DI 42010.021: Administrative Law Judge Oral (Bench) Decisions
Effective Dates: 12/14/2016 - Present
- TN 5 (05-05)
- DI 42010.021 Administrative Law Judge Oral (Bench) Decisions
- A. Policy
- Oral (bench) decisions are wholly favorable decisions that are entered into the record of the hearing proceedings. The oral (bench) decision provides an alternative procedure for the ALJ to use in issuing the written decision. This change was effective October 20, 2004.
- B. Procedure - HALLEX instructions
- The HALLEX I-5-1-17 provides instructions for stating wholly favorable ALJ oral (bench) decisions at hearings and for incorporating the findings of fact and reasons for the decision stated orally at the hearing by reference in the written decision. The link for the HALLEX instructions is http://policynet.ba.ssa.gov/hallex.nsf/lnx/10501017.
- C. Procedure - criteria for oral (bench) decisions
- Oral (bench) decisions and the incorporation-by-reference procedure may be used only if all of the following criteria are present:
- * The case is an initial adult disability case under Title II and/or Title XVI of the Social Security Act, or a claim for benefits as a disabled widow, widower, or surviving divorced spouse under Title II of the Act, or a claim for payments as a child under age 18 under Title XVI or the Act.
- * Drug addiction or alcoholism is not an issue in the determination of disability.
- * The case does not involve a Title II disabled adult child, a Title XVI age-18 redetermination, a continuing disability review, or a closed period of disability.
- * The ALJ decides at the hearing that a wholly favorable decision is warranted.
- * There are no changes to the findings of fact or the rationale for the ALJ decision between the time the oral (bench) decision is made at the hearing and the written decision is issued.
- The ALJ is not required to use the incorporation-by-reference procedure. Even if all the above conditions are met, the ALJ may still decide to issue a written decision in the full-length format that gives the findings of fact and the reasons for the decision. The field office (FO) or processing center (PC) should first look for the usual, full-length format ALJ decision. If that is in the file, process the case per the usual procedures. If a full-length format, written decision is not in the file, there will be a signed and dated checksheet and a special notice of decision that can be used to effectuate the ALJ decision.
- D. Procedure - checksheet document
- If the ALJ chooses to make a wholly favorable oral decision at the hearing, the ALJ is required to include as an exhibit in the record a prescribed checksheet document that sets forth the key data, findings of fact, and narrative rationale for the decision. The ALJ must sign and date the checksheet. Claimants and their representatives may voluntarily submit proposed checksheet documents of their own at the hearing. If the ALJ decides to use the proposed checksheet as is, or with changes, the ALJ must copy the proposed checksheet and sign and date the copy. The completed, signed copy of the proposed checksheet becomes an exhibit used to prepare the decision. If the ALJ decides not to issue an oral (bench) decision, but concludes that the proposed checksheet represents evidence that is material to the issues or proposed findings, rationale, or conclusions for consideration in the formulation of a written decision, the ALJ must enter the original proposed document into the record as a procedural exhibit.
The FO or PC will use the checksheet, along with the ALJ notice, to effectuate the ALJ decision following- DI 12010.035, DI 12010.040, DI 42010.020, GN 03103.250, SI 04030.050, and SI 00603.040. If necessary, the FO or PC will view the Office of Disability Adjudication and Review (ODAR) Case Processing & Management System (CPMS) for the regulation basis code and impairment code (see DI 80550.000 for an overview of CPMS which took the place of the Hearing Office Tracking System). If the checksheet does not provide all the information needed, or if the case does not meet the criteria for an oral decision, contact the hearing office (HO) to resolve. If the HO cannot resolve the issue, follow DI 42010.065 through DI 42010.075, GN 03103.260, and SI 04030.060.
- E. Procedure - notice of decision
- If the ALJ uses the oral (bench) decision procedures, the ALJ will send a specialized Notice of Decision. That notice will include the language “I announced the basis for my decision at the hearing held on (date). I adopt here those findings of fact and reasons.” This language will help the FO and PC identify oral decisions. The notice also contains the application date, the onset date, and the disabling impairment(s).
- F. Procedure - record of oral (bench) decision
A record of the ALJ oral (bench) decision must be made available to claimants and their representatives upon request. This may be in the form of a typed transcript, tape recording, or compact disk of a digital recording. The FO/PC may obtain a record of the oral (bench) decision by contacting: Division of Program Support Office of Appellate Operations, ODAR 5107 Leesburg Pike, Suite 808 Falls Church, VA 22041-3255
- If the FO/PC determines the folder is still in the HO, the FO/PC should contact the appropriate HO.
x← This means that the line was removed and was added – in other words, the "Effective Dates" line at the top of the document has been updated to reflect that the new version is effective as of the date the change was made.