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Last Update: 05/20/1992 (Transmittal I-5-401A)

HA 01540.027 Ward, et al., v. Schweiker

Table of Contents
I	Purpose
II	Background
III	Claims Covered by the Agreement
IV	Implementation of Settlement Agreement
V	Inquiries
Attachment A	- Amended Stipulated Dismissal Order Dated Nov. 30, 1989
Attachment B	- Report to Regional Office

ISSUED: August 27, 1990

I. Purpose

This Temporary Instruction (TI) contains instructions for implementing the agreement in the stipulated dismissal from the U.S. District Court for the Western District of Missouri in Ward, et al. v. Schweiker, 81-0650-CV-W-JWO-3 (W.D. Mo. 1989). Under the terms of the agreement, hearing office (HO) personnel processing claims of residents of Missouri must follow certain procedures, set forth below, for screening, monitoring, assigning and reporting Supplemental Security Income (SSI) nondisability claims to comply with the 90-day time limit of 42 U.S.C. § 1383(c)(2) and 20 CFR § 416.1453.

II. Background

On December 15, l982, the U.S. District Court for the Western District of Missouri issued a stipulated dismissal requiring the Social Security Administration (SSA) to follow specific procedures for processing SSI nondisability cases. The Office of Hearings and Appeals (OHA) released copies of the settlement agreement and related instructions to all HOs within Region VII instructing offices processing claims of Missouri residents to follow the agreement.

On November 30, 1989, the district court issued an Amended Stipulated Dismissal incorporating the new settlement terms agreed to by the parties (Attachment A).

III. Claims Covered by the Agreement

The agreement covers all requests for hearing filed by Missouri residents in which an SSI nondisability issue is being appealed. Thus, the agreement does not extend to Appeals Council remand cases, but does cover any SSI claim in which at least one of the issues is a nondisability issue, e.g., an income and resource issue case.

IV. Implementation of Settlement Agreement

A. Screening and Flagging

HO personnel must screen all SSI claims of Missouri residents upon receipt to determine whether they are covered by the 90-day time limit. HO staff must flag all nondisability claims filed by residents of Missouri with form HA-648. The HA-648 must be prominently displayed so that it is visible on the file.

B. Monitoring

HO personnel must enter the SSI 90-day case information into OHA's Case Control System (CCS) and the Hearing Office Tracking System (HOTS). To flag the record on HOTS, HO personnel will enter “SSI 90 DAY” (omit quotes) in the “HO FIELD 1” field which is found on the Case Receipt and Assign/Edit A Case screens. HO personnel must alert the Hearing Office Manager (HOM) to the receipt of the case at the time the CCS and HOTS systems are updated.

C. Assigning Cases and Scheduling Hearings

An SSI 90-day case must be assigned to an Administrative Law Judge (ALJ) in the servicing HO within 10 days of its receipt in the HO.

The ALJ must issue the hearing decision no later than 90 days after the request for hearing was filed unless there is good cause for extending the time period as described in 20 CFR § 416.1453(B)(2). HO personnel must schedule hearings in 90-day cases to allow enough time to prepare the decision. If it is necessary in order to meet the 90-day deadline and the claimant is willing to travel, the ALJ may schedule a hearing at a site over 75 miles from the claimant's residence. In this instance, SSA must pay travel expenses pursuant to 20 CFR § 416.1495 ff. In the alternative, the ALJ must make a special hearing trip to a remote site to hear a 90-day case if it is necessary in order to issue a decision within 90 days.

D. Reporting

1.
Weekly Report to the Hearing Office Chief Administrative Law Judge (HOCALJ)
HO personnel must prepare a report which lists all SSI 90-day cases and their status and give it to the HOM and HOCALJ on a weekly basis. HO personnel must use the SSI 90-day program provided by the Regional Office on October 27, l989, to generate the report.
The HOCALJ or delegate will monitor the list to ensure that time limits are met. The HO will retain the report for a period of one year from the date of the printout.
2.
Reports to the Regional Office
All HOs processing Missouri claims will prepare reports covering the following reporting periods:
- •
  January 1, 1990, through March 31, 1990,
- •
  April 1, 1990, through June 30, 1990, and
- •
  July 1, 1990, through December 31, 1990.
The reports will contain the following:
- •
  the processing time for each 90-day case,
- •
  the number of cases to which exclusions under the regulations applied,
- •
  an explanation for the basis of the exclusion for each case,
- •
  the number of cases which exceed the 90-day limit after applying the exclusions, and
- •
  the reason(s) why a specific case exceeded the 90-day limit after applying the exclusions.
The HOs must submit their reports to the Kansas City Regional Office, Attention: Program Branch — John Martin, no later than 10 days after the close of the reporting period.
All HOs are to use the form in Attachment B.

V. Inquiries

HO personnel may call the Regional Office on FTS 867-5246. Regional Office personnel may call the Division of Field Practices and Procedures in the Office of the Chief Administrative Law Judge on FTS 305-0022. Headquarters personnel may call the Division of Litigation Analysis and Implementation on 305-0708.

Attachment A. - Amended Stipulated Dismissal Order Dated Nov. 30, 1989

IN THE UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF MISSOURI
WESTERN DIVISION

THELMA WARD, LOIS ANN TODD	)
RUTH E. MAYHUE, INDIVIDUALLY	)
AND ON BEHALF OF ALL OTHERS	)	[Filed on November 30, 1989]
SIMILARLY SITUATED	)
	)
Plaintiffs,	)
	)
v.	)	Civil No. 81-0650-CV-W-1
	)
RICHARD S. SCHWEIKER	)
SECRETARY OF HEALTH	)
AND HUMAN SERVICES	)
	)
Defendant.	)

AMENDED STIPULATED DISMISSAL

IT IS HERE BY STIPULATED by and between the parties, through their respective counsel, that pursuant to Rule 41(a) (1) (ii) of the Federal Rules of Civil Procedure, the above-entitled case shall be and hereby is dismissed without prejudice. This Stipulation is based upon the following:

1.
Procedures have been established in Social Security Administration hearing offices in Missouri in an effort to ensure that Supplemental Security Income (SSI) cases of Missouri residents covered by the ninety-day limit of 42 U.S.C. § 1383 (c) (2) and 20 C.F.R. § 416.1453 are decided by an administrative law judge (ALJ) within that time:
1. a.
  Upon receipt of the Request for Hearing and claim file at the hearing office, all cases with SSI involvement are carefully screened to determine if any are covered by the ninety-day time limit of 42 U.S.C. § 1383 (c) (2) and 20 C.F.R. § 416.1453.
2. b.
  At the time of identification, all SSI ninety-day cases are clearly flagged with a pink sheet (form HA-648).
3. c.
  Information is subsequently entered into the National Office of Hearings and Appeals automated case control system (via form SSA-672) identifying the case as an SSI: ninety-day Case. At the same time, information is entered into the Individual Hearing Office management information database, via the internal Hearing Office Tracking System (HOTS), using the entry code “SSI90day” case.
4. d.
  The Hearing Office Manager (HOM) is alerted as to the receipt of the SSI ninety-day case(s) at the time it is entered into the case control and HOTS information systems.
5. e.
  SSI ninety-day cases are assigned to Administrative Law Judge (ALJ) within ten (10) days of receipt of the Request for Hearing by the Office of Hearings and Appeals.
6. f.
  In addition to “d” above, from the HOTS data base, a printout listing SSI ninety-day cases and their status is prepared weekly and provided to the HOM and Hearing Office Chief Administrative Law Judge. The Hearing Office Chief Administrative Law Judge, or his delegate, monitors the list the assure that all such decisions are issued within ninety days, unless good cause as provided under regulations exists for extending that period. The printout listing SSI ninety-day cases shall be retained by the Hearing Office Chief Administrative Law Judge or his delegate for the period of one year from the date of the printout.
7. g.
  If necessary, an ALJ will make a trip to hear an SSI ninety-day case even if there are no other hearing cases pending in the area to which he must travel, or, in the alternative, the Social Security Administration may provide funds to the Hearing Office for the travel expenses of a claimant and claimant's representative.
2.
In an effort to ensure timely receipt of bearing requests forwarded to the hearing office from Social Security offices in Missouri, an Action Memorandum was reissued on October 27, 1989, by the Regional Commissioner of Social Security in Kansas City requiring managers to:
1. a.
  Explain to the staff that the Social Security Act requires a hearing decision within ninety days for these cases. It is not just a suggested guideline for operational purposes.
2. b.
  Advise the staff that the file must be forwarded to the ALJ within five days. Development which will take longer than five days can be completed after the file has been shipped. When it is received, it can be mailed to the hearing office for association with the folder.
3. c.
  Emphasize that the most expeditious method of obtaining additional evidence (if needed) should be used. For example, obtaining wage information via telephone rather than rending a SSA-L4201 may save days of delay.
4. d.
  Remind the staff that “SSI NONDISABILITY ISSUE—90-DAY CASE” is to be prominently written or stamped in red ink across the top of the hearing office copy of Form HA-501 US on all casts for which only an SSI nondisability issue is being appealed. This will alert the hearing office.
The Social Security Administration has issued these instructions in a regional POMS transmittal. In addition, this information has been provided to the instructors of the SSI claims representative training classes. This will perpetuate knowledge of these procedures because these classes are attended by new claims representatives. Furthermore, in November l989, all Social Security district offices in Missouri conducted refresher training courses on SSI nondisability hearing requests, as directed by the Regional Commissioner.
3.
The Social Security Administration, Office of Hearings and Appeals, agrees to prepare three reports following dismissal of this action demonstrating the result of the efforts outlined in Parts 1 and 2 above. The first report shall cover the period beginning January 1, 1990, and ending July 1,1990. The third report shall cover the period beginning April 1, 1990 and ending June 30, 1990. The reports are to be filed with the court and served upon plaintiff's counsel within thirty days following the close of the respective periods. Such reports will indicate the processing time for each ninety-day case; the number of cases to which exclusions under the regulations applied; the number of cases which exceeded the ninety-day limit after the application of the exclusions, if any; and the reasons for any cases which exceeded the ninety-day limit after the application of exclusions, if any.
4.
Plaintiffs agree to dismiss, without prejudice, their complaint in its entirety.
5.
The parties agree that there are currently no persons residing in Missouri who meet the definition of the proposed class in this action to whom notice of the dismissal herein would be necessary or appropriate.
6.
The appropriateness and amount, if any, of attorney's fees shall be determined at a later date. Should plaintiff seek attorney's fees, a request shall be made no later than thirty days from the date of this dismissal.

Respectfully submitted,

JAMES MARSHALL SMITH, Bar #25688 Legal Aid of Western Missouri 600 Lathrop Building 1005 Grand Avenue Kansas City, Missouri 64306 (816) 474-6750 ATTORNEY FOR PLANTIFFS	JAMES R. RUCKER, JR. Chief Administrative Law Judge Office of Hearings and Appeals, Regional VII Room 505, 911 Walnut Street Kansas City, Missouri 64106
	FRANCIS A. McDOUGAL Regional Commissioner, Social Security Administration Room 436, 601 E. 12th Street Kansas City, Missouri 64106
	JEAN PAUL BRADSHAW, II United States Attorney
	JUDITH M. STRONG, Bar #2518 549 United States Courthouse 811 Grand Avenue Kansas City, Missouri 64106 (816) 426-3130
APPROVED AND SO ORDERED: _____________S_________________ UNITED STATES DISTRICT JUDGE November 30, 1989

Attachment B. - Report to Regional Office

MEMORANDUM TO:

John Martin, Program Branch

OHA Regional Office, Region VII

FROM:

__________________ Hearing Office

SUBJECT:

Ward et al. Amended Settlement Report

This is in response to the Regional Chief Administrative Law Judge's memorandum of December 8, 1989, as directed by the amended settlement in the Ward et al. v. Schweiker, and provides reporting information on SSI 90-day cases covering the period ___________________ through _________________.

A.
SSI 90-day Cases

Case Number*
Processing Time at Decision
or End of Report Period

Exclusions Applied-
Net Processing Time

* Following each case number, indicate either that the case was “pending” at the close of the report period or, if completed, enter the date the decision was issued.
B.
1. 1.
  Total number of cases to which exclusions, as authorized by the regulations, applied ______
2. 2.
  Exclusions, as authorized by the regulations, applied to the following case numbers (e.g., 1, 15, 22) ________. (For each exclusion cited, include an explanation of the basis for the exclusion.)
C.
Total number of cases which exceeded the 90-day limit after applying the exclusions, if any ______
D.
Reasons why a particular case exceeded the 90-day limit after applying the exclusions, if any:
Case Number and Name
Date of Request for Hearing

To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/2501540027

HA 01540.027 - Ward, et al., v. Schweiker (I-5-4-27) -
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