Effective Dates: 09/10/2021 - Present Previous | Next

Last Update: 9/10/2021 (Transmittal I-3-185)

HA 01350.050 Appeals Council Receives Additional Evidence or Other Requests After Issuing Denial of Request for Review

Renumbered from HALLEX section I-3-5-50

A. Identifying Additional Evidence Received After the Appeals Council Has Denied Review

The Appeals Council (AC) may receive additional evidence after it has denied a request for review and closed the case in the Appeals Review Processing System (ARPS). As it is common for appointed representatives or other agency components to submit additional evidence electronically, branch chiefs must ensure support staff regularly reviews relevant Electronic Folder Transaction workload listings to identify additional evidence, even when a case is closed.

When the AC receives additional evidence that was not submitted electronically after it denies a request for review, support staff will determine whether the claimant has filed a civil action and, if so, route the additional material to the jurisdictional Court Case Preparation Review Branch (CCPRB).

If the claimant has not filed a civil action, support staff will:

  • •

    add an unhidden remark in the closed case in ARPS, describing the material and indicating the action taken;

  • •

    scan the evidence into the file (if electronic) or recall the paper file from the storage facility, establish a To Do Item in the closed case in ARPS, associate the evidence on receipt of the file, and delete the To Do Item; and

  • •

    forward the file to a designated analyst reviewer in the branch (usually the analyst who previously reviewed the case) and establish a control due date with a To Do Item in ARPS.

B. Establishing a Case With Additional Evidence in ARPS

1. Evidence Is Duplicative

If the evidence is duplicative of material already in the file, the designated analyst reviewer will not add a new case in ARPS. Instead, he or she will add a new unhidden remark in ARPS indicating the material is duplicative. In electronic files, the designated analyst reviewer will lock the case in eView and, in the Notes in the F section, indicate that the material is duplicative and identify the exhibit(s) that the information duplicates. In paper files, the designated analyst reviewer will mark the document(s) itself as duplicative, specifically noting which exhibit(s) it duplicates. The designated analyst reviewer will then delete the To Do Item in ARPS.

2. Evidence Is Not Duplicative

If the evidence is not duplicative, the designated analyst reviewer will ask support staff to create a new ARPS record with the workload type “Reopening (REO).” The request date will be the date of the prior AC denial notice.

NOTE: 

If the claimant submitted the evidence before the date of the AC denial notice, support staff will also add the case characteristic “TMVV” (CORR Rec'd Before AC Action-Review NEC).

After establishing the ARPS record, the support staff will assign the case to the designated analyst reviewer for workup and delete all related To Do Items.

C. Reviewing the Additional Evidence

1. Evidence Submitted but Not Associated Prior to Date of Denial Notice

Occasionally, a claimant will submit additional evidence for AC review before the AC releases its denial notice, but the evidence is not associated with the file until after the AC releases its denial notice. In these instances, the AC must consider the claimant's request for review again.

NOTE: 

If a Federal court action has been filed based on the AC denial, the analyst will notify the jurisdictional CCPRB of the additional evidence issue.

If, after analyzing the additional evidence, the designated analyst reviewer recommends the AC again deny the request for review, he or she will choose “Re-Deny” as the final recommendation in ARPS. The designated analyst reviewer will also prepare an amended denial notice vacating the prior action. The notice will:

  • •

    address the additional evidence under Hearings, Appeals, and Litigation Law (HALLEX) manual HA 01350.020, including any protective filing date issues; and

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    advise the claimant of the right to file a civil action based on the amended notice.

NOTE: 

If the designated analyst reviewer has received this case after support staff has followed the procedures in HA 01350.050 D below, because a request for exhibits, hearing recording(s), or extension of time was submitted but not associated prior to the date of the denial notice, the amended denial notice need not vacate the prior action because the COR 40-A or COR 40-C letter will already have vacated the prior denial.

If the designated analyst reviewer recommends any action other than a “re-deny,” he or she will apply the usual procedures for that action, and an administrative appeals judge will review the recommendation and take appropriate action on the claim.

2. Evidence Submitted on or After Date of Denial Notice

If the claimant submits evidence on or after the date of the denial notice, the AC will not vacate its denial of the request for review. Rather, the AC treats the submission of additional evidence as an implied request for reopening of the administrative law judge's decision. For more information about reopening procedures, see HALLEX .

NOTE: 

If, before the date of the AC denial notice, the claimant also requested exhibits, the hearing recording, or an extension of time, and the AC has not responded to the request(s), see the instructions in HA 01350.050 D below.

If, after looking at the additional evidence, the designated analyst reviewer recommends the AC deny the request for reopening, he or she will choose “Deny” as the final recommendation in ARPS. The designated analyst reviewer will then prepare a denial notice, using the COR 42 in the Document Generation System. (If the analyst recommends an action other than a denial, the analyst will use the applicable procedures for the proposed action).

The AC will not return the evidence to the claimant unless there is a compelling reason to do so. A compelling reason exists when the claimant submits original copies of information that is unusual or may be difficult for the claimant to re-obtain. For example, the AC will return original copies of birth or marriage certificates.

D. Other Request for Exhibits, Hearing Recording(s), or Extension of Time Received but Not Associated Prior to Date of Denial Notice

The AC may also receive a request for exhibits, a hearing recording, or an extension of time before it releases its denial notice, but does not associate the request with the file until after it releases its denial notice. In these instances, the AC must vacate the prior denial to consider the claimant's request for review again after the claimant has had an opportunity to review and comment, as explained below.

NOTE: 

If the request for exhibits or a hearing recording was submitted by a representative who has access to the electronic folder, the instructions below still apply. However, the person preparing the response will also include the following language:

“We are not enclosing copies of the exhibits and/or digital recording you requested because you have access to the electronic folder through the Appointed Representative Services website at www.socialsecurity.gov/ar.”

The legal assistant (LA) is usually the support staff responsible for handling these requests. The LA will obtain an ARPS query to ensure that the AC has not previously responded to the requested information and a civil action has not been filed. If the LA determines that the AC has not responded to the requested information and the claimant has already filed a civil action, he or she will route the additional material that was not submitted electronically to the jurisdictional CCPRB.

If the claimant has not filed a civil action, the LA will:

  • •

    establish a new ARPS record with workload type “Reopening (REO),” using the date of the AC denial notice as the request date and adding case characteristic “TMVV”;

  • •

    in paper cases, request the file from the storage facility and establish a To Do Item to control the request;

  • •

    add an unhidden remark to the ARPS record describing who made the request for duplicate tapes, exhibits, or both, and when the request was received;

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    immediately prepare a COR 40-A or COR 40-C letter with the designated electronic signature (the COR 40-A is used when the requested information is sent with the vacate action and is signed by an adjudicator; the COR 40-C is used when the action is vacated but requested information has not yet been duplicated and is signed by the Executive Director);

  • •

    release the letter to the claimant and representative, if any (with the branch chief's approval); and

  • •

    if there is a subsequent application pending at the hearing level, notify the hearing office by fax that the AC vacated its denial notice to reconsider the claimant's request for exhibits, hearing recording, or both (to notify, use the Subsequent Application Case Flag, crossing out the denial information and annotating the flag that the AC vacated the denial and the request for review is now pending).

As soon as the LA has taken necessary actions, he or she will:

  • •

    process the request for exhibits, hearing recording, or both;

  • •

    send the material to the claimant and representative, if any; and

  • •

    diary the case for potential response from the claimant and representative, if any.

When the claimant submits additional evidence or contentions, or the diary matures, the case will be assigned to a designated analyst reviewer to rework the case, using the procedures noted in HA 01350.050 C.1 above.

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HA 01350.050 - Appeals Council Receives Additional Evidence or Other Requests After Issuing Denial of Request for Review (I-3-5-50) - 09/10/2021
Batch run: 04/20/2025
Rev:09/10/2021