Incorporation by Reference of Oral Findings of Fact and Rationale in Wholly Favorable Written Decisions

Social Security Administration

§ 404.953

The written request must give the
names of the witnesses or documents
to be produced; describe the address or
location of the witnesses or documents
with sufficient detail to find them;
state the important facts that the witness or document is expected to prove;
and indicate why these facts could not
be proven without issuing a subpoena.
(3) We will pay the cost of issuing the
subpoena.
(4) We will pay subpoenaed witnesses
the same fees and mileage they would
receive if they had been subpoenaed by
a Federal district court.
(e) Witnesses at a hearing. Witnesses
may appear at a hearing in person or,
when the conditions in § 404.936(c) exist,
by video teleconferencing. They shall
testify under oath or affirmation, unless the administrative law judge finds
an important reason to excuse them
from taking an oath or affirmation.
The administrative law judge may ask
the witnesses any questions material
to the issues and shall allow the parties or their designated representatives
to do so.
(f) Collateral estoppel—issues previously
decided. An issue at your hearing may
be a fact that has already been decided
in one of our previous determinations
or decisions in a claim involving the
same parties, but arising under a different title of the Act or under the
Federal Coal Mine Health and Safety
Act. If this happens, the administrative
law judge will not consider the issue
again, but will accept the factual finding made in the previous determination
or decision unless there are reasons to
believe that it was wrong.

cprice-sewell on PRODPC61 with CFR

[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986; 68 FR 5219, Feb. 3, 2003]

§ 404.951 When a record of a hearing
before an administrative law judge
is made.
The administrative law judge shall
make a complete record of the hearing
proceedings. The record will be prepared as a typed copy of the proceedings if—
(a) The case is sent to the Appeals
Council without a decision or with a
recommended decision by the administrative law judge;
(b) You seek judicial review of your
case by filing an action in a Federal

district court within the stated time
period, unless we request the court to
remand the case; or
(c) An administrative law judge or
the Appeals Council asks for a written
record of the proceedings.
[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986]

§ 404.952 Consolidated hearing before
an administrative law judge.
(a) General. (1) A consolidated hearing may be held if—
(i) You have requested a hearing to
decide your benefit rights under title II
of the Act and you have also requested
a hearing to decide your rights under
another law we administer; and
(ii) One or more of the issues to be
considered at the hearing you requested are the same issues that are involved in another claim you have pending before us.
(2) If the administrative law judge
decides to hold the hearing on both
claims, he or she decides both claims,
even if we have not yet made an initial
or reconsidered determination on the
other claim.
(b) Record, evidence, and decision.
There will be a single record at a consolidated hearing. This means that the
evidence introduced in one case becomes evidence in the other(s). The administrative law judge may make either a separate or consolidated decision.
[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986]

§ 404.953 The decision of an administrative law judge.
(a) General. The administrative law
judge shall issue a written decision
that gives the findings of fact and the
reasons for the decision. The decision
must be based on evidence offered at
the hearing or otherwise included in
the record. The administrative law
judge shall mail a copy of the decision
to all the parties at their last known
address. The Appeals Council may also
receive a copy of the decision.
(b) Wholly favorable oral decision entered into the record at the hearing. The
administrative law judge may enter a
wholly favorable oral decision into the
record of the hearing proceedings. If
the administrative law judge enters a

251

VerDate Aug<31>2005

15:09 May 23, 2007

Jkt 211063

PO 00000

Frm 00261

Fmt 8010

Sfmt 8010

Y:\SGML\211063.XXX

211063

§ 404.955

20 CFR Ch. III (4–1–07 Edition)

wholly favorable oral decision into the
record of the hearing proceedings, the
administrative law judge may issue a
written decision that incorporates the
oral decision by reference. The administrative law judge may use this procedure only in those categories of cases
that we identify in advance. The administrative law judge may only use
this procedure in those cases where the
administrative law judge determines
that no changes are required in the
findings of fact or the reasons for the
decision as stated at the hearing. If a
wholly favorable decision is entered
into the record at the hearing, the administrative law judge will also include in the record, as an exhibit entered into the record at the hearing, a
document that sets forth the key data,
findings of fact, and narrative rationale for the decision. If the decision incorporates by reference the findings
and the reasons stated in an oral decision at the hearing, the parties shall
also be provided, upon written request,
a record of the oral decision.
(c) Recommended decision. Although
an administrative law judge will usually make a decision, he or she may
send the case to the Appeals Council
with a recommended decision where
appropriate. The administrative law
judge will mail a copy of the recommended decision to the parties at
their last known addresses and send
the recommended decision to the Appeals Council.

cprice-sewell on PRODPC61 with CFR

[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986; 54 FR 37792, Sept. 13,
1989; 69 FR 61597, Oct. 20, 2004]

§ 404.955 The effect of an administrative law judge’s decision.
The decision of the administrative
law judge is binding on all parties to
the hearing unless—
(a) You or another party request a review of the decision by the Appeals
Council within the stated time period,
and the Appeals Council reviews your
case;
(b) You or another party requests a
review of the decision by the Appeals
Council within the stated time period,
the Appeals Council denies your request for review, and you seek judicial
review of your case by filing an action
in a Federal district court;

(c) The decision is revised by an administrative law judge or the Appeals
Council under the procedures explained
in § 404.987;
(d) The expedited appeals process is
used;
(e) The decision is a recommended
decision directed to the Appeals Council; or
(f) In a case remanded by a Federal
court, the Appeals Council assumes jurisdiction under the procedures in
§ 404.984.
[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986; 54 FR 37792, Sept. 13,
1989]

§ 404.956 Removal of a hearing request
from an administrative law judge to
the Appeals Council.
If you have requested a hearing and
the request is pending before an administrative law judge, the Appeals Council may assume responsibility for holding a hearing by requesting that the
administrative law judge send the
hearing request to it. If the Appeals
Council holds a hearing, it shall conduct the hearing according to the rules
for hearings before an administrative
law judge. Notice shall be mailed to all
parties at their last known address
telling them that the Appeals Council
has assumed responsibility for the
case.
[45 FR 52081, Aug. 5, 1980, as amended at 51
FR 303, Jan. 3, 1986]

§ 404.957 Dismissal of a request for a
hearing before an administrative
law judge.
An administrative law judge may dismiss a request for a hearing under any
of the following conditions:
(a) At any time before notice of the
hearing decision is mailed, you or the
party or parties that requested the
hearing ask to withdraw the request.
This request may be submitted in writing to the administrative law judge or
made orally at the hearing.
(b)(1)(i) Neither you nor the person
you designate to act as your representative appears at the time and place set
for the hearing and you have been notified before the time set for the hearing
that your request for hearing may be
dismissed without further notice if you
did not appear at the time and place of

252

VerDate Aug<31>2005

15:09 May 23, 2007

Jkt 211063

PO 00000

Frm 00262

Fmt 8010

Sfmt 8010

Y:\SGML\211063.XXX

211063