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GN 03103.010: The Hearing Process

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  • Effective Dates: 12/08/2017 - Present
  • Effective Dates: 02/15/2018 - Present
  • TN 23 (07-12)
  • TN 26 (02-18)
  • GN 03103.010 The Hearing Process
  • A. General description of a hearing
  • * A hearing is a proceeding before an administrative law judge (ALJ) requested by a claimant when he or she disagrees with a reconsideration determination, or a revised reconsideration determination, or any of the other determinations or decisions defined in 20 CFR 404.930 (title II) and 20 CFR 416.1430 (title XVI).
  • * A claimant may appear at the hearing in person or through video teleconference. If a claimant does not wish to appear at the hearing, he or she may waive the personal appearance and request that the ALJ make a decision based on the evidence in file and newly submitted evidence. For the process on how to waive an oral hearing, see GN 03103.030.
  • * A claimant may choose to have an attorney, or other person, to represent him before us. For information about a claimant’s right to representation and the requirements if a claimant has a representative, see GN 03910.010 and GN 03103.070.
  • * A claimant may submit additional evidence, examine the evidence used in making the determination under review, introduce witnesses, question any witnesses, and present oral or written arguments as to why the ALJ should make a favorable decision.
  • A. What you need to know about the hearing policy and process
  • B. Hearing policy
  • 1. Determinations and decisions for which a claimant may request a hearing
  • 1. Who has the right to a hearing
  • The hearing is the next level of appeal when a claimant disagrees with one of the listed determinations or decisions.
  • * A reconsideration determination
  • * A revised determination of an initial determination, unless the revised determination concerns the issue of whether, based on medical factors, the claimant is disabled
  • * A reconsideration of a revised initial determination concerning the issue of whether, based on medical factors, the claimant is disabled
  • * A revised reconsidered determination
  • * A revised decision based on evidence not included in the record on which the prior decision was based
  • * An initial determination denying waiver of recovery or adjustment of an overpayment based on a personal conference
  • * An initial determination denying waiver of adjustment or recovery of an overpayment based on a review of the written evidence of record, and the determination was made concurrent with, or subsequent to, our reconsideration determination regarding the underlying overpayment but before an administrative law judge (ALJ) holds a hearing
  • * An initial disability determination in a prototype state per DI 12015.100
  • * A reconsideration determination on Medicare Part A and B entitlement associated with a disability determination or disability determination on a Medicare Qualified Government Employee (MQGE) claim
  • 2. Description of a hearing
  • A hearing is a proceeding before an ALJ from the Office of Hearings Operations (OHO).
  • * Claimant’s appearance at the hearing
  • * A claimant may appear at the hearing in person or through video teleconference.
  • * If a claimant does not wish to appear at the hearing, he or she may waive the right to personal appearance and request that the ALJ make a decision based on the evidence in file and newly submitted evidence if any. To waive the right to appear at a hearing, a claimant must complete and sign the form HA-4608 Waiver of Right to Oral Hearing per GN 031030.30
  • * Under extraordinary circumstances, a claimant may appear at a hearing by telephone.
  • * Claimant’s rights concerning evidence and witnesses for a hearing
  • A claimant may:
  • * submit evidence;
  • * examine the evidence used to make the determination under review;
  • * introduce and question witnesses; and
  • * present oral or written arguments as to why the ALJ should make a favorable decision.
  • * Claimant’s right to representation
  • A claimant may appoint an attorney or other person to represent him or her at the hearing.
  • See also:
  • * GN 03910.010 Claimant’s Right to Representation and
  • * GN 03103.070 Requirements if the Claimant Has a Representative.
  • 3. Who may request a hearing
  • * A claimant or another party to a determination or decision listed in subsection A may request a hearing.
  • * A person who shows in writing that the decision may adversely affect his or her rights may request a hearing.
  • * An appointed representative or another third party may request a hearing on the claimant’s behalf.
  • 4. How to request a hearing
  • A claimant must submit a written request for hearing by submitting:
  • * an HA-501-U5 or iAppeals i501 (formal request)
  • * a written document that indicates disagreement with a determination or decision listed in subsection A (informal request); or
  • * submission of additional evidence (informal request).
  • A claimant may submit a request for hearing to us:
  • * in-person;
  • * via iAppeals Medical or iAppeals Non-Medical;
  • * mail,
  • * fax, or
  • * email.
  • 5. Where to submit a request for hearing
  • * A claimant may submit a request for hearing at:
  • * any Social Security Administration (SSA) Office;
  • * the Veterans Administration Regional Office in the Philippines; or
  • * any Foreign Service Post.
  • * A claimant who has at least 10 years of service or 5 years of service after December 31, 1995 in the railroad industry may file a request for hearing at a Railroad Retirement Board (RRB) office.
  • 6. Time limit for filing a request for hearing
  • * A claimant has 60 days, after he or she receives notice of a determination or decision, to file a request for hearing. We presume that a claimant receives a notice 5 days after the date on a notice.
  • * When a claimant files a request for hearing late, see GN 03101.020D.2.
  • * When a claimant files a request for hearing before we make a reconsideration determination, see GN 03103.120.
  • 7. What is not a request for hearing
  • Do not consider the following requests or submissions a request for hearing.
  • * Request for information about or an explanation of our determination
  • * Request for a waiver of an overpayment
  • * Submission of an amended annual report
  • * A verbal (phone or in-person) request for a hearing or a letter that asks for a hearing form is not a request for hearing. In these situations, consider the time that a claimant has left to file a request for hearing and follow the instructions as appropriate in GN 03103.010B of this section.
  • Any party to a reconsideration determination, revised reconsideration determination, or any of the other determinations defined in 20 CFR 404.930, and any person who shows that his or her rights may be adversely affected by the hearing decision, has the right to a hearing.
  • B. Field office (FO) procedures for the request for hearing
  • 2. Who may request a hearing
  • The claimant, his or her appointed representative or representative payee, or other third party, can file a request for hearing on the claimant’s behalf. The technician must provide a copy of the hearing request to the claimant as notification that we received the appeal.
  • NOTE: Claimants in prototype states may request a hearing on an initial disability determination per DI 12015.100.
  • 3. Time limit for filing a hearing request
  • A claimant must submit a request for a hearing to us within 60 days after the date he or she receives the notice of the reconsideration determination or revised reconsideration determination. We assume that the claimant receives the notice of the reconsideration determination or revised reconsideration determination within 5 days after the date on the notice. If the claimant does not file his or her request for hearing within the 60 days, obtain a good cause statement that explains his or her reason for filing the appeal late. Develop the reason for the delay per GN 03101.020C. If the claimant files the request for hearing before we make a reconsideration determination, see GN 03103.120.
  • 1. Interview with claimant
  • 4. What constitutes a hearing request
  • Interview the claimant following the instructions in GN 03101.120.
  • * Phone interview
  • A submission of any writing (Form HA-501-U5 - Request for Hearing by Administrative Law Judge or other written document) or additional evidence that indicates the claimant disagrees with the reconsideration determination, revised reconsideration determination, or any of the determinations or decisions defined in 20 CFR 404.930 (title II) and 20 CFR 416.1430, constitutes a request for a hearing.
  • If the interview is over the phone and the claimant has not submitted a request for hearing, advise the claimant to access the SSA.gov Forms page to complete and submit the pdf version of HA-501-U5 by mail or in-person or access iAppeals Medical or iAppeals Non-Medical to complete and submit a request for hearing over the Internet.
  • * In-office interview
  • NOTE: A signature is not required on the written request for a hearing.
  • If the claimant is in the office, help the claimant complete the request for hearing; and explain the information detailed in this section. When possible, use the Modernized Claim System (MCS) to document and file the request for hearing. Otherwise, document and file the request for hearing on the paper form HA-501-U5.
  • * Late request for hearing
  • 5. How to request a hearing
  • * A claimant may request a hearing formally or informally by submitting (walk-in, mail, fax, or email) one of the documents listed below.
  • * A claimant may submit a Form HA-501-U5 to request a hearing formally. For instructions on completing the HA-501-U5, see GN 03103.020D.
  • * A claimant may submit the iAppeals i501 to request a hearing formally. For information about using iAppeals to file a request for hearing, see GN 03101.125.
  • * A claimant may request a hearing informally by submitting a letter or other written document. For instructions on how to process an informal request for hearing, see GN 03103.020E.
  • If the request for hearing is late and the claimant is in the office, obtain a written statement that explains the reason for late filing of the request for hearing. Explain that the ALJ will decide whether to extend the time to file the request for hearing, see GN 03101.020D.2.
  • * The hearing process
  • 6. What is not a request for a hearing
  • Explain the hearing process described in GN 03103.010A.2 of this section.
  • * Appearing at the hearing
  • We do not consider the following requests or submissions as a request for a hearing:
  • * A request for information or an explanation of our determination.
  • * A request for a waiver of an overpayment (for information about overpayment waivers, see GN 02250.000).
  • * A submission of an amended annual report or a phone call, even if the claimant asks for a hearing during the call (for instructions on how to handle a hearing request by phone, see GN 03103.010C.6.).
  • Explain the importance of appearing at the hearing. If the claimant wants to waive the right to appear at the hearing, he or she must complete and sign the HA-4608 per GN 03103.030.
  • * Right to representation
  • 7. Where to submit a hearing request
  • Explain the right to representation if the claimant does not have a representative. If a claimant needs help with obtaining a representative, provide a list of legal referral and service organizations. For information about appointing a representative, see GN 03910.010B.
  • * Hearing location
  • A claimant may submit a request for hearing at any SSA office, the Veterans Administration Regional Office in the Philippines, any Foreign Service Post, or any Railroad Retirement Board (RRB) office (if the claimant has at least 10 years or after December 31, 1995 has at least 5 years of service in the railroad industry).
  • Explain that the ALJ will determine whether hearing is held in-person or by video teleconference. Explain the locations where we usually hold hearings in the local area per GN 03103.050 and the video hearing per DI 80850.005.
  • * Reimbursement for travel
  • If railroad retirement compensation or transfer of claims to RRB is involved, see GN 03102.400.
  • Explain the possible reimbursement of travel expenses when it is necessary to travel more than 75 miles to attend the hearing. See also:
  • * GN 03101.140 Appeals of Payment for Certain Travel Expenses
  • * GN 03103.060 Policy for Payment of Certain Travel Expenses to Hearings
  • * Change of address or telephone number
  • If a claimant files a hearing request in an office other than a servicing FO, see GN 03103.090.
  • Explain to the claimant that he or she must report any change of his or her address or telephone number to SSA.
  • * Hearing notice
  • SSA’s Office of Hearings Operations (OHO) is responsible for hearing requests on Medicare Part A and B entitlement associated with disability determinations and disability determinations on Medicare Qualified Government Employee (MQGE) claims. Health and Human Services (HHS) is responsible for hearing requests on all other Medicare issues; see GN 03108.210 for more information.
  • Explain the hearing notice, which gives the time and place of the hearing, the issues to be decided, and the following information.
  • * If the claimant cannot attend at the time of or place of where the hearing is scheduled, explain that he or she should contact the hearing office (HO) prior to the hearing and give a reason (objection) in writing. See HALLEX I-2-3-10 Scheduling Hearings.
  • * The ALJ will consider the reason and may find good cause for changing the time or place of the hearing.
  • C. Procedure — field office (FO) action
  • If the ALJ does not find good cause, the claimant or his or her appointed representative should appear at the hearing or before the scheduled hearing, request waiver of an oral hearing in writing and ask the ALJ to decide the case based on the evidence in the file, see GN 03103.030.
  • 1. Interview with claimant
  • If the claimant fails to appear at a scheduled hearing after an ALJ has determined that there is no good cause for rescheduling the hearing, and the claimant has not filed a waiver of the oral hearing, the ALJ may dismiss the hearing without reviewing the evidence in the file. For information about dismissal of hearing, see GN 03103.220.
  • Interview the claimant following instructions in GN 03101.120 and describe the hearing process. For information about the hearing process, see GN 03103.010A of this section.
  • * Explain the importance of appearing at the hearing. If the claimant wants to waive his or her appearance, see GN 03103.030.
  • * If the claimant does not have a representative, explain the right to representation, and if the claimant indicates he or she needs help with obtaining a representative, provide a list of legal referral and service organizations. For information about appointing a representative, see GN 03910.010B.
  • * Advise the claimant of locations where we usually hold hearings in the area and the option for a video hearing, see GN 03103.050.
  • * Advise the claimant that if it is necessary to travel to a hearing, we may reimburse him or her for travel expenses if the distance to the hearing exceeds 75 miles. For an explanation of when SSA reimburses for travel to a hearing, see GN 03101.140 and GN 03103.060.
  • * Advise the claimant that he or she will receive a notice informing him or her of the time and place of the hearing and the issues to be decided.
  • * If the claimant cannot attend at the time and place the hearing is scheduled, he or she should contact the hearing office (HO) prior to the hearing and give a reason.
  • * The ALJ will consider the reason and may find good cause for changing the time or place of the hearing.
  • * If the ALJ does not find good cause, the claimant should appear at the hearing or before the scheduled hearing, request waiver of an oral hearing in writing and ask the ALJ to decide the case based on the evidence in the file. (See GN 03103.030).
  • * If the claimant fails to appear at a scheduled hearing after an ALJ has determined that there is no good cause for rescheduling the hearing, and the claimant has not filed a waiver of the oral hearing; the ALJ may dismiss the hearing without reviewing the evidence in the file. (For information about dismissal of hearing, see GN 03103.220).
  • * Assist the claimant with completing the Form HA-501-U5, and any other required forms, per the instructions in GN 03103.020B.
  • 2. Transcribe the request for hearing received by mail, email, fax, or iAppeals Medical or Non-Medical
  • NOTE: For information about good cause for changing the time and place of a hearing, see Hallex I-2-3-10 Scheduling Hearings.
  • Complete the form HA-501-U5 (GN 03103.020) or MCS request for hearing appeal screens (MSOM MCS 010.002), and maintain the original request for hearing along with the completed form.
  • 2. Disability issue
  • Complete processing and development of the request for hearing as instructed in this section. For concurrent Title 2 and Title 16 cases, complete the Modernized Supplemental Security Income Claim System (MSSICS) appeal screens.
  • * The receipt date for the request for hearing is the walk-in date, email date, fax date, or postmark date.
  • * The submit (receipt) date the claimant submits the request for hearing via iAppeals.
  • * See additional information on how to process the paper HA-501 or other written appeal request GN 03103.080B.
  • Claimants who are appealing a disability issue must complete the Form SSA-3441-BK (Disability Report – Appeals). The form collects updated medical information for claimants who are filing a hearing on an initial disability or medical cessation determination and does not require the claimant’s signature. For instructions on Form SSA-3441-BK development, see DI 12010.005 Development of Administrative Law Judge (ALJ) Hearing Cases.
  • 3. Process and complete development for the request for hearing
  • NOTE: Disability (Initial and Medical Cessation) Requests for Hearing – If a hearing level case can be established in the Electronic Disability Collect System (EDCS), process the request for hearing per the instructions in DI 81010.150A.2., DI 81010.150B and DI 81010.257.
  • FO technicians send request for hearings to the HO or Processing Center (PC) as appropriate per GN 03103.080. Before sending a request for hearing, on a non-medical issue, to the HO, an FO or PC technician must complete the eNDSS per GN 03103.130.
  • 3. Overpayment issue
  • 4. Disability issue
  • If the claimant requests a hearing on an overpayment, determine if he or she is appealing the overpayment amount, waiver decision, or both. Attach the claimant's statement to the Form HA-501-U5 that explains why he or she thinks there is no overpayment, or why we should not recover the overpayment.
  • When a claimant is appealing a disability issue:
  • * complete the SSA-3441-BK Disability Report per DI 12010.005, and
  • * process the request for hearing in the Electronic Disability Collect System (EDCS) when possible.
  • 4. Development
  • See Also:
  • For information about development in hearing cases, see GN 03103.130.
  • DI 81010.150A.2 Mainframe requirements, Disability hearings
  • 5. Witnesses
  • DI 81010.150B Documenting receipt of an appeal request
  • If asked, tell the claimant how to arrange for witnesses and obtain needed documents. For more information on witnesses, see GN 03103.160.
  • DI 81010.257 electronic Continuing Disability Review Cessation Appeals-ALJ Hearing
  • 6. Claimant requests hearing by phone
  • 5. Overpayment issue
  • Send Form HA-501-U5 to the claimant to complete and return. Stress the importance of returning the form timely to establish a written request for a hearing. When the claimant returns the form to us, process it per the instructions in GN 03103.020.
  • If a claimant requests a hearing on an overpayment issue,
  • * determine whether he or she is appealing the overpayment amount, waiver decision, or both; and
  • * obtain and attach, to the HA-501-U5, the claimant’s statement that explains why he or she believes there is no overpayment, the overpayment amount is lower, or why we should not recover the overpayment.
  • 7. Hearing request filed late
  • 6. RRB involvement
  • FO staff takes the following actions upon receipt of a late request for hearing:
  • * Obtain a good cause statement per the instructions in GN 03101.020D.2
  • * Attach the claimant’s original statement explaining his or her reason for filing late to the HO File copy of the Form HA-501-U5.
  • * Attach a photocopy of the explanation to the Claims Folder Copy of the Form HA-501-U5.
  • * Fax the HO File copy of the Form HA-501-U5, and the statement, into the Non-disability Repository (NDRED) per the Non-disability Repository Evidentiary Documents Application Users’ Guide.
  • * Advise the claimant that the ALJ will decide whether to grant an extension for filing the hearing request.
  • When a claimant’s case involves railroad retirement compensation or transfer of claims to RRB is involved, see GN 03102.400.
  • NOTE: For information about processing late filing statements associated with hearing requests for disability issues, see DI 12010.002 Request for ALJ Hearing Filed Late.
  • C. References
  • * DI 12010.000 Hearings Level Review – Initial Claims – Tables of Contents
  • * GN 2250.000 Waiver Provisions for Title II and Title XVI Overpayments – Table of Contents
  • * GN 03101.125 iAppeals General and Title II Instructions
  • * GN 03101.127 iAppeals Non-Medical General and Title II Instructions
  • * GN 03101.150 Medicare Entitlement Appeals
  • * GN 03103.010 The Hearing Process
  • * GN 03103.080 Forwarding the Form HA-501-U5 (Request for Hearing by Administrative Law judge) and Folder to the Servicing Hearing Office
  • * GN 03103.090 Hearing Request Filed Somewhere Other Than the Servicing Field Office
  • * GN 03103.130 – Development in Hearing Cases
  • * HA I-2-3-11 Claimant Timely Objected to Appearing at Hearing by Video Teleconferencing
  • * HA I-2-3-12 Objections to Manner or Appearance or Time and Place Set For Hearing
  • * HI 01205.005 Provider’s, Physician’s and Supplier’s Services - Claims
  • * MSOM MCS 010.001 title II Appeal Screens - Overview
  • * SI 04030.000 Administrative Law Judge (ALJ) Hearings – SSI – Table of Contents
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