Effective Dates: 04/12/2013 - Present Previous | Next

Last Update: 2013-04-12 I-1-64)

HA 01180.013 Employee and Management Accountability Determines an Investigation is Necessary

A. General

After a review pursuant to Hearings, Appeals, and Litigation Law (HALLEX) HA 01180.007, Employee and Management Accountability (EMA) may determine an investigation of an allegation(s) of unfairness, prejudice, partiality, bias, or its equivalent (“allegation(s)”) about an administrative law judge (ALJ) is necessary. If EMA determines an investigation is necessary, EMA, or its designee, will conduct an investigation. See Social Security Ruling (SSR) 13-1p: Titles II and XVI: Agency Processes for Addressing Allegations of Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative Law Judges (ALJs).

EMA will work with other Social Security Administration (SSA) components, as necessary, to determine whether Hearings should take any administrative or disciplinary action.

B. Hearings-Level Investigation Process

1. EMA Provides Referral

If EMA determines an investigation of the allegation is necessary, EMA will refer the complaint to the appropriate Hearings Hub for further investigation and update the ALJ Public Alleged Misconduct Complaints System database (“database”). See HALLEX HA 01180.007 A. If the ALJ who is the subject of the complaint is assigned to a hearing office, EMA will refer the complaint to the jurisdictional Head of Hearings Hub (HHH) or a designee.

NOTE 1: 

For cases in which a complaint involves the Deputy Chief Judge, an HHH, or an Associate Chief Administrative Law Judge, EMA will conduct the investigation and work with DDS and Hearings Quality to determine the appropriate course of action, if necessary.

NOTE 2: 

EMA will contact the HHH or designee where the ALJ is currently assigned, regardless of where the ALJ was assigned when the alleged conduct occurred.

When EMA refers a complaint to the HHH or designee , EMA will prepare a memorandum requesting that the Hearings Hub conduct an investigation. EMA will provide a copy of the complaint and notify the HHH or designee of the location of any relevant information in the electronic folder, or if the case is a paper file or information is not available electronically, EMA will email a portable document format (PDF) copy of the information to the HHH or designee using the appropriate mailbox provided in HALLEX HA 01210.086B.1.

2. Hearings Hub Responsibilities

Upon receipt of a memorandum from EMA to perform an investigation, the Hearings Hub will:

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    Promptly notify the ALJ of the complaint by giving him or her a copy of the complaint and providing any relevant documentation or hearing recording(s) that are not available electronically,

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    Generally give the ALJ 60 days to respond to the complaint,

    NOTE: 

    The Hearings Hub will give ALJs 60 days to respond to the complaint unless EMA indicates that a reduced response period is necessary. A reduced response period is only necessary when EMA is required to timely respond about the investigation to a source outside of Disability Adjudication (DA), including but not limited to Inspector General (IG) and Members of Congress. In these situations, EMA will notify the Hearings Hub that the ALJ response period will be less than 60 days and the reason for it. The Hearings Hub will provide that information to the ALJ.

  • •

    Consider whether to grant an extension if the ALJ requests an extension,

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    Investigate specific matters alleged in the complaint (including a review of the complaint and any relevant documentation, audit of the hearing recording(s), and contact with witnesses, if appropriate), and

  • •

    Perform any additional investigation, if necessary. This includes working with EMA to address complaints about an ALJ that involve a pattern or practice of misconduct or bias toward a particular group of individuals.

The HHH or designee will also prepare an investigative report that summarizes the findings of the investigation and contains a recommendation as to appropriate action regarding the ALJ. Such action could include counseling, training, mentoring, or disciplinary action, up to and including removal. The investigative report could also recommend that no action be taken against the ALJ. The HHH or designee will submit his or her report to EMA.

3. EMA's Final Investigative Report

Upon receipt of the HHH's or designee's investigative report, EMA staff will update the database on the status of the complaint. EMA staff will review the report and any additional documentation provided, including the ALJ's response, if any. EMA staff will then prepare a memorandum to EMA management with staff recommendation, which will incorporate the HHH's or designee's investigative findings, and update the database on the status of the complaint. EMA management will review the recommendation and determine how to proceed. EMA management will notify the HHH or designee in writing whether EMA agrees or disagrees with the recommended course of action, if any, including a recommendation for no action.

a. Agree with Recommendation and No Further Action is Necessary

If EMA management agrees with the recommendation that no further action is necessary, EMA management will notify the HHH or designee in writing that the complaint will be closed. The Hearings Hub will then notify the ALJ that the complaint will be closed.

b. Agree with Recommendation and Further Action is Necessary

If EMA management agrees with the recommendation that further action is necessary, EMA management will notify the HHH or designee in writing and direct him or her to proceed with the recommended course of action. After the action is complete, the HHH or designee will notify EMA.

c. Disagree with Recommendation

If EMA management disagrees with the recommended course of action, EMA management will explain in writing to the HHH or designee the reasons it disagrees with the recommendation and suggest additional action that EMA believes is appropriate: including, but not limited to, counseling, training, mentoring, or disciplinary action, up to and including removal. After the action EMA deems appropriate is completed, the HHH or designee will notify EMA.

If the HHH or designee disagrees with EMA regarding the recommended course of action, EMA will work with the HHH or designee to resolve the matter.

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    If the resolution results in action against the ALJ, EMA staff will keep the complaint open until it receives notification from the HHH or designee that the action is complete.

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    If the resolution results in no additional course of action against the ALJ, EMA management will inform the HHH or designee that no action will be taken. The Hearings Hub will then notify the ALJ that the complaint will be closed.

4. Notifying the Complainant at Completion of Investigation

When the investigation is complete, EMA will send closeout letters only to the complainant(s), individuals, or entities to whom it sent an acknowledgement letter. See HALLEX HA 01180.007 A.2.b.

The Hearings Hub will also send closeout letters only to the complainant(s), individuals, or entities to whom it sent an acknowledgement letter. See HALLEX HA 01180.007 B. If the Hearings Hub sends a closeout letter, the Hearings Hub will also forward a PDF copy of the closeout letter to EMA.

The closeout letter will indicate which Hearings Hub investigated the complaint. The letter will also explain that the Privacy Act prevents disclosure as to whether any action was or was not taken against the ALJ who is the subject of the complaint. See 5 U.S.C. 552a, Privacy Act of 1974.

5. Closing Out a Complaint

EMA will close out a complaint in the database when:

  • •

    It receives notification from the Hearings Hub that it has completed the course of action, if relevant; and

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    It receives notification from a Hearings Hub that a closeout letter has been sent to the complainant(s), if relevant.

C. Involvement of Other Agency Components

In the course of an investigation, EMA may find it necessary to make referrals to other Social Security Administration (SSA) components and seek advice on what course of action to take. Generally, this will occur when the scope of the investigation extends beyond EMA's area of responsibility or expertise.

1. Within DA

EMA may consult with Adjudication Practices and Procedures (APP) in Governance or the Appeals Council (AC) when issues arise regarding interpretation of hearings or AC-level policy or procedures. In these cases, EMA will send a formal request to APP or the AC seeking advice or guidance on a specific issue. EMA may summarize the relevant facts and concerns at issue but should not make a determination as to whether the allegations are substantiated. APP or the AC will provide a formal response to EMA as soon as practicable with an analysis of any applicable provisions.

After reviewing the formal response from APP or the AC, EMA will determine whether to recommend to the HHH or designee that the ALJ would benefit from additional training or development.

2. Outside of DA

a. Consultation with Other SSA Components

EMA will also consult with other SSA components, when necessary, such as Law & Policy and Labor Management and Employee Relations, when determining whether to recommend a particular course of action, such as counseling or disciplinary action (up to and including removal).

b. Referrals to Other SSA Components

If EMA substantiated a complaint involving the same issues that could have been raised under SSA's civil rights process, EMA will refer the case to Law & Policy for consideration. See SSR 13-1p. If EMA refers a case for consideration under the civil rights process, EMA will follow the procedures in SSR 13-1p.

In addition, EMA will refer the case to IG pursuant to agency policy if it discovers through its review and investigation process issues involving fraud, waste, or abuse. EMA may also consult with IG, if EMA learns that IG is investigating a related complaint.

To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/2501180013
HA 01180.013 - Division of Quality Service Determines an Investigation is Necessary (I-1-8-13) - 04/12/2013
Batch run: 06/11/2026
Rev:04/12/2013