Decide whether it is necessary to issue a new instruction or guideline or revise an existing instruction or guideline. Permanent or longstanding changes in guiding principles, procedural guidance, and information at the hearing level and Appeals Council should be added to the Hearings, Appeals and Litigation Law (HALLEX) manual through the revision process. Indications for the need to issue revised HALLEX procedures can come from a variety of sources, including, but not limited to, the following:

1. 1. 

   Legislative changes;

2. 2. 

   Regulatory changes;

3. 3. 

   Social Security and Acquiescence Rulings;

4. 4. 

   Program Operations Manual System updates;

5. 5. 

   Emergency Messages and Chief Judge Bulletins;

6. 6. 

   Agency-wide initiatives; and

7. 7. 

   Referrals from another Office of Disability Adjudication (ODA) component or a component elsewhere within the Social Security Administration (SSA).

As authoring components, the Office of Appellate Operations (OAO) or the Office of the Chief Administrative Law Judge (OCALJ), depending on the subject matter, will:

1. 1. 

   Determine whether the new issuance should be a new or updated HALLEX subchapter or section, temporary instruction, Appeals Council Interpretation, or action item.

2. 2. 

   Prepare the draft text, using the HALLEX template.

   • •

     For a new subchapter or section, the author follows existing HALLEX template to create the new material.

   • •

     For revisions to existing material, the author obtains a template of the subchapter(s) or section(s) from the Division of Data Exchange, International Negotiations, Notices, and Publications.

3. 3. 

   For new or updated instructions (but not temporary instructions or action items), prepare a draft transmittal sheet that includes a brief background statement of the reason(s) for the issuance, and an explanation of the substantive changes to previously issued material.

   NOTE: 

   Because several HALLEX issuances could be in development at the same time, transmittal numbers are assigned for each issuance only at publication.

4. 4. 

   Distribute the draft HALLEX and transmittal sheet for intercomponent review and comment. The request will contain a description of the material for review, due date for the submission of comments, and a contact person from the authoring component.

   • •

     Depending on the nature of the issuance and other considerations such as time limits, the authoring component may circulate a draft to OAO and OCALJ and resolve the comments before seeking formal comments from other SSA components..

   • •

     Generally, in addition to OAO and OHO, the Office of Disability Policy and the Office of General Counsel receive HALLEX drafts for review and comments. Based on the subject matter, comments may also be requested from other SSA components.

5. 5. 

   After review and comment period, consider all comments and as necessary, revise the draft to incorporate adopted comments or suggestions.

6. 6. 

   Summarize the comments and responses using a chart format. Complete comment resolution ensures that all comments are considered and improves the accuracy of the review and approval process as well as the final product.

   • •

     The comment summary provides resolution of all substantive comments and indicates whether the comment was adopted in full, in part, or not at all. If a comment is not adopted, an explanation is provided.

   • •

     Editorial comments may be grouped together and addressed in a consolidated response.

7. 7. 

   Prepare a background book, which includes the final versions of the transmittal or other issuance and the transmittal sheet, the draft that was circulated for comment, the comments received, and the comment summary and resolution. If the issuance changes or incorporates an existing instruction, include that instruction and any other background material.

OAO designated staff will forward the complete background book for all new and updated HALLEX, including sections authored by OCALJ, to the OAO Executive Director or designee for final approval. (See HALLEX HA 01105.007E for HALLEX Action Items.)

After the Executive Director or designee approves the issuance, OAO designated staff will send the HALLEX issuance for publication (see HALLEX HA 01105.004A). OAO will also prepare and provide a brief explanation of the issuance for inclusion in the Daily PolicyNet Instructions Postings. OAO designated staff will retain the electronic background book for historical purposes and as documentation that the appropriate clearances were obtained.

Each OAO and OHO component is responsible for providing input and support to OAO and OCALJ authoring staff in developing HALLEX instructions.

In certain instances, OAO and OCALJ may make minor changes to HALLEX via action items without preparing individual transmittals. These changes are announced through an entry in the Daily PolicyNet Instructions Postings for Hearings, Appeals and Litigation Law (HALLEX) manual Action Items. The linked entry leads to a Policy Instruction (see EXHIBIT) describing the specific change(s) and explaining the reason for the change(s). The Policy Instructions are stored in PolicyNet under Instructions, HALLEX, HALLEX Action Items.

1. 1. 

   OAO Executive Director or designee approval is not required for minor, non-substantive proposed HALLEX actions such as:

   • •

     Nomenclature changes (e.g., updating the name of an SSA component);

   • •

     Adding or deleting small amounts of information (e.g., to enhance clarity on existing guidance or to remove obsolete and outdated instructions to align with more recently published guidance);

   • •

     Correcting an error (e.g., a typographical error or omission);

   • •

     Changing or adding: an address; a phone or FAX number; a contact name; a cross-reference; a hyperlink or URL (uniform resource locator);

   • •

     Updating the name of a form or screen application; or

   • •

     Updating a dollar amount with no effect on delegation of authority.

2. 2. 

   OAO designated staff may refer for Executive Director or designee approval proposed HALLEX changes that involve other minor changes (e.g., updating a dollar amount that affects a delegation of authority to OAO and OHO personnel under the fee petition process).

3. 3. 

   Non-OAO components requesting an action item change to HALLEX should prepare and e-mail to the OAO Executive Director or designee, the following:

   • •

     a Word document containing the affected section(s) with the necessary updates in “track changes” format;

   • •

     a chart documenting each line item change; and

   • •

     a Policy Instruction (see exhibit below).

4. 4. 

   OAO designated staff will review the change(s) for accuracy and consistency with established standards, policies, and procedures. OAO staff will resolve any issues with the component that originated the action item.

5. 5. 

   Once the review is complete and proper approval for the change is obtained, OAO designated staff will request publication by sending the action item to the ^HALLEX Minor Changes mailbox.

EXHIBIT: