Last Update: 1/19/2016 (Transmittal I-2-164)
HA 01210.090 Hearing Office Staff Referrals of Possible Policy or Procedural
Issues
Renumbered from HALLEX section I-2-1-90
In most situations, reference to the Social Security Act,
regulations, rulings, the Hearings, Appeals and Litigation Law (HALLEX)
manual or the Program Operations Manual System (POMS) will resolve policy
or procedural issues that arise during the adjudication process. On
rare occasions, hearing office (HO) staff may observe a novel or
unusual situation for which additional advice is needed (e.g., there
are no instructions for the situation or a clarification of existing
instructions is needed).
When necessary, HO staff will first consult with the first
line supervisor regarding the issue(s). If the first line supervisor
determines that further discussion is warranted, the supervisor will
raise the issue(s) with the Hearing Office Chief Administrative Law Judge
(HOCALJ).
•
If the case has not yet been assigned to an administrative
law judge (ALJ), and the HOCALJ believes the issue(s) involves a
broader impact on the hearing operation (i.e., will likely arise in other
situations) or needs further advice, the HOCALJ will forward the matter to
the Office of Hearings Operations regional office (RO).
•
If the case has already been assigned to an ALJ, the
HOCALJ (or his or her designee) will advise the ALJ of the issue(s) and
ask the ALJ to evaluate it. If, after evaluating the issue(s), the ALJ
needs additional guidance, he or she will again discuss the matter with
the HOCALJ. If the ALJ and HOCALJ agree that further guidance is needed,
the HOCALJ will forward the matter to the RO.
If the novel or unusual situation
involves only a question of how to perform a clerical task based on
a recent policy or procedural change, it may be more appropriate for
HO staff to discuss the issue with the Hearing Office Director (HOD)
rather than the HOCALJ. Using the same general principles above, the HOD
will refer an issue to the RO when appropriate. In these circumstances,
a HOD will generally err on the side of referring a procedural issue to
the RO as other HOs will likely encounter the same issue.
RO personnel will evaluate the policy or procedural issue(s)
and determine whether a referral to the Division of Field Procedures
(DFP) in the Office of the Chief Administrative Law Judge is
appropriate. Generally, a referral from the RO is appropriate when the
policy or procedural question is of such complexity or significance
that additional guidance is required, or when it is likely that there
is inconsistent application of a policy or procedure nationwide. If
referral to DFP is appropriate, RO personnel will send the referral by
email to |||DCDA OHO HQ OCALJ DFP. DFP will decide the appropriate course
of action based on the particular issue(s) and circumstances.