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GN 03106.039: Component Protest Cases

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  • Effective Dates: 12/21/2012 - Present
  • Effective Dates: 11/03/2017 - Present
  • TN 9 (05-02)
  • GN 03106.039 Component Protest Cases
  • A. Background
  • On occasion, the effectuating component will identify a technical problem that prevents effectuation of benefits based on the ALJ/AAJ remand or court decision. (For example, the ALJ decision/court order establishes an onset date after claimant's insured status had expired.) When this occurs, the effectuating component must notify ODAR, OAO in ALJ/AAJ cases, or OGC in court decision cases, of the reason the decision cannot be effectuated and request action to correct the decision. This is called a “Component Protest.”
  • On occasion, the effectuating component will identify a technical problem that prevents effectuation of benefits based on the ALJ/AAJ remand or court decision. (For example, the ALJ decision/court order establishes an onset date after claimant's insured status had expired.) When this occurs, the effectuating component must notify OHO, OAO in ALJ/AAJ cases, or OGC in court decision cases, of the reason the decision cannot be effectuated and request action to correct the decision. This is called a “Component Protest.”
  • B. Policy
  • 1. ALJ/AAJ Cases Under the Regulations
  • In ALJ/AAJ cases, under the regulations, the AC may assume jurisdiction of the ALJ decision, even if the claimant does not file written exceptions to the decision, but the AC must do so within 60 days of the date of the ALJ decision. Therefore, the effectuating component must send the “component protest” so that the AC receives it within 45 days of the date of the ALJ decision . This will allow the AC sufficient time to review the file and decide whether to assume jurisdiction or return the case to the ALJ for corrective action.
  • 2. Court Cases Under the Federal Rules of Civil Procedure
  • In court cases, under the Federal Rules of Civil Procedure, OGC only has 60 days to ask the court to reconsider that portion of its order that is contrary to SSA regulation or policy. Therefore, the effectuating component must send the "component protest" so that OGC receives it within 45 days of the date of the court's decision . This will allow OGC sufficient time to prepare and file the necessary pleadings with the court.
  • NOTE: If the Component Protest cannot be forwarded to either ODAR (see GN 03106.039B.1. or OGC, see GN 03106.039B.2.), within the 45-day period, contact the component by telephone and ask for guidance. See GN 03106.020B for a hyperlink to OGC's website for contacts and telephone numbers. See the ODAR web site, which contains links to contact information for ODAR offices.
  • NOTE: If the Component Protest cannot be forwarded to either OHO (see GN 03106.039B.1. or OGC, see GN 03106.039B.2.), within the 45-day period, contact the component by telephone and ask for guidance. See GN 03106.020B for a hyperlink to OGC's website for contacts and telephone numbers. See the ODAR web site, which contains links to contact information for ODAR offices.
  • C. Procedure - Prepare Memorandum Documenting Protest
  • 1. Possible Effectuation Actions
  • Take all possible effectuation actions that are not precluded by the nature of the protest.
  • 2. Prepare Memorandum Explaining Identified Problem
  • Prepare a memorandum explaining the identified problem and forward:
  • * ALJ/AAJ cases to ODAR, OAO, or;
  • * ALJ/AAJ cases to OHO, OAO, or;
  • * Court decision cases to OGC, for further action.
  • NOTE: See GN 03103.260 in questionable title II decisions and SI 04030.060 in questionable SSI decisions for more information on how to protest a decision.
  • D. Procedure - Special Instructions
  • When ODAR provides special instructions to the effectuating component about the disposition of the case, follow those instructions if at all possible. If for some reason you cannot follow ODAR's instructions, contact the sender for further guidance.
  • When OHO provides special instructions to the effectuating component about the disposition of the case, follow those instructions if at all possible. If for some reason you cannot follow OHO's instructions, contact the sender for further guidance.
  • E. Procedure - Preparing the Disability Determination
  • In disability cases, prepare the Disability Determination as required in GN 03106.062 except as follows:
  • Enter “Decision of ALJ (name of ALJ) or (AAJs) dated mmddyyyy.”
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