Last Update: 9/1/2005 (Transmittal II-5-08)
HA 02510.007 Appeals Council
Action When an Administrative Law Judge (ALJ) Should Have Dismissed
on the Basis of Administrative Res Judicata
Renumbered from HALLEX section II-5-1-7
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Appeals
Council Interpretation
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SUBJECT |
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Appeals Council Action When an
Administrative Law Judge (ALJ) Should Have Dismissed on the Basis
of Administrative Res Judicata |
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ISSUE |
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Will the Appeals Council assume
jurisdiction to dismiss a request for hearing when an ALJ has issued
a decision on the merits but should have dismissed the request for
hearing on the basis of administrative res judicata? |
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DISCUSSION |
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The regulations at 20 CFR §§ 404.957(c)(1) and 416.1457(c)(1)
provide that an ALJ may dismiss a request for hearing entirely or
refuse to consider any one or more of the issues if the doctrine
of res judicata applies. The conditions for the
application of administrative res judicata are
present when there has been a previous determination or decision
under the same title of the Act about the same party's rights on
the same facts and on the same issue or issues, and this previous
determination or decision has become final by either judicial or
administrative action. |
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The ALJ should consider whether
to apply administrative res judicata in all
appropriate instances. Although an ALJ has discretion to determine
whether the prior and current claims involve the same parties, facts
and issues, application of administrative res judicata is
mandatory when the requisite conditions are met. |
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Accordingly, the Appeals Council
has decided that it will continue to assume jurisdiction in order
to dismiss a request for hearing in whole or in part on the basis
of administrative res judicata when the ALJ
has issued a decision on the merits but should have wholly or partially
dismissed the request on the basis of administrative res
judicata. |
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INTERPRETATION |
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The Appeals Council will ordinarily
assume jurisdiction on error of law grounds when the ALJ issued
a decision on the merits but the record shows that the request for
hearing should have been dismissed in whole or in part on the basis
of administrative res judicata. The Appeals
Council will vacate the hearing decision as appropriate and dismiss
the request for hearing in whole or in part. If the Appeals Council
concludes that further proceedings are necessary to consider whether
administrative res judicata applies, it will
remand the case. |
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APPLICATION |
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The Appeals Council will apply
this interpretation in all cases that come before it involving the
same issue. |
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EFFECTIVE DATE |
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August 27, 1991 |
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CROSS-REFERENCE |
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20 CFR §§ 404.957(c)(1) and 416.1457(c)(1);
HALLEX HA 01240.040 and HA 01330.009. |