Identification Number:
DI 29501 TN 3
Intended Audience:See Transmittal Sheet
Originating Office:ORDP ODP
Title:Assistance Requests from the Office of Hearings Operations (OHO)
Type:POMS Transmittals
Program:All Programs
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM
Part DI – Disability Insurance
Chapter 295 – Assistance Requests
Subchapter 01 – Assistance Requests from the Office of Hearings Operations (OHO)
Transmittal No. 3, 02/13/2020

Audience

PSC: DE, DEC, RECONR, SCPS;
OCO-OEIO: CR, ERE, FCR, FDE, RECONE;
OCO-ODO: DC, DE, DS, PETL, RECONE;
ODD-DDS: ADJ, DHU;

Originating Component

ODP

Effective Date

Upon Receipt

Background

This is a Quick Action Transmittal. These revisions do not change or introduce new policy or procedure.

Summary of Changes

DI 29501.010 Administrative Law Judge Requests Assistance to Obtain a Consultative Examination

We revised the terminology for CE provider to source in DI 29501.010B. In addition, we removed the bullet list of good reasons and referenced the examples of good reasons in DI 29501.010C1 instead, changed the terminology to good reason, and removed the terminology for refusal to cooperate in DI 29501.010C2. We also revised the references in DI 29501.010D for consistency with the revised FTC policy.

DI 29501.010 Administrative Law Judge Requests Assistance to Obtain a Consultative Examination

CITATIONS:

If an administrative law judge (ALJ) concludes that he or she needs a consultative examination (CE), the ALJ sends the HA-4489-U2 (Request for DDS Assistance in Obtaining Consultative Examination(s)) directly to the Disability Determination Services (DDS) with pertinent background evidence attached.

If the ALJ did not attach any background evidence, follow local procedures to gain the background materials. The ALJ decides what background evidence we provide to the CE source. The DDS provides the other information for the source, described in DI 22510.015.

The background evidence contains any relevant evidence the ALJ identified as related to the type of examination(s) ordered along with the most recently completed disability report form SSA-3441-BK (Disability Report-Appeal).

The ALJ indicates in the Remarks section of the HA-4489-U2 if he or she needs an updated SSA-827 (Authorization to Disclose Information to the Social Security Administration (SSA)).

A. DDS actions when an ALJ requests a CE

The DDS takes the following actions when an ALJ requests assistance in obtaining a CE.

  • Arrange for the CE following normal DDS guidelines and the instructions in DI 22510.000 Development of Consultative Examinations (CE) – Table of Contents.

  • Include the relevant medical background evidence that the ALJ forwarded, if any.

  • If the ALJ requests that a certain medical specialty perform the CE, make a reasonable effort to comply with the special request. If you encounter or anticipate any difficulty in securing services by the requested medical specialty, you may propose an appropriate alternative source to the ALJ.

  • If a DDS medical or psychological consultant (MC/PC) believes the test or other diagnostic procedure is medically adverse, return the request to the ALJ with a cover letter explaining why the claimant should not have the specific test performed. If the ALJ does not agree, the Regional Chief ALJ's office will attempt to resolve the difference with the Regional Center for Disability.

  • Pay the prevailing fee for the CE in accordance with the local DDS established fee schedule. For information on establishing local fee schedules, see DI 39545.600.

See Details:

DI 81020.100 Electronic Assistance Requests

B. DDS notifications and evidence

The DDS takes the following actions when scheduling a CE for the ALJ:

  1. 1. 

    Notify the claimant and the appointed representative (if any) that the ALJ requested a CE.

  2. 2. 

    Inform the CE source that the examination is for an SSA hearing.

  3. 3. 

    Include in the information sent to the CE source:

    • The relevant medical background evidence forwarded by the ALJ,

    • Any special forms provided by the ALJ for the CE source’s medical opinion of the claimant’s functional capacity, and

    • A signed and dated SSA-827 (Authorization to Disclose Information to the Social Security Administration (SSA)) provided by the hearing office (HO) or a blank SSA-827. If sending a blank SSA-827, ask that the CE source have the claimant sign and date it at the time of the CE. Instruct the CE source to retain the signed and dated SSA-827.

  4. 4. 

    Follow up for the report within 15 calendar days after the CE date.

For paper cases only:

  • Send a copy of the request for the CE to the ALJ at the same time you make the request to the CE source.

  • Provide the ALJ a copy of the follow up letter or telephone report of contact.

C. Claimant does not attend a CE or test

If a claimant does not attend a CE or test requested by an ALJ, assess whether the claimant had good reason for doing so. 

  • Contact the hearing office (HO) to determine if the claimant or appointed representative communicated a good reason for missing the appointment.

  • Consider the claimant’s physical, mental, educational, and linguistic limitations when determining whether good reason(s) exist for failing to attend a CE.

  • For residents of the Fourth Circuit (Maryland, North Carolina, South Carolina, Virginia, and West Virginia), see Acquiescence Ruling 90-4(4).

1. Good reasons established for not attending a CE or test

If the claimant can establish good reason for failure, reschedule the CE or test. For examples of good reasons, see DI 23007.001B. You must exercise judgment and take into account the facts of each claim.

2. Good reasons not established for not attending a CE or test

If the claimant cannot establish good reason, or the claimant does not attend a rescheduled CE or test, respond to the assistance request (AR) and include the documentation in eView.

For paper cases only, return the request to the ALJ, along with the reason(s) the claimant provided, if any, for missing the CE or test.  The ALJ will associate any documentation from the DDS with the claim(s) file. 

NOTE: If the ALJ determines the claimant had good reason for not attending the CE or test (and the claimant does not oppose attending or undergoing a CE or test), the ALJ will submit a new AR requesting the DDS schedule another CE or test as soon as possible. 

D. References

  • DI 22510.015: Information for Consultative Examination (CE) Source

  • DI 23007.001: Failure to Cooperate and Insufficient Evidence Definitions

  • DI 23007.010: A Reasonable Effort to Identify and Involve a Third Party in Claims Involving Failure to Cooperate and Insufficient Evidence

  • DI 81020.100: Electronic Assistance Requests (AR)


DI 29501 TN 3 - Assistance Requests from the Office of Hearings Operations (OHO) - 2/13/2020