Manual
for
Administrative
Law Judges
2001 Interim
Internet Edition
Morell E. Mullins
Professor of Law
University of Arkansas at Little Rock
William H. Bowen School of Law
i
Table of 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
ii
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
iii
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 . . . . . . . . . . . . . . . . . . . . . 132
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
iv
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 . . . . . . . . 284