As provided in 20 CFR 404.961 and 416.1461, an administrative law judge (ALJ) may decide on their own authority, or at the request of any party to the hearing (see Hearings, Appeals and Litigation Law (HALLEX) manual HA 01210.045), to conduct a prehearing conference (PHC) to facilitate the hearing or the hearing decision.

The ALJ may either conduct the PHC or select an authorized designee to conduct the PHC. If an ALJ selects an authorized designee, the ALJ must provide the authorized designee with specific instructions regarding the purpose of the PHC.

An ALJ will not dismiss a request for hearing based solely on a claimant's failure to attend a PHC.

The purpose of a PHC is generally to explain or discuss with the claimant:

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  the right to representation, pursuant to HALLEX HA 01210.080 A, if they are unrepresented;

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  the hearing process;

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  what is needed for a finding of disability;

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  what is in the claim(s) file;

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  that medical treatment record(s) needs to be up-to-date and when applicable, that the claimant needs to submit a new form HA-4631 “Claimant's Recent Medical Treatment,” HA-4632 “Claimant's Medications,” or SSA-827 “Authorization to Disclose Information to the Social Security Administration” (for more information about obtaining a new form SSA-827, see HALLEX HA 01250.014 A);

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  that any recent work or school activity must be reported to the Social Security Administration (SSA), and when applicable, any new work activity must be recorded in a form HA-4633 “Claimant's Work Background”;

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  any particular issue for which an ALJ or authorized designee requested the PHC; or

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  additional information that is necessary for an ALJ to determine the next appropriate action or to come to an agreement on an issue(s).

An ALJ or hearing office (HO) staff will decide, after considering the totality of circumstances, whether the PHC will be in person, by audio, by agency video, or by online video. Using the appropriate templates, an ALJ or HO staff will notify the claimant in writing of the time, place, and purpose of a PHC at least seven business days before a scheduled PHC date, unless all parties have indicated in writing that they waive the right to such advanced written notice of a PHC. An ALJ or HO staff will ensure this writing is associated with the record and will note the date and time of the scheduled PHC in the applicable case processing system).

Each PHC must be recorded using the agency's recording equipment. An ALJ or HO staff must ensure the recording becomes part of the official record.

During a PHC, an ALJ or authorized designee may not discuss with the claimant or any appointed representative, the merits or strength of the claimant's claim(s), and the likelihood of an award or denial of benefits. During a PHC, an ALJ or authorized designee must neither encourage nor discourage representation (see also Program Operations Manual System GN 03910.010).

Generally, an ALJ or authorized designee will begin the PHC with an opening statement that provides the following information:

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  an introduction;

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  an explanation that the PHC will be recorded (and why);

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  verification of the claimant's contact information;

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  a brief statement explaining how the PHC will be conducted, the objectives of the PHC, and what issue(s) will be discussed; and

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  if the claimant appears to be unrepresented, verification that the claimant is unrepresented, and an explanation of the right to representation pursuant to HALLEX HA 01210.080.

During a PHC, the claimant has the opportunity to ask questions within the scope of a PHC. Unless a party to the PHC objects, an ALJ who conducts a PHC may issue an on-the-record order and reiterate all agreement(s) and action(s) resulting from the PHC. If an ALJ agreed to take certain action(s) or issue an order after a PHC, the ALJ must explain on-the-record that they will exhibit any order(s) or agreement(s) and make them part of the record and that any agreements on issue(s) or action(s) are binding.

After a PHC, an ALJ or HO staff will complete a form SSA-5002 “Report of Contact” to document the date of the PHC, the claimant's name, and summarize any action(s) taken. If an ALJ agreed to take a certain action(s) or issue an order during the PHC, the ALJ must provide a written summary that is proffered to the claimant and any appointed representative. For prehearing proffer procedures, see HALLEX HA 01250.029.

An ALJ or HO staff will also add a remark in CPMS or Case Note in HACPS documenting whether the claimant attended the PHC and whether they were informed of the right to representation, pursuant to the procedures set forth in HALLEX HA 01210.080 A.1.