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 |||OHO OCALJ DFP. DFP will decide
the appropriate course of action based on the particular issue(s)
and circumstances.