HALLEX I-1-001
Office of Hearings and Appeals
Social Security Administration (S.S.A.)
Department of Health and Human Services
Volume I
Division I: General Subjects
Subject: Introduction to HALLEX
Chapter: I-1-000
June 30, 1994
Current through March 1997

I-1-001 PURPOSE (REVISED 03/92)
This Chapter describes HALLEX--the Hearings, Appeals and Litigation Law (LEX) manual. It also provides the format and guidance for those who prepare HALLEX issuances.
Through HALLEX, the Associate Commissioner of Hearings and Appeals conveys guiding principles, procedural guidance and information to the Office of Hearings and Appeals (OHA) staff. HALLEX includes policy statements resulting from an Appeals Council en banc meeting under the authority of the Appeals Council Chair. It also defines procedures for carrying out policy and provides guidance for processing and adjudicating claims at the Hearing, Appeals Council and Civil Actions levels.


HALLEX I-1-002

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-002 ORGANIZATION OF HALLEX (REVISED 03/92)

A. Volumes and Divisions

HALLEX consists of two volumes.

Volume I has five divisions:

Division 1--General Subjects

Division 2--Administrative Law Judge Hearings

Division 3--Appeals Council Review

Division 4--Civil Actions

Division 5--Temporary Instructions--This division contains instructions that apply only for a limited time period or that address special situations or communicate information that will later be incorporated into Divisions 1 through 4. Each temporary instruction carries an expiration date when the HALLEX user should discard it unless notified otherwise. When appropriate, we enter a reference to the temporary instruction on the Table of Contents for Divisions 1 through 4 and annotate any related permanent instruction to reflect the existence of the temporary instruction.

Volume II houses desk reference guides. Part 1 of Volume II is the OHA Circuit Court Case Reporter, Part 2 contains system-related information, and Parts 3 and 6 include standardized language for the field, and headquarters components, respectively, to use in handling our workload. Part 5 contains Appeals Council Interpretations (ACIs). ACIs are designed to surface and resolve issues arising from gaps in policy or unclear statements of policy, promote greater consistency and uniformity in applying policy throughout the adjudicatory process, and establish precedents at the hearings and appeals levels of adjudication. Part 4 is reserved for future use in providing other reference guides to assist OHA adjudicators in applying applicable statutes, regulations, rulings, and case law.

B. Organization Within a Division of Volume I

Following "I-,"a 4-digit number, with a hyphen between the first and second digits, precedes each manual section in the first four divisions in Volume I.

- The first digit identifies the division.

- The second digit identifies the chapter.

- The third and fourth digits identify the section number within the chapter.

Example: I-2-321 is Division 2, Chapter 3, Section 21 in Volume I.

We number the Division 5 issuances sequentially and the user should file them in that order.

When a regional office (RO) or hearing office (HO) issues supplemental procedures, it uses the section number it is supplementing and adds the region number or the HO location in parentheses; e.g., I-2-321 (IV) or I-2-321 (Richmond).


HALLEX I-1-003

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-003 THE HALLEX AUDIENCE (REVISED 03/92)

HALLEX communicates OHA guiding principles and procedures to OHA adjudicators; i.e., Administrative Law Judges (ALJs) and Administrative Appeals Judges (AAJs), and to their support staff.

HALLEX serves as a reference source for staff throughout OHA; however, each division addresses a primary audience. The primary audience for each division of Volume I is as follows:

Division 1 General Subjects--All Headquarters and field adjudicators and support staff

Division 2 ALJ Hearings--All ALJs, AAJs, staff attorneys, hearing analysts, HO support staff, and Headquarters analysts

Division 3 Appeals Council Review--AAJs, Office of Appellate Operations (OAO) analysts and support staff, and Office of Civil Actions (OCA) analysts and support staff

Division 4 Civil Actions--AAJs and OCA analysts and support staff

Division 5 Temporary Instructions--All Headquarters and field adjudicators and support staff

The audience for Volume II is all OHA adjudicators; staff attorneys, and hearing, OAO and OCA analysts.


HALLEX I-1-004

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-004 USING AND MAINTAINING HALLEX

A. Locating Information Within HALLEX

The HALLEX user has two ways to locate specific information: an Index and a Table of Contents.

1. Index

The Index identifies where to locate a specific subject in the manual. We update the Index as necessary with a transmittal to ensure that it provides current references and up-to-date subjects.

2. Table of Contents

The Table of Contents lists the chapters and sections for Divisions 1, 2, 3, and 4. As necessary, we update the Table of Contents with a transmittal.

The Table of Contents for Division 5 is provided in the Index of Temporary Instructions located in Division 5 immediately following the Introduction to Temporary Instructions. The Index of Temporary Instructions lists the issuance number and the subject of the issuance.

When appropriate, each Temporary Instruction directs the user to annotate the Table of Contents for Divisions 1 through 4 and the permanent instructions.

B. Citing HALLEX

To cite a specific HALLEX issuance in a memorandum, correspondence, etc., the reference should contain the following elements: HALLEX, volume, division, chapter, section, and as appropriate, subsection. For example, use "HALLEX I-1-264 to refer to HALLEX material issued in the Volume I, General Subjects Division 1, Chapter 2, Section 64.

C. HALLEX Transmittals

Numbered transmittals carry initial, revised and temporary material. Each transmittal provides the following information:

- Action notes, when necessary, to make pen and ink notations or to take other actions.

- A brief background statement of actions or events which made the issuance necessary.

- An explanation of substantive changes to previously issued material, with text references.

- Material for users to insert and instructions on material to remove.

D. Public Inspection of HALLEX

Each OHA field office must maintain at least one complete set of HALLEX for public inspection and copying under the Freedom of Information Act. Each Headquarters office must have at least one complete set of HALLEX for the same reason.


HALLEX I-1-005

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-005 COMPONENTS RESPONSIBLE FOR HALLEX AND THEIR RESPONSIBILITIES

A. Division of Policy, Planning and Evaluation

The Division of Policy, Planning and Evaluation (DPPE) is the national coordination point for HALLEX. DPPE performs the following functions:

- Develops policies, standards and procedures for maintaining HALLEX.

- Develops the Associate Commissioner's guiding principle statements enunciating the bases for operational policy and procedures.

- Reviews all proposed issuances for conformity and consistency with established standards, policies and procedures.

- Maintains records of issuances published in the system.

- Maintains the Index and the Table of Contents.

B. Other Headquarters Components

The Office of the Chief Administrative Law Judge (OCALJ), the Office of Appellate Operations (OAO), and the Office of Civil Actions (OCA) develop and update procedures to carry out policy.

The component(s) responsible for implementing a specific policy must:

- Establish accurate, current and complete procedures; and

- Prepare issuances that comply with the instructions for preparers in this chapter.

C. Regional and Hearing Offices

In some situations an RO or HO may need to establish procedures for local implementation. In these situations, the RO or HO develops the necessary supplemental procedures for filing in HALLEX. An RO must obtain OCALJ's prior approval before it implements any procedures regionwide.

When an HO identifies a need for local procedures, the Hearing Office Chief Administrative Law Judge must clear the procedures with the RO. If the Regional Chief Administrative Law Judge (RCALJ) concludes that the HO procedures may apply regionwide or in other regions, the RCALJ will forward the procedures to the OCALJ for that office to consider nationwide implementation.

ROs and HOs may not issue instructions for implementing a court order. If an RO or HO believes that instructions are necessary, it must submit them to the OCALJ for clearance. The OCALJ will clear the instructions with OCA. The Associate Commissioner must approve any such instructions.

Each RO must maintain a set of all current transmittals that it or the HOs in its region have issued.

The OCALJ must maintain a current set of regional transmittals.


HALLEX I-1-006

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-006 PREPARING A HALLEX TRANSMITTAL

A. General Guidelines

The basic principles of clear writing and effective communication apply to drafting HALLEX issuances. The following list summarizes good drafting practices:

1. Make short statements.

2. Use the active voice.

3. Do not use contractions.

4. When you use acronyms, explain the term and show the acronym in parentheses the first time you use it in a chapter.

5. Use the same words consistently to convey the same meaning--avoid synonyms.

6. Identify who performs a function.

7. Avoid lengthy paragraphs by using As and Bs and 1s and 2s to present information in an outline format.

8. Review the issuance from the users' perspective after you complete it. Does it tell the users everything they need to know in terms they can understand?

9. Proofread the final copy for errors and omissions.

B. Format of a Transmittal Sheet

Department of HEALTH AND HUMAN SERVICES

Social Security Administration

Office of Hearings and Appeals

HALLEX

Volume I

Transmittal I-X-XX

CHAPTER: ***

SUBJECT: ***

Action Note

If an Action Note is necessary, make it the first entry on a transmittal page.

Background

Briefly summarize the pertinent actions or events which preceded the issuance.

Explanation of Content and Changes

If the issuance adds a subject to HALLEX, briefly summarize the subject.

If the issuance revises a guiding principle or procedure(s), explain the changes and specify where they are in the text.

Remove

Remove from Chapter I-X-XXX:

Section I-X-XXX, title of the old instruction, dated XX-XX-XX.

Insert

Insert in Chapter I-X-XXX:

Section I-X-XXX, title of the new instruction, dated XX-XX-XX.

C. Format of the Body of the Transmittal

In addition to the requirements stated throughout this chapter, preparers must employ the following format guidelines:

1. Use a title to identify the subject of a section or subsection.

2. Bold the section number and title.

3. When revising the initial issuance, add the revision date next to the section title (do not bold the date).

4. Type titles with the first letter of words in upper case letters.

5. Prefix subsections by capital letters and sub-subsections by arabic numerals.

If there is only one paragraph in a section, do not letter the paragraph; that is, if there is a subsection A., there must be a subsection B.

If there is only one paragraph within a subsection, do not number the paragraph.

6. A subsection must have a title.

7. If 1. has a title, then 2., 3., etc. must also have titles. If 1. does not have a title, then 2., 3., etc. must not have titles. This rule applies for lower case letters, bullets, and in the rare instances when you use double dashes.

8. When a section continues on the next page, show the section number and "cont." at the top left corner of the continuation page, as is done in this chapter.

D. Spacing

1. The tab settings on the computer are at 1.4"', 1.8"', 2.2"', 2.6"', 3.0"', and 3.4"'. The left and right margin positions are 1"'. If measuring in units, the tab settings are 14, 18, 22, 26, 30, and 34. The left and right margin positions are 10.

2. Begin the section number at the left margin and indent the section title to position 1.8"' after the section number.

3. If text immediately follows the section title, begin the text at the left margin.

4. Place the subsection indicator; e.g., A., B., C., at the left margin and indent the subsection title to position 1.8"' after the subsection indicator.

5. If text in paragraph format follows the subsection indicator, begin the text on the left margin.

6. When a 1., 2., 3., text format follows the subsection, tab the 1., etc., to position 1.4"'.

If a title follows the 1., etc., indent the title to position 1.8"' and the following text to position 1.8"'.

If the actual text follows the 1., etc., indent the text to position 1.8"'.

7. If using bullets within a section or subsection, place the bullet at the position where the preceding text begins and indent the text following the bullet to the next tab setting.

8. Separate the title lines from the text with a return.

An example of the arrangement and spacing of text material is on the next page.


Example:

I-0-000 Xxx Xxxxxxx Xxxxxxxx (Revised 03/90)

A. Xxxxxxxxxxxxxxxxxxx

Xxxxxxxxxx xxxxxxxxxx xxxxxxxxx xxxxxxxxxx xxxxxxxxxx xxxxxxxx xxxxxxxx xxxxxxxx xxxxxxxx xxxxxxxx. Xxxxx xxxxxx xxxxxx. Xxxxxx xxxx x xxxxxx xxxxxx. Xxxxxx xxxx xxxx xxxx. Xxx xxxx xxxx xxxx xxxx, etc.

- Xxxxxxxxxxxxxxxxx

- Xxxxxxxxxxxxxxxxxxxxxx

- Xxxxxxxxxxxxx

B. Xxxxxxxxx Xxxxxxxxxxx Xx Xxxxxx

1. Xxxxxxxxxxxxx Xxxxxx x

Xxxxxxxxxx xxxxxxxxxx xxxxxxxxx xxxxxxxxxx xxxxxxxxxx xxxx xxxx xxxx. Xxxx xxxx xxxx xxxx xxxx, etc.

- Xxxxx xx xxxxx

- Xxxxx x xxxxx xxxxxxx xxxxx xx. xxxxx xxx xxxxx xxxxxx xxxxx x xxxx xxxx.

2. Xxxxxxxx xxxxx xxxxxxxxx

Xxxxxxx xxxxx xxxx. xxxxxxxxxxxxxxx.

C. Xxxxx xxxx xxxx

Xxxxxx xxxx xxxxxxx xxxx xxxxx. Xxxxxx xx xxxxx.

D. Xxxxxxxx xxx xxxxxx

1. Xxxxxxxxxxxxxxxxxxxxxxxx xxxx xxxxxx xxxxx xxxx xxxxxxxxxxxxxxxxx xxx xxx.

2. Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx.

3. Xxxxxxxxxxxxxx xxx xxxxxx xxx xxxxxxxxxxxx xxxxxxxxxxxxxxxxx.

E. First Page of Manual Chapter

The first page of a chapter is a right hand page. Type the heading on the first page of an issuance as shown in this chapter, observing the capital and lower case letters, spacing, lines, etc.

F. Subsequent Page(s) of Manual Chapter

1. Do not repeat the chapter heading until the chapter changes; i.e., give the chapter heading once.

2. If a section does not begin at the top of a page, show the last section number from previous page(s) and "cont." at the top of the page, as shown at the top of this page. Two returns separate this from the text.

G. Emphasis

To emphasize an instruction, use underscoring.

H. Notes, Examples, Exhibits, and Definitions

1. Notes

Type the word "note" in upper case beginning at the left margin, follow it with a colon and indent the text to position 1.8"' as shown below.

NOTE: Underline the text of the note. Use the same format for similar titles, such as "caution," "exception," etc.

2. Examples

There is no set format for "examples" because the material may mandate a specific format. However, when possible, type "Example," underline it and follow it with a colon. After the colon, there are two returns. Do not indent the text or underline it.

Example:

282828x 2828 282828

3. Exhibits

Use a prototype or a sample form to explain or clarify an instruction(s) or procedure. Print an exhibit on a separate page and insert it following the text to which it relates.

There is no set format for exhibits because exhibits display information to meet a specific user need. Use the paragraph and subparagraph structure of HALLEX, if the information in the exhibit lends itself to that format.

4. Definitions

Arrange definitions in alphabetical order without paragraph or subparagraph prefixes. Put the defined term in upper and lower case, underline it and follow it with a colon. Begin the wording of the definition three spaces to the right of the colon. Skip one line between definitions.

I. Index Entries

Suggested Index entries must accompany each transmittal that a component submits for clearance.

J. Table of Contents

When an issuance requires a change in the Table of Contents, the transmittal must include a revised Table of Contents. Refer to the Table of Contents at the beginning of this chapter for the Table of Contents format.


HALLEX I-1-007

Office of Hearings and Appeals

Social Security Administration (S.S.A.)

Department of Health and Human Services

Volume I

Division I: General Subjects

Subject: Introduction to HALLEX

Chapter: I-1-000

June 30, 1994

Current through March 1997

I-1-007 CHECKLIST FOR PREPARERS OF HALLEX ISSUANCES (REVISED 04/91)

A. Determine Need for Revision

Decide if it is necessary to issue a new instruction or guideline, or revise an existing instruction or guideline. Consolidate instructions whenever possible.

B. Guidelines for Issuances and Clearance Procedures

The authoring component will:

1. Determine if the new issuance should be a procedural instruction, desk guide, or temporary instruction.

2. Prepare the draft text, using the appropriate format shown in this chapter. Double space the text.

3. Prepare a draft transmittal sheet. Enter a brief background statement of the action or events preceding the issuance.

4. Prepare the Table of Contents when necessary.

5. Distribute draft transmittal for comment within OHA using the sample clearance route slip at Exhibit 1. The OHA reviewing audience includes DPPE, OCALJ, OAO, OCA, and the Office of Management (OM).

Distribute the draft transmittal to other SSA components and the Office of the General Counsel, if the subject matter warrants it and the Associate Commissioner approves such a request for comments.

6. Revise the draft to incorporate adopted comments and suggestions.

7. Summarize the comments and responses using the format at Exhibit 2.

8. Using a loose leaf binder, prepare a background book. Include in the book the draft which was circulated for comment, the comments received and the comment summary. If the transmittal changes or incorporates an existing instruction, also include that instruction.

9. Forward the final transmittal and the background book through DPPE and the Executive Secretariat (ES) to the Associate Commissioner for approval. Include a yellow file box copy of the material for signoff purposes. The final transmittal must be in a WordPerfect 5.0 document and the authoring component must include the diskette. With the final transmittal, provide revised pages for the master Table of Contents and suggested additions and changes to the Index. Use the sheet at Exhibit 3 to communicate the Index changes.

C. DPPE Responsibilities

1. Review a final transmittal for consistency with other instructional material and for accuracy.

2. Forward the transmittal with the background book and diskette to the Associate Commissioner through ES.

3. Forward the transmittal for publication after the Associate Commissioner approves it. Retain the background book and original file box copy of the material for historical purposes and as documentation that the appropriate clearances were obtained. Forward an informational copy of the approved transmittal and a copy of the signed file box copy to the authoring component.

D. ES Responsibilities

1. Review the transmittal for editorial and program accuracy and for consistency with the Associate Commissioner's policy guidelines.

2. Provide the transmittal and the background book to the Associate Commissioner.

3. If changes are necessary, return the transmittal to the authoring component through DPPE.

4. After the Associate Commissioner approves the transmittal, forward the background book, diskette and transmittal to DPPE.

Exhibit 1--Sample Clearance Route Slip

TABLE

[ . . . ]

Exhibit 2--Comment Summary Format

TABLE

[ . . . ]

Exhibit 3--Sheet to Communicate Index Changes

TABLE

[ . . . ]