[Note: This is the 2001 Interim Internet Edition of Professor Mullins' Manual. A reformatted version was published in 2004. See Journal of the National Association of Administrative Law Judges, Manual for Administrative Law Judges, 23 Pepp. J. Nat'l Ass'n Admin. L. Judges 1 (2004).]
Manual
for Administrative
Law Judges 2001 Interim Internet Edition
Morell E. Mullins | |||
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Complete Manual |
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[Manual presented in a single document (PDF only). (301 pages; 620KB)] |
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HTML |
By Chapter |
Page | |
Title Page and Contents |
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Preface and Introduction 2001 Interim Internet Edition |
v. | ||
Preface 1993 Edition |
x. | ||
I. Introduction |
1 | ||
A. General Overview |
5 |
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B. Specific APA Powers of the Administrative Law Judge |
9 |
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C. Alternative Dispute Resolution and Administrative Law |
11 |
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1. General Background |
11 |
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2. Relevance of ADR to Administrative Law Judges |
12 |
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3. Confidentiality |
20 |
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4. The Extension of ADR into Administrative Law |
22 |
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II. Prehearing Conferences & Settlements |
27 | ||
A. Preparation for Prehearing Conference, With Emphasis on Complex, Multiparty Proceedings |
29 |
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B. Notice |
31 |
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C. Conference Transcript |
31 |
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D. Management of the Conference |
33 |
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1. Opening Statement |
33 |
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2. Appearances |
33 |
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3. Preliminary Matters |
33 |
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4. Participation |
33 |
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5. Issues |
34 |
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6. Discovery |
34 |
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7. Exchange of Information and Proposed Evidence |
35 |
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8. Ground Rules |
36 |
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E. Conference Report |
36 |
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F. Preliminary Motions and Rulings |
37 |
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G. Other Prehearing Procedures |
37 |
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H. Settlement Negotiations and ADR Possibilities |
38 |
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1. Settlements |
38 |
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2. ADR |
41 |
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III. Discovery |
42 | ||
A. Subpoenas |
42 |
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B. Discovery and Confidential Material |
45 |
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C. Testimony of Agency Personnel and Production of Agency Documents |
46 |
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D. Reports, Estimates, Forecasts, and Other Studies |
48 |
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E. Polls, Surveys, Samples, and Tests |
48 |
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IV. Prehearing Techniques for Expediting and Simplifying the Complex Proceeding |
49 | ||
1. Lead Intervenor |
54 |
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2. Cross-Examination Plans |
54 |
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3. Negotiations |
54 |
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A. Written Exhibits in Complex Cases |
55 |
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B. Elimination or Curtailment of Hearing Suspensions |
57 |
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C. Stipulations and Official Notice of Documentary Material |
58 |
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D. Intervention and Participation by Non-parties |
59 |
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E. Joint Presentations |
61 |
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F. Organizing the Complex or Multi-Party Hearing |
62 |
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G. Special Committees |
63 |
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H. Telephone or Videophone Conference |
63 |
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I. Additional Conferences |
64 |
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K. Interlocutory Appeals |
65 |
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L. Mandatory Time Limits |
66 |
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M. Summary Proceedings |
67 |
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N. ADR |
69 |
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V. Hearing |
70 | ||
A. Preparation |
70 |
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1. Notice |
70 |
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2. Place of Hearing |
71 |
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3. Hearing Facilities |
72 |
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B. Mechanics of the Hearing |
73 |
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1. Transcript |
73 |
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2. Convening the Hearing |
75 |
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3. Trying the Simple Case |
76 |
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a. Opening Statement |
76 |
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b. Direct Presentation |
76 |
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c. Cross-examination |
77 |
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d. Miscellaneous |
78 |
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4. Trying the Complex Case |
80 |
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a. Direct Presentation |
81 |
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b. Receipt of Exhibits |
82 |
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c. Cross-examination |
83 |
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d. Rebuttal Testimony |
84 |
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e. Redirect |
84 |
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f. Multiple Witness Testimony |
84 |
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g. Questions by the ALJ |
87 |
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h. Closing the Presentation |
88 |
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5. Rules of Evidence |
88 |
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a. Hearsay |
91 |
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b. Best Evidence |
91 |
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6. Offers of Proof |
91 |
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7. Constitutional Privileges: Self-Incriminating Testimony, Search and Seizure, and Suppression of Evidence |
92 |
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8. Argument on Motions and Objections |
94 |
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9. Confidential Information |
94 |
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a. Methods of Handling Confidential Material |
95 |
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b. In Camera or Closed Sessions |
96 |
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10. Supplemental Data |
99 |
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11. Mechanical Handling of Exhibits |
100 |
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C. Concluding the Hearing |
100 |
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1. Oral Argument |
100 |
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2. Conferences |
101 |
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3. Briefs |
101 |
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4. Notice of Subsequent Procedural Steps |
102 |
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5. Closing the Record |
102 |
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6. Correcting the Transcript |
102 |
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D. Retention of Case Files |
103 |
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VI. Techniques of Presiding |
103 | ||
A. Preparation and Concentration |
104 |
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B. Judicial Attitude, Demeanor, and Behavior |
104 |
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C. Controlling the Hearing |
105 |
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D. Some Common Problems |
107 |
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E. Off-the-Record Discussions |
108 |
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F. Hearing Hours and Recesses |
109 |
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G. Audio-Visual Coverage |
109 |
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1. Physical Interference |
112 |
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2. Interference with the Dignity of Proceedings |
113 |
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3. Psychological Distraction |
113 |
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H. Taking Notes |
113 |
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VII. Conduct |
115 | ||
A. Disciplinary Actions Against ALJs |
119 |
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B. Confidentiality |
126 |
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C. Ex Parte Communications |
126 |
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D. Bias and Recusal |
128 |
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E. Fraternization |
129 |
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F. Individual Requests for Information |
130 |
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G. Interaction with Other Independent Officers |
130 |
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H. The Media |
130 |
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VIII. The Decision |
103 | ||
A. Oral Decision |
132 |
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B. Written Decision |
134 |
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1. Format |
136 |
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2. Research |
139 |
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3. The Decisional Process |
140 |
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4. Style |
145 |
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C. Writing the Decision |
147 |
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1. Brevity |
149 |
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a. Needless Words |
149 |
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b. Short Simple Words |
150 |
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c. Redundant Phrases |
150 |
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d. Short Sentences |
151 |
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e. Paragraphs |
152 |
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2. Punctuation |
152 |
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3. Active or Passive Voice |
153 |
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4. Ambiguity |
153 |
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5. Stylistic Quirks |
154 |
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a. Elegant Variation |
154 |
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b. Litotes |
155 |
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c. Genderless English |
155 |
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6. Miscellaneous |
156 |
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a. Names |
156 |
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b. Technical Terms |
156 |
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c. Attribution |
157 |
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d. Speech Tags |
157 |
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e. Ellipsis |
157 |
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f. Latin Terms |
157 |
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g. Write It Down |
158 |
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7. Being Clever |
158 |
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8. Rewriting |
158 |
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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 |