Morell E. Mullins
Professor of Law
University of Arkansas at Little Rock
William H. Bowen School of Law

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Complete Manual

[Manual presented in a single document (PDF only). (301 pages; 620KB)]

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Title Page and Contents

Preface and Introduction 2001 Interim Internet Edition

v.

Preface 1993 Edition

x.

I. Introduction

1

   A. General Overview

5

   B. Specific APA Powers of the Administrative Law Judge

9

   C. Alternative Dispute Resolution and Administrative Law

11

      1. General Background

11

      2. Relevance of ADR to Administrative Law Judges

12

      3. Confidentiality

20

      4. The Extension of ADR into Administrative Law

22

II. Prehearing Conferences & Settlements

27

   A. Preparation for Prehearing Conference, With Emphasis on Complex, Multiparty Proceedings

29

   B. Notice

31

   C. Conference Transcript

31

   D. Management of the Conference

33

      1. Opening Statement

33

      2. Appearances

33

      3. Preliminary Matters

33

      4. Participation

33

      5. Issues

34

      6. Discovery

34

      7. Exchange of Information and Proposed Evidence

35

      8. Ground Rules

36

   E. Conference Report

36

   F. Preliminary Motions and Rulings

37

   G. Other Prehearing Procedures

37

   H. Settlement Negotiations and ADR Possibilities

38

      1. Settlements

38

      2. ADR

41

III. Discovery

42

   A. Subpoenas

42

   B. Discovery and Confidential Material

45

   C. Testimony of Agency Personnel and Production of Agency Documents

46

   D. Reports, Estimates, Forecasts, and Other Studies

48

   E. Polls, Surveys, Samples, and Tests

48

IV. Prehearing Techniques for Expediting and Simplifying the Complex Proceeding

49

      1. Lead Intervenor

54

      2. Cross-Examination Plans

54

      3. Negotiations

54

   A. Written Exhibits in Complex Cases

55

   B. Elimination or Curtailment of Hearing Suspensions

57

   C. Stipulations and Official Notice of Documentary Material

58

   D. Intervention and Participation by Non-parties

59

   E. Joint Presentations

61

   F. Organizing the Complex or Multi-Party Hearing

62

   G. Special Committees

63

   H. Telephone or Videophone Conference

63

   I. Additional Conferences

64

   K. Interlocutory Appeals

65

   L. Mandatory Time Limits

66

   M. Summary Proceedings

67

   N. ADR

69

V. Hearing

70

   A. Preparation

70

      1. Notice

70

      2. Place of Hearing

71

      3. Hearing Facilities

72

   B. Mechanics of the Hearing

73

      1. Transcript

73

      2. Convening the Hearing

75

      3. Trying the Simple Case

76

         a. Opening Statement

76

         b. Direct Presentation

76

         c. Cross-examination

77

         d. Miscellaneous

78

      4. Trying the Complex Case

80

         a. Direct Presentation

81

         b. Receipt of Exhibits

82

         c. Cross-examination

83

         d. Rebuttal Testimony

84

         e. Redirect

84

         f. Multiple Witness Testimony

84

         g. Questions by the ALJ

87

         h. Closing the Presentation

88

      5. Rules of Evidence

88

         a. Hearsay

91

         b. Best Evidence

91

      6. Offers of Proof

91

      7. Constitutional Privileges: Self-Incriminating Testimony, Search and Seizure, and Suppression of Evidence

92

      8. Argument on Motions and Objections

94

      9. Confidential Information

94

         a. Methods of Handling Confidential Material

95

         b. In Camera or Closed Sessions

96

      10. Supplemental Data

99

      11. Mechanical Handling of Exhibits

100

   C. Concluding the Hearing

100

      1. Oral Argument

100

      2. Conferences

101

      3. Briefs

101

      4. Notice of Subsequent Procedural Steps

102

      5. Closing the Record

102

      6. Correcting the Transcript

102

   D. Retention of Case Files

103

VI. Techniques of Presiding

103

   A. Preparation and Concentration

104

   B. Judicial Attitude, Demeanor, and Behavior

104

   C. Controlling the Hearing

105

   D. Some Common Problems

107

   E. Off-the-Record Discussions

108

   F. Hearing Hours and Recesses

109

   G. Audio-Visual Coverage

109

      1. Physical Interference

112

      2. Interference with the Dignity of Proceedings

113

      3. Psychological Distraction

113

   H. Taking Notes

113

VII. Conduct

115

   A. Disciplinary Actions Against ALJs

119

   B. Confidentiality

126

   C. Ex Parte Communications

126

   D. Bias and Recusal

128

   E. Fraternization

129

   F. Individual Requests for Information

130

   G. Interaction with Other Independent Officers

130

   H. The Media

130

VIII. The Decision

103

   A. Oral Decision

132

   B. Written Decision

134

      1. Format

136

      2. Research

139

      3. The Decisional Process

140

      4. Style

145

   C. Writing the Decision

147

      1. Brevity

149

         a. Needless Words

149

         b. Short Simple Words

150

         c. Redundant Phrases

150

         d. Short Sentences

151

         e. Paragraphs

152

      2. Punctuation

152

      3. Active or Passive Voice

153

      4. Ambiguity

153

      5. Stylistic Quirks

154

         a. Elegant Variation

154

         b. Litotes

155

         c. Genderless English

155

      6. Miscellaneous

156

         a. Names

156

         b. Technical Terms

156

         c. Attribution

157

         d. Speech Tags

157

         e. Ellipsis

157

         f. Latin Terms

157

         g. Write It Down

158

      7. Being Clever

158

      8. Rewriting

158

Appendices

159

   Appendix I - Forms

161

   Appendix II - Selected Bibliography: Alternative Dispute Resolution (including websites)

241

   Appendix III - Selected Bibliography: Trial Manuals, Style Manuals, and Works on Writing

253

   Appendix IV - Books, Articles (Federal & State) & State (Books & Articles)

254

   Appendix V - Selected Agency Procedural Rules

254