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Office of Disability Adjudication and Review

Volume I

Transmittal No. I-3-48

Chapter: I-3-1

Subject: Workup of Case by Analyst


This transmittal amends the Hearings, Appeals and Litigation Law (HALLEX) manual Chapter I-3-1 to clarify the Appeals Council's revised process for processing allegations of unfairness, prejudice, partiality, bias, or its equivalent (“allegations” about an administrative law judge (ALJ). These revisions are necessary to comply with recently published 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).

Explanation of Content and Changes

We made changes to HALLEX I-3-1-25 as follows:

I-3-1-25 A – We updated the language to reflect the publication of SSR 13-1p and other changes made throughout this section. In addition, we simplified the language.

I-3-1-25 B – We updated this section, consolidated it with former Section C, and removed subsection I-3-1-25 B.4. to comply with SSR 13-1p and provide more detailed guidance on how to identify and process allegations. We also made revisions to reflect how we will use our electronic case processing system, Appeals Review Processing System (ARPS), and to provide suggested language for Appeals Council (AC) action documents.

I-3-1-25 C – We moved former Section D to this section and expanded it to comply with SSR 13-1p. We provided additional guidance on when the AC can refer issues regarding ALJ conduct to the Division of Quality Service (DQS) without an allegation in the record. We also made revisions to reflect how we will use our electronic case processing system, ARPS, and to provide suggested language for AC action documents.

I-3-1-25 D – We replaced the former Section D with a section on the role of the Executive Director's Office for the Office of Appellate Operations in referring allegations to DQS.

I-3-1-25 E – We removed this section because it is encompassed under SSR 13-1p which sets forth the role of DQS and the process for referrals from the AC.

Date: April 5, 2013