PC for title II and title II portion of concurrent claims and the FO for title XVI and the title XVI portion of concurrent claims).
  • After OHO adjudication of the remand has been completed, the hearing office (HO) or OHO, OAO forwards claims requiring effectuation to the appropriate effectuating component (that is, the PC for title II and title II portion of concurrent claims and the FO for title XVI and the title XVI portion of concurrent claims).
  • If a transcript of the administrative record must be filed with the court after remand, ODAR may request that the claim folder be returned after effectuation. (See GN 03106.036A.).
  • If a transcript of the administrative record must be filed with the court after remand, OHO may request that the claim folder be returned after effectuation. (See GN 03106.036A.).
  • C. Procedure
  • 1. Fully favorable ALJ/AAJ decision
  • a. Process decision - all titles
  • Process the fully favorable ALJ/AAJ decision issued after a court remand under the same procedures as a fully favorable ALJ/AAJ decision when there is no court involvement. Forward through processing channels established in your office for court cases.
  • NOTE: In PC7, SAES is responsible for processing age appropriate ALJ/AAJ decisions after a court remand. (See DI 42010.020A., DI 42010.020G., and SI 04030.050 for additional coding instructions.)
  • NOTE: A copy of all fully favorable decisions issued after remand by an ALJ/AAJ in a sentence 6 remand must be filed with the court.
  • b. Title II and the Title II Portion of Concurrent Disability Claim
  • In Title II and the Title II Portion of Concurrent Disability Claims, prepare Form SSA-831/832/833-U2, except for the following:
  • * Item 27: Show the remark “See item 34”.
  • * Item 34: Show the remark “DECISION OF THE ALJ/AAJ (NAME OF ALJ) or (AAJ) DATED (MM/DD/YYYY) AFTER REMAND FROM THE U.S. DISTRICT COURT.”
  • c. Return claims folder to ODAR
  • c. Return claims folder to OHO
  • Return the claims folder to ODAR only if requested by ODAR on the Court Remand Flag.
  • Return the claims folder to OHO only if requested by OHO on the Court Remand Flag.
  • 2. Partially favorable ALJ/AAJ decision - all titles
  • * Effectuate the partially favorable ALJ decision as noted above.
  • * Return the claim folder to ODAR, OAO (see GN 03106.036C.1. for the address) expeditiously because the claimant may file exceptions to the ALJ's partially favorable decision upon which the AC must act timely. (See GN 03106.036C.3.)
  • * Return the claim folder to OHO, OAO (see GN 03106.036C.1. for the address) expeditiously because the claimant may file exceptions to the ALJ's partially favorable decision upon which the AC must act timely. (See GN 03106.036C.3.)
  • 3. Unfavorable ALJ/AAJ decision - all titles
  • The HO sends unfavorable ALJ decisions after remand to ODAR, OAO. The ODAR, OAO prepares a transcript in unfavorable ALJ/AAJ decisions and forwards copies to OGC for filing with the court.
  • The HO sends unfavorable ALJ decisions after remand to OHO, OAO. The OHO, OAO prepares a transcript in unfavorable ALJ/AAJ decisions and forwards copies to OGC for filing with the court.
  • Generally, the effectuating SSA component takes no action.
  • IMPORTANT: Send obviously misrouted unfavorable decisions after remand to ODAR, OAO.
  • IMPORTANT: Send obviously misrouted unfavorable decisions after remand to OHO, OAO.
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