Effective Dates: 5/31/2024 - Present

Identification Number:
GN 03103 TN 51
Intended Audience:See Transmittal Sheet
Originating Office:ORDP OISP
Title:Hearings (Title II and Entitlement Under Title XVIII)
Type:POMS Full Transmittals
Program:
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM

Part GN – General

Chapter 031 – Appeals

Subchapter 03 – Hearings (Title II and Entitlement Under Title XVIII)

Transmittal No. 51, 05/31/2024

Audience

PSC: CA, CS, DE, DS, ICDS, IES, ISRA, RECONR, SCPS, TSA, TST;
OCO-OEIO: CR, EIE, FCR, FDE, PETL, RECONE, RECONR, RECOVR;
OCO-ODO: CR, CST, CTE, CTE TE, DE, DEC, DS, PETE, PETL, RCOVTA, RECONE, RECOVR;
ODD-DDS: REF;
FO/TSC: CS, CS TII, CS TXVI, CSR, CTE, DT, FR, OA, OS, RR, TA, TSC-CSR;

Originating Component

OISP

Effective Date

Upon Receipt

Background

This section provides policy and procedure for filing and processing complaints of alleged bias or misconduct by an administrative law judge (ALJ). We are updating the section to reflect the Division of Quality Service’s (DQS) process for handling complaints of alleged bias or misconduct by an ALJ as described in Social Security Ruling (SSR) 13-1p. SSR 13-1p states that DQS is responsible for reviewing all complaints of alleged bias or misconduct by an ALJ that DQS receives that are within its jurisdiction, regardless of whether the complaint is filed while a hearing is pending or after a hearing decision or dismissal has been issued and regardless of whether the complaint is filed with the Office of Hearing Operations, a field office, or the DQS.

Summary of Changes

GN 03103.300 Division of Quality Service (DQS) Process for Addressing Complaints of Alleged Bias or Misconduct

We re-titled the section title to "Division of Quality Service (DQS) Process for Addressing Complaints of Alleged Bias or Misconduct by Administrative Law Judges (ALJ)."

Subsection A:

We made editorial updates to this subsection and added the language in the note to the paragraph for clarity.

Subsection B:

We added language that explains complaints of alleged bias or misconduct by an ALJ are not subject to the administrative or judicial review processes. This information was in subsection C. We also removed the example and updated the language to plain language for clarity.

Subsection C:

  • •

    We re-titled the subsection to “How to submit a complaint to DQS.”

  • •

    We moved the information that explains a complaint is not subject to the administrative or judicial review processes to subsection B.

  • •

    We added information from SSR 13-1p and new information about how to submit a complaint to this subsection.

  • •

    We moved partial information that explains how to submit a complaint in subsection D to this subsection.

Subsection D:

  • •

    We re-titled this subsection to “Field office (FO) procedure.”

  • •

    We moved partial information that explain how to submit a complaint in this subsection to subsection C.

  • •

    We deleted the note.

  • •

    We added information about the FO procedures for the complaint process. This language was in subsection F.

Subsection E:

  • •

    We re-titled the subsection to "DQS complaint investigation process."

  • •

    We added information about the DQS complaint process and updated the language to plain language for clarity.

Subsection F:

  • •

    We re-titled this subsection to "Procedure - Additional information. "

  • •

    We moved the FO procedures numbers 1 through 3 to subsection D.

  • •

    We deleted the FO procedures numbers 4 through 6.

  • •

    We added information about how to obtain additional information.

Subsection G:

We deleted this subsection because the procedure already existed in TC 03001.030.

Subsection H:

We deleted subsection H and the information about how to obtain additional information is now in subsection F.

GN 03103.300 Division of Quality Service (DQS) Process for Addressing Complaints of Alleged Bias or Misconduct by Administrative Law Judges (ALJs)

A. Introduction

The Social Security Administration (SSA) is committed to providing every individual fair and unbiased treatment in the handling of all claims by its Office of Hearings Operations (OHO). SSA is also committed to affording individuals an opportunity to submit complaints regarding alleged ALJ bias or misconduct to the agency. SSA will review all such complaints, and if warranted by the facts presented will also conduct an investigation per Social Security Ruling (SSR) 13-1p.

SSR 13-1p explains SSA's three separate processes for addressing complaints of alleged bias or misconduct by an ALJ. This Program Operations Manual System (POMS) section explains the second process set forth in SSR 13-1p by which claimants, their representatives, and other members of the public may file an ALJ bias or misconduct complaint with the DQS.

B. Policy—General

Complaints of alleged bias or misconduct filed with the DQS are not subject to the administrative or judicial review process and they do not confer any appeal rights. Filing a complaint with the DQS is not a means to:

  • •

    Appeal an unfavorable ALJ decision (see GN 03104.100 for Appeals Council (AC) review procedures);

  • •

    Ask SSA to consider investigating alleged bias or misconduct by an ALJ that occurred outside of the hearings and appeals process or was unrelated to the actual adjudication or decision of a case; or

  • •

    Ask an ALJ to disqualify or recuse themselves from hearing a case (an individual who objects to the ALJ assigned to conduct the hearing must ask the ALJ to withdraw from the hearing in accordance with 20 CFR sections 404.940 and 416.1440).

C. How to submit a complaint to DQS

An individual wishing to file a complaint alleging ALJ bias or misconduct must do so in writing within 180 days of either the date of the action complained of, or the date the individual became aware of such conduct. Although we will accept a complaint filed at any OHO or other SSA office, to avoid processing delays, the individual should send the complaint and any supporting documentation directly to the DQS at:

Office of Hearings Operations

Office of Executive Operations and Strategic Management

ATTN: Division of Quality Service

6401 Security Blvd

Baltimore, MD 21235

Members of the public may email their complaint to the DQS at ^Fair ALJ Hearings. However, emailing a complaint is not a secure means of communication. Therefore, information included in an email could be intercepted and read by others outside SSA and used by these third parties for purposes not in line with its intended use. If using the email option, individuals should limit personal information to only what is necessary to explain the allegation and should not include any Social Security Numbers (SSN), home addresses, other personally identifiable information, or attachments.

Individuals may also fax complaints to the DQS at (833) 769-0252.

The DQS will make reasonable efforts to acknowledge receipt of complaints in writing within 60 days from the date it receives a complaint. If one of the OHO Regional Offices (RO) or the National Service Delivery (NSD) Central Office receives a complaint directly from a member of the public, the OHO RO or NSD Central Office will make a reasonable effort to acknowledge receipt of the complaint in writing within 60 days from the date it receives the complaint and will forward the complaint to the DQS for processing.

D. Field office (FO) procedure

When an individual alleges ALJ bias or misconduct to a FO employee, take the following actions:

1. General

Explain to the individual the complaint submission process described above in GN 03103.300C. If the individual asks for details about how the DQS will investigate the allegations, refer to GN 03103.300E below. An individual wishing to file a complaint with the DQS may do so while a hearing is pending or after a hearing decision or dismissal, regardless of whether the case is pending further review at the AC.

If the individual wishes to file a complaint but does not wish to submit it to the DQS using one of the above methods in GN 03103.300C, assist the individual in preparing the written complaint on form SSA-795 (Statement of Claimant or Other Person).

If the individual does not wish to file a complaint, take no action.

2. Complaint content

If you are assisting an individual in preparing the written complaint, record as much detail as possible and include the following information on the form SSA-795:

  • •

    The individual's name, city and state residence, telephone number, and SSN (and if the individual is making the complaint on behalf of someone else, the name, city and state of residence, telephone number, and SSN of the individual they are making the complaint for, and their relationship to that individual), and

  • •

    A complete description of the action(s) that is the basis for the complaint, including the identity of the individual responsible, when the event(s) occurred, and the name, city and state of residence, and telephone number of any individuals who witnessed the alleged bias or misconduct.

3. Complaint routing

Email a copy of the complaint along with any additional relevant information to the DQS at ^Fair ALJ Hearings. If the individual filing the complaint is at the FO, provide the individual (and the appointed representative, if any) with a dated copy of the complaint. Once the complaint has been emailed to the DQS, no further action is required by the FO.

E. DQS complaint investigation process

SSR 13-1p and the Hearings Appeals and Litigation Law manual (HALLEX) contain information about how SSA addresses complaints of ALJ bias and misconduct. See HALLEX I-3-2-25 for complaints received by the AC and HALLEX I-1-8-7, HALLEX I-1-8-10, and HALLEX I-1-8-13 for complaints received by the DQS, OHO RO, or the NSD Central Office.

The DQS or their designee will review complaints by auditing the relevant hearing recording (s), if available, and reviewing the hearing decision and any other relevant documentation. If the DQS concludes that an investigation is unnecessary, it will close out the complaint.

If the DQS determines that an investigation is warranted, they will forward the complaint to the appropriate OHO RO or to the NSD Central Office.

The OHO RO's or NSD's investigation may also include auditing the hearing recording, examining the hearing decision, and any other relevant documentation, and contacting witnesses who have information related to the complaint. When the investigation is completed, the OHO RO or NSD Central Office will prepare a report for the DQS that contains findings and will, if warranted, recommend appropriate action regarding the ALJ.

F. Procedure—Additional information

If you need additional information about the complaint process or have questions about these instructions, contact the DQS at (703) 605-8450.


GN 03103 TN 51 - Hearings (Title II and Entitlement Under Title XVIII) - 5/31/2024