Manual for Administrative Law Judges

325 Pages·2008·2.37 MB·English

by  Steve Wise

About the Author
MorellE.Mullins
B.A,1963,J.D.1967,UniversityofKentucky,
M.A.,1964,UniversityofChicago
Morell Eugene Mullins is a professor of law at University of
Arkansas at Little Rock William H. Bowen School of Law, where
he teaches Constitutional Law, Administrative Law, Workers'
Compensation, Legislation, and Jurisprudence. Before that, he
served in the Navy JAG Corps from 1967-1971. From 1971-1980
he held various positions as an attorney in the United States
Department of Labor. His work included drafting legislation,
dealing with issues of statutory interpretation and administrative
law, and serving as the first Department of Labor Associate
Solicitor for Mine Safety & Health. In 1972, Professor Mullins
represented the Department of Labor in many of the first
administrative adjudications under OSHA and filed some of the
first appellate briefs before the Occupational Safety and Health
Review Commission during 1973-74. In law school, he was the
Associate Editor of the Kentucky Law Journal and was named to
the Order of the Coif. He has written A Handbook for Legislative
Drafters, the third Edition of the Manual for Administrative Law
Judges, andseveral lawjournal articles.
Journal of the NATIONAL ASSOCIATION of
ADMINISTRATIVE LAW JUDGES
Vol.23 2004 Special Issue
MANUAL for ADMINISTRATIVE LAW JUDGES
CONTENTS
Page
FOREWORD..........................................................................................................................................................v
PREFACE-2004EDITION..................................................................................................................................vii
PREFACE-2001INTERIMINTERNETEDITION...........................................................................................viii
PREFACE-1993EDITION................................................................................................................................ xiii
I. INTRODUCTION...............................................................................................................................1
A. GeneralOverview.................................................................................................................4
B. SpecificAPAPowersOfTheAdministrativeLawJudge....................................................8
C. AlternativeDisputeResolutionAndAdministrativeLaw...................................................9
1. GeneralBackground.........................................................................................9
2. RelevanceOfADRtoAdministrativeLawJudges.................................. 10
3. Confidentiality................................................................................................ 19
4. TheExtensionOfADRIntoAdministrativeLaw................................... 21
II. PRE-HEARINGCONFERENCES&SETTLEMENTS................................................................ 24
A. PreparationForPre-HearingConference,WithEmphasisOnComplex,Multiparty
Proceedings........................................................................................................................ 27
B. Notice............................................................................................................................... 28
C. ConferenceTranscript........................................................................................................ 29
D. ManagementOfTheConference....................................................................................... 30
1. OpeningStatement........................................................................................ 30
2. Appearances.................................................................................................... 30
3. PreliminaryMatters........................................................................................ 30
4. Participation.................................................................................................... 31
5. Issues................................................................................................................ 31
6. Discovery......................................................................................................... 31
7. ExchangeOfInformationAndProposedEvidence............................... 33
8. GroundRules................................................................................................. 33
E. ConferenceReport............................................................................................................. 34
F. PreliminaryMotionsAndRulings.................................................................................... 35
G. OtherPre-HearingProcedures.......................................................................................... 35
H. SettlementNegotiationsandADRPossibilities................................................................ 36
1. Settlements...................................................................................................... 36
2. ADR................................................................................................................. 38
i
III. DISCOVERY................................................................................................................................ 39
A. Subpoenas......................................................................................................................... 40
B. DiscoveryandConfidentialMaterial................................................................................. 42
C. TestimonyofAgencyPersonnelandProductionofAgencyDocuments................................ 43
D. Reports,Estimates,Forecasts,andOtherStudies............................................................. 45
E. Polls,Surveys,Samples,andTests.................................................................................... 45
IV. PRE-HEARINGTECHNIQUESFOREXPEDITINGANDSIMPLIFYINGTHECOMPLEX
PROCEEDING............................................................................................................................ 46
A. WrittenExhibitsinComplexCases................................................................................. 52
B. EliminationorCurtailmentofHearingSuspensions.......................................................... 54
C. StipulationsandOfficialNoticeofDocumentaryMaterial................................................ 55
D. InterventionandParticipationbyNon-Parties.................................................................. 56
E. JointPresentations............................................................................................................ 58
F. OrganizingtheComplexorMulti-PartyHearing.............................................................. 58
G. SpecialCommittees........................................................................................................... 59
H. TelephoneorVideophoneConference................................................................................ 60
I. AdditionalConferences....................................................................................................... 61
J. TrialBriefsorOpeningStatements..................................................................................... 61
K. InterlocutoryAppeals........................................................................................................ 62
L. MandatoryTimeLimits.................................................................................................... 62
M. SummaryProceedings....................................................................................................... 64
N. ADR............................................................................................................................... 65
V. THEHEARING............................................................................................................................. 66
A. Preparation.........................................................................................................................66
1. Notice............................................................................................................... 66
2. PlaceofHearing............................................................................................. 67
3. HearingFacilities............................................................................................ 68
B. MechanicsoftheHearing.................................................................................................. 69
1. Transcript........................................................................................................ 70
2. ConveningtheHearing................................................................................. 71
3. TryingtheSimpleCase................................................................................. 72
a. OpeningStatement............................................................................... 72
b. DirectPresentation.............................................................................. 72
c. Cross-Examination............................................................................. 73
d. Miscellaneous....................................................................................... 74
4. TryingtheComplexCase............................................................................. 76
a. DirectPresentation............................................................................... 77
b. ReceiptofExhibits.............................................................................. 78
c. Cross-Examination............................................................................. 79
d. RebuttalTestimony.............................................................................. 80
e. Redirect................................................................................................ 81
f. MultipleWitnessTestimony................................................................. 81
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g. QuestionsbytheALJ.......................................................................... 84
h. ClosingthePresentation....................................................................... 85
5. RulesofEvidence.......................................................................................... 85
a. Hearsay............................................................................................... 87
b. BestEvidence...................................................................................... 87
6. OffersofProof............................................................................................... 88
7. ConstitutionalPrivileges:Self-IncriminatingTestimony,Searchand
SeizureandSuppressionofEvidence.............................................................. 88
8. ArgumentonMotionsandObjections...................................................... 90
9. ConfidentialInformation.............................................................................. 91
a. MethodsofHandlingConfidentialMaterial............................... 91
b. InCameraorClosedSessions...................................................... 93
10. SupplementalData....................................................................................... 95
11. MechanicalHandlingofExhibits.............................................................. 96
C. ConcludingtheHearing..................................................................................................... 97
1. OralArgument............................................................................................... 97
2. Conferences.................................................................................................... 97
3. Briefs................................................................................................................ 97
4. NoticeofSubsequentProceduralSteps..................................................... 98
5. ClosingtheRecord........................................................................................ 98
6. CorrectingtheTranscript............................................................................. 98
D. RetentionofCaseFiles..................................................................................................... 99
VI. TECHNIQUESOFPRESIDING................................................................................................. 99
A. PreparationandConcentration........................................................................................ 100
B. JudicialAttitude,Demeanor,andBehavior..................................................................... 101
C. ControllingtheHearing.................................................................................................. 102
D. SomeCommonProblems................................................................................................ 103
E. Off-the-RecordDiscussions.............................................................................................. 105
F. HearingHoursandRecesses........................................................................................... 105
G. Audio-VisualCoverage.................................................................................................. 106
1. PhysicalInterference................................................................................... 109
2. InterferencewiththeDignityofProceedings......................................... 109
3. PsychologicalDistraction........................................................................... 109
H. TakingNotes................................................................................................................. 110
VII. CONDUCT
A. DisciplinaryActionsAgainstALJs............................................................................... 115
B. Confidentiality................................................................................................................ 121
C. ExParteCommunications............................................................................................... 122
D. BiasandRecusal............................................................................................................ 124
E. Fraternization................................................................................................................ 124
F. IndividualRequestsforInformation................................................................................. 125
G. InteractionwithOtherIndependentOfficers.................................................................... 126
iii
H. TheMedia..................................................................................................................... 126
VIII. TheDecision......................................................................................................................... 127
A. OralDecision................................................................................................................. 128
B. WrittenDecision............................................................................................................. 129
1. Format........................................................................................................... 131
2. Research......................................................................................................... 134
3. TheDecisionalProcess............................................................................... 136
4. Style................................................................................................................ 141
C. WritingtheDecision....................................................................................................... 143
1. Brevity............................................................................................................ 145
a. NeedlessWords................................................................................. 145
b. ShortSimpleWords.......................................................................... 146
c. RedundantPhrases............................................................................ 146
d. ShortSentences.................................................................................. 147
e. Paragraphs........................................................................................ 149
2. Punctuation................................................................................................... 149
3. ActiveorPassiveVoice............................................................................... 149
4. Ambiguity...................................................................................................... 150
5. StylisticQuirks.............................................................................................. 151
a. ElegantVariation............................................................................. 151
b. Litotes............................................................................................... 153
c. GenderlessEnglish............................................................................. 153
6. Miscellaneous................................................................................................ 154
a. Names............................................................................................... 154
b. TechnicalTerms................................................................................ 154
c. Attribution........................................................................................ 154
d. SpeechTags....................................................................................... 155
e. Ellipsis.............................................................................................. 155
f. LatinTerms....................................................................................... 155
g. WriteitDown................................................................................... 156
7. BeingClever.................................................................................................. 156
8. Rewriting....................................................................................................... 157
APPENDICES
INTRODUCTIONTOAPPENDICES................................................................................................ 160
APPENDIXI—FORMS..................................................................................................................... 161
APPENDIXII—SELECTEDBIBLIOGRAPHY:ALTERNATIVEDISPUTERESOLUTION
(INCLUDINGWEBSITES) ............................................................................................................... 257
APPENDIXIII—SELECTEDBIBLIOGRAPHY:TRIALMANUALS,STYLEMANUALS,AND
WORKSONWRITING..................................................................................................................... 269
APPENDIXIV—BOOKS,ARTICLES(FEDERAL&STATE)&STATEADJUDICATION(BOOKS
&ARTICLES)..................................................................................................................................... 273
APPENDIXV—SELECTEDAGENCYPROCEDURALRULES.................................................... 303
iv
FOREWORD
This special issue of the Journal of the National Association of
Administrative Law Judges makes available the Manual for
Administrative Law Judges by Morell E. Mullins to many
Administrative Law Judges throughout our country. We are
delighted that Professor Mullins has made this manual available
through our Journal and want to thank him for his generosity and
kindness. We would also like to thank Administrative Law Judge
Larry Craddock for seeing the value of a hard copy, easy to use
manual, as well as the Board of Advisors of the Journal and the
Board of Governors of the National Association of Administrative
Law Judges (NAALJ) for their support of the project. We owe a
special thanks to Paige Hren, Editor-in-Chief of the Journal and
third-year law student at Pepperdine UniversitySchool of Law, for
her leadership all year and especially for her personal work on this
special edition,includingthecoverdesign.
We are making this special issue available to many judges who
are not yet members of the National Association of Administrative
Law Judges. We have made special arrangements with the
National Conference of the Administrative Law Judiciary to
provide this manual to their members at a special discount price;
this manual will also be available through The National Judicial
College. Hopefully, many who are not yet familiar with the
National Association of Administrative Law Judges or the Journal
will seethequalityofthe Journal and will wish to jointheNational
Association to receive the Journal twice a year. It has been a
personal pleasure working with Professor Gregory Ogden, the
Faculty Editor for the Journal. He and his students have done an
excellent job the last four years in working with authors to make
the Journal an excellent publication. Twice a year, the Journal
provides excellent articles from Administrative Law Judges,
academicians, judicial branch Judges and practitioners who are
striving to improve administrative adjudication; NAALJ also
produces an on-linenewslettertwicea year.
We are always looking for topics and authors to help
Administrative LawJudges improvetheirprofessionalism. Please
v
feel free to contact Professor Gregory Ogden, John W. Hardwicke,
the new Executive Director of the National Association of
Administrative Law Judges, or any member of the Journal Board
of Advisors or Board of Governors in the back of this issue. We
are confident that you will find this Manual of great use as you
providequalityadministrativeadjudicationthroughout your career.
EdwardJ.Schoenbaum,
Chair, Board of Advisors, Journal of the National Association of
Administrative LawJudges
vi
2004PREFACE ANDINTRODUCTION
©2004Morell E. Mullins
In 2001, I updated the third edition of the Manual for
Administrative Law Judges and posted it on the University of
Arkansas at Little Rock website as the 2001 Interim Internet
Edition of the Manual.i The response to the Interim Edition has
been most gratifying. Unfortunately, the Manual was not available
in printed form. Anyone who wanted a printed copy had to
download the Manual from the site. Last year, the National
Association of Administrative Law Judges, responding to the need
for a printed edition of the Manual, contacted me about publishing
it as an issue of the Journal of the National Association of
Administrative Law Judges (J. NAALJ), a project which I
enthusiasticallyendorsed.
The Journal staff has done an outstanding job in making
editorial and format changes, without altering substance of the
2001 Interim Internet Edition, and the predecessors on which the
2001 edition had built. I would like to extend a special thanks to
Paige Hren, Editor-in-Chief of J.NAALJ, and Sheryl Pilch, Special
Issue Editor of J.NAALJ, for their outstanding editorial work on
this editionoftheManual.
i The 2001 Interim Internet Edition of the Manual for Administrative Law
Judges can be found through the University of Arkansas at Little Rock website
at http://www.ualr.edu/-malj. This 2004 edition of the Manual for
AdministrativeLawJudgescanalsobefoundinelectronicformontheNational
AssociationofAdministrativeLawJudiciarywebsiteathttp://www.naalj.org/.
vii
2001INTERIMINTERNET EDITIONPREFACE
©2001 Morell E.Mullinsii
Background
Almost a decade ago, I was the principal revisor for the Third
Edition of the Manual for Administrative Law Judges (Manual or 3rd
Edition), which was prepared and published under the auspices of the
Administrative Conference of the United States (ACUS or
Administrative Conference). As noted in the Preface to the Third
Edition,theManual had becomesomethingofastandard inits field.iii
ii Previous editions of this Manual were published by the United States
Government, under the auspices of the now-defunct Administrative Conference of
the United States. This edition has been prepared in a spirit of public service, and
copyrightinoriginalgovernment materialsis notclaimed. Copyrightinthisedition
is asserted primarily to prevent commercial piracy. Permission is hereby given for
any noncommercial use of this Manual (including, but not limited to,
noncommercial or not-for-profit educational use and noncommercial use by any
governmentalentities),aslongasthelawschoolandIareappropriatelycredited.
iiiAgencydecisionscitingthe3rdandearliereditionsofthisManualincludeIn
the Matter of Pepperell Assocs., 1999 EPA ALJ LEXIS 16 (DOCKET NO. CWA-
2-I-97-1088, Feb. 26, 1999) (United States Environmental Protection Agency,
Office of Administrative Law Judges) (discussing ALJ’s affirmative dutyto ensure
complete and accurate record, even if ALJ must raise issue sua sponte); In the
Matter of Woodcrest Mfg., 1997 EPA ALJ LEXIS 81, Docket No. 5-EPCRA-96-
007, June 13, 1997) (United States Environmental Protection Agency; Office of
Administrative Law Judges) (discussing the importance of impartial decision-
maker); In re David Harris, Ruling on Certified Questions filed May 1, 1991, 50
Agric. Dec. 683 (P.Q. Docket No. 91-27) (noting that ALJ is required to follow
policies set out in agency’s published opinions) (citing 1982 edition of Manual);
Dep’t of Veteran’s Affairs, Veterans Admin. Med. Ctr., Boise, Idaho (Respondent)
and Am. Fed’n of Gov’t Employees Local 1273, AFL-CIO (Charging Party), 40
F.L.R.A. 992 (May 24, l991)(noting ALJ’s responsibility to call agency’s attention
an important problemof law or policy) (citing 1982 edition of this Manual); In the
Matter of Sequoyah Fuel Corp. and Gen. Atomics, 41 N.R.C. 253, n.20 (Apr. 18,
1995) (citing Form 19-d in the Manual). Cites in law review articles include:
Michael Frost, The Unseen Hand in Administrative Law Decisions: Organizing
PrinciplesforFindingsofFactand Conclusionsof Law, 17 J. NAALJ 151 (Spring
1997); Alan W. Heifitz, The Continuing Need for the Administrative Conference:
Fairness, Adequacy, and Efficiency in the Administrative Process, 8 ADMIN. L.J.
AM. U. 703 (Fall 1994) (testimony before Congressional Committee of Chief
Administrative Law Judge, U.S. Department of Housing and Urban Development,
viii