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TRANSCRIPT
AALJ Contract Proposal
Table of Contents
Preamble
Article 1. Duration and Termination
Article 2. Mid-Contract Negotiations
Article 3. Management Rights
Article 4. Recognition
Article 5. Employee Rights
Article 6. AALJ Rights
Article 7. AALJ Representational Rights and Duties
Article 8. AALJ Use of Agency Equipment
Article 9. Official Time
Article 10. Grievance Procedure
Article 11. Arbitration Procedures
Article 12. Dues, Withholding, and Check Off
Article 13. Judicial Function in the Office of Disability Adjudication and Review
Article 14. Hours of Work, Fixed Tours, Flextime, Flexible Work Arrangements,
and Credit Hours
Article 15. Flexiplace
Article 16. Temporary Changes in Regular Judicial Assignment
Article 17. Modified Work Schedules Due To Physical or Mental Impairment
Article 18. Leave
Article 19. Travel and Transportation
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Article 20. Reassignments and Hardships
Article 21. Records
Article 22. Seniority
Article 23. Health and Safety
Article 24. Retirement, Sabbaticals, and Awards
Article 25. Committees
Article 26. Judge Orientation
Article 27. Judicial Education and Training
Article 28. Joint Technology Advisory Committee
Article 29. Senior Judges
Article 30. Facilities and Services
Article 31. Bias and Misconduct Complaints
Article 32. Women’s Judicial Committee
Article 33. Discipline
Article 34. Procedural Rules for Hearings
Article 35. Personally Identifiable Information
Article 36. Code of Judicial Conduct
Article 37. Technology and Electronic Tools Supporting Adjudication
Article 38. Mass Transportation
Article 39. Peer Review
Article 40. Video Teleconferencing Hearings and Digital Video Unit Hearings
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l壱Preamble
This Agreement is entered into by and between the Social Security Administration/Office of of
Disability Adjudication and ReviewHearings and Appeals (hereinafter referred to as the Agency
or Management) and the Association of Administrative Law Judges, International Federation of
Professional and Technical Engineers, AFL-CIO (AALJ/IFPTE, AFL-CIO) hereinafter referred
to as the Union or AALJ.
The parties mutually recognize that the Congress of the United States has expressed public
policy concerning labor relations in the Federal Government as follows:
“…the right of employees to organize, bargain collectively and participate
through labor organizations of their own choosing in decisions which affect
them, safeguards the public interest, contributes to the effective conduct of
the public business, and facilitates and encourages the amicable settlement
of disputes between employees and their employers involving conditions of
employment; and the public interest demands the highest standards of
employee performance and the continued development and implementation
of modern and progressive work practices to facilitate and improve
employee performance and the efficient accomplishment of the operations of
the government.”
Therefore, labor organizations and collective bargaining in the civil service are in the public
interest. (5 U.S.C. §7101)
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Pursuant to this policy, the parties have agreed upon the various articles hereinafter set forth.
This agreement constitutes a Collective Bargaining Agreement (CBA) between the Social
Security Administration/Office of Disability AdjudicationHearings and Review and the
Association of Administrative Law Judges, IFPTE, AFL-CIO.
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Article 1
l壱Duration and Termination
Section 1. This agreement shall become effective on the date it is approved by the
Commissioner or designee, of SSA (i.e. Agency Head Review pursuant to 5 U.S.C. §7114(c)) or
thirty (30) days after it is executed by the Deputy Commissioner, ODAR and the AALJ
President, whichever event occurs first, as required by 5 U.S.C. §7114(c).
Section 2.
A. This agreement shall remain in effect for a period 3 years from its effective date and
shall be automatically renewable for an additional 1 year period except where changes in
the law, rule or regulation mandate modification of the agreement or either party notifies
the other party, in writing, at least 60 days, but not more than 105 days prior to the
expiration date of its intention to reopen, amend, modify, or terminate this agreement and
will provide a list of issues to the extent possible with the filing of the notice.
B. Within 30 days of the receipt of the notice of the intention to reopen, amend, modify,
or terminate this agreement, or as otherwise agreed to by the parties, the parties to the
negotiations will determine a timetable for the exchange of proposals and ground rules for
bargaining.
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C. If negotiations are not concluded prior to the expiration date, this agreement, and any
subsequent memoranda of understanding (MOUs) shall continue in full force until a new
agreement becomes effective.
D. This CBA can be extended by mutual agreement of the parties for additional periods
not exceeding three years at a time.
Section 3.
A. In the administration of all matters covered by this agreement, the parties are governed
by the following: existing and future laws; government-wide rules and regulations in effect
on the effective date of this agreement; SSA and ODAR rules and regulations in effect on
the effective date of this agreement and not in conflict with this agreement; and
government-wide rules or regulations issued after the effective date of this agreement that
do not conflict with this agreement. Where the terms of this agreement conflict with
government-wide rules and regulations issued after the effective date of this agreement, the
terms of this agreement shall be controlling.
B. This agreement supercedes all previous agreements and past practices in conflict with
this agreement. National memoranda of understanding, local agreements, and past
practices not in conflict shall continue unless modified in accordance with law and the
terms of this agreement.
Section 4.
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A. If this agreement is disapproved under the provisions of 5 U.S.C. §7114(c)(1) (Head of
Agency Review), the parties shall resume negotiations no later than thirty (30) calendar
days after the date on which the Agency disapproves the agreement.
B. In the event that any provisions of this agreement shall at any time be found or
declared to be invalid by a court of competent jurisdiction, or through any government
regulation or decree (except the head of the Agency), such decisions shall not invalidate
the entire agreement. It is the expressed intention of the parties that all provisions not
found or declared to be invalid shall be in full force and effect for the duration of this
agreement.
Section 5. The parties agree that either may reopen any 2 articles during the term of this
agreement. The party requesting the reopening shall give written notice to the other party.
Negotiations for bargaining shall be conducted consistent with the terms set forth in Article 2,
Mid-Contract Negotiations.
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Article 2
l壱Mid-Contract Negotiations
·Agency Initiatives During the Term of this Agreement
Section 1.
A. The AALJ recognizes that the Agency has the right to exercise its management rights
as set forth in the Civil Service Reform Act and this agreement and, in accordance with
applicable law, rule, regulation, and this agreement, to initiate changes in operational and
administrative procedures and programs when the Agency determines it is in the interest of
the Agency to do so.
B. The Agency recognizes that the AALJ, in accordance with law, has the right to receive
timely advance notice of any changes in the conditions of bargaining unit Administrative
Law Judges’ (“Judges”) employment. The parties agree to collaborate in a pre-decisional
manner to develop solutions jointly to workplace challenges, rather than the Agency
advising the AALJ of pre-determined solutions to problems and then engaging in
bargaining over the impact and implementation of the Agency’s pre-determined solutions.
AALJ shall have pre-decisional involvement in all workplace matters to the fullest extent
practicable without regard to whether those matters are negotiable subjects of bargaining
under 5 USC 7106, including those involving the subjects set forth in 5 USC 7106 (b) (1).
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C. The Agency and the AALJ agree that it is in the interest of the parties to expeditiously
resolve bargaining issues.
D. The duties of the parties to negotiate in good faith under this article shall include the
obligation to:
1. Approach negotiations with a sincere resolve to reach agreement;
2. Be represented by duly authorized representatives prepared to discuss and
negotiate on the subjects authorized by this article;
3. Meet at reasonable times and convenient places as frequently as may be
necessary, and to avoid unnecessary delays;
4. In the case of the Agency, to furnish data to the AALJ, upon request and to the
extent not prohibited by law:
a. Which is normally maintained by the Agency in the regular course of
business;
b. Which is reasonably available and necessary for full and proper discussion,
understanding, and negotiation of subjects within the scope of collective
bargaining; and
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c. Which does not constitute guidance, advice, counsel, or training provided
for management officials or supervisors relating to collective bargaining.
d. The AALJ’s obligation to bargain shall not commence until 30 working
days after the requested 5 USC 7114 (b) (4) data has been received by the
AALJ.
e. The Agency shall not raise the defense that the AALJ has not set forth the
particularized need for the requested data with sufficient detail.
5. If agreement is reached, to execute on the request of any Party to the negotiation a
written document embodying the agreed terms and to take such steps as are
necessary to implement such agreement.
E. Should a provision of any agreement negotiated pursuant to this article be rendered
invalid by appropriate authority (except the Agency head) after the effective date of this
agreement, either party may reopen the specifically affected sections as well as issues
clearly and unmistakably bargained away as part of any agreement on the terms rendered
invalid.
F. Should a provision of any agreement negotiated pursuant to this article be rendered
invalid by the Agency head after the effective date of this agreement, either party at its
option may request reopening negotiations on the disapproved provision(s), and/or the
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AALJ may repudiate the agreement or any part thereof and reopen negotiations on any of
the repudiated provisions.
Section 2. The Agency agrees not to unilaterally establish or change any personnel policy,
practice or condition of employment that terminates or conflicts with specific terms or
conditions of this agreement.
A. However, mandatory amendments may be required after the effective date of this
agreement because of new laws or changes to existing laws. In the administration of all
matters covered by this agreement, the parties are governed by the following: existing and
future laws; government-wide rules and regulations in effect on the effective date of this
agreement; SSA and ODAR rules and regulations in effect on the effective date of this
agreement; and government-wide rules or regulations issued after the effective date of this
agreement. Where the terms of this agreement conflict with government-wide rules and
regulations issued after the effective date of this agreement, the terms of this agreement
shall be controlling.
B. In such an event, the parties shall meet within 45 workdays after receipt of a written
request from either Party for the purpose of negotiating those amendments to the
agreement required to bring this agreement into conformity with new laws or the changes
in existing laws.
C. The parties shall agree on mutually satisfactory arrangements for the conduct of these
required negotiations. Where they cannot agree, these negotiations shall be conducted in
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accordance with the ground rules described below for normal mid contract negotiations.
Amendments resulting from these negotiations shall be effective upon signing by the
parties.
Section 3.
A. The Agency further agrees not to unilaterally establish or change any personnel policy,
practice or condition of employment not specified by this agreement, except as provided
by this section, or by law. The Agency shall provide the AALJ with reasonable advance
notice, (but normally not less than 30 work days), of intended changes in terms and
conditions of bargaining unit member’s employment. The AALJ shall have 45 workdays
in which to invoke its right to negotiate over the requested change by submitting written
notice of its intent to do so. The AALJ shall not be required to submit written proposals in
advance of the start of the bargaining period, but agrees to make good faith efforts to
submit proposals, in part or in whole, prior to arriving at the bargaining site, whenever
practicable. The parties may mutually agree to waive the above constraints. However,
post-implementation bargaining will not normally take place.
B. The notice shall include the following:
1. A description of the desired change;
2. An explanation of how this change shall be implemented;
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3. An explanation of why the proposed change is necessary;
4. The proposed implementation date, if known; and
5. The identity of the Agency’s representative.
C. The Agency shall provide notice of Agency-initiated changes as follows:
1. National or Multi-regional issues to the AALJ President or his/her
designee(s).
2. Regional or Hearing Office issues to the appropriate AALJ Regional
Vice President and served upon the AALJ President or his/her designee.
Section 4.
A. The parties agree that proposed changes that apply on a nationwide or multi-regional
basis shall be negotiated at the ODAR nationalCentral Office level.
B. Proposed changes which shall be implemented in hearing offices in more than one (1)
region made pursuant to a national or multi-regional initiative that require variation in the
changes to meet the needs of each individual hearing office shall be negotiated at the
national level in each affected region.
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C. Proposed changes that apply at more than 1 hearing office within a region shall be
negotiated at the regional office level.
D. Proposed changes that apply to 1 hearing office shall be negotiated at that hearing
office level.
E. The Agency and the AALJ can agree to conduct negotiations at any mutually agreeable
facility.
F. The Agency Deputy Commissioner, or designee, and the AALJ President or designee,
may agree to conduct negotiations at any mutually agreeable level other than the level
provided above, where it would further the parties’ interest in uniform application of
Agency initiatives during the term of this agreement.
G. Both parties agree that officials of SSA/ODAR and the AALJ at levels lower than the
national level do not have authority to negotiate agreements that conflict with this national
agreement.
Section 5. Where negotiating meetings are required, the meeting shall be conducted as follows:
A. Negotiations shall take place at a suitable facility provided by the Agency.
B. Negotiations shall be conducted during the regular administrative workday of the office
where negotiations are taking place.
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C. A Judge representing the AALJ under this article shall be authorized official time for
such purposes during the time the Judge would otherwise be in a duty status. The
bargaining teams shall be as follows: for the national level bargaining, the team shall be
limited to 5two (2) members; for the regional level bargaining, the team shall be limited to
3 members; and for the hearing office level bargaining, the team shall be limited to 2
members. for
each Party unless Ththe parties may mutually agree to otherwisechange the size of the
bargaining teams. The number of Judges for whom official time, outside of any official
time pool, is authorized under this section shall not exceed the number of individuals
designated as representing the Agency for such purposes. The parties recognize that from
time-to-time the bargaining teams can mutually agree to include briefings or special
representatives to facilitate negotiations.
D. CThe parties agree that consistent with the opportunity for full discussions of
proposals, every reasonable effort shall be made to avoid travel and per diem costs by
using alternative methods such as conference calls, where there is mutual consent to do so.
In situations where travel is required, the AALJ Representatives on official time shall be
reimbursed for travel and per diem by the Agency.
for a period not to exceed 3 days plus the time necessary to travel to and from the
negotiating site. Negotiations may be extended beyond three days by mutual agreement of
the parties.
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E. The Agency shall provide the AALJ negotiating team with customary and routine
services such as office supplies, access to personal computer, printer, e-mail, telephone,
FAX, and photocopy equipment. In addition, the Agency shall reimburse each member of
the AALJ negotiating team with wireless broadband Internet and intranet broadband
service.
F. Negotiations shall commence on a mutually agreeable date. Absent such mutual
agreement, negotiations shall commence on the 45th calendar day after the Agency received
the AALJ’s request to negotiate (if a workday, otherwise the next succeeding workday).
Section 6. Should either party contend there is a bargaining impasse in connection with
negotiations conducted under this article, either party can appeal to the Federal Service Impasses
Panel and may request binding interest arbitration. If this procedure is invoked, or if the AALJ
files an unfair labor practice charge under 5 USC 7116 (a) (5), the Agency shall postpone the
implementation of any change until the impasse is resolved, except where the implementation is
otherwise permitted by law. The Agency retains the right to implement its last, best and final
offer in the eventthe AALJ fails to seek timely assistance from the Federal Service Impasses
Panel.
Section 7. This agreement may be reopened by either party to implement newly passed statutes
that conflict with this agreement.
Section 8. Upon request of the AALJ, the Agency shall engage in future negotiations over any
subject not specifically set forth in this agreement without regard to whether the subject was
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discussed during negotiations for this Agreement. Further, the Agency expressly agrees that it
will not raise as a basis to refuse to bargain, a “covered by” defense, which would otherwise be
permitted by decisions of the Federal Labor Relations Authority.
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Article 3
Management Rights
Section 1. The parties agree that mManagement rights, as defined in this article, shall beare
consistent with 5 U.S.C. §7106 and other applicable laws1 such as the Administrative Procedure
Act and with Article 2, §1. B. of this CBA.
Section 2. Subject to Section 3 of this section, nothing in this chapter shall affect the authority
of any management official of the Agency:
A. To determine the mission, budget, organization, numbers of employees, and internal
security practices of the Agency; and
B. In accordance with applicable laws:
1 1 1 For example: 5 U.S.C. §3105 (appointment of administrative laws judges); 5 U.S.C. §1305 (outline of OPM and MSPB authority when administrative law judges involved); 5 C.F.R. §930.211 et seq. (appointment, pay and removal of administrative law judges); 5 U.S.C. §2302 (prohibited personal practices); 5 U.S.C. §7521 (actions against administrative law judges); 5 U.S.C. §4301 (administrative law judges not included in Federal employee performance appraisal systems); 5 U.S.C. §3344 (Details: administrative law judges); 5 U.S.C. §5372 (pay system for administrative law judges); Butz v. Economou, 438 U.S. 478 (1978) ; Ramspeck v. Federal Trial Examiners Conference, 345 U.S. 128 (1953); Social Security Administration v. Robert W. Goodman, 19 M.S.P.R. 321 (1984); subject to changes in the law.
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1. To hire, assign, direct, layoff, and retain employees in the Agency, or to suspend,
remove, reduce in grade or pay, or take other disciplinary action against such
employees;
2. To assign work, take determinations with respect to contracting out, and to
determine the personnel by which Agency operations shall be conducted;
3. With respect to filling positions, to make selections for appointments from among
properly ranked and certified candidates for promotion or any other appropriate
source; and
4. To take whatever actions may be necessary to carry out the Agency’s mission
during emergencies.
Section 3. The Agency shall negotiate with the AALJ in keeping with Article 2, Section 1. B. of
this CBA, the following:
Nothing in this section shall preclude any Agency and any labor organization from
negotiating:
A. The numbers, types, and grades of employees or positions assigned to any
organizational subdivision, work project, or tour of duty, or on the technology, methods,
and means of performing work;
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B. Procedures which management officials of the Agency will observe in exercising any
authority under this section; or
C. Appropriate arrangements for employees adversely affected by the exercise of any
authority under this section by such management officials.
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Article 4
l壱Recognition
The Social Security Administration, Office of Hearings and Appeals (SSA/ODAR) recognizes
the Association of Administrative Law Judges, International Federation of Professional and
Technical Engineers, AFL-CIO (AALJ) as the exclusive representative of all full-time and part-
time non-supervisory Administrative Law Judges (ALJs) within SSA/ODAR, as set forth in
certification number WA-RP-90079 dated October 1, 1999.
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Article 5
l壱Employee Rights
Section 1
The Parties recognize that the Judges covered by the terms of this agreement are administrative law
judges appointed pursuant to 5 U.S.C. §3105, and are engaged in the performance of duties which
require the consistent exercise of discretion, knowledge, and judgment in conducting hearings.
These duties are complex and varied as set forth in 5 U.S.C. §7103 (15)(A)(iv) and are of such a
character that the output produced or the results accomplished by such work cannot be
standardized in relation to a given period of time.
Section 2
AAll Judges shall be treated fairly and equitably in all aspects of employment without regard to
political affiliation, race, color, religion, national origin, sex, sexual orientation, marital
status, age, handicapping condition, and with proper regard and protection of their privacy
and constitutional rights.
AJudges shall be protected against reprisal for the lawful disclosure of information by a Judge
which the Judge reasonably believes evidences a violation of any law, rule or regulation or gross
mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific
danger to public health or safety.
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AConsistent with their appointment under the Administrative Procedure Act and the United
States Office of Personnel Management (OPM) approved position description, Judges shall not
be required to perform duties or assignments inconsistent with the duties and responsibilities of
an administrative law judge as set forth in 5 U.S.C. §3105 and 5 C.F.R. §930.209. An
administrative law judge may be assigned to perform duties with approval of OPM and pursuant
to 5 C.F.R. §930.209.
Section 3
AThe initiation of a grievance in good faith by a Judge will not cause any reflection on his or her
standing with his/her HOCALJ or other Agency official or on his or her loyalty or
desirability to the Agency.
AJudges who have relevant information concerning any matter for which remedial relief is
available under this agreement shall, in seeking resolution of such matter, be assured
freedom from restraint, interference, coercion, discrimination, intimidation, or reprisal.
AThe Agency will not impose any restraint, interference, coercion, discrimination, or reprisal
against any Judge in the exercise of his/her right to designate the AALJ as his or her representative
in accordance with Article 10, the Grievance Article. The Agency will not impose any restraint,
interference, coercion, discrimination, or reprisal against any Judge in the exercise of his or her
right to designate an AALJ representative for the purpose of representing the Judge.
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AIf a Judge wishes to discuss a problem or potential grievance with an AALJ representative, the
Judge shall have the right to contact and meet with the AALJ representative on duty time.
The Judge will be released from duties to contact and meet with the AALJ representative
when he or she requests to exercise this right, if the exercise of this right is consistent with
the maintenance of his or her hearing case docket in a manner that is in the best interest of
the public, i.e., hearings generally will not be cancelled or interrupted for this purpose.
·Section 4
ADisciplinary Examinations:
1Consistent with 5 U.S.C. §7114(a)(2)(B), as the exclusive representative, the AALJ shall be
given an opportunity to be present at any examination of a Judge in the unit by a representative
of the Agency in connection with an investigation if the Judge reasonably believes that the
examination may result in disciplinary action against the Judge and the Judge requests
representation. When the manager is aware that a meeting may result in disciplinary action, the
manager will inform the Judge of the general purpose of the meeting and will inform the Judge
of his or her right to have an AALJ representative present if he or she chooses. Upon request,
the Judge, in such instance, has the right to have his or her appointed AALJ representative
present at such examination pursuant to Article 7, and no further questioning shall take place
until the Judge’s representative is present as provided by this section.
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1If the AALJ representative is unavailable, the examination shall be terminated and rescheduled
as soon as the AALJ representative has become available provided no unreasonable delay occurs.
The parties recognize that while in person representation is preferred, telephonic participation by
the AALJ representative is permitted. When in person representation is not possible, due to
travel hearing schedule conflicts for example, but the Judge has requested his or her appointed
AALJ representative participate by telephone, the Agency agrees that telephonic representation
should be permitted.
1In the event that both the Judge’s representative or his or her designee are unavailable due to
the maintenance of their hearing case dockets in a manner that is in the best interest of the
public, (i.e. hearings generally will not be interrupted or cancelled for this purpose), the
examination will be delayed until the representative is available provided no unreasonable delay
occurs.
1Any examination of a Judge by a representative of the Agency that may lead to disciplinary
action will be conducted in a private room.
AFormal Meetings
1Consistent with 5 U.S.C. §7114(a)(2)(A), as the exclusive representative of the Judges in OHA,
the AALJ shall be given the opportunity to be represented at any formal discussion between one or
more representatives of the Agency and one or more Judges or their representatives concerning any
grievance, formal EEO complaint settlement discussions or any personnel policy or practices or
other general conditions of employment. The Agency will give the AALJ reasonable advance notice
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to exercise its rights under this section. When practicable, notice shall be given at least two Agency
workdays in advance of the discussion.
1The Agency is under no obligation to delay the start of the meeting if the AALJ representative is
not present, unless the AALJ representative is unavailable due to the maintenance of his or her
hearing case docket in a manner that is in the best interest of the public, i.e. hearings generally will
not be cancelled or interrupted for this purpose, he or she has specifically asked that the meeting be
delayed, and the Agency has determined that the meeting is not urgent.
1Consistent with 5 U.S.C. Chapter 71, the Agency will not communicate directly with Judges
regarding conditions of employment in a manner that will improperly bypass the AALJ under law.
AIn conducting investigations regarding a non-criminal matter that may result in an adverse
determination about a Judge’s rights, benefits, or privileges, the parties are reminded that the
Privacy Act requires that, to the extent practicable, information should be initially collected
directly from the subject Judge.
AOIG Investigations
1The parties recognize the need for confidentiality during investigations of sensitive issues.
1A copy of the statement of the Judge will be routinely given to the Judge after the OIG has
provided OHA with a copy of the OIG report.
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1When a Judge becomes the subject of an investigation, the Judge will be notified when such
investigation has closed.
1In connection with complaints by Judges, disclosure of identity, and reprisals and pursuant to 5
U.S.C. Appx. §7, as amended:
aThe Inspector General may receive and investigate complaints of information from an employee
of the establishment concerning the possible existence of an activity constituting a violation of law,
rules, or regulations, or mismanagement, gross waste of funds, abuse of authority or substantial and
specific danger to the public health and safety.
aThe Inspector General shall not, after receipt of a complaint of information from an employee,
disclose the identity of the employee without the consent of the employee, unless the Inspector
General determines such disclosure is unavoidable during the course of the investigation.
aAny employee who has authority to take, direct others to take, recommend, or approve any
personnel action, shall not, with respect to such authority, take or threaten to take any action against
any employee as a reprisal for making a complaint or disclosing information to an Inspector
General, unless the complaint was made or the information disclosed with knowledge that it was
false or with willful disregard for its truth or falsity.
l壱Section 5
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549
AOHA has decided that the time frames set forth in the “ Benchmarks for the 03 Report” are
guidelines for the management officials and will not be used as a source of any disciplinary or
performance action. The Judges are encouraged by OHA to aim to meet the guidelines and
cooperate with benchmark reports.
AIn addition to the other notice requirements of this agreement, Judges will be informed of their
right to representation in those situations specified in this agreement by written notice distributed to
each Judge annually.
Section 6 - Complaints Regarding Attorney and Non-Attorney Representatives
A Judge may provide written adverse information about an attorney or non-attorney representative
directly to the Special Counsel of OHA; a copy of the information will also be simultaneously
provided to the appropriate RCALJ.
Section 7 - Complaints Regarding a Judge
Any observation or complaint regarding a Judge’s conduct occurring outside of the hearings and
appeals process that may be used to propose discipline will be brought to the attention of the
Judge as soon as possible after the receipt of the complaint.
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554
555
556
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560
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571
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573
Section 8
AIn accordance with existing law, Judges have the right to present their personal views to the
Congress, the Executive Branch or other government authorities or officials.
ANothing in this contract is intended to abridge an individual Judge’s First Amendment rights.
AThe Agency may not discipline a Judge who refuses to obey an order of an Agency official that is
found to be unlawful or illegal.
AThe Agency will provide the AALJ with reasonable advance notice of written personnel
surveys concerning conditions of employment that involve bargaining unit employees when such
surveys are initiated, or approved for distribution by SSA, at the SSA national level and OHA
level. The Agency will also provide the Union with an advance written copy of the survey
results as soon as possible.
AThe Agency will encourage law enforcement officials to pursue allegations of criminal conduct
violative of 18 U.S.C. §§372, 111, 1112, 1114, 115, 1117, 1201 (a)(5), and 28 CFR §64.2 (aa)
involving any Judge while engaged in or on account of the performance of any Judge’s official
duties where the Agency determines such action is warranted.
l壱Section 9
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Each Judge shall have the right to join or assist the AALJ or to refrain from any such activity
without fear of penalty or reprisal. Nothing in this agreement will require a Judge to become or
remain a member of a labor organization or to pay money to the organization unless pursuant to a
voluntary written authorization by the Judge for payment of dues through payroll deductions or by
voluntary cash/check dues payment by the Judge. Except as otherwise provided in law and this
agreement, such rights shall include the following:
AThe right to act for the AALJ in the capacity of a representative.
AThe right, in that capacity, to present the views of the AALJ, to heads of agencies, and other
officials of the executive branch of the government, the Congress, or other appropriate authorities;
see 5 U.S.C. §7102.
AThe right to engage in collective bargaining with respect to terms and conditions of
employment through representatives of the AALJ.
Section 10
The Agency and the AALJ recognize that Judges may be seriously and adversely affected by a
reduction-in-force action and the need to protect the rights and interests of the Judge in this action.
In the event of a reduction-in-force the Agency shall notify the AALJ and the Judge pursuant to 5
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618
619
C.F.R. Part 351 and 5 C.F.R. §930.215 and fulfill its obligation to bargain consistent with 5 U.S.C.
Chapter 71.
AThe Agency shall provide written notification to the AALJ at the earliest possible date, but not
less than sixty (60) calendar days prior to the notice to the Judges. The notice shall include:
1The reason for the action to be taken;
1The approximate number of Judges who may be affected initially; and
1The anticipated effective date that action will be taken.
AThe Agency shall provide the AALJ, upon request, with information in accordance with 5
U.S.C. §7114(b) 4.
AThe Agency shall provide a specific notice, at least sixty (60) calendar days in advance to
individual Judges who will be affected by a reduction-in-force action.
Section 11
The AALJ has the right to be present during questioning of potential bargaining unit witnesses for
any third party hearing.
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643
Section 1.
An independent, fair and impartial federal administrative judiciary is in the public interest and is
the instrument Congress has chosen to effectuate its intent to afford individuals aggrieved by
agency action a full and fair due process hearing before an independent decisionmaker, with a
right to judicial review, under Sections 205(b), 205(g) and 1383(c) of the Social Security Act of
1935, as amended, and the Administrative Procedure Act (“APA”) of 1946, as amended. In
enacting the APA, Congress created the position now referred to as administrative law judge
(ALJ) within the federal government and one of the primary goals behind the creation of the
position of ALJ was to ensure that such independent, quasi-judicial officers are able to conduct
trial-like on the record hearings free from agency coercion or influence. The APA and related
civil service functions and responsibilities relating to the administrative law judge position are
codified at 5 U.S.C. Sections 551, 553-559; 1305; 3105; 3323; 3344; 4301(2)(D); 5335(a)(B);
5372; and 7521.
The parties agree:
A In the administration of all matters covered by this agreement, the employees
referred to as Judges are administrative law judges appointed under 5 U.S.C. 3105 after a
competitive examination and selection process administered by the US Office of Personnel
Management (OPM).
A OPM’s authority to administer the employment of administrative law judges
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661
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667
was created by the APA to ensure that federal agencies appoint qualified and competent
individuals for the ALJ function. Congress delegated to OPM the responsibility to fix
appropriate qualifications for administrative law judges and specified that agencies must
seek fit persons for the ALJ position. Judges appointed as ALJs are required to have a
minimum of seven years of experience as a licensed attorney preparing for, participating
in, and/or reviewing formal hearings or trials involving litigation and/or administrative law
at the Federal, State, or local level.
A Under the authority of 5 U.S.C. 1305, 3105, 3344, 4301(2)(D), 5372, and
7521, OPM has promulgated Administrative Law Judge Program regulations at 5 CFR
Section 930.201 – Section 930.211, that apply to individuals appointed under 5 U.S.C.
3105 for proceedings required to be conducted in accordance with 5 U.S.C. 556 and 557
and to administrative law judge positions.
A The agency has a long tradition, since the beginning of the Social Security
Programs during the 1930s, of providing the full measure of due process for people who
apply for or who receive Social Security benefits. An individual who is dissatisfied with
the determination that the agency has made with respect to his or her claim for benefits has
a right to request a hearing before an Administrative Law Judge, an independent
decisionmaker who makes a de novo decision with respect to the individual’s claim for
benefits. As the Supreme Court of the United States has recognized, the agency’s
procedures for handling claims in which a hearing has been requested served as the model
for the Administrative Procedure Act. The agency’s hearing process provides the
protections set-forth in the APA and the agency’s Administrative Law Judges are appointed
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691
in compliance with the provisions of the APA. The Attorney General’s Manual on the
Administrative Procedure Act (1947) (Atty. Genl’s Manual, APA) is the definitive
interpretative statement summarizing the intent of Congress in the passage of the APA.
The manual, distributed as a guide for federal agencies in adjusting their procedures to the
requirements of the Act, defines “adjudication” to include proceedings involving
determinations of claims under Title II of the Social Security Act (section 205(b)).
A Judges are engaged in the performance of quasi-judicial functions and duties
which require the consistent exercise of discretion, knowledge and judgment in carrying
out all aspects of their adjudicatory functions. These duties are complex and varied as
described in the OPM Model Position Description for administrative law judges, Appendix
A to this article. Consistent with 5 U.S.C. 7103(15)(A)(iv), the duties and responsibilities
of Judges are of such a character that the output produced or the results accomplished by
such work cannot be standardized in relation to a given period of time.
A In order to ensure that ALJs are able to conduct trial-like hearings on the
record free from agency coercion or influence, Congress, in enacting the APA and creating
the ALJ position, vested directly in individuals appointed to the position of administrative
law judge under 5 U.S.C. 3105 certain enumerated powers, duties and responsibilities
which together constitute an ALJ’s decisional independence. ALJs hold and freely exercise
such duties, powers and responsibilities without the necessity of express agency
delegation: “Not only are the enumerated powers thus given to [administrative law
judges] by section 7(b) without the necessity of express agency delegation, but an agency
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702
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706
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709
710
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713
714
is without power to withhold such powers from its [administrative law judges].” (Atty.
Genl’s Manual on the APA, p. 74).
Accordingly, among federal employees, those holding the title and position of
administrative law judge occupy a special status of quasi-judicial independence and the
Congressional enumeration of the powers of administrative law judges in section 7(b) of
the Act “is designed to secure that responsibility and status which the Attorney General’s
Committee stressed as essential.”
A The decisional independence of an Administrative Law Judge encompasses
all aspects of adjudicating a case, including but not limited to:
1 Conducting pre-trial conferences to simplify the issues in a case.
1 Conducting hearings on the record in accordance with the Agency’s duly promulgated Rules of
Procedure and within its powers.
1 Determining necessary and proper parties.
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725
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730
731
732
733
1 Administering oaths and affirmations.
1 Ruling on motions, including motions for postponements and continuances; motions to dismiss
proceedings on issues of law; motions to amend or strike pleadings;
1 Regulating the course of the hearing, governing the conduct of attorneys, nonattorney
representatives and witnesses, and controlling the questioning of witnesses.
1 Receiving and ruling on admissibility of evidence and, as necessary, examining and cross-
examining witnesses.
1 Accepting stipulations in lieu of all or any part of the evidence.
1 Issuing subpoenas. 5 U.S.C. 556(c).
1 Determining when the record is complete, and requiring production of additional evidence as
necessary to establish an adequate record.
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750
751
1 Analyzing and evaluating the evidence, determining the credibility and weight of evidence, and
resolving disputed issues of fact and conflicts in testimony.
1 Considering all arguments and briefs, rendering, drafting, editing and issuing a decision which
states the case, defines the issues, resolves conflicts therein, and makes findings of fact and
conclusions of law on all issues.
1 Issuing appropriate orders to implement decisions.
1 Taking any other action authorized by agency rule consistent with the APA.
[Section 7(b), APA; OPM Model Position Description: Administrative Law Judge;
Standard Position Description, Administrative Law Judge, Social Security
Administration, Office of Disability Adjudication and Review]
A The Social Security Act and Administrative Procedure Act prohibit
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769
substantive review and supervision of the administrative law judge in the performance of
the Judge’s quasi-judicial adjudicatory functions.
A Judges are subject only to such administrative supervision by the agency as
may be required in the course of general office management. [Standard Position
Description, Social Security Administration, Office of Disability Adjudication and Review,
Section III, Supervision and Guidance, as certified by OPM]
A To safeguard the decisional independence of ALJs, Congress provided in the
APA the following guarantees and protections:
1 Prohibiting ALJs from consulting off-the-record with any person, inside or outside of the
agency, concerning a fact in issue; 5 U.S.C. 554(d)(2); and if ex parte communications occur,
they must be disclosed. 5 U.S.C. 557(d)(1) (A)-(E).
1 Insuring that ALJs shall not be responsible to or subject to the supervision or direction of an
employee or agent engaged in the performance of investigative or prosecuting functions for an
agency, 5 U.S.C. 554(d)(2).
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783
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786
787
788
1 Prohibiting agency assignment of duties and functions to ALJs inconsistent with the
performance of judicial functions related to the conducting of adjudications. 5 U.S.C. 3105.
Examples of prohibited assignments include but are not limited to the assignment to ALJs of
clerical tasks unrelated to the decisional process, including coding sheets and data input, and any
support-staff duties and function that are included in the position descriptions of such support
staff, whether or not the agency is requiring such staff to perform those duties and functions.
2 Non-interference by the agency with ALJ performance in the writing of opinions or
conducting hearings; 5 U.S.C. 3105
1 ALJs shall be assigned to cases in rotation as far as practicable and once an ALJ is assigned to a
case, such assignment shall not be changed by the agency except in extraordinary and limited
circumstances such as death, physical incapacity or ALJ unavailability for an extended duration;
5 U.S.C. 554(d); 3105.
1 Insuring that ALJs are not subject to performance appraisals or production quotas; 5 U.S.C.
4301(2)(D). and
1 Insuring that an ALJ is not subject to removal (constructively or by separation from service),
suspension, reduction in grade, reduction in pay, or furlough for 30 days or less except upon a
showing of good cause established by the Merit Systems Protection Board on the record after an
opportunity for hearing before the Board. 5 U.S.C. 7521.
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791
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794
795
796
797
798
799
800
801
802
803
804
805
806
807
808
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810
K. It is in the public interest that public sector Administrative Law Judges may avail
themselves of the right to organize, bargain collectively and participate through labor
organizations that they select pursuant to the Federal Service Labor Management Relations
Statute (Title VII of the Civil Service Reform Act of 1978), 5 U.S.C. 7101(a)(1) and (a)(1)(A).
L. The Judges covered by this Agreement, having elected to form and join a federal sector
union, are entitled to all of the statutory protections afforded federal employees under Title VII
as such protections contribute to the effective conduct of public business, 5 U.S.C. 7101(a)(1)
(B), and foster settlements of disputes between management and employees involving conditions
of employment.
M. The Agency is without power to effectuate any changes in the conditions of employment of
the Judges covered by this Agreement under the guise of an exercise of Management’s rights
under 5 U.S.C. 7106 to the extent that such changes impinge upon, alter, diminish or conflict
with the Judge’s quasi-judicial role, adjudicatory function and/or any of the aforementioned APA
powers, duties, and responsibilities which Congress has vested directly in those holding the
position of administrative law judge.
N. In seeking to impose discipline against an ALJ under 5 U.S.C. 7521, the agency is precluded
from predicating its case on the “efficiency of the service” standard which is used in connection
with adverse actions taken by the agency against other governmental employees not appointed
pursuant to 5 U.S.C. 3105.
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816
817
818
819
820
821
822
823
824
825
826
827
828
829
830
831
832
O. Agency disciplinary action that is arbitrary, politically motivated, or based on reasons that
constitute an improper interference with the performance by an ALJ of his or her judicial
function cannot constitute “good cause.”
Section 2. Fairness, Equality, Non-Discrimination, Prohibited Personnel Practices
All Judges shall be treated fairly and equitably. The agency shall not discriminate in any aspect
of employment based on a Judge’s political affiliation, race, color, religion, national origin, sex,
sexual orientation, genetics, marital status, age, disability or handicapping condition, bargaining
unit status or a Judge’s performance as measured by Agency benchmarks, performance
expectations, production goals or quotas. The Agency shall protect the privacy and
constitutional rights of all Judges. The Agency shall not discriminate against Judges because of
any activity protected by the Federal Service Labor-Management Relations statute.
Respect by non-AALJ bargaining unit Agency employees toward Judges is fundamental to the
efficient conduct of agency business. Behaviors by non-AALJ bargaining unit Agency
employees that contribute to a hostile, humiliating, intimidating, or abusive work environment,
are unacceptable and shall not be tolerated. Such behaviors include, but are not limited to:
screaming, yelling, or shouting; derogatory remarks, abusive language, insults or epithets; brow-
beating or pressuring; false accusations; harsh, public, or constant criticism; unequal distribution
of resources; spreading malicious gossip or rumors; ostracism or silent treatment; making
unreasonable demands; and setting unattainable goals.
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835
836
837
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839
840
841
842
843
844
845
846
847
848
849
850
851
852
853
854
855
A. For the purposes of this article and in accordance with 5 U.S.C. 2302, “prohibited
personnel practice” means any action described in subsection C.
B. For the purposes of this article, “personnel action” means:
1. An adverse action, disciplinary action or other corrective action;
2. A detail, transfer or reassignment or the denial of the same;
3. Creating, maintaining or tolerating a hostile work environment caused by
discriminatory workplace harassment, intimidation or abuse based on political
affiliation, race, color, religion, national origin, sex, sexual orientation, genetics,
marital status, age, disability or handicapping condition, bargaining unit status or
a Judge’s performance as measured by Agency benchmarks, performance
expectations, production goals or quotas.
4. Any other significant change in a Judge’s duties, responsibilities or
conditions of employment.
C. Any person who has the authority to take, direct others to take, recommend, or
approve any personnel action, shall not, with respect to such authority:
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869
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871
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878
1. Discriminate for or against any Judge in any aspect of employment on the basis
of political affiliation, race, color, religion, national origin, sex, sexual
orientation, genetics, marital status, age, disability or handicapping condition,
bargaining unit status or a Judge’s performance as measured by Agency
benchmarks, performance expectations, production goals or quotas.
2. Create, maintain or tolerate a hostile work environment caused by
discriminatory workplace harassment, intimidation or abuse based on political
affiliation, race, color, religion, national origin, sex, sexual orientation,
genetics, marital status, age, disability or handicapping condition, bargaining
unit status or a Judge’s performance as measured by Agency benchmarks,
performance expectations, production goals or quotas;
3. Take or fail to take a personnel action with respect to any Judge as a
reprisal for the disclosure of information by a Judge which the Judge
reasonably believes evidences a violation of any law, rule or regulation or gross
mismanagement, a gross waste of funds, an abuse of authority, or a substantial
and specific danger to public health or safety.
4. Take or fail to take, or threaten to take or fail to take, any personnel action
against a Judge because of
(a) the exercise of any appeal, complaint or grievance right granted by any
law, rule or regulation;
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892
893
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895
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897
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900
901
902
(b) testifying for or otherwise lawfully assisting any individual in the exercise
of any right referred to in subsection 4(a);
(c) cooperating with or disclosing information to the Inspector General of the
agency or the Special Counsel, in accordance with applicable provisions of
law;
or
(d) for refusing to obey an order that would require the Judge to violate a law.
Section 3.
A. The initiation of a grievance by a Judge will not reflect adversely on his or her standing
with his/her HOCALJ or any other Agency official.
B. Judges who have relevant information concerning any matter for which remedial relief
is available under this agreement shall, in seeking resolution of such matter, be assured
freedom from restraint, interference, coercion, discrimination, intimidation, or reprisal.
C. The Agency will not impose any restraint, interference, coercion, discrimination, or
reprisal against any Judge in the exercise of his/her right to designate the AALJ as his or
her representative in accordance with Article 10, the Grievance Article. The Agency will
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905
906
907
908
909
910
911
912
913
914
915
916
917
918
919
920
921
922
923
924
925
926
not impose any restraint, interference, coercion, discrimination, or reprisal against any
Judge in the exercise of his or her right to designate an AALJ representative for the
purpose of representing the Judge.
D. If a Judge wishes to discuss a problem or potential grievance with an AALJ
representative, the Judge shall have the right to contact and meet with the AALJ
representative on duty time. The Judge will be released from all duties to contact and meet
with the AALJ representative when he or she requests to exercise this right.
Section 4.
A. Disciplinary Examinations.
1. Consistent with 5 U.S.C. §7114(a)(2)(B), as the exclusive representative, the
AALJ shall be given an opportunity to be present at any examination of a Judge in
the unit by a representative of the Agency in connection with an investigation if the
Judge reasonably believes that the examination may result in counseling or
disciplinary action against the Judge and the Judge requests representation. When
the manager knows or should know that a meeting may result in counseling or
disciplinary action, the manager will inform the Judge of the facts and the specific
purpose of the meeting in writing and will inform the Judge of his or her right to
have an AALJ representative present if he or she chooses. Any complaint made
against the Judge from any source, or any conduct that is being investigated (except
for matters covered under Article 31), shall be reduced to writing, if not already in
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930
931
932
933
934
935
936
937
938
939
940
941
942
943
944
945
946
947
948
949
950
writing, and provided to the Judge at least 7 working days prior to the meeting. At
the same time, the Judge shall be advised in writing of any law, regulation, agency
policy or Standards of Conduct which the agency believes may be a factor in this
examination or investigation. Upon request, the Judge, in such instance, has the right
to have his or her appointed AALJ representative present at such examination
pursuant to Article 7, and no further questioning shall take place until the Judge’s
representative is present as provided by this section.
2. If the AALJ representative is unavailable, the examination shall be terminated and
rescheduled as soon as the AALJ representative becomes available; the AALJ
representative has the authority to reschedule hearings. The parties recognize that
while in-person representation is preferred, video or telephonic participation by the
AALJ representative is permitted at the election of the AALJ representative.
3. Any examination of a Judge by a representative of the Agency that may lead to
counseling or disciplinary action will be conducted in a private room. The AALJ
representative will not be a mere observer. The AALJ representative may ask
questions during the investigation, and the AALJ representative may pause the
investigation to caucus with the client Judge if the AALJ representative deems a
caucus to be necessary.
4. Whenever an AALJ representative travels in order to represent a Judge in any
meeting under Article 5, the Agency shall pay all travel costs of the representative.
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957
958
959
960
961
962
963
964
965
966
967
968
969
970
971
972
973
974
5. The Agency shall make a final determination on the issues within 90 days of the
date of any complaint or allegation for which an examination or investigation is
conducted under this Article. The Agency shall then immediately provide the written
determination to both the Judge and the AALJ representative. Failure to make a
determination and notify all parties within the 90-day period will result in an
automatic finding that the complaint or allegation is unfounded.
B. Meetings.
1. Consistent with 5 U.S.C. §7114(a)(2)(A), as the exclusive representative of the
Judges in ODAR, the AALJ shall be given the opportunity to be represented at any
formal discussion between one or more representatives of the Agency and one or
more Judges or their representatives concerning any grievance, formal EEO
complaint settlement discussions or any personnel policy or practices or other
general conditions of employment. The Agency will give the AALJ reasonable
advance notice to exercise its rights under this section. Notice shall be given at least
15 working days in advance of the discussion.
2. The Agency must delay the start of the meeting if the AALJ representative is not
available.
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979
980
981
982
983
984
985
986
987
988
989
990
991
992
993
994
995
996
3. Consistent with 5 U.S.C. Chapter 71, the Agency will not communicate directly
with Judges regarding conditions of employment in a manner that will improperly
bypass the AALJ under law.
4. The Judge has the right to representation in any meeting with an Agency
management official.
C. Non-Criminal Investigation. In conducting investigations regarding a non-criminal
matter that may result in an adverse determination about a Judge’s rights, benefits, or
privileges, the parties are reminded that the Privacy Act requires that, to the extent
practicable, information should be initially collected directly from the subject Judge.
D. Criminal Investigations. When a Judge is being interviewed by an agent or
investigative official of SSA and criminal charges against the Judge are possible, the Judge
will be informed that possible criminal misconduct is involved and will be advised of his
or her right to be represented by an attorney of his or her choice at the interview and the
right to remain silent. A Judge who invokes his/her Fifth Amendment right against self-
incrimination shall not be charged by the Agency with “failure to cooperate.”
l 壱 E. OIG Investigations
1. The parties recognize the need for confidentiality during OIG investigations of
sensitive issues.
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2. A copy of the statement the Judge provides OIG shall be given to the Judge at the
same time OIG provides the Agency with copies of the OIG report and the Judge’s
statement.
3. When a Judge becomes the subject of an investigation, the Judge will be notified
by the Agency when such investigation has closed.
4. In connection with complaints made by Judges, disclosure of identity, and
reprisals against the Judge shall be governed pursuant to Title 5 U.S.C. Appendix 3,
§7, as amended:
a. The Inspector General may receive and investigate complaints or
information from a Judge concerning the possible existence of an activity
constituting a violation of law, rules, or regulations, or mismanagement, gross
waste of funds, abuse of authority or substantial and specific danger to the
public health and safety.
b. The Inspector General shall not, after receipt of a complaint of information
from a Judge, disclose the identity of the Judge without the consent of the
Judge, unless the Inspector General determines such disclosure is unavoidable
during the course of the investigation.
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c. Any management official who has authority to take, direct others to take,
recommend, or approve any personnel action, shall not, with respect to such
authority, take or threaten to take any action against any Judge as a reprisal for
making a complaint or disclosing information to an Inspector General, unless
the complaint was made or the information disclosed with knowledge that it
was false or with willful disregard for its truth or falsity.
Section 5.
A. Benchmarks or goals published by ODAR managers are guidelines for management
officials only. Failure of any Judge to meet benchmarks or goals shall not result in
counseling, disciplinary action, or withholding any benefit in this Agreement.
Management’s benchmarks or goals which have consequences for the failure of Judges to
meet such benchmarks or goals, are de facto quotas. Quotas, whether de jure or de facto,
are unlawful when applied to Judges’ adjudicatory functioning under the Administrative
Procedure Act.
B. Any statistics about judicial work may not be utilized to set a judicial performance
quota or mandated work “goal”.
C. The Agency will not promote or assert that any management target, goal, benchmark,
quota, or other set monthly production request is obligatory, preferred, or necessary either
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in training new Judges, issuing public comments, or in any counseling, performance, or
disciplinary action against a Judge.
D. The Agency shall notify Judges on only one occasion per month of management goals,
benchmarks, and work load performance requests. Agency management and staff shall be
prohibited from harassing Judges at any time to issue more decisions or to dispose of cases
in order to make management goals.
E. The Agency is prohibited from characterizing Judges as not competent, not efficient,
not fully functioning, or not performing at an adequate pace for failing to meet
management goals.
F. In conformity with Article 2, Section 1B, the Agency will engage the AALJ in pre-
decisional consultation for any future judicial workplace studies.
G. Judges who are on sick leave, annual leave, official time, or who are otherwise not
available full time are not expected to perform any work duties when out of the office or
on official time and other judges shall not be pressured or expected in any way to make up
for work lost on account of such leave or official time. To the extent that the Agency
compiles and promulgates statistics about the Judges, those statistics shall reflect
proportional time adjustments for those periods when the Judge is not available to perform
work.
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H. In addition to the other notice requirements of this Agreement, Judges will be informed
of their right to representation in those situations specified in this agreement by written
notice distributed to each Judge annually.
Section 6. Complaints Regarding Attorney and Non-Attorney Representatives.
A. A Judge must comply with any state bar requirements pertaining to the reporting of
violations of canons of ethics and other rules.
B. A Judge may provide written adverse information about an attorney or non-attorney
representative directly to the Chief Judge of ODAR; a copy of the information will also be
simultaneously provided to the appropriate RCALJ. Investigation of the complaint shall
be completed by the Agency within 90 days. Within 10 days of the completion of
investigation, the Agency shall provide the complaining Judge with a written report that
summarizes the investigative findings and which indicates what discipline, if any, the
Agency is taking against the attorney or non-attorney representative.
Section 7. Notification of Complaints Regarding a Judge.
A Any observation or complaint regarding a Judge that may be used to propose
counseling or discipline will be brought to the attention of the Judge in writing within 24
hours after the receipt of the complaint.
A If the observation or complaint is not in writing when received by the
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Agency, the Agency shall immediately reduce the observation or complaint to writing and
a copy of any observation or complaint shall be provided to the Judge contemporaneously.
Section 8.
A. In accordance with existing law, Judges have the right to present their personal views
to the Congress, the Executive Branch or other government authorities or officials.
B. Nothing in this contract is intended to abridge an individual Judge’s First Amendment
rights under the Constitution of the United States.
C. The Agency may not counsel or discipline a Judge who refuses to obey an order of an
Agency official that the Judge reasonably believes to be unlawful or illegal.
D. The Agency will engage the AALJ in predecisional consultation with regard to any
proposed personnel survey(s) of Judges. Thereafter, the Agency shall provide the AALJ
with reasonable advance notice of written personnel surveys concerning conditions of
employment that involve bargaining unit Judges when such surveys are initiated, or
approved for distribution by SSA, at the SSA national level and ODAR level. The Agency
will also provide the AALJ with an advance written copy of the survey results as soon as
possible.
E. The Agency will encourage law enforcement officials to pursue allegations of criminal
conduct committed against Judges while engaged in or on account of the performance of
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any Judge’s official duties in violation of 18 U.S.C. §111 (Assaulting, Resisting, or
Impeding Certain Officers or Employees), §115 (Influencing, Impeding, or Retaliating
Against a Federal Official by Threatening or Injuring a Family Member), §372
(Conspiracy to Impede or Injure Officer), §876 (Mailing Threatening Communications),
§1111 (Murder), §1112 (Manslaughter), §1113 (Attempt to Commit Murder or
Manslaughter), §1114 (Protection of Officers and Employees of the United States), §1117
(Conspiracy to Murder), §1201 (Kidnapping), 42 U. S. C. §1320a-8b (Attempts to
Interfere with Administration of Social Security Act), and 28 CFR §64.2 (aa).
F. All Judges shall be permitted to use privately owned smart phones, personal computers
and related peripherals such as printers, copiers, and scanners on Agency property.
Section 9. The Agency and the AALJ recognize that Judges may be seriously and adversely
affected by a reduction-in-force action and the need to protect the rights and interests of the
Judge in this action. In the event of a reduction-in-force, the parties agree that the competitive
area shall be nationwide for the purpose of a reduction in force. In determining retention
standing in a reduction-in-force affecting Judges, the provisions of 5 C.F.R. Part 351 require that
consideration be given to a Judge’s tenure of employment, veterans’ preference and service date.
Because administrative law judges are not given performance ratings (5 C.F.R. §930.206), the
provisions in 5 C.F.R. Part 351 referring to the effect of performance ratings on retention
standing are not applicable. 5 C.F.R. §930.210. As required by 5 C.F.R. Part 351, 5 C.F.R.
§930.210 and this agreement, the Agency shall provide notice of the reduction-in-force to the
AALJ and to affected Judges in the manner and sequence set out in subsections A through C
below.
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A. The Agency shall provide written notification to the AALJ at the earliest possible date,
but not less than 60 calendar days prior to the notice to the Judges. The notice shall
include:
1. The reason for the action to be taken;
2. The approximate number of Judges who may be affected initially; and
3. The anticipated effective date that action will be taken.
B. The Agency shall provide the AALJ, upon request, with information in accordance with
5 U.S.C. §7114(b) 4.
C. The Agency shall provide a specific notice, at least 60 calendar days in advance to
individual Judges who will be affected by a reduction-in-force action.
D. Thereafter, the Agency shall fulfill its obligation to bargain the impact and
implementation of the reduction-in-force with AALJ.
Section 10.
A. The Agency shall reimburse Judges 50% for professional liability insurance premiums.
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B. The Agency shall reimburse Judges 100% for disability insurance premiums.
ARTICLE 5
APPENDIX A
OPM MODEL POSITION DESCRITION
For
ADMINISTRATIVE LAW JUDGE POSITION
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Article 6
AALJ Rights
Section 1. The AALJ will be afforded an opportunity to be represented at any formal discussion
between one (1) or more representatives of the Agency and one (1) or more Judges or their
representatives concerning (a) any grievance or (b) any personnel policy or practice or other
general condition of employment. For discussions with Judges concerning grievances, the
Agency Official intending to hold such a discussion will provide the appropriate AALJ
representative with reasonable advance notice of the discussion. For formal discussions dealing
with matters other than grievances, the AALJ will be given advance notice of the meeting by
telephonically contacting the appropriate AALJ Regional Vice PresidentAALJ President or
designee, when practicable, and the appropriate Local Association Representative in the involved
ODAR office at least 10 two (2) agency work daysworkdays in advance of the discussion.
Section 2. At those meetings where the AALJ is represented, the attendance of the AALJ
Representative will be acknowledged by the Agency Official at the start of the meetingAgency
Official at the start of the meeting will acknowledge the attendance of the AALJ Representative.
Furthermore, the Agency official will permit the AALJ Representative to ask questions, and to
present a brief statement before the end of the meeting outlining the AALJ position concerning
the issues. All issues to be discussed at the meeting by the Agency Official will be listed in a
written agenda, where possible, which will be forwarded to the AALJ at the same time, which
will be forwarded to the AALJ at the same time, that the AALJ receives prior notice of the
meeting.
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Section 3. The AALJ may refuse to represent non-members in matters outside the contract, e.g.,
such as disciplinary actions taken by ODAR before the Merit Systems Protection Board or
statutory appeals, adverse actions, or EEO complaints.
Section 4. All electronic documents, or attachments thereto, sent to the AALJ by the agency
shall be include a version in Word format.
Section 5. The Agency shall not access or read any email sent by or to any Judge holding a
national or local office with the AALJ. The Agency shall not access or listen to any telephone
conversation involving any Judge holding a national or local office with the AALJ. The Agency
shall not access or read any fax transmission or any other type of communication sent by or to
any Judge holding a national or local office with the AALJ. Should the Agency violate this
provision, no information obtained as a result of this activity can be used in any manner in any
forum against any Judge.
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Article 7
AALJ Representational Rights and Duties
Section 1.
A. Consistent with 5 U.S.C. §7114 (a)(2)(A), as the exclusive representative, the AALJ
shall be given the opportunity to be represented at any formal discussion between one or
more representatives of the Agency and one or more Judges or their representatives
concerning any grievance or any personnel policy or practice or other general condition of
employment.
B. Consistent with 5 U.S.C. §7114 (a)(2)(B), as the exclusive representative, the AALJ
shall be given an opportunity to be present at any examination of a Judge in the unit by a
representative of the Agency in connection with an investigation if the Judge reasonably
believes that the examination may result in counseling or disciplinary action against the
Judge and the Judge requests representation, or the Agency representative is aware that the
examination or meeting may result in counseling or disciplinary action against the Judge.
Section 2. Once a Judge chooses to exercise this right by requesting representation, no further
questioning shall take place until the Judge’s representative is present., provided no
unreasonable delay occurs.
Section 3. The Agency shall give the AALJ 10 working days’ reasonable notice to exercise its
rights under this section.
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Section 4. The AALJ has the right to be present during questioning of potential bargaining unit
witnesses for any third party hearing. The AALJ shall be notified 10 working days in advance of
any such questioning.
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Article 8
AALJ Use of Agency Equipment
Section 1. General.
A. The Agency will make telephones, fax machines, scanners, email, photocopy machines,
computers, printers, and regular mail/postage (excluding priority, express, or overnight
mail) available to the AALJ.
B. The Agency agrees that the AALJ may have reasonable use of the above-listed
equipment for the purpose of preparing for or effectuating labor-management relations, or
any other purpose for which official time is permitted under this agreement.
C. The Agency’s above-listed equipment may not be used to conduct internal union
business.
D. The parties agree that persons using the above-listed equipment on behalf of the AALJ
shall be in non-duty or official time status, and shall not impede the work of the Agency.
E. The AALJ may not use any Agency personnel, who are in work status for the Agency,
for any AALJ business.
F. This Article shall not rescind, revoke, or replace the existing national-level MOU
appended hereto, between the parties relating to the personal use of agency equipment.
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Section 2. Office Equipment and Systems.
A. It is recognized that an e-mail transmission with large numbers of addressees could
affect the Agency’s systems performance. Therefore, the AALJ agrees that a message will
not be transmitted to more than 100 recipients at one time during the business day.
Transmissions larger than 100 megabytes in size or with more than 100 addresses are
subject to the same scheduling approval by the Agency as for any other internal user and
approval shall not be unreasonably denied. To reduce the chance of computer virus
contamination, there will be no transmission of executable (.exe) files as attachments
through the Agency’s email system.
B. The AALJ’s 4 National Officers, National Grievance Chair, and 10 Regional Vice-
Presidents, Local Association Representatives (LARs) (as enumerated in Article 9, the
Official Time Article of this agreement), Designated Representatives, committee members,
and any other Judge appointed by the President to engage in labor relations business shall
be permitted to use privately owned personal computers or office equipment on agency
property.
1. The placement of such equipment shall be reviewed by local office management
in order to assure employee safety (e.g. that the office’s electrical service is not
overloaded). Management agrees to address any overload conditions on a case-by-
case basis.
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2. The Agency will not be held responsible for loss, damage, or theft of such
privately owned equipment while in government-owned or leased property.
C. To facilitate conducting labor relations businessthe preparation of labor management
relations documents, the ODAR agrees to furnish and install a copier, local color printer,
scanner, fax machine (with built-in telephone answering device) afor local printer on the
Agency furnished computer of each of the AALJ’s 4 National Officers, National Grievance
Chair, 10 Regional Vice Presidents, and 1 Local AALJ Representative (LAR) per hearing
office (as enumerated in Article 9, the Official Time Article of this agreement). and
National
Grievance Chair. These devicesprinters will be of a type and model compatible with and
connected to approved for use on the Agency’s computer network. These fax machines
will utilize the analog phone line installed under §3.A.2. below.
Section 3. Office Phone Systems. To facilitate the provisions of this agreement
whichagreement, which encourages the use of telephones for conducting labor relations
business, the Agency agrees to provide certain enhancements to the AALJ.
A. In each hearing office where voice mail has been installed, the AALJ local
representative will be provided a separate voice mailbox for labor management activity,
subject to local system capacity.
B. 2. The AALJ’s 4 National Officers, National Grievance Chair, and 10 Regional Vice-
Presidents (as enumerated in Article 9, the Official Time Article of this agreement) will be
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provided a single, direct analog phone line in their private offices, in addition to their
existing Agency phone. The Agency will meet this obligation in the most cost- effective
manner.
B. To facilitate the provisions of this agreement which encourage the use of fax machines for
conducting labor relations business, the Agency agrees to provide a fax machine (with built-in
telephone answering device) to each of the AALJ’s 4 National Officers (as enumerated in Article
9, the Official Time Article of this agreement) and National Grievance Chair. These machines
will utilize the analog phone line installed under3.A.2. above. The AALJ agrees to leave these
machines operational to facilitate service by fax.
Section 4. EmailArticle 8 . SidebarThe Agency agrees to expand email boxes for the AALJ’s 4
National Officers, National Grievance Chair, and 10 Regional Vice Presidents, as defined in
Article 9, the Official Time Article of the ODAR/AALJ agreement. These individuals will have
their email box capacity expanded to 10 gigabytes and folder capacity expanded to 10 gigabytes
to facilitate their ability to conduct AALJ/management business.
The Agency agrees to train the AALJ’s representatives in the use of the encoding feature
contained in the Agency’s fax machines to ensure the security of AALJ fax transmissions to their
Local AALJ Representatives (LARs). The AALJ agrees to limit its use of such encoded faxes to
sensitive documents only, to prevent disruption of ODAR’s regular and routine use of these
devices.
MOU dated January 19, 2000, to be added.
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_____________________________ _________________________________
Agency Representative AALJ Representative
_____________________________ _________________________________
Date
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Article 9
Official Time
Section 1. For purposes of this Agreement the term “official time” shall include the purposes set
forth in 5 U.S.C. §7131, as well as other representational activities including:
A. Attendance at meetings with the agency concerning personnel policies, practices, and
working conditions or any other matter covered by 5 U.S.C. §7114(a)(2)(A);
B. Attendance at meetings to discuss or present unfair labor practice charges or unit
clarification petitions;
C. Representation of Judges in disciplinary matters, including proposed disciplinary
actions;
D. Attendance to present appeals in connection with statutory or regulatory procedures in
which the AALJ is a party or is designated as the representative, (e.g., MSPB and EEOC
proceedings);
E. Attendance at examinations of any Judge in the unit by a representative of the Agency,
in connection with an investigation if:
1. The Judge reasonably believes that the examination may result in counseling or
disciplinary action against the Judge;
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2. The Judge requests representation; or
3. The Agency representative is aware that the examination or meeting may result in
counseling or disciplinary action against the Judge;
F. Attendance at grievance meetings and arbitration hearings;
G. Attendance at meetings of committees or workgroups created by or in conjunction with
the Agency at which AALJ representatives are participating;
H. Attendance at negotiations;
I. To confer with Judges with respect to any matters for which remedial relief may be
sought pursuant to the terms of this agreement;
J. To review documents that are not available during non-duty hours;
K. To meet and/or confer with representatives of the IFPTE or AFL-CIO; in connection
with the working conditions of a Judge on issues covered by this agreement;
L. To investigate, prepare for or attend meetings or hearings relating to the terms and
conditions of employment of any judge, such as grievance/arbitration, FLRA, MSPB, EEO
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or other disciplinary actions, adverse action proceedings, and unfair labor practice (ULP)
charges and complaints;
M. To prepare and maintain records and reports required of the AALJ and its
representatives by any Federal agency including the SSA/ODAR;
N. To meet or communicate with members of Congress or their staffs;
O. To respond to members of Congress and their staffs, including:ional contacts including:
1. Requests or subpoenas to attend a meeting(s), appearance at a hearing(s), or
providing other information; or
2. Requests or subpoenas to present testimony before Congress, provided the
testimony involves a condition of employment.
P. Time spent in preparing replies to agency proposals and proposed agency policy
changes submitted to the AALJ for comment or consideration;
Q. Time spent in processing informal grievances, or other inquires (telephone or oral)
related to labor-relations matters and providing other representational support issues;
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R. Time spent by the AALJ officers, representatives, and committee members
mentioned in Articles 9, 25 and 27, and any other Judge appointed by the President
to engage in labor relations business, ten Vice Presidents and national officers to prepare
for, participate in and travel to and from meetings sponsored by OPM relating to the
working conditions of the Judges; and for which attendance is agreed to in advance by ;
S. Time spent by the officers and grievance chairse AALJ President to prepare for,
participate in, and travel to and from meetings of the Social Security Advisory Board
relating to the working conditions of judges when requested to attend by the Social
Security Advisory Board; and for which attendance is agreed to in advance by ; and
T. Preparation for and travel to and from any of the above activities. Any such travel may
include the workday before and after the activity where appropriate and consistent with
applicable travel regulations.
Section 2.
A. Official time may only be used on the days and during the times that an AALJ official
would be otherwise in a duty status, but may on occasion involve extended work days and
weekends including Sunday (i.e. bargaining or hearing preparation). Duties involving
official time shall be conducted at any location chosen by the AALJ representative or
official. Internal AALJ business will be conducted on non-duty time.
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B. Official time may be used to claim credit hours or compensatory time if representation
activities or negotiations (as noted in paragraph A, above) last longer than normal duty
hours during a workday or occur on a weekend in accordance with the provisions of the
credit hour or compensatory time plan contained in Hours of Work, Article 14.
Section 3. The AALJ President shall provide the agency with a current updated list of Judges
who are designated to use official time. The Agency will only grant official time to these
designated Judges. Provided, however, that judges serving on the any of the committees
mentioned in Articles 25 and 27, or any subcommittee thereof, National Labor/Management
Committee and/or on any subcommittee of the National Labor/Management Committee
established pursuant to Article 25, shall be authorized official time as provided in Article 25.
Section 4. Judges covered by this agreement will be accorded reasonable duty time, not charged
to official time, to consult with an AALJ representative for representational purposes or for
representing themselves consistent with the terms of this agreement and applicable regulations
and law. This includes time for preparation, attendance (at meetings and/or hearings) and travel
of the Judge for matters such as grievance, arbitration, FLRA, MSPB, EEO, or other disciplinary
actions, adverse action proceedings, and ULP charges and/or complaints. The judge will make
every reasonable effort to request and have advance approval of such use of duty time. The
Judge will continue to administer and control his/her hearing case docket in a manner that is in
the best interest of the public.
Section 5. Reporting Use Of Official Time:
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A. Local AALJ Representatives (LAR)
1. Whenever practicable, the LAR shall submit in advance a completed Report Form (AALJ
Standard Form 1, Attached) to his or her HOCALJ to request official time on an as needed basis.
At that time the AALJ representative shall advise the HOCALJ of the amount of official time
needed and the purpose for which it is being requested (the LAR is not expected to disclose any
private or detailed matters about a potential grievance or other action). HOCALJ approval will
not be unreasonably denied. LARs shall continue to administer and control their case dockets in
a manner that is in the best interest of the public and consistent with the use of official time.
AB. National Officers, Regional Vice Presidents, and and National Grievance Chair.
(National Officers) On the last day of the month, or as soon thereafter as is
practicable, AALJ officers, representatives, and committee members mentioned
in Articles 9 and 25, and any other Judge appointed by the President to engage
in labor relations business, will submit a completed official time report to the
HOCALJ or designee (AALJ Standard Form attached to this Article).
1. National Officers will submit a completed official time projection to his or her
HOCALJ or designee on the first business day of the month or as soon thereafter as
is practicable (AALJ Standard Form 2, Attached).
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2. On the lastri business day of the month, or as soon thereafter as is practicable,
National Officers will submit a completed official time report to the HOCALJ or
designee (AALJ Standard Form 3, Attached).
B. Local Association Representatives (LARs): On the last Friday of the month, or as soon
thereafter as is practicable, LARs will submit a completed official time report to the
HOCALJ or designee (AALJ Standard Form 1, Attached).
C. Time Tracking:
1. HOCALJs will forward all report forms showing official time actually used to
their respective Regional Chief Judge.
2. The Deputy Commissioner and/or designee will provide to the AALJ President a
monthly report showing the official time used for each region, the total time used for
each region, the amount of official time charged against the pool, and the amount of
official time remaining in the pool. Monthly reports will be provided within 20
calendar days after the end of each month.
3. The parties understand that the Request and Report Forms will provide data in the
following categories which correspond to the agency’s official time accounting
system: Negotiating term agreements; negotiating midterm agreements; responding
to Agency initiated correspondence, telephone calls, and meetings; preparing or
presenting grievances under the negotiated grievance procedure; other Judge or
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AALJ initiated representational activities; appeals or complaints filed under the
Equal Employment Opportunity Commission proceedings/procedure, Federal Labor
Relations Authority Proceedings; Merit Systems Protection Board proceeding; and
preparation time and time traveling to and from the above activities. The parties will
continue to review the requesting and reporting procedures and forms for official
time on an ongoing basis to ensure compliance.
Section 6.
A. The Agency will recognize the following AALJ Officials and Representatives in the
Office of Disability Adjudication and ReviewHearings and Appeals for the purpose of use
of official time.
1. AALJ President
2. AALJ Executive Vice President
3. AALJ Secretary
4. AALJ Treasurer
5. AALJ National Grievance Chair and Deputy National Grievance Chair
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6. AALJ Regional Vice Presidents, each of whom must have a permanent duty
station in the region for which they are the Regional Vice President. AALJ Regions
are not the same as SSA/ODAR Regions. Region IV is divided into Region IV
North and Region IV South, Region VIII and Region X are consolidated. For
collective bargaining purposes the parties agree that these regions shall be treated as
SSA/ODAR Regions IV, VIII, and X.
7. Chief Technologies and Information Officer, General Counsel, Historian, Official
Timekeeper, and Parliamentarian.
8. One Local AALJ Representative (LAR) per hearing office. The AALJ President
shall provide a current designation of the LARs to the Deputy Associate
Commissioner of ODAR or his/her designee. The LAR in each office may designate
an Acting LAR for that office and will notify the HOCALJ or Acting HOCALJ of the
same. A Judge may act as the LAR in an office which is not his or her duty
station. The LAR or Acting LAR must have a permanent duty station in the local
office being represented. From time-to-time the AALJ Regional Vice President may
serve as the LAR for a Hearing Office in cases where no LAR or Acting LAR is
available.
9. ALJ President may designate in writing up to 15 five (5) Judges who in addition
to the officers noted above in Section 6. A. 1-8National Officers, National
Grievance Chair, and Regional Vice Presidents, Historitarian may be designated to
handle any represent the AALJ representation activities.or any judge at hearings
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before any third . The designation list shall be provided to the Deputy
Commissioner or his/her designee prior to requesting time and will contain the
names and hearing offices of the designated representatives. When a judge is
selected by the AALJ President to represent the AALJ and/or a judge, the AALJ
President shall notify the Deputy Commissioner or his/her designee of the name of
the judge serving as representative. If a judge is being represented, the Deputy
Commissioner or his/her designee will be provided the name and hearing office of
the Judge being represented together with briefly describing the nature of the action.
The designated representative will be granted reasonable official time to prepare for,
present, and travel to and from the labor relations business activityhearing
consistent with the terms of the agreement. Any such official time will count against
the official time bank. The AALJ president will have a total of 1400 15,000 hours
of official time to distribute to designated representatives and no designated
representative shall be provided more than 3001,000 hours of official time for this
representational activity. The official time used by National Officers, National
Grievance Chair, and Regional Vice Presidents will count towards his
or her cap in accordance with this article. The designated representative will follow
the official time reporting procedure set forth in Section 5(AB) of this Article.
101. Judges serving on committees established pursuant to Article 25 of the
Agreement.
1120. Any Judge "Acting" in any of the above stated positions shall be entitled to
official time for said position.
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B. The total amount of official time per calendar year that may be used by AALJ Officials
and Representatives in the discharge of their responsibilities is 40,00018,200 hours per
year as follows:
1. The President of the AALJ will place the official time in either the National
official time pool or a regional official time pool.
2. AALJ national officers, vice presidents, and local office representatives, as a
percentage of the regular working hours per year, may utilize a pool of official time
as follows:
a. AALJ National President up to 950%.
b. AALJ Executive Vice President up to 9080%.
c. AALJ Secretary up to 7565%.
d. AALJ Treasurer up to 7565%.
e. AALJ National Grievance Chair up to 9080% and the Deputy National
Grievance Chair up to 80%
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f. 10Ten Regional Vice Presidents up to 8060%. Each Regional Vice President
shall be assigned a pool of official time hours that can be assigned to the LARs
in his/her region. The Regional Vice Presidents shall control the allocation of
official time to the LARs in their respective regions, subject to approval of the
President of the AALJ.
g. LARs up to 2010% on an as needed basis.
h. The Historian, the Official Timekeeper, General Counsel, Parliamentarian,
and the Chief Technology and Information Officer up to 40%.
C. The AALJ President shall have the authority to make a redistribution of official time
within the National Pool, from the National Pool to a Regional Pool, from any Regional
Pool to the National Pool or among the Regional Pools. The AALJ President shall advise
the Associate Commissioner or designee of the same.
D. If during the course of a year a Judge in one of the above named positions is changed
or replaced by election, designation or otherwise, the unused balance of official time for
that year will be transferred to the new holder of the position.
E. If official time in the pool is expended or nearly expended, the Associate
Commissioner of ODAR or her/his designee shall meet with the President of the AALJ to
discuss any requests for additional official time.
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Section 7. Official time used to engage in any of the following activities will not be counted
against either the National or Regional Official Time Pools:
A. Preparation for, participation in and travel to and from agency initiated negotiations at
the national, regional, or local level as provided for in Article 2, Mid Contract
Negotiations, during the term of this agreement.
B. Preparation for, participation in and travel to and from mid-term collective bargaining
agreement negotiations, according to the terms and ground rules as set forth in Article 2 of
this agreement.
C. Preparation for, participation in and travel to and from master contract collective
bargaining negotiations.
D. Preparation for, participation in and travel to and from training and/or national level
meetings jointly agreed to by the parties and/or training sponsored by or implemented by
the Agency.
E. Preparation for, participation in and travel to and from meetings of the National
Labor/Management Committee, Health and Safety Committee, Advisory Judicial
Education Committee, Women’s Judicial Committee and Joint Technology Advisory
Committee as provided for in this agreement.
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F. Preparation for, participation in and travel to and from training on the Master Contract
as mutually agreed to by the parties.
Section 8. The parties acknowledge that any unused official time will not be carried over from
year-to-year. The calendar year for purposes of this agreement shall begin on the first day of the
month following the approval of the agreement by the head of the Agency.
Section 9.
A. Judges who are witnesses in any proceeding included in this article will receive a
reasonable amount of duty time to prepare for, attend and to travel to and from meetings or
hearings in connection with that proceeding. Travel and per diem in connection with these
proceedings will be paid as provided by law.
B. Judges who are witnesses in arbitration proceedings will receive a reasonable amount
of duty time to prepare for, attend and to travel to and from meetings or hearings in
connection with that proceeding. The Agency will pay 50% of witnesses’ travel and per
diem expenses for arbitration proceedings.
C. Travel and per diem for grievants and AALJ representatives will be paid consistent
with the Grievance and Arbitration articles.
Section 10. Judges representing the AALJ on a special project mutually agreed to by the parties
will be on official time and such time will not count towards the official time pool and travel and
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per diem will be paid in accordance with Federal Travel Regulations. Pursuant to 5 U.S.C.
§7106(a)(1), judges assigned to a special project initiated by the Agency will be on duty time.
3eArticle 9 - Sidebar and a reasonable amount of duty time to prepare for, participate in, and
travel to and from the Annual AALJ Training Conference. when representing the Agency. Such
time will be coordinated in advance with his/her HOCALJ. However, tTime spent representing
the IFPTE in preparing for, participating in, and traveling to and from the Annual AALJ Training
Conference will be charged against the official time bank and reported in accordance with the
Official Time Article.
B. A reasonable number of training conference faculty appointed by management based on
recommendations of the IFPTE will receive a reasonable amount of duty time to prepare for,
participate in, and travel to and from the Annual AALJ Training Conference.
C. The AALJ Dean of Continuing Legal Education will receive duty time to organize, prepare
for, participate in, and travel to all meetings and conferences necessary to effectuate the AALJ
Continuing Legal Education Program. Each conference faculty member will coordinate with
his/her HOCALJ to ensure that such time is requested in advance and is properly tracked and
reported.
The Agency is under no obligation to provide such official time or duty time if the Agency is not
utilizing the services of the AALJ to provide the training conference. It is understood that the
Annual AALJ Training Conference is not held annually.
Section 11.
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A. To the extent not precluded by law and regulation, for those situations in which AALJ
representatives who are also unit employees and are on official time are not authorized the
payment of transportation expenses by SSA, SSA agrees to issue no-cost travel orders.
This provision is limited to AALJ representatives who have a government travel card and
who use that card for full payment of affected transportation expenses. No cost travel
orders issued pursuant to this provision will not be used for personal travel.
B. The Union request for a no cost travel order will include: (a) the name of the AALJ
representative; (b) Social Security Number; (c) points of travel; (d) duty station; (e) dates
of travel; and (f) purpose of travel. SSA will provide the common accounting number
(CAN) and subject classification code (SOC) numbers.
C. Inter-regional travel will be requested through ODAR Headquarters. Intra-regional
travel will be requested through the appropriate regional office. No representative at a
lower level than Regional Vice-President may request the issuance of a no-cost travel order
to a union representative pursuant to this section.
Section 12. Judges shall not perform any adjudication-related duties while on official time or
while working on labor relations business; the Agency shall have no case adjudication
productivity expectations with regard to time spent in this manner.
Section 13. It is understood that nothing in this agreement is intended to limit the statutory
rights to official time provided pursuant to 5 U.S.C. §7131 or any other statute or regulation.
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AALJ Local Association Representative
Report of Official Time
AALJ NAME: _______________________ LOCATION: ________________
DATE: _______________ TIME: FROM ___________ TO ___________
1. Statutory Appeal or Complaint Proceedings
a. Appeals or complaints under EEOC proceeding/procedure Hrs. _______
b. FLRA proceeding Hrs. _______
c. FSIP proceeding Hrs. _______
d. MSPB proceeding Hrs. _______
e. Time traveling to or from above proceeding Hrs. _______
2. Other Official Time
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a. Negotiating or preparing to negotiate a mid-term agreement Hrs. _______
b. Responding to management initiated correspondence, Hrs. _______
telephone calls, requests to attend meetings, or similar management initiatives
c. Preparing or presenting grievances under the negotiated Hrs. _______
grievance procedure
d. Preparing or presenting cases before an arbitrator Hrs. _______
e. Union sponsored training Hrs. _______
f. Other employee or union-initiated activity Hrs. _______
Identify activity ____________________
g. Time traveling to or from above activity Hrs. _______
TOTAL HOURS OF OFFICIAL TIME Hrs. _______
_____________________________ ______________________________
SIGNATURE OF LOR SIGNATURE OF HOCALJ OR DESIGNEE
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OFFICIAL TIME PROJECTION FOR AALJ NATIONAL OFFICERS AND VICE-
PRESIDENTS
DATE: ____________________
FROM: ____________________ AALJ TITLE: ____________________
TO: _______________________, HOCALJ
Please be advised, that during the month of ____________________, 200__, I estimate that I
will devote ____________ hours of my work time to official time. I will advise you of
appropriate changes, if any, to this estimate for use of official time.
Received by HOCALJ on this ____________ day of _________________, 200__.
________________________________
Signature
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CERTIFICATION OF AALJ OFFICIAL TIME
USED BY AALJ NATIONAL OFFICERS AND VICE-PRESIDENTS
FROM: _________________________ AALJ TITLE: ___________________________
TO: _________________________ DATE: ___________________________
Attached is a report and certification of the official time that I used for the month of
____________.
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1. Statutory Appeal or Complaint Proceedings
a. Appeals or complaints under EEOC proceeding/procedure Hrs. _________
b. FLRA proceeding Hrs. _________
c. FSIP proceeding Hrs. _________
d. MSPB proceeding Hrs. _________
e. Time traveling to or from above proceeding Hrs. _________
2. Other Official Time
a. Responding to management initiated correspondence, telephone Hrs. _________
calls, requests to attend meetings, or similar management initiatives
b. Preparing or presenting grievances under negotiated grievance Hrs. _________
procedure
c. Preparing or presenting cases before an arbitrator Hrs. _________
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d. Union sponsored training Hrs. _________
e. Other employee or union-initiated activity Hrs. _________
Identify __________________________
f. Time traveling to or from above activity Hrs. _________
TOTAL HOURS ACCESSED TO POOL Hrs. _________
3. Official Time Not Counted Against Time Pool
a. Participation in Agency initiated negotiations at the national Hrs. _________
level during the term of the contract
b. Participation in and preparation for master contract negotiation Hrs. _________
c. Preparing to negotiate a mid-term agreement Hrs. _________
d. Participation in and preparation for training and/or national level Hrs. _________
meetings jointly agreed to by the agency and AALJ and training sponsored by the agency
e. Participation in and preparation for partnership negotiations, Hrs. _________
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training and joint meetings with the agency
f. Other employee or union-initiated activity Hrs. _________
Identify activity _____________________________________
g. Time traveling to or from above activity Hrs. _________
TOTAL OFFICIAL TIME NOT COUNTED AGAINST TIME POOL Hrs. _________
TOTAL HOURS OF OFFICIAL TIME Hrs. _________
Dated this _______________ day of ___________________, 200__.
__________________________________
Signature
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Received by HOCALJ ____________________________ ____________
Signature Date
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Article 10
Grievance Procedure
The grievance procedure is pursuant to the Federal Service Labor-Management Relations Statute
(FSLMRS), subchapter III, 5 U.S.C. §7121 et seq.
Section 1. In the interest of harmonious and effective performance of the Agency’s mission, the
Social Security Administration, Office of Disability Adjudication and Review and the AALJ
recognize the importance of prompt and equitable disposition of any grievance at the lowest
organizational level possible under the procedures of maximum informality and flexibility. The
AALJ or any judge or the Agency shall have the right to present a grievance and have it
promptly considered on its merits. The initiation of a grievance by any judge(s) shall not cast
any adverse reflection on his or her standing as an Administrative Law Judge.
Section 2. A grievance is defined as any complaint:
A. By any judge concerning any matter relating to the employment of the judge;
B. By the AALJ concerning any matter relating to the employment of any judge; or,
C. By any judge, the AALJ, or the Agency concerning:
1. The effect or interpretation, or a claim of a breach, of this agreement; or
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2. Any claimed violation, misinterpretation, or misapplication of any law, rule, or
regulation affecting conditions of employment.
Section 3. 4. The AALJ has the right to file, as a grievance under this contract, any alleged
unfair labor practices. When it does so, however, it waives its right to file an unfair labor
practice charge over the same issue with the appropriate authorities under law and regulation.
Section 4. 3
A. The AALJ has a right on its own behalf or on behalf of any judge(s) in the bargaining
unit to present and process grievances:
1. Any judge covered by this agreement has a right to present his or her own
grievance. When a judge files a grievance and does not designate the AALJ as his or
her representative, the Agency shall furnish the AALJ, National Grievance Chair, and
the appropriate Regional Vice President with a copy of the grievance filed and the
answers issued at each step, within 5 working days of each document. Towever, the
AALJ has a right to be present during any discussion of the grievance between the
grievant and the agency;proceeding; and
2. Any grievance not satisfactorily settled under the negotiated grievance procedure
set forth below shall be subject to binding arbitration, which may be invoked by the
AALJ or the Agency.
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3. As provided by 5 USC §7121(b)(2)(A), the provisions of this negotiated
grievance procedure which result in binding arbitration shall, if or if, or to the extent
that an alleged prohibited personnel practice is involved, allow the arbitrator to
order:
a. A stay of any personnel action in a manner similar to the manner described
in §1221(c) with respect to the Merit Systems Protection Board (MSPB); and
b. The taking, by an Agency, of any disciplinary action identified under
§1215(a)(3) that is otherwise within the authority of such Agency to take.
B. The preceding subsections of this agreement shall not apply with respect to any
grievance concerning:
1. Any claimed violation relating to prohibited political activities;
2. Retirement, life insurance, or health insurance;
3. A suspension or removal under 5 U.S.C. §7532 (relating to actions in the interests
of national security);
4. Any examination, certification, or appointment;
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5. The classification of any position which does not result in the reduction in grade
or pay of a Judge;
6. The content of 5 C.F.R. §930, subpart B (1999), or as later amended, over which
the Agency has no control;
7. Any matter within the original jurisdiction of the Merit Systems Protection Board
(MSPB). The parties acknowledge that the MSPB has been granted original
exclusive jurisdiction regarding certain personnel actions pursuant to 5 U. S.C.
§7521, which include:
a. Any action brought by the Agency against a judge under 5 U.S.C. §7521 of
the Administrative Procedure Act;
b. Any allegation in a grievance brought by a Judge within the original
jurisdiction of the MSPB, i.e., an allegation that the Agency through either
cumulative administrative actions or active intervention interfered with the
Judge's qualified decisional independence and prevented the impartial exercise
of the Judge's function.
In the event the parties cannot agree as to the grievability or arbitrability of an issue
under this subparagraph, the arbitrator will rule whether that issue is within the
MSPB’s jurisdiction. If the arbitrator rules that the matter is within the MSPB’s
jurisdiction, the matter may be filed by the grievant with the MSPB within 30 days
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of the date of the arbitrator’s decision. If the MSPB finds it has no jurisdiction over
the subject matter of the grievance, then the facts giving rise to the action may be
presented by the grievant under the grievance and arbitration procedure herein. The
employee must re-file the grievance with the Step One official, in writing, within 30
days of the date of the final MSPB decision dismissing the case for lack of
jurisdiction, or, if the MSPB’s decision is appealed to federal court, within 30 days of
final federal court action. After the grievance is refiled, time limits under the
grievance and arbitration procedure will apply to grievances refiled under this
section.
C. The parties acknowledge that this grievance procedure neither expands nor contracts
the jurisdiction of the Merit Systems Protection Board as provided by law. Further,
nothing in this article is intended to limit the arbitrator's authority to determine questions
of arbitrability.
D. A Judge has the option of filing a complaint under the negotiated grievance procedure
or under the SSA/ODAR EEO complaint procedure, but not both. For the purpose of this
article and pursuant to §7121 of the Civil Service Reform Act, a Judge shall be deemed to
have exercised his or her option at such time as the Judge timely initiates an action under
the applicable statutory procedure or timely files a grievance in writing in accordance with
the provision of this procedure, whichever occurs first.
Section 54. A grieving party may be a Judge(s), the AALJ or the Agency. Any Judge or group
of Judges may present such grievances to the Agency and have them settledadjusted, without the
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intervention of the AALJ, as long as the settlement of the grievanceadjustment is not inconsistent
with the terms of this agreement, and the AALJ has been given an opportunity to be present at
any meeting with the grievant regarding settlementdjustment of the grievance. However, Judges
may not be represented in the processing of a grievance by a representative other than the AALJ.
A Judge or group of Judges grieving without the intervention of the AALJ must follow the
negotiated grievance procedure.
When a Judge files a grievance and does not designate the AALJ as his or
her representative, the Agency shall furnish the AALJ with a copy of the
grievance filed, and the answers issued at each step.
Section 65. Normally the grievance shall be filed at the first step. However, a grievance may
also be filed at the step at which the subject matter of the grievance arose. In the event that the
Agency decides that the grievance can effectively be resolved at a lower level than that at which
it was initiated, the Agency may remand
the grievance to the appropriate level and the remand shall be accomplished in a timely manner.
In such cases the time requirements for an answer shall be 20 working days from the date of the
remand.
A. The grievance procedure shall consist of the following steps:
STEP ONE. Any Judge may refer a grievance to the AALJ if he or she desires. The
grievance will be written. At Step One in accordance with this article, a grievance
may be presented to the Judge’s Hearing Office Chief Administrative Law Judge
(HOCALJ) or his or her designee. The grievance must be received by the HOCALJ
or his or her designee, or if presented by mail, postmarked within 35 working days
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following the date on which the Judge or AALJ knew or should have known of the
facts giving rise to the grievance. When the basis for the grievance is a continuing
practice or condition then the grievance can be filed at any time. The grievant or
their representative may request an oral presentation in the grievance. If requested,
the oral presentation will take place within five working days following the date the
grievance was received unless the parties mutually agree otherwise. A written
grievance answer will be issued by the HOCALJ or designeeThe HOCALJ or
designee will issue a written grievance answer within 20 working days following the
date on which the grievance was received.
The written grievance shall include:
1. The name and hearing office of the Judge;
2. State with particularity the issue and the grounds for the grievance,
including any law, rule, regulation, or CBA provision violated, if known; and
3. The corrective action requested and the reasons for such action; and
4. The name of the designated representative, if any.
STEP TWO. Absent resolution of the grievance at Step One, the Judge and/or his or
her representative may present the grievance at Step Two. The Step Two grievance
must be in writing and signed by the Judge or his or her representative, and received
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by the Regional Chief Administrative Law Judge or his or her designee, within 25
working days of the issuance of the Step One answer. The grievant or their
representative may request an oral presentation in the second step grievance. If
requested, the oral presentation will take place within five working days following
the date the grievance was received at the second step unless the parties mutually
agree otherwise. The Step Two answer will be issued in writing, within 20 working
days following the date on which the Step Two grievance was received or the oral
presentation made.
STEP THREE. Absent resolution of the grievance at Step Two, the Judge and/or his
Representative may present the grievance at Step Three. The Step Three grievance
must be in writing as described above, signed by the Judge and/or his representative,
and received by the Deputy Commissioner of ODAR or his or her designee, within
15 working days of the issuance of the Step Two answer. The grievant or their
representative may request an oral presentation in the third step grievance. If
requested, the oral presentation will take place within five working days following
the date the grievance was received at the third step unless the parties mutually agree
otherwise. The Step Three answer must be in writing and will be issued by the
Deputy Commissioner of ODAR, or his or her designee within 20 working days after
receipt of the Step Three grievance or the oral presentation made.
B. Failure on the part of the Agency to meet any of the time requirements of this
procedure will permit the grievance to advance to the next step upon written initiation by
the Judge.
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Section 6.
A. Agency grievances must be filed within (20) working days of the date the Agency
knew or should have known about the matter, unless the matter is a continuing practice or
condition, which may be filed at any time.
B. Where the Agency elects to file a grievance pursuant to this Article, such grievance
shall be in writing addressed to the President of the AALJ. The AALJ President or his or
her designee shall, within 30 workdays after receipt of such grievance, issue a written
answer addressed to the Deputy Commissioner of ODAR or his or her designee who
signed the grievance. In the event that the President of the AALJ decides that the
grievance can effectively be resolved at a lower level than that at which it was initiated, the
AALJ President may remand the grievance to the appropriate level.
Section 7.
A. Nothing herein should be deemed as foreclosing the AALJ and the Agency from
attempting to adjust the grievance without using the foregoing formal grievance procedure.
B. Any of the foregoing time requirements can be extended by mutual written consent of
all parties.
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C. All correspondence between the parties for grievance and arbitration processing shall
be by United States Postal Service, a commercial delivery service, fax machine, email, or
delivered in person. Time limits under this Article shall commence on the date of mailing,
or, if served by commercial delivery service, fax machine, or email, on the date sent.
D. Any time limits established for receipt of correspondence shall be extended by 5
working days, unless delivered in person.
Section 8.
A. When a Judge(s) files a grievance, the Agency agrees to pay, at Step One, 50 percent of
the travel and per diem for 2one (1) AALJ representatives from within the region in which
the grievance arose at step one to represent a Judge. At Step Two, the Agency agrees to
pay 50 percent of the travel and per diem for 2one (1) AALJ representatives and allone (1)
grievants and witnesses provided that
the AALJ representative did not represent the grievant at step one. At Step Three, the
Agency agrees to pay 50 percent of the travel and per diem for 2one
(1) AALJ representatives and all one (1) grievants and witnesses.
B. When the AALJ files a grievance, the Agency agrees to pay 50 percent of the travel and
per diem for 2one (1) AALJ representative AALJ representatives to travel to a site other
than his or her assigned duty station to represent the AALJ.
D. Telephonic presentations/representations will be used to the maximum extent possible.
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Section 9. At the option of the AALJ, a grievance shallmay be stayed after the third step
grievance decision is issued if the following two conditions are met:
A. The Agency has refused to provide information requested under 5 U.S.C. §7114(b)(4)
in connection with the grievance; and
B. The AALJ has filed a ULP for failure to provide the requested information within 25
workdays after receipt of the third step decision, or if no decision is issued, within 25
workdays from the date the third step grievance decision was due.
This stay shall remain in effect until 35 workdays after resolution of the unfair labor practice
charge or 35 workdays from the date of receipt of the information.
Section 10.
Following the issuance of the final step answer, all further official communication and/or
correspondence concerning the grievance shall be between appropriate management officials and
the National Grievance Chair of the AALJ or his or her designee.
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Article 11
Arbitration Procedures
Section 1.
A. If the answer at the final step of the grievance procedure does not resolve the
grievance, only the AALJ or the Agency may refer the grievance to arbitration by mailing
or otherwise transmitting written notice to the other party within 25 working days after
receipt of the last answer. If the Agency fails to issue a timely decision at the last step of
the grievance procedure, or fails to deliver the decision to the AALJ, the AALJ may invoke
arbitration without regard to the time limits contained herein, and the Agency may not
raise lack of timeliness as a bar to arbitration.
B. Upon referral of a grievance to arbitration, the AALJ or the Agency may request the
Federal Mediation and Conciliation Service (FMCS) to submit a list of 5five arbitrators
having federal sector experience. The party requesting the list of arbitrators shall pay the
fee charged by the FMCS for production of the list. Within 10 working days following
receipt of the FMCS list, the parties will select an arbitrator from that list. If the parties
cannot agree upon one of the arbitrators, they shall alternately cross off one name at a time
until one arbitrator remains, who shall then be the arbitrator selected by the parties. This
striking process shall be completed on the 11th working day. The right to be the first to
cross off the name of an arbitrator shall be determined by coin toss. Following the
issuance of the final step answer, all further official communication and/or correspondence
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concerning the grievance shall be between appropriate management officials and the
National Grievance Chair of the AALJ or his or her designee.
C. To the extent available, these arbitrators will be from the local work site metropolitan
area for grievances arising at that level, or metropolitan area for grievances arising in the
regions, or the Washington, D.C. metropolitan area for grievances arising at the national
level. To the extent possible, arbitration will be held in hearing offices, regional offices, or
ODAR headquarters in the location where the grievance was filed. If holding the
arbitration in a hearing office, regional office, or ODAR headquarters is precluded by
business necessity, other federal government controlled property at or near the city where
the grievance was filed may be used if the parties mutually agree to use the same. The
parties may agree to hold the arbitration elsewhere.
Section 2
A. Within 10 working days from the date of the request for arbitration, representatives of the
(herein this article defined as the AALJ and the Agency) shall confer for the purpose of selecting
an arbitrator. If agreement has not been reached prior to receipt of the FMCS list, then within 10
working days following receipt of such list, the will consult in an attempt to mutually agree
upon an arbitrator from that list. If the cannot mutually agree upon one of the arbitrators within
that period, then on the 11th day, they shall alternately cross off one name at a time until one
arbitrator remains, who shall then be the arbitrator selected by the .
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B. This striking process shall be completed on the 11th working day. The right to be the first to
cross off the name of an arbitrator shall be determined by coin toss.
Section 2. In the interest of efficiency and judicial economy, Grievances shall be consolidated
for arbitration at the election of the party seeking arbitration.The may mutually agree to
consolidate grievances containing substantially common issues of law or fact. The will
endeavor to accomplish any mutually agreed upon consolidation five days after a grievance has
been referred to arbitration.
Section 3. The arbitrator will be requested by the parties to render his or her award as soon as
possible, but no later than 60 days after the closing onclusion of the hearingrecord unless the
parties agree otherwise.
Section 4. The arbitrator is bound by applicable law. Further, the arbitrator shall have no
authority to alter the terms of this agreement.
Section 5. The decision of the arbitrator will be final and binding on the parties, subject to the
right of appeal set forth in the FSLMRS.
Section 6. Should either party refuse to participate in arbitration, the other party may
unilaterally employ an arbitrator and present the case to the arbitrator. The arbitrator will have
the authority to render a decision. At least 10 workdays before an arbitrator is contacted by a
party under this section, that party will send written notice to the party refusing to participate in
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arbitration of its intention to contact an arbitrator. Payment of the arbitrator under this section
shall be governed by the provisions of section 7 of this Article.
Section 7.
A. The AALJ and the Agency will share the arbitrator's fees and expenses equally, and the
cost, if any, of a mutually agreed upon hearing facility if government space is not
available.
B. A transcript of the proceedings will be made unless the AALJ and the Agency mutually
agree that one is not needed. The cost of the transcript will be shared equally. If one party
does not want to share the cost of a transcript, the other party can make arrangements to
obtain and pay for a transcript and will not be required to provide a copy to the dissenting
party.
C. The Agency agrees to pay 50 percent of travel and per diem for 2one (1) AALJ
Representatives, and all(1) one grievants, and witnesses to travel to a site other than their
assigned duty station to represent a Judge(s) or participate as a grievant, respectively, in an
arbitration proceeding.
Section 8. In the event the party invoking arbitration fails to contact the arbitrator selected by
the parties, for the purpose of scheduling a hearing date(s) within 180 days of the date the party
invoked the arbitration process, the arbitration shall be deemed dismissed with prejudice with
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respect to subject grievance, unless the parties agree otherwise. The parties will cooperate in
agreeing upon arbitration dates in an effort to resolve the dispute expeditiously.
Section 9. Expedited Grievance and Arbitration Procedure. This expedited grievance and
arbitration procedure is intended to provide prompt, efficient and effective resolution of issues
under the collective bargaining agreement. The right to use this procedure is reserved
exclusively for the AALJ.
Section 10. The expedited grievance will be filed directly with the Chief Administrative Law
Judge who shall file a response to the grievance within 5 calendar days. Within 10 calendar days
from the Chief Administrative Law Judges response, the AALJ may invoke expedited
arbitration. If there is no response from the Chief Administrative Law Judge, the AALJ may
invoke expedited arbitration fifteen calendar days after the grievance is filed.
Section 11. Within 30 days after the effective date of this Agreement, the Parties will create and
maintain a list of 5 agreed-upon arbitrators, to be used in rotation, for grievances processed
under this expedited process. In the event an agreement on the names of arbitrators is not
reached, the parties will select a list from the Federal Mediation and Conciliation Service, and
use this procedure. Arbitrators, using the FMCS list will be selected within five workdays after
invocation of the expedited arbitration procedure. The arbitrator will conduct the hearing within
fifteen calendar days after being notified of his/her selection. If the selected arbitrator is unable
to hear the case within this time frame, the next arbitrator on the list will be selected; in the event
the parties are using the FMCS list, a new list of FMCS arbitrators will be requested.
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Section 12. Procedures.
A. The arbitration hearing shall be held during the regular work hours of the basic
workweek at the hearing office where the grievance arose, or is filed at the 3rd Step, at a
location selected by the AALJ in its sole discretion.
B. The Parties have the right to give opening and closing statements and to present their
case through witnesses and documents.
C. The hearing shall be informal, but the federal rules of evidence shall be used as
guidance in the conduct of the hearing.
D. The arbitrator may exclude any testimony or evidence which he/she determines
irrelevant, immaterial, unreliable or unduly repetitive.
E. Bargaining history testimony may be introduced.
F. There will be no transcript of the hearing.
G. The arbitrator shall have the authority to make all arbitrability and/or grievability
determinations.
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H. At the end of the hearing, the arbitrator will issue an oral decision. Within 15
workdays, the arbitrator shall issue a written decision. This decision will be final and
binding on both Parties and shall be immediately implemented, but subject to reversal on
appeal to the Federal Labor Relations Authority.
I. The arbitrator’s fee and expenses of arbitration shall be borne equally by the parties.
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Article 12
Dues, Withholding, and Check Off,
And
Political Action Committee Contributions (PAC)
Section 1. This article is for the purpose of permitting eligible Judges who are members of the
AALJ to pay dues, make PAC contributions to AALJ’s PAC, and all other voluntary allotments
through the authorization of voluntary allotments from their compensation. This article covers
all eligible Judges:
A. Who are members in good standing in the AALJ;
B. Who have voluntarily completed Standard Form 1187 (SF-1187), Request and
Authorization for a Voluntary Allotment of Compensation for Payment of AALJ Dues and/or
Standard Form 1199 A, Direct Deposit Sign-Up Form; and
C. Who receive compensation sufficient to cover the total amount of the allotment.
Section 2. Dues Withholding and Check-off. The AALJ agrees to:
A. Inform and educate Judges of the voluntary nature of the system for the allotment of
labor organization dues, including conditions under which the allotment may be revoked.
B. Purchase and distribute to Judges SF-1187s.
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C. Complete Section A of SF-1187 and keep the ODAR Central Office Labor Relations
Officer (LRO) informed of any changes in this information:
1. Forward properly executed and certified SF-1187 to LRO on a timely basis
(signed and dated by an authorized AALJ official).
2. Inform the LRO of the name of any Judge who has been expelled or ceases to be
a member in good standing in the AALJ within fifteen (15) days of the date of the
final determination.
3. Inform the LRO of any change in the schedule of membership dues.
4. The AALJ President shall provide in writing to the ODAR Central Office Labor
Relations Officer the name and title of the AALJ officials authorized to complete
Section A of the completed SF-1187, and shall inform the LRO, in writing, when
such officials are changed.
Section 3. The Agency agrees:
A. To deduct and process voluntary allotments of dues in accordance with this agreement.
B. To withhold authorized dues on a biweekly basis by Department of Interior (DOI) at no
cost to the AALJ or the Judge.
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C. Upon receipt of a properly certified SF-1187, to date stamp the form and prepare SSA
Form 610 for transmittal within the pay period of its receipt.
D. To notify the Judge and the AALJ President, Secretary, and Treasurer when a Judge is
not eligible to enroll in the automatic dues withholding program because he/she is not
included under the recognition clause in the appropriate exclusively recognized bargaining
unit upon which the agreement is based.
E. To withhold new amounts of dues upon certification from the AALJ President so long
as the amount has not been changed during the past twelve (12) months; provided
however, changes in withholding may be more frequent than once every 12 months when
changes in a member’s salary is attributable to cost of living adjustments (COLAs).
F. To maintain an inventory of SF-1187, as modified by the AALJ for distribution to
judges.
G. To prepare remittances and reports as follows:
1. Transmit to the AALJ President, Secretary, and Treasurer the total amount
deducted for all Judges and total amount remitted to the AALJ.
2. Remit collected amounts to the Association of Administrative Law Judges as
follows:
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Sharon Credit Union
42 Pond Street
Sharon, MA 02067
or any other institution designated by the AALJ.
3. Provide the AALJ President, Secretary, and Treasurer with the DOI withholding
reports including but not limited to the information in Section 3(G)(4) of this article.
4. A monthly report shall be provided to the AALJ President, Secretary, and
Treasurer with the following information:
a. The Judges’ names in alphabetical order by last name;
b. Amount withheld;
c. Separated Judges;
d. New allotments;
e. Revocations of Judges’ dues withholding;
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f. No deductions because the Judges’ compensation was insufficient to permit
a deduction; and
g. Automatic pay adjustment.
5. The Agency will provide the AALJ President, Secretary, and Treasurer on a
monthly basis the names of newly appointed HOCALJs and the names of the judges
that have vacated the HOCALJ position.
Section 4. The effective dates for actions under this agreement are as follows:
A. Dues shall be withheld beginning the first full withholding pay period after the date of
acceptance of Form 610 by DOI.
B. Any change in the amount of dues to be withheld shall begin with the first full pay
period designated by the AALJ President in a notice provided to the Agency. This notice
shall be provided no less than thirty (30) days prior to the designated pay period.
C. Termination due to loss of membership in good standing shall begin the first pay period
following loss of recognition in good standing.
D. Termination due to separation or movement outside of bargaining unit shall occur as
follows:
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1. If action is effective on first day of pay period, termination allotment will be at
the end of the preceding pay period or after receipt of notification in DOI.
2. If action is effective on other than first day of pay period, termination of
allotment will automatically be at the end of such pay period.
Section 5. Revocation by Judge. It is the responsibility of the Judge to notify the ODAR
Central Office Labor Relations Officer, in writing, when the Judge is reassigned, promoted or
transferred out of the bargaining unit and the Agency will notify DOI. Requests for revocation
of dues allotments may be submitted at any time. A Judge must be given the opportunity to
revoke his or her authorization for dues withholding at least once every twelve (12) months. All
requests received prior to March 1 shall be effective on the first full pay period on or after March
1.
Requests received after March 1 shall be held until the following March 1.
To effect a revocation, a Judge must submit a properly completed SF-1188 or a written request
containing the Judge’s name, social security number, timekeeper number, and work location to
the ODAR Central Office Labor Relations Officer.
Section 6. Payroll Deductions for AALJ Political Action Committee Contributions. This
Section authorizes the establishment of a process for automated payroll deductions for AALJ
members’ contributions to the AALJ Political Action Committee.
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A AALJ will establish and designate to the Agency a master AALJ Political Action Committee
(PAC) account with a financial institution designated .
A Whenever a bargaining unit member wishes to elect a voluntary payroll deduction to be made
to the AALJ PAC, the member will complete a Standard Form SF-1199A (Direct Deposit Sign-
Up Form) and forward it to the member’s payroll office.
A AALJ will provide all bargaining unit members with partially pre-completed copies of SF-
1199A with appropriate data in Section 1, Items D through F, and Section 3.
A The member will complete the SF-1199A, Section 1, Item G as to amount of the contribution,
sign the form and forward it to the member’s payroll office.
A The Agency will process members’ SF-1199A and direct payment of the member’s AALJ PAC
contribution each pay period in the amount specified to the financial institution designated by
AALJ.
A The authorization will continue in effect and the specified PAC contribution will be direct
deposited each pay period until the authorization is cancelled by the member by notice to the
Agency or by the death or legal incapacity of the member.
A Cancellation of the authorization requires written notice by the member to the Agency.
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Article 13
Judicial Function in the Office of Disability Adjudication and Review
Judges are the highest-ranking government officials in the hearing office. ODAR’s mission is
accomplished by Judges adjudicating cases brought pursuant to the Social Security Act. Judges
shall, inter alia, conduct APA (Administrative Procedure Act) due process hearings and issue
decisions, which constitute final determinations of the Commissioner of Social Security. In
furtherance of the APA due process hearing, Judges shall determine when a case is fully
developed and ready to be scheduled for a hearing or a supplemental hearing. The Judges shall
also set the date, time, and place of the hearing (or supplemental hearing), conduct a full and fair
hearing, when necessary, and issue a legally sufficient decision.
Pursuant to the Administrative Procedure Act (APA), Judges shall be assigned to cases in
rotation, to the extent practicable. Once a Judge is assigned to a case, such assignment shall not
be changed by the Agency except in extraordinary and limited circumstances such as the Judge’s
death, physical incapacity, or unavailability for an extended duration.
A Judge is cloaked with decisional judicial independence at all times while a case is pending
before the Judge. The Agency shall not undermine, abridge, or infringe upon the decisional
independence of Judges.
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Article 13 - Sidebar
The AALJ, under the ground rules established by the for the negotiation of the collective
bargaining agreement, proposed an article entitled Support Staff. In
light of the pending litigation on substantially similar issues contained in that
article, the agree to substitute Article 13, Judicial Function in the Office of
Hearings and Appeals in place of the proposed Support Staff article.
In addition, the agree to abide by the final resolution (e.g. settlement or final
decision and order) of case WA-CA 00104 including the outcome of any exceptions
or appeals provided for by law or regulation. If the final resolution results in an
obligation to bargain consistent with 5 U.S.C. Chapter 71, the will enter into
negotiation on a memorandum of understanding. In this circumstance, the
agree that the AALJ will not be precluded from raising those matters covered in the
Support Staff article initially proposed. This does not constitute a waiver of the
rights of either .
For the Agency: For the AALJ:
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____________________________ ____________________________
Date: Date:
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Article 14
Hours of Work, Fixed Tours, Flextime, Flexible Work Arrangements, and Credit Hours
Section 1. Definitions.
A. Basic Work Requirement. The number of hours which a Judge is required to work or is
required to account for by leave or otherwise. For full-time Judges, the basic work
requirement is 80 hours per biweekly pay period.
B. Basic Work Week. Monday through Friday.
C. Core Hours. The time periods during the workday that are within the tour of duty
during which a judge must be present for work. Core hours for Judges shall be from 11:00
a.m. to 1:30 p.m.
D. Core Time Deviation. An absence during the core time that is made up within the same
day, during the flexible time without a charge to leave.
E. Credit Hours. Any hours within a flexible schedule established under 5 U.S.C. §6122,
which are in excess of a Judge's basic work requirement and which the Judge elects to
work so as to vary the length of a workweek or a workday.
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F. Flexible Time Band. That portion of the workday during which a Judge using flextime
has the option to select and/or vary starting or quitting times within the limits established
in this article.
G. Fixed Tour. A tour of duty that allowsrequires the Judge to establish a work schedule
of 8 1/2 work the established hours between the hours ofof 5:08:00 a.m. to 7:304:30 p.m.
daily per pay periodon a daily basis.
H. Flexible Work Arrangement. In the case of a full-time Judge, an 80-hour bi-weekly
basic work requirement that is scheduled for less than 10 workdays. For full-time Judges,
a Flexible Work Arrangement is a 5-4/9 or a 4/10 schedule as described in Section 3 below.
I. Flexible Work Schedule. A work schedule established under 5 U.S.C. §6122 that, in the
case of a full-time Judge, has an 80-hour biweekly basic work requirement that allows a
Judge to determine his or her own schedule within the limits established by this agreement.
J. Flextime or Flexible Schedule. A system of work scheduling which splits the workday
into two (2) distinct kinds of time – core hours and flexible time band. The two (2)
requirements under a flextime schedule are:
1. The Judge must be at work during the core hours except for core time deviations
unless leave or credit hours are used; and
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2. The Judge must account for the total number of hours he or she is scheduled to
work each day.
K. Travel Compensatory Time.
1. Travel compensatory time is time earned by a Judge for all time spent in travel
status away from the official duty station when such time is otherwise not
compensable.
2. Travel compensatory time must be used within 1 year of accrual.
Section 2. Fixed Tour.
A. In order to account for the time worked by a Judge working a fixed tour, the Judges
electing to work a fixed tour will advise his or her HOCALJ in writing that he or she is
electing to work a fixed tour betweenfrom the hours of 58:00 a.m. to 74:30:30 p.m.
B. Having informed his or her HOCALJ that he or she is working a fixed tour, a Judge
will not be required to sign-in or sign-out using a SSA Form-30.
C. A Judge who elects to work a fixed tour cannot utilize flextime or a flexible work
arrangement , or participate in the flexiplace program while using the fixed tour option.
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D. A Judge who has electeds to work on a fixed tour can then elect to participate in
flextime or, a flexible work arrangement (i.e. 5-4/9 or 4-10), earn credit hours or
participate in the flexiplace program only after two pay periods have elapsed by advising
his or her HOCALJ in writing that he or she is reverting to flextime.
E. A Judge on a fixed tour who wants to earn credit hours must sign in and out during the
time credit hours are being earned.
Section 3. Flextime. All Judges shall be permitted to work a flexible work schedule that
permits him or her to vary his or her daily starting and leaving times. This schedule shall be in
accordance with the following rules:
A. All Judges must be on duty status during established core hours, except for lunch
periods and core time deviations. Such core hours shall be from 9:311:00 a.m. to
1:303:00 p.m. Monday through Friday. The basic work requirement can only be
completed Monday through Friday.
B. Judges can start as early as 5:00 a.m. and leave as late as 7:30:00 p.m.
C. Judges electing to work a flexible work schedule will continue to sign-in at the
beginning of their workday, sign-out at the end of their workday at their official duty
station, and record any core time deviations in the appropriate blocks on the serial
sign-in/sign-out sheet. Judges’ serial sign-in/sign-out sheets will be maintained in each
Judge’s office.separate from the sign-in sheets used by other hearing office employees.
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Current policy regarding signing in and out of an office is not changed by this agreement.
Judges are responsible for working their scheduled workday of 8, 9, or 10 hours.
D. A lunch break cannot be combined with a core time deviation absence within 2 hours of
the beginning or end of a Judge's 8 1/2 hour workday. Core time deviations must be
recorded in the appropriate block on the Form SSA-30.
Section 4. 4 – Flexible Work Arrangements (FWA). Two (2) Flexible Work Arrangements (5-
4/9 and 4/10) shall be implemented.
A. 5-4/9 Flexible Work Arrangement. Judges have the option of electing to supplement
their flextime schedule with a 5-4/9 Flexible Work Arrangement (FWA). The 5-4/9 FWA
shall be in accordance with the following:
1. Judges work eight 9-hour days and one 8-hour day per pay period. The 10th shall
be a non-workday. If a holiday falls on a regular workday, that is the Judge's holiday.
If a holiday falls on any day, other than Sunday, the day of the "in-lieu-of" holiday is
the preceding workday. If the holiday falls on Sunday, the next workday is the "In-
lieu-of" holiday. Judges are entitled to 8 hours pay on a holiday.
2. Holidays that fall on a Judge’s 9-hour day require the Judge to use one-hour of
leave or credit hours earned to account for the holiday period. To avoid charge to
leave, the Judge will be permitted to move their 8-hour day to the holiday.
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3. Starting and leaving times are determined by Section 3.
B. 4/10 Flexible Work Arrangement. Judges have the option of electing to supplement
their flextime schedule with a 4/10 FWA. The 4/10 FWA shall be in accordance with the
following:
1. Judges work four (4) ten-hour (10-hour) days per week. The fifth (5th) day shall
be a non-workday. If a holiday falls on a regular workday, which is the Judge's
holiday. If a holiday falls on any day, other than Sunday, the day of the "in-lieu-of"
holiday is the preceding workday. If the holiday falls on Sunday, the next workday
is the "In-lieu-of" holiday. Judges are entitled to eight (8) hours pay on a holiday.
2. Holidays that fall on a Judge’s 10-hour day require the Judge to use two-hours of
leave or credit hours earned to account for the holiday period.
3. Starting and leaving times are determined by Section 3.
C. Temporary Suspension of FWA
1. Judges who are scheduled to attend training may have to conform to the working
hours in effect for the training.
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2. Occasions may arise when the 5-4/9 FWA or 4/10 FWA must be temporarily
suspended. (e.g., hearing trips, military leave, jury duty, training, or operational
exigency (office delays/closures, weather, natural disasters, power outages)).
D. Judges have the option of selecting their day off. However, except in a one-judge
office, no more than fifty (50) percent of the judges, plus one, in an office may be off on
the same day, without approval of the HOCALJ or Judge designee. Conflicts regarding a
Judge’s election of days off will be resolved using the standard set for in the Article 22,
Seniority. A Judge's selection of a day off will remain in effect unless the judge requests a
change. Any change requested must be consistent with this article. Judges may
temporarily substitute their day off, within a pay period, when required by hearing and/or
travel schedules with notice to the HOCALJ. In addition Judges may temporarily
substitute the day off for other reasons on an infrequent basis, with approval of the
HOCALJ and the same shall not be unreasonably denied.
E. Judges may withdraw from FWA or choose a different FWA option by notifying the
HOCALJ or judge designee in writing two weeks in advance of the pay period in which
the change becomes effective. A judge who elects a different FWA option may not change
the schedule again within the next two pay periods, except to withdraw from the FWA. A
judge who withdraws from FWA may not re-enter FWA again for two pay periods.
F. Delayed Opening. When the opening of the office is delayed for any reason, the office
hours will be 8:00 a.m. to 4:30 p.m. for the 8-hour tour; 8:00 a.m. to 5:30 p.m. for the 9-
hour tour; and 7:30 a.m. to 6:00 p.m. for the 10-hour tour. If the announcement of the late
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opening is made too late to effectively cancel flextime for all Judges, a Judge who reports
to work will be permitted to leave after completing their daily tour of duty, unless leave is
requested and approved. Provided however if a Judge reports early enough, as described
above, he or she can earn credit hours for the time worked in excess of the normal
workday, or may leave once he or she has completed a normal workday.
G. Judges electing a FWA will continue to sign-in at the beginning of their workday and
sign-out at the end of their workday at their official duty station. Current policy regarding
signing in and out of an office is not changed by this agreement. Judges’ serial
sign-in/sign-out sheets will be maintained in each Judge’s office.separate from the sign-in
sheets used by other hearing office employees.
Section 5. Credit Hours.
A. Consistent with 5 U.S.C. §5547, the parties acknowledge that a Judge cannot work
overtime or earn compensatory time, except for religious compensatory time and travel
compensatory time. Credit hours are available to give credit for work performed by a
Judge in excess of his or her basic work requirement.
A. Procedures
B.1. A Judge can earn up to 521/2 credit hours per workday, Monday through Friday.
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C2. A Judge can earn up to 128 credit hours on a non-regular work dayworkday.,
excluding holidays (5 U.S.C. §6103), as follows:
a. A Judge can earn no more than a total of eight credit hours on non-regular work days in
any calendar week; and
b. One of the following conditions apply:
i. Other hearing office employees are working in the hearing office on the non-regular
workday;
ii. When utilities (including heat and air conditioning) are normally available in the
hearing office on non-regular workdays regardless of whether other hearing office
employees are working in the
hearing office; or
iii. With the concurrence of his/her HOCALJ or Judge designee Judge may work credit
hours in the Hearing Office on a non- regular workday, excluding holidays.
D. A Judge may earn credit hours while working at a temporary duty station in travel
status. When a Judge on a FWA is required to revert to a regular 5/8 (five eight-hour days)
schedule for hearing trips, the Judge may earn credit hours at the temporary duty station
and on the Saturday and Sunday following.
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E4. A Judge may earn no more than fiftytwenty-eight (28) credit hours per pay period.
F5. Credit hours may be earned in one-minutequarter (1/4) hour increments.
G6. The maximum number of credit hours a Judge may carry over from one (1) pay
period to the next is 120 hourstwenty-four (24).
H. Use of earned credit hours will be requested by submitting a form SSA-71. The Judge
will check the block to the left of "Other" and write out credit hours to the right of
"Specify".
I. Accrued credit hours may be used alone or in combination with annual leave, sick leave,
when appropriate, or religious compensatory time. A Judge may use any of his or her
accumulated credit hours in a single pay period.
J9. Accrued credit hours may be used by a Judge in the same manner as any leave.
10. Judges will provide annual written notice to the HOCALJ or Judge designee of the
Judge’s request to work credit hours. The parties acknowledge that given the
Agency’s current workload, appropriate work is typically available for credit hours
work. In the event a HOCALJ or Judge designee makes a reasonable and good
faith determination that work appropriate for credit hours is not available for
Judges assigned to the hearing office, the HOCALJ or Judge designee will so notify
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the hearing office Judges in writing regarding the basis for, and duration of that
determination.
11. Starting and leaving times are determined by Section 3 above.
K. With the exception of Judges on a fixed tour, Judges electing to earn credit hours will
continue to sign-in at the beginning of their workday and sign-out at the end of their
workday at their official duty station. Judges working a fixed tour will sign in/out only for
credit hour time. Judges’ serial sign-in/sign-out sheets will be maintained in each Judge’s
office.separate from the sign in sheets used by other hearing office employees. Credit
hours earned on a daily basis will be recorded in block 14 of the SSA 30.
L. Credit hours may be earned between the hours of 5:00 a.m. until 11:00 p.m.
Section 6.
A. Management has determined that security video cameras and other electronic security
devices controlled by the Agency are for security purposes only. The parties agree that no
recordings from the security video cameras showing the times that Judges enter and leave
the workplace will be made or used by the agency for adverse actions for violations of
time and attendance regulations. The parties also acknowledge that some offices are
located in facilities, not controlled by the Agency, where such recordings are made. The
Agency agrees not to use such recordings for adverse actions against Judges for violations
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of time and attendance regulations. parties acknowledge that the Agency is contemplating
an automated time and attendance system (ATAS) for recording time and attendance which
does not constitute an electronic security device.
B. The parties acknowledge that Judges record time and attendance by signing in and out
by using a paper system. The parties acknowledge that Rumor has it that the Agency is
presently testing for implementation Agency-wide, an automated system for recording time
and attendance called WebTA. The AALJ will designate a representative to consult with an
appropriate agency representative(s) regarding the capacity and application of such a
system to the work of the Judges during the testing and rollout phases of this system. The
Agency will negotiate with the AALJ, and the AALJ will negotiate consistent with 5
U.S.C. Chapter 71, regarding WebTA pursuant to Article 2 of this CBA ATAS, this article
pursuant to the reopener provision in Article 1, Duration. Until the time such bargaining is
completed, Judges will not be required to use WebTA to record time and attendance.
Section 7. The Agency shall not curtail or deny Flextime, Flexible Work Arrangements, or the
right to earn and use Credit Hours and the right to earn and use Credit Hours shall not be
curtailed or denied in lieu of discipline or as an act of discipline, adverse action, or reprisal for
protected activities.
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Article 15
Flexiplace
To promote a greater efficiency in the workplace and in recognition of advances in technology
and the savings that result from telecommuting, a flexiplace program is hereby established.
Section 1. Definitions.
A. Flexiplace – Flexiplace is defined as a voluntary program that allows a Judge to
perform official duties at an Alternative Duty Station (ADS) during the Hours of Work set
forth in Article 14.
B. Alternate Duty Station (ADS) – Alternative Duty Station is a specific room or area
within a Judge’s primary residence or secondary residence.from which the Judge regularly
commutes to work. In addition to a primary or secondary residence, Provided however,
tthe Judge may propose an alternate locationive or additional designated residence to his
or her HOCALJ or judge designee. Such alternate location or additional designated
residence will be given reasonable and good faith consideration for approval by the
HOCALJ or judge designee.
C. Flexiplace Work Days – A day when a Judge performs official duties at the ADS.
D.. Leave Restriction – Leave restriction is a formal restriction on the taking of leave
and the Judge has been notified in writing that his or her use of sick or annual leave
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has been restricted in accordance with the Personnel Policy Manual (PPM) currently
known as the Personnel Manual for Supervisors (PMS) Chapter S630, Subchapter 1,
Appendix F.
E. Operational Needs – Work that must be performed by a Judge which cannot be
otherwise performed at the ADS, and cannot reasonably be performed on another day, via
telephone, or other reasonable alternative methods.
Section 2. Eligibility. All fFull-time Judges who meet the following criteria are eligible to
participate in the Flexiplace program.
A. The Judge has served as an SSA Administrative Law Judge for one year or more, provided
that a Judge who transfers from another agency with prior SSA ALJ experience will become
eligible after serving as an SSA ALJ for six months. B. The Judge is not on leave restriction at
the time he or she elects to participate in the Flexiplace Program.
C. The Judge has not been placed on a leave restriction, or has not received a letter of reprimand
that has been placed in an SF 7B employee record extension file or has not been disciplined
pursuant to 5 C.F.R. §930.214.
Section 3. Flexiplace Program Conditions.
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A. The Judge will provide the address of any approved ADS, and the telephone number
for the telephone located in the workspace at the ADS to his or her HOCALJ or designee.
B. The address and telephone number for the ADS may be released only to Agency
employees as required to complete official Agency business during the Hours of Work as
defined in Article 14.
C. Judges will be accessible to other agency employees during the hours of 8:00 a.m. to
4:30 p.m. unless other hours are specified by the Judge in the approved ADS schedule. In
such cases, the Judge will notify the HOCALJ or judge designee of the full duty day
during which official duties will be performed at the ADS, and the Judge will be accessible
to other Agency employees during those duty hours.
D. File Security:
1. The Judges will log in and out any case files removed from the Hearing Office
and taken to the Flexible work site, using the Form found at Appendix 1 to this
article.
2. Judges are responsible for the transportation and safekeeping of the files. Judges
shall maintain the security of any such files in the same manner required for the
transportation of files during hearing trips. Judges will maintain files in a secure
manner during transport to and from, and while at the ADS, so as to protect against
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destruction, loss or unauthorized disclosure of the files, consistent with the
confidential nature of such files.
3. Where the Judge is not normally provided parking at the duty station and
temporary reserved parking under the control of the Agency is available, Judges will
be allowed to use the temporary reserved parking for the period of time necessary to
pick-up and return files or a laptop on the days he or she picks up and returns files or
a laptop. The Agency shall provide authorized access to the duty station’s loading
area.
E. Judges who participate in the Flexiplace Program will be required to certify their hours
worked on a daily basis using a Time and Attendance Roster (SSA Form-30). When a
Flexiplace Work Day is performed, the roster completed by the Judge at the ADS will be
provided to the HOCALJ or Judge designee on the first duty day worked thereafter at the
official duty station.
F. Judges will be allowed to work at least 14 days per month at an ADS, and those days
will be selected by the Judgethe Judge will select those days.
provided that Judges will schedule no more than two consecutive Flexible Work Days in a
work week.
G. Consistent with Article 18, Leave, the Judge will follow established procedures for
requesting and obtaining approval for leave at the ADS and will submit a leave request
after the fact when unforeseen circumstances preclude the performance of an eight-hour
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work day at the ADS, and leave was not obtained in advance. In the event the Judge takes
leave during an ADS workday, he or she will notify the HOCALJ or designee as soon as
practicable.
H. Judges will complete a certification, consistent with the certification criteria
established by OPM, that the ADS is suitable for performance of the Judge’s work
functions.
Further, the portion of the ADS in which agency work is performed will be subject to
inspection by the Agency in the event that the agency reasonably believes that the ADS
fails to meet suitability criteria established by the certification. In such cases, the Judge
and the AALJ will be given reasonable advanced notice of the inspection, and an AALJ
representative will be allowed official time, and the Judge will be allowed duty time, to
travel to and from the ADS, to attend the inspection with the understanding that no travel
and per diem expenses will be provided by the Employer. No inspection will take place
without the Judge present.
I. A Judge may not be reimbursed for expenses associated with commuting and traveling
between the official duty station and the ADS. However, the Judge does not relinquish any
entitlement to reimbursement for authorized expenses incurred while conducting official
business for the Agency, as provided by statute and implementing regulations.
J. The Agency will provide internet access to SSA’s intranet, the electronic case file,
office email, draft decisions, Case Processing Management System, and any other like
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digital information to all Judges at any remote location, including the Judge’s ADS
location.
To the extent that Judges have been issued individually assigned laptop computer hardware
and software including mouse and keyboard, Judges may use such equipment at the ADS
to perform his or her work duties. The acknowledge that the Agency is not obligated by
this provision to provide Judges with individually assigned laptop computers. Further
Judges may use remote LAN Access, and phone card FTS access, and personal computers
to perform his or her work duties at the ADS.
K. The Agency will provide each Judge an FTS access card. To the extent Agency-
provided FTS access is not available at the ADS due to a lack of service, the Judge shall be
entitled to reimbursement for all expenses related to the lack of service, including expenses
associated with the use of the telephone line at the ADS, incurred while conducting
business for Agency. Judges will otherwise be responsible for operating costs,
maintenance, or any other incidental costs (e.g. utilities) associated with the use of the
Judges’ ADS.
L. Judges participating in the Flexiplace program will be provided with reasonable office
supplies to be used at the ADS (e.g. writing and typing paper, folders, pens, pencils, rubber
bands, stapler, diskettes, etc.)
M. The Agency shall not be liable for damages to the Judge’s personal or real property
during the course of performance of official duties or while using Agency equipment at the
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ADS except as to claims arising under the Federal Tort Claims Act, the Military Personnel
and Civilian Employee’s Claims Act or other applicable law.
N. The Judge will not use duty time for providing dependent care or for any other purpose
other than for performing official duties for the Agency. If a HOCALJ or judge designee
believes dependent care is an issue, the Judge will provide reasonable assurance that
dependent care is not being performed by the Judge during duty time.
Section 4. Flexiplace Program Participation.
A. A Judge who elects to participate in flexiplace will notify his or her HOCALJ in
writing of the election. The Judge may terminate his or her participation at any time with
written notice to the HOCALJ or judge designee.
B. Judges will be responsible for scheduling Flexiplace Work Days. consistent with the
maintenance and control of their hearing schedule. Judges will provide the HOCALJ or
Judge designee with an ADS schedule and location and timely notices of changes to that
schedule or location., consistent with the Judge’s monthly hearing schedule. The
HOCALJ or judge designee will notify a Judge in writing regarding the reasons for any
disapproval of ADS days scheduled in excess of 14four (4) days per month. Such
disapproval may be for operational needs only, as set forth in Section 1. D. above, and
shall be explained with specificity., or involving more than two consecutive Flexible Work
Days in a workweek as provided in section 3F above. A Judge’s ADS work schedule will
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be given reasonable and good faith consideration for approval by the HOCALJ or judge
designee. The scheduling of Flexiplace workdays will be done in conjunction with the
scheduling of hearings as determined by local practice.
C. If a Flexiplace Work Day occurs immediately prior to leave or official travel, a file
not related to the travel will be returned to the office in person or by mail prior to the
travel or taking of leave.
CD. Judges participating in the Flexiplace program may be on flextime. A Judge may not
earn credit hours at the ADS or work a flexible work arrangement.
DE. A Judge may be required to reschedule a planned ADS day when the Judge attends
training, engages in official travel, and by operational needs. In such cases, the Judge will
be provided reasonable advance notice and be provided a reasonable time to report to the
duty station. ADS Flexiplace workdays lost as a result of any such temporary
change,change shall be available for rescheduling by the Judge. , notwithstanding the
restrictions provided in section 3E of this article. Judges may not be denied ADS on the
last business day of the month or on days when hearing office meetings are scheduled.
Judges on ADS may attend hearing office meetings from the ADS by telephone.
E. The Judge is covered under Federal Employees Compensation Act if injured in the
course of performing official duties at the flexiplace work site.
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F. On a day when the Judge is scheduled to work at the ADS and his/her official duty
station isclosedis closed for all or part of a day, the following rules apply:
1. Full day closing: the Judge is not required to perform work at the ADS;
2. Late Openings/Early Dismissals: On days when the Judge’s official duty station
has a late opening or early dismissal, the employee is required to perform his or her
full ADS schedule.
G. A Judge will promptly inform the HOCALJ or judge designee whenever leave is
desired while working at the ADS.problems arise that adversely affect the ability to
perform official duties at the ADS. In the event problems arise that adversely affect the
ability to perform official duties at the ADS, the affected Judge may return to the duty
station if practicable or request annual leave or another applicable leave or earned credit
hours to cover the period scheduled but unworked. The Judge will not be charged with
leave for the actual commuting time required to commute to the duty station, not to exceed
two hours.
·Section 5. Official Duties to be Performed at the ADS and Judge’s Plan of Work.
A. Judges may perform any work which may be performed in the hearing office judicial
functions except conducting hearings or holding a face-to-face pre-hearing or post-hearing
conference at the ADS. A Judge’s ADS work may include File Review, Hearing
Preparation, Decision Making, Decision Instruction Preparation, Decision Drafting, and
Decision Editing.
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B. Official duties performed at the ADS will be performed with the quality, consistency,
and in the same manner as performed at the official duty station.
C. A completed Form (Appendix 1) will be provided to the HOCALJ on the next duty day
worked at the official duty station.
Section 6. Termination of Eligibility.
A. A Judge who has been placed on a leave restriction, or has received a letter of reprimand that
has been placed in an SF 7B employee record extension file or who has been disciplined
pursuant to 5 C.F.R. §930.214 may be terminated from the program.
AB. The Agency shall not curtail or deny participation in the Flexiplace program in lieu of
discipline or as an act of discipline, adverse action, or reprisal for protected activities. A
Judge will not be removed from the Flexiplace program as an act of discipline, adverse
action, or reprisal for protected activities.
BC. Judges who elect to participate in the Flexiplace program will comply with the
conditions governing participation set forth in this article Provided however, aA Judge
will not become ineligible to participate in the Flexiplace program for infrequent, minor
infractions of Article 15these conditions. Before limitingdiscontinuing a Judge’s
eligibility, the HOCALJ shall orally inform the Judge of any concerns regarding
compliance with program conditions, and provide the Judge with a reasonable opportunity
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for correction. The Agency shall advise the Judge that the Judge may be provided an AALJ
representative at such oral discussion before any limitationsuspension of the Judge’s
eligibility to participate in flexiplace. The Judge and the AALJ shall be provided a written
decision 5 five (5) working days before any limitationsuspension stating the reasons
therefore, to limitsuspend a Judge’s eligibility for participation in Flexiplace. Any
suspension from eligibility based upon a material failure to comply with the conditions of
the Flexiplace program will not exceed 60 sixty (60) days duration.
C. Any Agency decision to limit a Judge’s participation in Flexiplace shall be subject to
expedited arbitration.
Section 7. Continuous Oversight and Improvement. The Agency and the AALJ National LMC
established pursuant to Article 25 will monitor the implementation of the Flexiplace Program,
and make recommendations for improvements and to resolve any concerns about the
continuation of this program.
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Article 16
Temporary Changes in Regular Judicial Assignment
Section 1. Acting Hearing Office Chief Administrative Law Judge. Any Judge interested in
serving as Acting Hearing Office Chief Administrative Law Judge (HOCALJ) in his or her
hearing office shall advise the HOCALJ in writing. The HOCALJ will give consideration to
those so expressing an interest.
Section 2. Out Of Service Area Dockets. Due to the unpredictability of workload distribution
throughout the Agency service areas, ODAR will select Judges for out of service area dockets in
a fair and equitable manner. AALJ reserves the right to bargain in all respects concerning what
are presently called “the National Hearing Centers” after all pending litigation involving them is
completed.
Section 3. Vacancy in HOCALJ/RCALJ/CALJ/Deputy CALJ Positions. ODAR shall continue
its practice of posting notices to all Judges of vacancies in the positions of Hearing Office Chief
Administrative Law Judge (HOCALJ), Regional Chief Administrative Law Judge (RCALJ),
Chief Administrative Law Judge (CALJ), and Deputy Chief Administrative Law Judge
(DCALJ).
Section 4. Every 5 years Judges shall, in rotation by seniority, be offered at least 1 six-month
detail to perform non-hearing work in furtherance of the Agency’s mission. Such work shall
entail, for example, involvement in Agency workgroups, decisional quality review, training
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cadres, pilot programs, and regulation research/modification. During this detail, Judges will not
conduct hearings and will have no adjudicatory duties.
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Article 17
Modified Work Schedules
Due to Physical orand Mental Impairment
Reasonable Accommodation. A Judge’s physical or mental impairment may be an appropriate
basis for job restructuring, and part-time work, or modified work schedules pursuant to the
Rehabilitation Act of 1973, as amended (29 U.S.C. §790 et seq.).
Consistent with 29 C.F.R. §1630.2, as amended, a physical or mental impairment means any
physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or
more of the following body systems: Neurological, musculoskeletal, special sense organs,
cardiovascular, reproductive, digestive, respiratory, genitourinary, hemic and lymphatic, skin and
endocrine or other listed mental or psychological disorder. The Agency has decided that requests
for reasonable accommodation shall be processed in accordance with AIMS Chapter 19.
Approval or denial of a request for a reasonable accommodation shall be made in accordance
with law and regulations.
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Article 18
Leave
·TABLE OF CONTENTS
Section 1 - General Leave Provisions
Section 2 - Restored Annual Leave
Section 3 - Sick Leave and Family Friendly Leave Act (FFLA)
-Use of Sick Leave for Family Care and Bereavement Purposes
-Use of Sick Leave for Family Care Involving a Serious Health Condition
-Use of Sick Leave for Adoption Purposes
Section 4 - Family and Medical Leave Act (FMLA)
Section 5 - Advanced Annual/Sick Leave
Section 6 - Leave Without Pay (LWOP)
Section 7 - Administrative Leave
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-Voting Leave
-Inclement Weather, Poor Road Conditions, Other Emergencies
-Blood Donation
-Bone Marrow or Organ Donation
Section 8 - Miscellaneous Leave Provisions
-Court Leave
-Religious Compensatory Leave
-Military Training Leave
Section 9 - Leave Of Absence
Section 10 - General Leave Provisions
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Section 1 - General Leave Provisions
A. Judges shall earn leave in accordance with applicable statutes and regulations.
B. Judges will submit for approval a completed form SSA-71, or successor form, in
advance of all anticipated leave to permit the orderly scheduling of leave; to avoid leave
forfeitures which might otherwise result; and to protect the Judges’ right to file for
restoration of leave forfeited due to illness or injury or an exigency of public business if all
other conditions are met.
C. The parties acknowledge that hearing dockets are generally scheduled 60 to 90 days in
advance. In recognition of that fact, the Judges will coordinate the scheduling of
anticipated annual or sick leave requests with thehis or her hearing calendar, and . Judges
will submit a completed SSA Form-71,, or successor form. , for such anticipated annual or
sick leave together with his or her hearing calendar.
D. Any denial of requested leave shall state the reasons for the denial in writing, and be
provided to the Judge at the same time of the denial, or not later than three working days
after the submission of the Form SSA-71, or successor form.
E. If the Judge is in the office and the use of leave cannot be anticipated, the Judge should
timely submit the form SSA-71, or successor form, for approval in advance of the absence.
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F. If the Judge is not in the office and the use of annual or sick leave cannot be
anticipated, the request for leave approval shall be called in within one (1) hour after the
start of the Judge’s normal tour of duty or core-time when flextime is in effect, or as soon
as possible thereafter.
1. Contact will be made with the HOCALJ or Judge designee. In the event that
neither is available, a Judge may utilize voicemail, where it exists, to notify the
HOCALJ or Judge designee of the need for leave. Notification by automated
answer/voice mail does not equate to leave approval. In the event the Judge is
unable to make the call, any responsible person can make the call for the Judge. If
the absence extends beyond the anticipated period, a Judge will inform the HOCALJ,
or Judge designee of the situation promptly.
2. If the Judge’s leave status has not been clarified within 5 working daysby the
close of business, the absence may be charged to an absence without leave category
only if the Judge has no leave balances. This will not preclude a later change in
leave status upon the Judge’s requestfor good and sufficient reason. Upon return to
the office, the Judge will promptly submit a completed form SSA-71, or successor
form. If the Judge’s request to change his or her leave status for the period of
absence is denied, the reasons for the denial shall be in writing and must be provided
to the Judge at the time of the denial.
3. The Judge will submit a completed form SSA-71, or successor form, promptly
upon his or her return to the Hearing Office.
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G. Leave provided to Judges pursuant to this article will be charged in fifteen-minute (15-
minutes) increments.
H. Consistent with this agreement, law, government-wide regulations and Agency policies
governing the use of leave, a Judge may submit form SSA-71, or successor form, to change
previously authorized annual leave to sick leave, administrative leave, credit hours, or
leave without pay, and the HOCALJ or Judge designee approves the request.
I. Denial of leave will not be used as an act of adverse action, discipline or reprisal for
engaging in protected activity.
Section 2 - Restored Annual Leave
A. Annual leave, that is otherwise accruable but is lost due to an administrative error (i.e.,
an incorrect computation of leave) over which a Judge has no control, shall be restored by
the AgencyEmployer within 20 work days of the request for restoration of leave.
B. Annual leave may be restored when illness or injury prevents the use of requested and
approved annual leave, and conditions do not allow the leave to be rescheduled. The
illness or injury must be fully documented, and the scheduled annual leave must have been
requested in writing before the start of the third pay period prior to the end of the leave
year to be subject to restoration. A written request for restoration of annual leave due to
illness or injury must be filed with the AgencyEmployer within 90 days from the date of
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recovery from the illness or injury. The Agency shall act upon this request within 20
workdays.
C. Annual leave may be restored when an exigency of business causes the use of
scheduled leave to be disapproved or prevents the approving of requested leave, and
conditions do not allow its rescheduling.
1. “Exigency of Public Business” is an administrative or operational demand which
does not permit the use of annual leave to avoid its forfeiture.
2. The annual leave must have been requested in writing before the start of the third
pay period prior to the end of the leave year to be subject to restoration, and the
requested/scheduled leave must have been disapproved or canceled by an official
with authority to declare an exigency.
3. Declarations of exigencies must be in writing and must be in advance of the
actual disapproval of a leave request or cancellation of leave, except for bona fide
emergencies that were not known or could not be anticipated.
4. A written request for restoration of annual leave due to an exigency of public business
must be filed with the AgencyEmployer within 90 days from the ending date of the
exigency. The Agency shall act upon this request within 20 workdays.
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·Section 3 - Sick Leave
· A.
Subject to applicable regulations in 5 C.F.R. §630.401 et seq., a Judge must be granted sick
leave when the Judge –
1. Receives medical, dental, or optical examination or treatment;
2. Is incapacitated for the performance of duties by physical or mental illness, injury,
pregnancy, or childbirth;
3. Provides:
a. Care for a family member who is incapacitated by a medical or mental condition or
attends to a family member receiving medical, dental, or optical examination or
treatment; or
b. Care for a family member with a serious health condition.
4. Makes arrangements necessitated by the death of a family member or attends the
funeral of a family member;
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5. Would, as determined by the health authorities having jurisdiction or by a health care
provider, jeopardize the health of others by his or her presence on the job because of
exposure to a communicable disease; or
6. Must be absent from duty for purposes relating to the adoption of a child, including
appointments with adoption agencies, social workers, and attorneys; court proceedings;
required travel; and any other activities necessary to allow the adoption to proceed.
B.
1. A Judge will not be required to furnish a medical certificate from a healthcare
practitioner to substantiate sick leave, unless the HOCALJ or judge designee has a good
faith belief that sick leave is not justified or is otherwise required by law, rule, or
regulation. In such cases, the Judge will first be advised in writing of the reasons for
requiring a medical certificate to substantiate sick leave.
2. Judges will not be required to furnish a medical certificate on a continuing basis if the
Judge suffers from a chronic condition, which does not necessarily require medical
treatment although absence from work may be necessary and the Judge has furnished
medical certification of the chronic condition within the last twelve (12) months.
3. Judges will not normally be required to reveal the nature of the illness as a condition for
approval of the requested sick leave except in order to comply with regulation or in
instances where a medical certificate is required.
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4. A Judge may be required to furnish a medical certificate to substantiate a request for
approval of sick leave when the HOCALJ or designee has reason to believe that sick leave
is not justified. The Judge shall first be advised in a counseling interview, which shall be
recorded in the SF-7B extension file, of the perceived problem and reasons why a medical
certificate may be required for future use of sick leave. If the problem continues, the
Judge will be advised in writing as to whether an acceptable medical certificate will be
required for future use of sick leave. The sick leave usage of all Judges under sick leave
restriction will be reviewed at least every six (6) months and a written decision to continue
or lift the restrictions made. If the review shows significant improvement, the HOCALJ
will lift the restriction.
· C.
·
·1. Judge may only leave the work site for medical treatment at an appropriate health unit
when he or she has received the prior approval of the Agency, except in the case of an
emergency. A Judge who returns to duty within a reasonable time shall not be charged
leave. Should the health unit personnel or the Agency determine that the Judge needs to
be sent home, and the Agency releases that Judge,sick leave shall be charged beginning at
the time the Judge told the Agency that he or she was unable to continue working.
· C.D.
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An approved absence which would otherwise be chargeable to sick leave may be
chargeable to annual leave or leave without pay at the request of the Judge provided that
the HOCALJ approves the request.
· DE. - Use of Sick Leave for Family Care and Bereavement Purposes
1. The Family Friendly Leave Act (FFLA) permits the use of sick leave for the following
purposes:
a. To provide care for a family member as a result of physical or mental illness;
injury; pregnancy; childbirth; or medical, dental, or optical examination or treatment;
or
b. To make arrangements necessitated by the death of a family member or attend the
funeral of a family member.
2. The definition of “family member” means spouse, and parents thereof; children,
including adopted children, and spouses thereof; parents; brothers and sisters, and spouses
thereof; and any individual related by blood or affinity whose close association with the
employee is the equivalent of a family relationship.
3. Full-time employees may use up to 40 hours of sick leave each year for the above
reasons. Full-time employees who maintain a balance of 80 hours of sick leave may use
an additional 64 hours of sick leave per year. This brings the total amount of sick leave
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available for family care and bereavement purposes under Subsection 5(A)(1) and (2) to a
maximum of 104 hours per year for employees who satisfy this requirement.
·E F. - Use of Sick Leave for Family Care Involving a Serious Health Condition
1. Consistent with government-wide rules and regulations a Judge may use a total of up to
twelve (12) administrative workweeks of sick leave each year to care for a family member
with a serious health condition.
a. Non-Tacking Provision. Judges are not permitted to use 104 hours of sick leave
for general family care or bereavement purposes plus 12 weeks of sick leave to care
for a family member with a serious health condition each year. If an employee
previously has used any portion of the 104 hours of sick leave for general family care
or bereavement purposes in a year, that amount must be subtracted from the 12-week
entitlement.
b. Full-time Judges may use a total of up to 40 hours of sick leave for family care
purposes. In order to use more than 40 hours of sick leave per year to care for a
family member with a serious health condition, full-time Judges must maintain a
balance of 80 hours of sick leave at all times.
c. The definition of “family member” means spouse, and parents thereof; children,
including adopted children, and spouses thereof; parents; brothers and sisters, and
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spouses thereof; and any individual related by blood or affinity whose close
association with the Judge is the equivalent of a family relationship.
d. The term "serious health condition" is defined in Title 5 of the Code of Federal
Regulations, Part 630.1202.
·F G. - Use of Sick Leave for Adoption Purposes
1. Sick leave may be used for absences related to adopting a child. Uses include
appointments with adoption agencies, social workers and attorneys, court proceedings,
required travel, and any other activities necessary to allow the adoption to proceed to
include periods during which an adoptive parent is ordered or required by the adoption
agency or court to be absent from work to care for the adopted child. Judges shall furnish
employer written notice 20 workdaysthree months in advance of the need to take sick leave
for purposes relating to the adoption of a child. A Judge may also be required to file
evidence in support of a request to take sick leave for adoption-related purposes. Such
evidence may include copies of orders issued by the Court or statements from an adoption
agency. When required by the exigencies of the situation, the Judge may be advanced a
maximum of thirty (30) days of sick leave for purposes relating to the adoption of a child
as set forth in the Federal Employee Family Friendly Leave Act.
2. The SSA-71, or other Agency approved form, should be annotated in the remarks
section
indicating "Adoption."
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3. This entitlement to use sick leave for purposes related to the adoption of a child is in
addition to any entitlement to unpaid leave for the placement of a child with a Judge for
adoption under the Family and Medical Leave Act of 1993.
Section 4 - Family and Medical Leave Act (FMLA)
·A.
1. Consistent with government-wide rules and regulations a Judge may use up to a total of
twelve (12) administrative workweeks of unpaid leave during any twelve-month (12-
month) period for one or more of the following reasons:
a. The birth of a son or daughter of the Judge and the care of such son or daughter;
b. The placement of a son or daughter with the Judge for adoption or foster care;
c. The care of a spouse, son, daughter, or parent of the Judge, if such spouse, son,
daughter, or parent has a serious health condition; or
d. A serious health condition of the Judge makes the Judge unable to perform any
one or more of the essential functions of his or her position.
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2. The term “serious health condition” is defined in Title 5 of the Code of Federal
Regulations, Part 630.1202.
3. The entitlement to leave based on the birth or placement of a son or daughter shall
expire at the end of the twelve-month (12-month) period beginning on the date of such
birth or placement.
4. Leave shall not be taken by a Judge intermittently or on a reduced leave schedule unless
the Judge and the employer agree otherwise.
5. In any case in which the necessity for leave is foreseeable based on an expected birth or
placement, the Judge shall provide the employer with written notice three (3) months
before the date the leave is to begin, of the Judge's intention to take leave, except that if the
date of the birth or placement requires leave to begin in less than three (3) months, the
Judge shall provide such advance written notice as is practicable.
6. Except as provided in Subsection 3 of this section, leave under the FMLA shall be leave
without pay.
B.
Any Judge who takes FMLA leave pursuant to this article for the intended purpose of the
leave shall be entitled upon return from such leave to be restored by the employing Agency
to the position held by the Judge when the leave commenced. Consistent with the National
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Defense Authorization Act for fiscal year 2010, a Judge may use up to 26 work weeks of
unpaid FMLA leave during any single 12 month period to provide care for certain family
members (i. e., spouse, son, daughter, parent, or next-of-kin defined as the nearest blood
relative) who are members of the Armed Forces, including the National Guard or Reserves,
or veteran undergoing medical treatment, recuperation, or therapy for a serious injury or
illness. (A veteran must have been a member of the Armed Forces at any time during the
period of 5 years preceding the date on which the veteran undergoes the medical treatment,
recuperation, or therapy).
·C.
A Judge may elect to substitute for family and medical leave any of the Judge's
accumulated annual leave, sick leave, or credit hours for any part of the twelve-week (12-
week) period of unpaid leave, except that nothing in this article shall require an employer
to provide paid sick leave in any situation in which the employer would not normally
provide any such paid leave.
·D.
1. Leave requests for additional time will be considered on an individual basis, and in
accordance with the procedures and conditions set forth in this agreement and applicable
regulations.
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2. Terms in Section 4 of this article are defined consistent with the provisions of 5 C.F.R.
§630.1202.
Section 5 - Advanced Annual/Sick Leave
·A.
1. A Judge may request advanced annual leave if he or she is eligible to earn annual leave.
2. A Judge may be granted advanced annual leave up to the amount that can be earned by
the end of the appointment or the leave year, whichever is sooner.
3. A Judge must repay any leave advanced and not earned at the time of separation, except
that no repayment is necessary if the separation is because of the Judge’s death or disability
retirement, or if a medical certificate is presented that states that the Judge is unable to
return to duty.
·B.
1. Judges may be granted advanced sick leave when:
a. They are eligible to earn sick leave;
b. Their request does not exceed thirty (30) workdays;
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c. There is no reason to believe they shall not return after having used the leave and
they have enough money in their retirement account to reimburse the Agency for the
advance should they not return;
d. An acceptable medical certificate supports the request for advanced sick leave;
and
c. An advance of sick leave would not otherwise be prohibited by law or regulation.
2. There is no limit on the number of times a Judge may request and be granted advanced
sick leave, as long as the advanced sick leave balance does not exceed two-hundred and
forty (240) hours.
3. Each request for advanced sick leave shall be considered by the Agency on its individual
merits and in accordance with the criteria described in paragraphs A and B of this
subsection. Any denial of the Judge’s request for advanced sick leave shall be in writing
with the reason set forth and shall be provided to the Judge at the time of the denial.
·C.
Denial of advanced sick leave shall not be used as an act of adverse action, discipline or
reprisal for protected activity.
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Section 6 - Leave Without Pay (LWOP)
·A.
1. Judges have a right to LWOP in the following circumstances:
a. When a disabled veteran requests LWOP for medical treatment,
b. When requested by a reservist or National Guard member for military
duties in accordance with appropriate military orders. Judges may request such
leave after their military leave has been exhausted (38 U.S.C. §4316(d)),
c. When requested by a Judge who has suffered an incapacitating job-related
injury or illness and is waiting adjudication of a claim for employee
compensation by the Office of Workers’ Compensation Program, or
d. When a Judge makes a request under the Family and Medical Leave Act
and meets the criteria for that program.
2. With the exception of circumstances listed in above, LWOP is not a right that
accrues to a Judge. However, nothing precludes a Judge from requesting LWOP for any
purpose.
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3. Requests for LWOP will be given good faith consideration. If a Judge has
exhausted sick leave and benefits under FMLA, then the Judge may request and the
Agency will consider approval of LWOP.
4. LWOP may be requested in the same manner for the same purpose as annual leave
and sick leave. Denials of written requests for LWOP will be provided to the Judge on the
SSA-71.
5. Upon return to duty after a period of approved LWOP, ODAR has decided that it
will restore the Judge to an Administrative Law Judge position that the Judge held prior to
the leave.
·Section 7 - Administrative Leave
·A. – Voting
When voting polls are not open at least three (3) hours either before or after: (a) a
Judge’s regular hours of work; or (b) if the Judge is on flextime or on an Alternate Work
Schedule (AWS), the earliest or latest possible starting and ending time for the Judge’s
required duty hours, then he or she shall, upon request, be granted a sufficient amount of
administrative leave to vote by the Agency, which shall permit the Judge to report for
work up to three (3) hours after the polls open, or leave work up to three (3) hours before
the polls close, whichever requires less time.
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B. - Inclement Weather, Poor Road Conditions, or Other Emergency
Situation
1. All Judges are to presume that the office is open each regular workday unless
specifically announced otherwise. Although Judges are expected to be prepared to deal
with most emergencies, conditions might occur which will make the closing of all or
some hearing offices necessary. The decision to close the office or open it late will be
based on the Agency's concern for the health and safety of its employees weighed against
the mission of the Agency, including due consideration to the needs of the public. The
decision to close the office will be as a result of hazardous conditions that the majority of
employees might face reporting to their workplace or returning home. An announcement
of full day closing or delay in opening will be made through the news media. Depending
on the circumstances of the particular situation, attempts will be made to make a closing
decision and broadcast it as early as possible. Judges should be advised that, when
storms or other hazardous conditions develop during non-working hours, they should
listen to the radio or TV news and follow the Agency's specific instructions. As an
additional method of communicating closings and delayed openings, the Agency may
provide a telephone number for employees to call to receive a recorded message giving
instructions about office hours. Each Judge will receive a copy of SSA’s instructions.
2. When a decision is made to close a work place for a full day by administrative order
due to inclement weather or other conditions warranting such closing, Judges not
required to work, including Judges previously authorized paid leave (e.g. annual, sick,
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credit hours, or compensatory time), will not be charged leave. The administration will
timely notify the news media and employees on duty of such decision.
3. When a decision is made to dismiss Judges during the workday, Judges on duty at the
time of the dismissal not involved in essential services will be excused without charge to
leave. Those Judges who are on paid leave for the entire day will be excused without
charge to leave from the time ofthe early dismissal. The Judge will be considered on his
or her fixed shift for the purpose of computing the amount of excused absence. Judges
on LWOP immediately before and after the period covered will continue on LWOP for
the period involved. However, in the event a Judge in a duty status on the day of an early
dismissal requests leave/LWOP and departs before the official dismissal time, leave will
be charged only up to the time of the early dismissal.
4. When Judges request leave/LWOP/credit hours because of conditions discussed above
and when early dismissals or non-workdays have not been authorized, leave approving
officials shall be as liberal as possible in approving such leave. They will give special
consideration to physical or other conditions, which subject Judges to special hazards in
such circumstances.
5. When the opening of an office is delayed due to hazardous weather or other
emergency conditions, Judges (except essential services unless specifically designated in
the announcement) will be excused without charge to leave or loss of pay for the number
of hours the office delays opening. Judges on approved (either previously authorized or
by telephone on the same day) annual, credit hours or sick leave will not be charged
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leave or lose pay for that portion of the day the opening of the office is delayed. This
applies to leave requested for either the entire day or that portion of the day the office is
closed. The Agency will utilize the Judge’s fixed shift as a point of reference to
determine the amount of excused absence/leave to be granted.
6. When an announcement is made that an office will open late, Judges on flextime and
affected by the announcement will revert to a prescribed fixed shift for that day. Flextime
will be canceled. If the announcement is made too late to effectively cancel flextime for
all employees, Judges whoreport and begin to work will be permitted to leave when they
have completed the number of hours in their scheduled workday, provided they continue
to work, or the end of their established fixed shift, whichever comes first. Those Judges
will be entitled to work credit hours/AWS.
7. If hazardous weather or emergency conditions exist and prevent a Judge from getting
to work and the post of duty is not closed, the HOCALJ or designee should grant up to
two (2) hours ofadministrative leave for absence from work upon providing the Agency
with reasonably acceptable documentation that the Judge made reasonable efforts to
reach work but that emergency conditions prevented timely arrival. Factors, which shall
be considered by the Agency and uniformly applied to all Judges within the area affected
by the emergency, include:
a. The fact that the Judge lives beyond the normal commuting area;
b. The mode of transportation normally used by the Judge;
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c. Efforts by the Judge to get to work;
d. The success of other Judges similarly situated;
e. Physical disability of the Judge; and
f. Local travel restrictions.
In extreme circumstances an individual not reporting for work may be excused up to a
full day without charge to leave by the HOCALJ or judge designee, in consultation with
other appropriate management officials subject to consideration of all of the conditions of
(a) through (f) above. Such determination must be made on a case-by-case basis.
8. Judges with Mobility Impairments. During periods of inclement weather or other
emergency conditions, a Judge with a disability pursuant to the Rehabilitation Act of
1973, as amended, whether temporary or permanent disability, may be unable to report to
work. As a reasonable accommodation, management may grant excused absences even
when his or her respective office is open.
1. All offices are open each regular workday unless the Management decides to change
the workday hours because of environmental conditions. Management shall establish
written procedures to inform judges as to opening and closing of hearing offices because
of environmental conditions, and each judge shall be provided a written copy of
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instructions. If Management alters the workday, Management shall notify judges a
minimum three (3) hours prior to its decision to alter the workday.
2. When Management decides to close the workplace for a full day because of
environmental conditions, judges will not be charged for leave, including those judges
who are not required to be present for duty or who are absent from work via previously
submitted requests for leave will not be charged for leave.
3. When a decision is made to dismiss Judges during the workday, Judges will be
excused without charge to leave. Those Judges who are on paid leave for the entire day
will be excused without charge to leave from the time of the early dismissal. The Judge
will be considered on his or her fixed shift for the purpose of computing the amount of
excused absence. Judges on LWOP immediately before and after the period covered will
continue on LWOP for the period involved. However, in the event a Judge in a duty
status on the day of an early dismissal requests leave/LWOP and departs before the
official dismissal time, leave will be charged only up to the time of the early dismissal.
4. When Judges request leave/LWOP/credit hours because of conditions discussed above
and when early dismissals or non-workdays have not been authorized, leave approving
officials shall be as liberal as possible in approving such leave. They will give special
consideration to physical or other conditions, which subject Judges to special hazards in
such circumstances.
5. When an announcement is made that an office will open late, Judges on flextime and
affected by the announcement will revert to a prescribed fixed shift for that day. Flextime
will be canceled. If the announcement is made too late to effectively cancel flextime for
all employees or if the judges do not receive the announcement, Judges who report and
begin to work will be permitted to leave when they have completed the number of hours
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in their scheduled workday, provided they continue to work, or the end of their
established fixed shift, whichever comes first. Those Judges will be entitled to work
credit hours/AWS.
6. If environmental conditions or emergency conditions exist and prevent a Judge from
getting to work and the duty station is not closed, the HOCALJ or designee shall grant up
to two (2) hours of administrative leave for absence from work upon providing the
Agency with an acceptable explanation as to the emergency conditions which prevented
timely arrival. Factors, which shall be considered by the Agency and uniformly applied
to all Judges within the area affected by the environmental conditions or emergency,
include:
1. the fact that the Judge lives beyond the normal commuting area;
2. the mode of transportation normally used by the Judge;
3. physical disability of the Judge; and
4. local travel restrictions.
In appropriate circumstances a judge not reporting for work may be excused up to a full
day without charge to leave by the HOCALJ or judge designee. Such determination must
be made on a case-by-case basis.
7. Judges with Mobility Impairments. During periods of inclement weather or other
emergency conditions, a Judge with a disability pursuant to the Rehabilitation Act of
1973, as amended, whether temporary or permanent disability may be unable to report to
work. As a reasonable accommodation, management may grant excused absences even
when his or her respective office is open.
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·C.Subsection 3 - Blood/Blood Platelets Donation
1A. A Judge who makes a donation of blood without compensation may receive
administrative leave for a reasonable amount of time; normally up to three (3) hours for
the purposes of donation and recovery. Judges who donate blood platelets without
compensation through a Hemapheresis Program will normally be authorized up to four
(4) hours of administrative leave. However, the total administrative leave will be limited
to the remaining scheduled hours of duty on that day. A Judge who is not accepted for
donating blood/blood platelets is only entitled to the time necessary to travel to and from
the donation site and the time needed to make the determination. Absence for
blood/blood platelets must be approved in advance by the HOCALJ or designee.
2B. Administrative leave under this provision may only be granted once during any two
(2) month period for a maximum of six (6) blood/blood platelets donations a year.
·D.Subsection 4 - Bone-Marrow or Organ Donation
1A. Judges may be granted up to seven (7) days of administrative leave each calendar
year in addition to annual and sick leave for bone-marrow and up to (30) days
administrative leave each calendar year for organ donation.
2B. The request for administrative leave for bone-marrow or organ donation shall be
submitted on an SSA-71, or other Agency approved form, to the HOCALJ with an
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annotation in the “Remarks” section indicating that administrative leave is requested for
bone-marrow or organ donation purposes.
·E.Subsection 5
Denial of administrative leave shall not be used as an act of adverse action, discipline or
reprisal for protected activity.
·Section 8 - Miscellaneous Leave Provisions
A. Subsection 1 - Court Leave
In accordance with law and government-wide regulations, a Judge is entitled to court leave
to serve on a jury or to participate in judicial proceedings in a non-official capacity as a
witness in which the United States, the District of Columbia, a state or a local government
is a party. Upon being notified that a Judge needs court leave, the Employer, if requested,
will advise the Judge as to the Judge's rights to fees, travel expenses, and other appropriate
compensation.
B.Subsection 2 – Religious Compensatory Leave
1A. A Judge whose personal religious beliefs require the abstention from work during
certain periods of time may elect to work compensatory time for time lost for meeting
those religious requirements consistent with law and regulations. The Employer may allow
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a Judge, including a Judge whose salary has reached the aggregate pay limitation, to work
hours in excess of the basic forty-hour workweek in order to compensate time used when
fulfilling religious obligations. The parties acknowledge that the earning and use of
compensatory time off for religious purposes involves a mere substitution of time and,
unlike traditional compensatory time off granted under 5 U.S.C. §5543, cannot replace or
result in a Judge being entitled to premium compensation.
2B. Judges must request religious compensatory time off in advance and by submitting a
completed SSA-71 form, or other approved agency form, to their HOCALJ or designee.
3C. Judges must develop a schedule for earning/repaying the time off and have it
approved by their supervisors before they begin to work the religious compensatory time.
4D. Compensatory overtime work may be scheduled before or after the compensatory
time off. However, compensatory overtime work may not be scheduled more than 6
months before it is to be taken.
5E. Judges should request religious compensatory time in the same manner in which leave
is requested and approved in Section 1.
6F. Judges must repay advanced religious compensatory time before the end of the 8th
pay period after the pay period in which it is used. HOCALJs or their designees will
charge any leave not repaid by the expiration date to annual leave. If no annual leave is
available, the absence will be charged to leave without pay.
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7G. ODAR has determined that the HOCALJ or Judge designee should normally approve
requests for religious compensatory time off. Such a request may be denied only under
extraordinary circumstances where time off for religious observance would severely
disrupt the efficient accomplishment of SSA’s mission.
8H. Normally Judges must work compensatory overtime in initial increments of at least 1
hour. However HOCALJs may allow them to accumulate or repay compensatory time off
in smaller increments of not less than 15 minutes when: the initial amount of religious
compensatory time requested and approved is 8 hours or less, or the balance of religious
compensatory time they owe is 8 hours or less.
9I. If Judges cannot use religious compensatory time on the designated dates or times
because of the exigency of public business, they may defer its use for up to 8 pay periods.
The 8 pay periods begin with the first full pay period following the end of the exigency.
Any earned religious compensatory time that has not been used within these 8 pay periods
will be forfeited. Judges may not retain earned religious compensatory time beyond the
date the Judge specified on the SSA-71 nor may they earn and “bank” religious
compensatory time for future, unspecified religious occurrences.
C.Subsection 3 – Military Training Leave
In accordance with law and government-wide regulations, a Judge who is a member of the
National Guard or other reserve unit of the Armed Forces shall be entitled to up to 120
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hours of regular military leave in a fiscal year for active duty or active and inactive duty
for training. Judges who are entitled to regular military leave but who do not use their
entire entitlement may carry over the unused portion from one fiscal year to the next. A
maximum of 120 hours can be carried over. Approval of the military leave shall be based
on the copy of the orders directing the Judge to active duty. Nothing in this article is
intended to preclude a Judge’s right to military leave that is provided pursuant to applicable
law.
D.Subsection 4 - Preventive Health Care Screenings
Pursuant to Presidential Memorandum of January 4, 2001, Judges with fewer than 80 hours
of accrued sick leave may be granted up to 4 hours of excused absence in a calendar year,
without loss of pay or charge to leave, for participation in preventive health screenings
such as, by example, mammography, pap smears, and blood pressure and cholesterol
checks. Such absence will be requested and approved in advance of the use and will be
supported by adequate documentation. The supporting documentation may be an
annotation on the SSA-71 indicating that the leave is for preventive health screenings.
· Section 9 - Leave Of Absence
·A.Subsection 1
The Agency agrees to approve a leave of absence without pay for any Judge elected to a
position of national officer of IFPTE, AFL-CIO or its affiliated organizations for the
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purpose of serving full-time in the elective position. Such leave of absence will be for a
period concurrent with the term of office of the elected official and will automatically be
renewed by the Employer upon notification in writing from the Judge that he or she has
been reelected and wishes to continue in a leave of absence status.
·B.Subsection 2
The Agency agrees to approve a leave of absence without pay for Judges for the purpose of
serving in full time appointive positions for the IFPTE, AFL-CIO or its affiliated
organizations. The term of the leave will be no more than two (2) years. All affected
Judges may have their leave of absence renewed for one (1) additional two-year (2-year)
period upon request.
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Article 19
Travel and Transportation
Judges may be required to travel on behalf of the Agency. To provide for a uniform policy and
procedure that shall apply to all Judges, the following provisions shall apply when a Judge is
required to travel, consistent with law, government-wide rules and regulations. and Employer
policies.
Section 1.
A. The Agency shall follow the travel rules and regulations established by the General
Services Administration pursuant to 5 U.S.C. §5701, 5707; 41 CFR Chapter 300-30433
etseq. Provided, however, that Agency travel regulations and/or policy shall be applied if
the same is more advantageous to the Judge as the traveler. All travel approval shall be
pursuant to applicable law and, Agency rules, regulations. and policy.
B. The period of entitlement to travel expenses begins when the Judge leaves the home,
permanent duty station or other point of departure, and ends when the Judge returns to the
home, permanent duty station or other point at the conclusion of the trip.
C. A Applicable law shall govern whether a Judge in travel status is covered by the
Federal Employees' Compensation Act.
Section 2.
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A. Generally, travel by common carrier results in the most efficient use of energy
resources and is the least costly and most expeditious for performance of travel. Travel by
common carrier shall be used whenever it is reasonably available. Other methods of
transportation may be authorized as advantageous only when the use of common carrier
transportation would seriously interfere with the performance of official business, impose
an undue hardship on the traveler, or when the total cost by common carrier exceeds the
cost by another method of transportation.
B. When a common carrier is employed as the principal mode of travel, a government
contract rental car shallshould be authorized for official business if the Judge has submitted
an advance written request for a government contract rental car setting forth the need for a
government contract rental car, and
1. theThe Judge has elects to transport case files, recording equipment or other
government property that is too bulky to carry on the person and makes using taxi
service impracticable, or
2. theThe travel is to an area where taxi service is not reasonably available, or
3. whenWhen use of a government contract rental car is more economical than other
modes of transportation (e.g., the cost of taxi service to and from the airport, from
the hotel to the hearing site, to and from meals where the nature and location of work
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at the temporary duty station is such that suitable meals cannot be obtained there
exceeds the cost of a rental car).
C. When travel by privately owned vehicle (POV) is of equal or lower cost, use of a POV may
be authorized. A Judge shall be compensated for the use of an authorized POV according to the
Federal Travel Regulations. However, no Judge shall be required to use a POV for government
travel. A Judge shall be compensated for the use of an authorized POV according to the Federal
Travel Regulations. A Judge who chooses not to use a POV will be authorized the use a rental
car.
D. A blanket travel order shall be issued annually to each Judge at the beginning of each fiscal
year for the conduct of official business within the region where the Judge's local hearing office
is located.
DE. Pursuant to 20 C.F.R. §404.936 and 20 C.F.R. §416.1436, an Administrative Law
Judge sets the time and place for a hearing. ODAR recognizes that many factors affect the
number of cases that a Judge can hear in a given day (i.e., complexity of the issues,
whether translators or expert witnesses are required, whether the case involved an Appeals
Council or Court Remand, the distance of travel involved, etc.). Given such, the
partiesparties agree that the July 1, 1994 memorandum entitled “ALJ Travel Guidelines”
(Appendix A to Article 19) shall serve as a guide for the scheduling of cases that require
travel, consistent with applicable law. ODAR has determined that all proposed the
HOCALJ or Judge designee must approve travel dockets.
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EF. In accordance with 41 C.F.R. §301-51, Judges are required to use the Employer’s
Federal Travel Management Center (SSA’s TMC currently is SATO) to make all
authorized travel arrangements (e.g., lodging, air/rail transportation tickets and rental
vehicles) for official travel. A Judge may alter travel arrangements during the course of
travel using the Employer’s TMC provided there is no increased cost to the government.
In an emergency, e.g., a flight has been cancelled and the next available flight is leaving
within a short time and calling the TMC would result in the Judge being unable to
reschedule the flight, the Judge may make arrangements with the airlines directly. A Judge
must use his or her Government contractor-issued travel charge card to obtain funds
necessary for travel and to charge all official travel related expenses, e.g., transportation
tickets, lodgings, car rentals. The Administrator of the General Services Administration
exempts the following from the mandatory use of the Government contractor-issued travel
charge card:
1. Expenses incurred at a vendor that does not accept the Government contractor-
issued travel charge card;
2. Laundry/dry cleaning;
3. Parking;
4. Local transportation system;
5. Taxi;
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6. Tips;
7. Meals (when use of the card is impracticable, e.g., group meals or the
Government contractor-issued travel charge card is not accepted);
8. Phone calls (when a Government calling card is available for use in accordance
with Agency policy);
9. An employee who has an application pending for the travel charge card;
10. Individuals traveling on invitational travel; and
11. New appointees who have not been issued a Government contractor-issued travel
charge card.
It is understood that the travel card is to be used for official purposes only and may only be
used in conjunction with official government travel. It is recognized by the Agency that
the lodging receipt may contain miscellaneous discretionary expenses that are not
authorized for reimbursement under the travel order. The Agency has decided that if the
lodging facility will not separate such expenses so that the Judge may use a personal credit
card, or other means of payment, such charges are permitted to be paid using the
government-contractor issued travel card.
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G. Under the Hotel and Motel Fire Safety Act of 1990, federal employees on travel must
stay in public accommodations that are consistent with the requirements of the Act. Given
such, reservations for lodging must be made using the Agency’s TMC. However, the
Agency recognizes that in many instances, Judges make repeated trips to the same location
(remote hearing sites) and use the same lodging facility. In such instances, the first
reservation must be made using the Agency's TMC. Subsequent reservations may be made
directly with the lodging facility for up to four months after the initial reservation was
made with the Agency's TMC. Judges may be required to provide information identifying
these lodging facilities if the Agency deems it necessary in order for the Agency to meet
reporting requirements concerning compliance with the Hotel and Motel Fire Safety Act.
FH. Advance Authorization. A Judge scheduled to travel in an area, for which a per diem
allowance is prescribed, must request advance authorization for travel on the basis of
actual expenses. Any such request will normally be approved when the supporting
justification showing warranted circumstances for the request meet Agency-wide
guidelines. Actual expense reimbursement may be authorized up to a limit of 150% of the
prescribed rate (lodgings and meals and incidental expenses (M&IE)) for the locality. The
subsistence expense is limited to up to 150% of the lodgings or up to 150% of the M&IE,
but not both. This provision applies only to travel involving assignments of 30 calendar
days or less. Any request submitted should be approved or declined within 2 days after
submission, but in any event not later than 7 days prior to the scheduled travel.
GI. Post Approval. Reimbursement for actual expenses allowable under law and/or
government-wide rules and regulations may be authorized on a post approval basis if the
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Judge can justify that prudent expenses required by the ordered travel exceeds (as defined
by Agency-wide guidelines) the prescribed per diem rate. This provision applies only to
travel involving assignments of 30 calendar days or less.
HJ. While Judges are assigned to duty away from their regular duty station, they may
elect to return home during non-workdays or non-work hours. In such cases, the Judge
shall be reimbursed for travel expenses not to exceed the amount reimbursable had the
Judge remained at the temporary duty station. However, if there is a personal or family
emergency, such as the death or serious illness of a member of the traveling Judge’s
family; a catastrophic occurrence or impending natural disaster, such as fire or flood which
directly affects the traveling Judge’s home, requiring the Judge to return home, the Agency
shall pay reasonable costs (including transportation and per diem) for the traveling Judge's
return trip home.
IK. When a Judge in travel status is injured or becomes ill, the Agency shall reimburse the
Judge for expenses incurred in returning to the Judge’s normal duty station, consistent with
Federal Travel Regulations and other applicable law and regulation.
JL. The Agency shall process all claims for travel expenses as expeditiously as possible.
KM. Reasonable periods of time spent by a traveling Judge during regular duty hours to
make emergency repairs or refueling a vehicle used to conduct government business shall
be considered duty time.
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LN. ODAR has decided that an approved travel docket should, upon request of the
traveling Judge, include a reasonable amount of time for the Judge to pick up and return a
government owned vehicle or a rental vehicle obtained under the government-wide motor
vehicle rental program.
MO. The Agency recognizes that a Judge leaving for and returning from a hearing trip
may have to load and unload boxes of files. and other equipment. Therefore, on the day a
Judge leaves from his or her official duty station (office) for a hearing trip and on the day a
Judge returns to his or her official duty station after a hearing trip (this would include the
last day in the office prior to departure for travel and the first day back in the office upon
return from travel), the Judge shall ordinarily be reimbursed for the difference between his
or her usual cost of daily parking and the cost incurred for parking at the closest available
parking facility unless:
1. That expense would be imprudent,
2. A loading/unloading area is available, or
3. Government provided parking is available.
The Judge must note on his/her travel voucher that the cost of the parking was incurred
due to loading or unloading of files.
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P. A Judge is accountable for government documents and property in his or her possession
and/or custody. Judges exercising reasonable care will not be held responsible for
documents or property damaged, lost, or stolen from their possession and/or custody.
NQ. Consistent with 5 U.S.C. §5584, a claim of the United States against a person arising
out of an erroneous payment of pay or allowances, or arising out of an erroneous payment
of travel, transportation or relocation expenses and allowances, to an employee of an
agency, the collection of which would be against equity and good conscience and not in the
best interests of the United States, may be waived in whole or in part by the Commissioner
or designee when:
1. The claim is in an amount aggregating not more than $1,500;
2. The claim is not the subject of an exception made by the Comptroller General in
the account of any accountable official; and
3. The waiver is made in accordance with standards which the Comptroller General
shall prescribe.
O. Judges shall not be required to transport or arrange transportation for any equipment,
materials, and supplies related to the conduct of any hearing, which shall include but not
be limited to DRAP recording units, laptops, CDs, and files.
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Article 20
Reassignments and Hardships
· I. Reassignments
To establish a uniform policy for the non-reimbursable reassignment of Judges the following
provisions shall apply.
Section 1.
A. For the purposes of this Article, “hearing office” shall including existing hearing
offices, newly created hearing offices, satellite offices, newly created satellite offices,
existing national hearing centers, and newly created national hearing centers.The ODAR
will determine when there is an open position in a hearing office that will be filled by
permanent assignment with a Judge. assignment for a Judge in a hearing office.
B. Because Judge reassignments made under this provision are at the request of the Judge
and are primarily for the benefit of the government, Judge, aall expenses related to any
requested relocation will be paid by the AgencyJudge.
C. Prior to considering the assignment of newly hired Judges to a hearing office, the
ODAR will give first consideration for one reassignment to that hearing office to the
incumbent Judge who is first on the reassignment register for that hearing office pursuant
to these provisions. In the event ODAR determines that an incumbent Judge’s
reassignment pursuant to the provisions set forth herein results in a permanent opening in
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his or her former hearing office, ODAR will give first consideration to the incumbent
Judge who is first on the reassignment register for that hearing office and the provisions of
this article shall cease to apply to any additional permanent openings created by the
reassignment of those two Judges.
CD. It is understood that reassignments are subject to the prior approval of OPM under 5
C.F.R. §930.204 (f)205.
Section 2.
A. The ODAR shall create and maintain a reassignment register organized by hearing
office and satellite office that contains the name of each volunteer Judge, the date the
request for reassignment was emailed or faxed to ODAR,postmarked date of the request
for reassignment and the date the Judge was appointed. TUpon request, the Agency will
provide to the President of the AALJ an electronic copy of the current reassignment
register on the first of each month. no more than a quarterly basis, which includes a list of
all Judges who have requested reassignment to each hearing office.
B. A Judge who has received a letter of reprimand that has been placed in an SF 7B
employee record extension file or who has been disciplined pursuant to 5 C.F.R. §930.214
shall have his or her name removed from the request register after final adjudication of the
issue and shall not be eligible to have his or her name returned to the register for requested
reassignment until twelve (12) months have passed from the date of final adjudication.
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BC. A Judge must have 90 days with less than twenty-four (24) months of continuous
service with the Agency to be is not eligible for voluntary reassignment unless a qualifying
hardship exists and may not be placed on the request register until eligible. The request for
reassignment cannot be postmarked until the 91st day of continuous service.
C. A Judge who places his or her name on the register for more than 10three (3) hearing
offices shall not be eligible for selection for any requested reassignment.
D. The names of the Judges on the register shall be ranked for requested reassignment
selection according to the date the Judge’s name was entered on the register for that
hearing office. The date of entry on the reassignment register shall be deemed the
postmarked date the request was emailed or faxedmailed to the to ODAR. All requests for
reassignment shall be emailed or faxed mailed to the Office of the Chief Administrative
Law Judge and must bear a legible postmark from the U.S. Postal Service with a copy sent
to the proposed gaining and losing Regional Chief ALJ(s), and a copy to the AALJ
President or designee.
E. Upon determining that there are one or more vacancies in a hearing office, the Agency
will give first consideration to the Judges on the reassignment register for that hearing
office, in order of their place on the register, to fill all vacancies. Only after exhausting the
reassignment register will the Agency assign any other newly hireJudhat hearing office.
In the event ODAR determines that any incumbent Judge’s or Judges’ reassignments
pursuant to the provisions set forth herein results in permanent openings in his or her
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former hearing office, ODAR will give first consideration to the incumbent Judges who are
onare the reassignment register for that hearing office.
F. Should the number of qualified volunteers exceed the number of positions the ODAR
decides to fill by reassignment in a particular hearing office, the ODAR shall select
consider selecting the Judge whose name appears at the top of the register of volunteers for
that hearing office. if the Judge is eligible for reassignment. If an eligible Judge refuses
the reassignment then the ODAR shall consider selecting the next eligible Judges in
descending order on the register of volunteers for that hearing office until Judges accept
the reassignments, or the list is exhausted, or all vacancies are filled. In the event two or
more Judges have the same request date on the register for a particular hearing office, the
Judge with the earliest appointment date as a Judge shall be considered for selection. In
the event that two or more Judges have the same appointment date, then the one with the
earliest federal service computation date shall be considered for selection. In the event
there are two or more qualified Judges with the same federal service computation date,
then the selection shall normally be determined by a random selection made by the Chief
Administrative Law Judge or his or her Deputy pulling the name out of a hat.. When such
a random selection is required the AALJ President will be notified, and the AALJ President
may elect to be present either in person or by video.. Should the AALJ President or his or
her designee elect to be present for the random selection all costs incurred shall be at AALJ
expense
GIf, upon consideration, the ODAR does not offer a reassignment to the Judge who is first
on the reassignment register for a hearing office with a permanent opening, the ODAR will
provide its reason(s) in writing for the non-selection to the Judge not selected. Pursuant to
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5 U.S.C. §7106, management has concluded that it retains the right to reassign
management Judges without giving
preference to the reassignment register. The parties agree that in other than unusual and
unpredictable circumstances the following reasons may justify the non-selection of an
otherwise eligible Judge: the hardship of another Judge; or factors set forth in cases dealing
with the employment relationship. Although not inclusive, examples of cases containing
agreed upon factors are set forth in Appendix A.
G. In the event more than 1 Judge is on the reassignment register for an office with at
least 1 vacancy, ODAR shall send a letter and an email at the same time to each Judge on
the register for that office, 45 days in advance of any anticipated reassignments to that
office. This letter and email shall make it clear that a reassignment is not being offered by
this letter or email. Instead, the letter and email shall inquire of each Judge as to whether
they would be willing to accept a transfer to that office, should the Agency make such a
reassignment offer in the next 45 days. The letter and email shall state that all Judges must
respond within 10 working days of receipt of the letter or email. If a Judge does not
respond within 10 working days of receipt of this inquiry, the lack of reply shall be
deemed to be a waiver of reassignment of the next 45 days. However, this would not
change the ranking of a Judge on the reassignment register for that office. Once the
Agency receives all of these replies, the provisions of Article 20, I, Section 2 F shall apply
to those Judges who have responded to this inquiry that they would accept such a
reassignment, if offered.
H. Upon notification that he or she has been selected for a requested reassignment, a
Judge will accept or decline within 7three (3) working days of the notification. If an
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eligible Judge declines reassignment to a hearing office that he or she has requested, then
he or she shall have their name placed at the bottom of the reassignment register for that
office.
II. If a Judge accepts a reassignment pursuant to these provisions, his or her name shall be
removed from the register for other offices and he or she must report to the new office
within forty-five (45)120 days of acceptance or as otherwise mutually agreed by the
parties. That Judge shall not be eligible for another voluntary reassignment for 90 daystwo
(2) years.
A Judge who accepts a reassignment shall continue to hear and decide cases that
have been scheduled for him or her in the hearing office he or she is leaving and will
coordinate his or her travel plans with the gaining hearing office to facilitate the
scheduling of hearings to be held upon reporting for duty at the new location.
J. A Judge may have his or her name removed from any voluntary reassignment register
by sending an email or fax written request to the Office of the Chief Administrative Law
Judge by U.S. mail with copies to the proposed gaining and losing Regional Chief ALJ(s)
and to the AALJ President or designee.
Section 3.
When there are no Judges on the register for a newly created hearing office, a posting period of
45 working days will be established. Any Judge who wishes to be reassigned to that office must
submit his or her written request by email or fax to the Office of the Chief Administrative Law
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Judge with a copy to the AALJ President or designee within the specified period. All requests
from Judges for reassignment received during this posting period shall be deemed to have been
received on the same date. Therefore, ranking on the listing for the posted local hearing office
will be determined by the procedure set forth above in Section 2(F). The Judge with the earliest
determined date using the tie breaking procedures shall be reassigned.
Initial implementation of Sections 1 and 2 above regarding the establishment of the reassignment
register by hearing office will occur within thirty (30) days after the effective date of this
agreement.
All requests for reassignment received during this 30-day period shall be deemed to have been
received on the same date. Therefore, the provisions set forth in Section 2(F) will determine
ranking
on the register for each hearing office. Qualified Judge’s with the earliest dates using the tie
breaking procedures will be placed at the top of the register for the hearing offices for which he
or
she has volunteered. After the initial 30-day period has expired this transition clause shall have
no
force and effect.
Section 4
When there are no qualified Judges on the register for a new or existing hearing office and
the Agency has decided to reassign Judges to that office, a posting period of fifteen (15)
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working days will be established. Any Judge who wishes to be reassigned to that office
must submit his or her written request to volunteer to the Office of the Chief
Administrative Law Judge with a copy to the AALJ President or designee and the request
must bear a U.S. Postal Service postmark within the specified period. All requests from
Judges for reassignment received during this posting period shall be deemed to have been
received on the same date. Therefore, ranking on the listing for the posted local hearing
office will be determined by the procedure set forth above in Section 2(F). The qualified
Judge with the earliest determined date using the tie breaking procedures shall normally
be reassigned and if not, the provisions of Section 2(G) shall apply.
II. Hardship DetailReassignment
Section 1. A Judge may request a hardship detail reassignmento another hearing office by
sending his or her written request together with all supporting documentation to the Office of the
Chief Administrative Law Judge and to the AALJ President or designee.
Section 2. A hardship is defined as (1) an unpredictable personal or family crisis resulting from
a documented event seriously affecting the health or safety of the Judge or his/her immediate
family, and (2) which occurs after the Judge agrees to join ODAR as an ALJ. For the purpose of
this article, “immediate family” refers to spouse, children, stepchildren, and parents of the Judge
or spouse.
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Section 3. The Agency will give good faith consideration to any request for a hardship
detailreassignment based upon factors including, but not limited to the following:
A. Need for additional ALJ(s) in a particular hearing office.
B. Maintaining balance between workload and resources in the gaining and losing hearing
offices.
3. The effect on space and staffing in the gaining and losing hearing offices.
C. The reasons given for the hardship detail.reassignment.
D. The recommendations of the affected Regional Chief ALJ(s) and Hearing Office
Chief ALJ(s). IV. Payment of Expenses
Nothing in this Article shall preclude the Agency from paying expenses related to a reassignment
when it is made in the best interest of the government consistent with law.
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Article 20
Appendix A
SSA v. Anyel, 58 M.S.P.R. 261 (1993)
SSA v. Arterberry, 15 M.S.P.R. 320 (1983)
Association of Administrative Law Judges, Inc., v. Heckler, 594 F.Supp. 1132 (1984)
SSA v. Balaban, 20 M.S.P.R. 675 (1984)
Benton v. U.S., 203 Ct.Cl. 263; 488 F.2d 1017 (4th Cir. 1973)
SSA v. Biesman, 73 M.S.P.R. 82 (1997)
SSA v. Brennan, 19 M.S.P.R. 335 (1984)
SSA v. Brennan, 27 M.S.P.R. 242 (1985)
Brennan v. Department of Health & Human Services, 787 F.2d 1559 (Fed.Cir. 1986)
SSA v. BODARm, 38 M.S.P.R. 540 (1988)
SSA v. Bronczyk, 1993 MSPB Lexis 60 (1993)
SSA v. Burris, 39 M.S.P.R. 51 (1988)
Butz et al., v. Economu et al., 438 U.S. 478; 98 S.Ct. 2894; 57 L.Ed.2d 895 (1978)
Heckler v. Campbell, 461 U.S. 458; 103 S.Ct. 1952; 76 L.Ed.2d 66 (1983)
SSA v. Carr, 78 M.S.P.R. 313 (1998)
SSA v. Carter, 35 M.S.P.R. 466 (1985)
SSA v. Carter, 35 M.S.P.R. 485 (1987)
In Re Chocallo, 2 M.S.P.R. 20; 1 M.S.P.B. 605 (1980)
D’Amico et al., v. Schweiker et al., 698 F.2d 903 (7th Cir. 1983)
SSA v. Dantoni, 77 M.S.P.R. 516 (1998)
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4234
4235
4236
4237
4238
4239
4240
4241
4242
4243
4244
4245
4246
4247
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4249
4250
SSA v. Davis, 19 M.S.P.R. 279 (1984)
In Re Doyle, 22 M.S.P.R. 317 (1984)
In Re Doyle, 24 M.S.P.R. 409 (1984)
In Re Doyle, 1985 M.S.P.B. Lexis 1655 (1985)
In Re Doyle, 29 M.S.P.R. 170 (1985)
In Re Doyle, 41 M.S.P.R. 31 (1989)
SSA v. Friedman, 41 M.S.P.R. 430 (1989)
SSA v. Glover, 23 M.S.P.R. 57 (1984)
In Re Glover, 1 M.S.P.R. 660; 2 M.S.P.B. 71 (1980)
SSA v. Givens, 27 M.S.P.R. 360 (1985)
SSA v. Goodman, 19 M.S.P.R. 321 (1984)
Goodman v. Svahn et al., 614 F.Supp. 726 (D. D.C. 1985)
SSA v. Goosens, 1993 M.S.P.B. Lexis 62 (1993)
SSA v. Haley, 20 M.S.P.R. 365 (1984)
In re King, 1 M.S.P.R. 146; 1 M.S.P.B. 144 (1979)
Lawson v. Department of Health & Human Services, 64 M.S.P.R. 673 (1994)
SSA v. Liebling, 62 M.S.P.R. 12 (1994)
SSA v. Liebling, 71 M.S.P.R. 465 (1996)
SSA v. Manion, 19 M.S.P.R. 298 (1984)
McEachern v. U.S., 212 F. Supp. 706 (1963)
McEachern v. U.S., 321 F.2d 31 (1963)
McEachern v. Macy et al., 233 F. Supp. 516 (1964)
McEachern v. Macy et al., 341 F.2d 895 (1965)
SSA v. Malloy, 1995 M.S.P.B. Lexis 1490 (1995)
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4267
4268
4269
4270
4271
4272
4273
4274
Nash v. Califano, 613 F.2d 10 (2nd Cir. 1980)
Nash v. Bowen, 869 F.2d 675 (2nd Cir. 1989)
SSA v. Osinski, 1990 M.S.P.B. Lexis 888 (1990)
In Re Perry, 39 M.S.P.R. 446 (1989)
SSA v. Pucci, 27 M.S.P.R. 358 (1985)
In Re Pulcini, 83 M.S.P.R. 685 (1999)
Ramspeck et al., v. Federal Trial Examiners Conference et al., 345 U.S. 128;
73 S.Ct. 570; 970 L.Ed. 872 (1953)
Richardson v. Perales, 402 U.S. 389; 91 S.Ct. 1420; 28 L.Ed. 2d 842 (1971)
In Re Rowell, 46 M.S.P.R. 568 (1991)
In Re Sannier et al., 45 M.S.P.R. 420 (1990)
Sannier et al., v. MSPB, 931 F.2d 856 (1991)
In Re Spielman, 1 M.S.P.R. 50; 1 M.S.P.B. 50 (1979)
In Re Stephens, 52 M.S.P.R. 522 (1992)
Stephens v. MSPB, 986 F.2d 493 (1993)
SSA v. Underwood, 68 M.S.P.R. 24 (1995)
In Re White, 76 M.S.P.R. 447 (1997)
SSA v. Whittlesey, 1991 M.S.P.B. Lexis 1212 (1991)
SSA v. Whittlesey, 59 M.S.P.R. 684 (1993)
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4293
Article 21
Records
Section 1. General Provisions.
A. The collection, maintenance, retention, and retrieval of Agency records on Judges shall
be in accordance with law, government-wide rules and regulations, SSA’s Personnel Policy
Manual (PPM) currently known as SSA’s Personnel Manual for Supervisors (PMS) S-293
and this agreement.
B. The following records are maintained in a system of records by the Agency pursuant to
the Privacy Act:
1. The Official Personnel File (OPF);
2. SF-7B Employee Record;
3. SF-7B Employee Record Extension File;
4. Mainframe Time and Attendance System (MTAS).
5. Outside Activity/Outside Employment Requests;
6. Reassignment requests;
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7. Congressional inquiries;
8. Complaints filed pursuant to 57 Fed. Reg. 49, 186 (1992), alleging bias or
misconduct by Judges in the decisional process (i.e., Directive to ODAR Personnel
Concerning Interim Responsibilities And Procedures For The Handling of
Complaints of Bias Or Misconduct On the Part of Administrative Law Judges).
This list of records is not all-inclusive and no other records are maintained either
pursuant to the Privacy Act or otherwise. Further, this provision does not constitute a
waiver of any right either party may have, pursuant to 5 U.S.C. Chapter 71, with
regard to the maintenance or access of the records.
C. Personal notes or diaries (i.e., memory joggers) pertaining to a Judge but not
qualifying as a
system of records under the Privacy Act may only be kept and maintained for the
personal
use of the management official who wrote them. A memory jogger is: (a) retained as
a
memory aid by the supervisor; (b) for the supervisor's personal use; (c) not to be
provided to
any other person; and, (d) retained or discarded at the supervisor's discretion. These
notes
are considered mere extensions of the supervisor's memory and are not subject to the
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Privacy Act. However, if any of the conditions are breached, these notes are no
longer mere
extensions of the supervisor's memory and become records subject to the Privacy
Act.
Memory joggers should be maintained in a secure location. Memory joggers stored
electronically shall be password protected.
D. ODAR acknowledges that it currently maintains the following records:
1. Outside Activity/Outside Employment Requests;
2. Reassignment requests;
3. Congressional inquiries;
4. Complaints filed pursuant to 57 Fed. Reg. 49, 186 (1992), alleging bias or
misconduct by Judges in the decisional process (i.e., Directive to ODAR
Personnel
Concerning Interim Responsibilities And Procedures For The Handling of
Complaints of Bias Or Misconduct On the Part of Administrative Law Judges).
This list of records is not all-inclusive. Further, this provision does not
constitute a waiver of
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any right either party may have, pursuant to 5 U.S.C. Chapter 71, with regard
to the
maintenance or access of the records.
C. Representatives of the Agency may not maintain personal (i.e., a record
maintained and retrieved by personal identifier, for example, SSN or name) files on a
Judge outside of the Official Personnel Folder and personnel records and files
maintained by the hearing offices unless those records are properly declared under
the Privacy Act.
D. All Agency counseling memoranda, reprimands, records of examinations and
investigations, memory joggers, and similar such recordsrecords maintained on Judges,
shall be screened, by the appropriate management Judge, andnd purged these documents
shall be removed and destroyed after 1 year. In no event shall the facts set forth in such
records be used in any matter or proceeding regarding the Judge.
and
outdated material shall be removed as provided by applicable law, regulation,
and the SSA PPM (PMS).
E. Any designation of a representative allowed under this article shall be made by the
Judge in writing.
Section 2. Personnel Records.
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A. The Official Personnel File (OPF) is currently maintained in ODAR Headquarters.
The SF 7 B-Employee Record Extension file is maintained in the hearing office to which
the Judge is assigned. The President of the AALJ shall be notified in writing of changes in
the operating procedures affecting personnel records that affect a condition of
employment, consistent with 5 U.S.C. Chapter 71. If no changes in the operating
procedures affecting personnel records have been made, the Agency will so certify to the
President of the AALJ on February 2 of each year.
B. TExcept as authorized by this agreement, the SF-7B Employee Record and the SF-7B
Employee Record Extension File are the only authorized files for personnel records that
may be maintained by the HOCALJ., or other management designee, These Privacy Act
records may only be maintained inin the hearing office in a secure manner, and if any are
stored electronically shall be password protected. This provision does not include preclude
records maintained in the ordinary course of business, e.g., time and attendance and
payroll records.
1. The SF-7B Employee Record Extension File shall be screened and purged
normally in February of each year, but in any case no later than March of each year,
and outdated material more than 1 year old shall be removed and given, or mailed, to
the Judge.
2. Consistent with 20 C.F.R. §401.30 et seq., or as amended, if a Judge wishes to
rebut a particular issue which is documented in the SF-7B Employee Record
Extension File, the Judge should be given the opportunity to provide written
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comments relating to the record in question and such comments the same shall be
timely filed in the SF-7B file.
C. An in-process working file is a temporary file used to house an administrative
action (e.g., grievance) while it is being processed and is maintained pursuant to
SSA’s PPM (PMS).
C. Each Judge shall be advised annually in writing of the purpose and location of their
OPF, SF-7B Employee Record and SF-7B Employee Record Extension File.
1. The Judge or his/her designated representative may review their OPF and request
a copy of any material therein.
2. Judges shall be notified and given a photocopy of any material placed in their SF-
7B Employee Record Extension File, within 3 workdays. Judges should
acknowledge receipt by signature. It is understood that such acknowledgment does
not constitute agreement with the contents.
3. A copy of any document furnished to the Judge and/or designated representative
shall be furnished by the Agency free of charge. It is understood that a Judge or a
Judge's designated representative may request, and within reason, receive additional
copies of a document at any time.
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D. Access to personnel records of the Judge by the Judge or by an authorized
representative shall normally be granted within 2 workdays from the date of request, if
such records are immediately available, are maintained on the premises where the Judge is
located, and when applicable, the Judge has provided a written designation of his/her
representative in writing to the HOCALJ, or his/her designee. If the personnel records are
not maintained on the premises where the Judge works, the Agency shall take prompt
action to obtain the record and provide a copy to the Judge within 30 workdays from the
date the Agency receives the Judge’s written request for his/her personnel record; however,
the AALJ agrees that the Agency is not required to initiate any action to obtain the record
until the Judge has submitted a written request for the personnel record to the appropriate
management official. Personal access to personnel records (e.g., OPF, SF-7B Employee
Record, SF-7B Employee Record Extension File) shall take place in the presence of an
appropriate management official or designee.
Section 3. The maintenance of a personnel record or personnel file by the Agency that contains
personal information that is filed and retrieved by a Judge’s name, social security number, or
other unique identifier assigned to the Judge is prohibited unless the record or file is covered by
a system of records notice published in the Federal Register pursuant to the Privacy Act.
Duplicate copies of personnel records shall be maintained in accordance with applicable laws
and government-wide rules and regulations.
Section 4. Bias and Misconduct Complaints.
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A. Since 1993 the ODAR has established and maintained operational procedures for
soliciting, receiving, investigating, storing, and accessing allegations of bias and
misconduct on the part of Judges as referenced in 57 FR 49,186 (1992) and contained
in a “ Directive to ODAR Personnel Concerning Interim Responsibilities and
Procedure For the Handling of Complaints of Bias or Misconduct on the Part of the
Administrative Law Judge”.
B. Complaints of bias or misconduct made to the AgencyODAR and received by any
Agency component (e. g., either the Appeals Council (in the form of a Request for
Review), OCALJ, Office of General Counsel (OGC)Special Counsel Staff (SCS), RCALJ,
HOCALJ, or an SSA field office) about a Judge from members of the public or co-
workers, or any other source shall be brought to the attention of the Judge as soon as
possible by providing a copy of the complaint alleging bias or misconduct to the Judge
consistent with law.
B. All bias and misconduct complaints shall be handled pursuant to Article 31 of this
CBA.
C. During the term of this agreement, Aa Judge may make an annual one time request for
copies of all written complaints alleging a complaint of bias or misconduct pertaining to
the Judge received and retained by the AgencySCS since 1993. The Agency SCS shall
provide the copies to the Judge within 30 days of the requestas soon as practicable.
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D. Nothing in the foregoing shall otherwise affect the operation of 20 C.F.R. §404.940 or
20 C.F.R. §416.1440 concerning the disqualification of the administrative law judge.
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Article 22
Seniority
Seniority shall be determined by the AALJ as follows:
A. For issues concerning only local hearing office matters, including but not limited to
offices hearing rooms, and parking, the controlling factor shall be the date of last
assignment of the Judge to the local hearing office in the position of a Judge.
B. For all other issues the controlling factor shall be the date of appointment as a Judge
for the Agency.
C. In the event the above factors do not resolve the issue, the issue shall be resolved by a
coin toss. If more than two (2) Judges are involved in the dispute, the issue shall be
resolved by a random selection process to be decided upon by the AALJ.
D. The above provisions of this article shall not apply to issues arising under Article 20,
Reassignments and Hardships of this agreement.
E. In the event law or government-wide rule or regulation is in conflict with the
provisions of this article, the matter shall be resolved in accordance with the law or
government-wide rule or regulation.
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Article 23
Health and Safety
Section 1.
A. The Agency shall provide and maintain safe and healthy working conditions for all
JudgesJudges that includes that all Judges shall be treated fairly and equitably as described
in Article 5, §2A and that includes the prevention of an abusive work environment as
described in Article 5, § 2B. in accordance with Executive Order 12196 and the
Department of Labor implementing instructions.
B. The Agency and the AALJ agree to cooperate in a continuing effort to avoid and reduce
the possibility of and/or eliminate accidents, injuries, and health hazards in all areas under
the Agency’s control. AALJ shall accompany management on all inspections of Agency
work places. The Agency shall notify the AALJ representative at least 7 working days in
advance of any proposed inspection. At the Judge’s discretion, in order to complete such
an inspection, the Judge’s hearings will be continued or postponed by staff.
C. The Agency and the AALJ further agree to cooperate in a continuing effort to eliminate
and/or reduce security concerns and otherwise enhance the personal safety of Judges in
SSA/ODAR hearing offices, satellite offices, and remote site locations.
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D. The Agency agrees to notify the AALJ if a deviation in the Agency’s occupational
safetyoccupational safety, health, and fire standards is requested for any facility in which
Judges are required to work.
E. In keeping with the 2010 Physical Security Criteria for Federal Facilities, the Agency
shall ensure that all areas where Judges work comply with these security standards.
Section 2.
A. The parties recognize that Administrative Law Judges are covered by 28 C.F.R. §64.1
and §64.2(aa). This regulation designates categories of federal officers and employees
who are within the protective coverage of 18 U.S.C. §1114, which prohibits the killing of
or attempted killing of such designated officers and employees. The categories of federal
officers and employees covered by §1114 are also protected, while they are engaged in or
on account of the performance of their official duties, from a conspiracy to kill, 18 U.S.C.
§1117; forcible assault, intimidation, or interference, 18 U.S.C. §111; and threat of assault,
kidnap or murder with intent to impede, intimidate, or retaliate against such officer or
employee, 18 U.S.C. §115(a) (1) (B); and attempts to interfere with administration of the
Social Security Act, 42 U.S.C. §1129 B..
B. The Agency shall provide to the AALJ on the last Friday of each monthtwice a year
(April 1 and October 1) electronic and paper copies of the current incident alerts (Incident
Alert Form SSA-3114-U4 and AIRS form) that involve threats or acts of violence against
any Judge, the family of any Judge, the ODAR hearing office, or any SSA employee while
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there is a pending request for hearing at ODAR. These incident alerts include an initial
incident alert, supplemental alert, closeout incident alert, and incident alert concerning
weapons that were prevented from being brought to any ODAR facility or any ODAR
remote hearing site. The Agency shall not delete anyonly delete information or names
from these incident alerts.prohibited by law from disclosure.
C. The Agency shall promptly make it known toinform the Judge, LAR, and AALJ Co-
Chair of the Health and Safety Committee within 15 minutes of any threat of any actual or
known threat made by telephone, mail, personal contact, or by any other means, against
the Judge. The threatened Judge, LAR, and the AALJ Co-Chair of the Health and Safety
Committee shall be provided with a copy of the incident alert and any supplemental or
closeout incident alert on the day generated.informed of the specifics of the threat if not
precluded by privacy interest expressed to the HOCALJ or designee by the Judge against
whom the threat was made. The threatened Judge shall be given the name and phone
number of the Federal Protective Service officer to whom the threat is assigned for
investigation. The Agency shall not interfere with the threatened or assaulted Judge, LAR,
and AALJ Co-Chair of the HSC communicating with any law enforcement officer.
D. The Agency will comply with the Physical Protection and Building Security (Section
E) provisions contained in the Space Allocation Standard for ODAR Field Offices. It is
the intent of the that Section 2(D) of this Health and Safety Article will apply
prospectively to hearing office moves for which an initial Occupancy Agreement (OA) is
signed after the date the National Agreement is in effect. This article is subject to the
grievance procedure.
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E. The AALJ or the Health and Safety Labor Management Committee may submit
recommendations to the concerning health, safety, and security issues that
reasonably affect bargaining unit employees for its consideration and, as appropriate,
for presentation to the SSA/GSA in any renegotiations of the Space Allocation
Standard for Field Offices. The will solicit any recommendations from the AALJ at
least 60 days in advance of submitting recommendations to SSA.
E. The Agency shall provide Judges, when requested in advance, an emergency use
cellular phone for emergency or business usefor during any travel while on duty or official
timehearing trips to remote sites. Judges will be given a copy of the cellular phone usage
policy on an annual basis.
Section 3.
A. The Judges are encouraged to inform the Occupational Safety and Health
Administration (OSHA)Agency of any unsafe or unhealthy practice, equipment, or
condition which might represent a health and safety hazard.
Where the Judge has notified the Agency, the Agency will immediately inform a Union
representative of the discussions.
B. The Agency shall respond to Judge reports of hazardous conditions and require
inspections within twenty-four (24) hours for imminent dangers, three (3) working
days for potentially serious conditions, and normally twenty (20) working days for
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other safety and health considerations. However, an inspection may not be necessary
if through normal management action and with prompt notification to Judges, the
hazardous condition identified can be abated immediately.
B. The Agency shall assure no Judge is subject to restraint, interference, coercion,
discrimination, or reprisal for filing a report of unsafe or unhealthy working conditions, or
other participation in agency occupational safety and health program activities.
D. If the AALJ believes that work is being required under conditions which are
unsafe or unhealthy beyond normal hazards inherent in operations in question, it
may discuss the matter with the HOCALJ and/or have the right to file a grievance.
EC. In accordance with 29 C.F.R. Part 1960, when exposure requires immediate solution
and it is not possible to obtain Agency concurrence beforehand, then the Judge may leave
his or her duty station, notify the Agency, and hold himself or herself available for work
under appropriate working conditions. When these procedures are followed, the Judge
shall continue to be paid during this period without any charged leave.
D. Whenever it is determined that pest control spray is necessary, the Agency shall notify
the LAR of the scheduled date within 48 hours. The spraying shall be done after the office
closes on Friday or on the weekend. Since some Judges may be sensitive to pest control
sprays or have respiratory conditions, they shall be allowed to work at ADS.
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E. Whenever an office is being renovated, expanded, or repaired, the Agency shall ensure
that the construction or repair areas are blocked off so as to prevent the spread of airborne
irritants, fumes, and odors. Judges who are bothered by such conditions shall be allowed
to work at an alternative duty station until the irritant abates.
F. When the Intrusion Detection System (IDS) and duress alarms are tested every 6
months in keeping with AIMS, the LAR or designee shall be notified of the testing and
shall be entitled to be present during the testing. If an individual alarm needs to be
repaired, the LAR or designee shall be notified, and the LAR or designee shall be entitled
to be present when the repaired alarm is tested.
G. When the Agency conducts its semi-annual office safety inspection, the LAR or
designee shall be notified and entitled to participate in the inspection and to sign-off on
SSA-5510-BK.
Section 4. Health and Safety Committee.
A. Pursuant to this agreement, a Health and Safety Labor Management Committee (HSC)
shall be formed and operated in accordance with Executive Order 12196 . The Committee
shall meet to exchange information, study, discuss, and provide recommendations for
improving health and safety measures within the ODAR. The Committee shall:
1 Have access to Agency information relevant to their duties, including information
on the nature and hazardousness of substances in Agency workplaces;
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1 Monitor performance, including Agency inspections, of the Agency safety and
health programs at the level they are established;
1 Consult and advise the Agency on the operation of the program;
1Request the Secretary of Labor to conduct an evaluation or inspection pursuant
to Executive Order 12196 if one-half the Committee is not substantially satisfied
with the Agency’s response to a report of hazardous working conditions.
Entry security is the first health and safety issue the Committee will address.
B. The Health and Safety Committee shall consist of 5three (3) Judges appointed by the
AALJ President and three (3) 5 members, who are not members of the bargaining unit,
appointed by the Associate Commissioner for Hearings and Appeals. The President of the
AALJ and the Associate Commissioner for Hearings and Appeals or their designees shall
each appoint one of their committee members to serve as Co-Chairperson of the Health
and Safety Committee. A representative from the Office of Protective Security Services
shall attend all HSC meetings.
C. The committee will establish the ground rules under which it will operate. The
Committee will meet quarterly for no more than (2) days. The proposed agenda items
shall be forwarded to the Associate Commissioner by the Co-Chairs thirty (30) working
days prior to these meetings.
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D. ODAR will provide a reasonable amount of official time, not counted against the
official time bank, for AALJ’s HSC members use of official time will not be subject to any
pool or cap for AALJ participants to prepare for and participate in committee meetings.
AALJ participants who travel to engage in committee meetings set by agreement will be
provided travel and per diem reimbursement by ODAR in accordance with the Federal
Travel Regulations.
E. Establishment of this committee does not constitute a waiver of any of the AALJ's
statutory rights to information, consultation, or negotiations. The activities of the H & S
LMCHSC will not replace the ODAR's responsibility to provide appropriate notice and the
opportunity to bargain over impact and implementation and appropriate arrangements
under Article 2, Mid-Contract Negotiations of this Agreement.
F. In keeping with the concepts expressed in Presidential Executive Order 13522 and pre-
decisional involvement, OPSS shall consult with the HSC at least 60 days prior to making
any changes in the Administrative Instruction Manual System (AIMS) which may impact
on any aspect on the working conditions or conditions of employment of Judges regarding
health and safety, including, but not limited to, AIMS §§4.50 MRM 12.06 GAM and 12.07
GAM.
G. In keeping with the concepts expressed in Presidential Executive Order 13522 and pre-
decisional involvement, the OCALJ shall consult with the HSC at least 60 days prior to
making any changes to HALLEX or issuing any other memorandum which may impact on
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any aspect on the working conditions or conditions of employment of Judges regarding
health and safety.
H. Establishment of the HSC does not alter the authority of the Agency to determine its
internal security practices, however, once the Agency makes any decision about its internal
security .practices, AALJ shall be entitled to engage in bargaining over impact and
implementation and appropriate arrangements under Article 2, Mid-Contract Negotiations
of this Agreement.
Section 5. Ergonomic needs will vary from Judge to Judge, therefore, customized ergonomic
equipment will be provided to each Judge. The Judge shall determine the appropriateness of the
equipment. The Agency shall take reasonable precautions to ensure the health and safety of
Judges. who work with Video Display Terminals (VDTs) in the hearing office. Such measures in
hearing offices, hearing rooms, remote sites, and satellite offices, and any other place where a
Judge performs any work shall, shall include:
A. Ensuring that all video display terminals (VDTs) VDT’s have adjustable screen
illumination;
B. Ensuring that office lighting allows for adequate illumination and minimal screen glare,
ANSI standards and recommendations for overhead lighting levels shall be followed.
Management will ensure that lighting levels range between 200 to 500 lux. An articulating
task light that is adjustable in direction and intensity will be provided for users upon
request;
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C. Minimizing glare through methods that include but are not limited to, placing VDT’s
perpendicular to and away from windows and between rows of lights. Where such an
arrangement is not possible, windows shall be fitted with blinds or drapes. If these efforts
do not satisfactorily resolve the problem of excessive glare, Judges who operate a VDT
will, upon request, be furnished with an anti-glare screen;
D. Ensuring that video display screens shall be clear and free of perceptible flicker to the
Judge;
E. Providing one (1) or two (2) document holders adjustable for placement angle and
height to Judges who request them;
F. Providing a gel wrist rest or other appropriate wrist wrest for all Judges who request
them; wrist rests shall enable the user to maintain a neutral position of the wrist while at
the keyboard, and shall be padded and without sharp edges;
G. Providing adjustable leg raisers, foot rests, and chair floor mats of a size designated by
the Judge up to 72” x 96” for all Judges who request them;
H. Ensuring that all VDTs provided to Judges will not emit excessive radiation and
voltage emissions shall be within manufacturer specifications;
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I. The Agency has determined that Judges will be provided training on ergonomic
principles relating to the use of personal computers commencing one year after the
effective date of the agreement;
J. Providing an executive desk with at least 18 square feetsufficient of surface area to
permit adequate workspace.
to breakdown and review multiple claimant files and references (statutes, regulations, etc.)
and to hold a four-track (4-track) player, a dictating machine, and other reasonable and
necessary equipment;
K. Providing an electronically, ergonomically adjustable computer table (distinct and
separate from the aforementioned desk) with approximately 15 square feet of sufficient
surface area that shall accommodate comfortable (and ergonomically proper) positioning
of the screens and keyboard, providing adequate work space, and providing adequate
clearance under the work surface to accommodate the Judge’s legs in a normal upright
seated position;
L. In addition to a high back Judge’s chair, providing an ergonomic chair with five legs,
swivel capacity of 180 degrees, fully adjustable and controls easily operated, seat height
adjustable from approximately 16 to 20.5 inches, back height three-quarter to full,
adjustable incline of back and seat, adjustable lumbar support, free of sharp edges or
protrusions, seat and back cushions of a porous cloth covering easily cleaned or replaced,
controls readily accessible from a seated position, front edge of seat pan rounded
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downward, seat pan 15 inches wide and 17 inches deep, upholstery will be compressible at
a minimum in the range of approximately 1/2 inch to 1 inch.
M. Providing ergonomic keyboards and state of the art voice recognition software
applications for all Judges at their request.
M. Providing a container in which to store diskettes and CD-ROMs.
Section 6. These provisions only apply to GSA leased space:
A. The Agency agrees to make reasonable efforts to provide healthful indoor air and water
quality by conforming to laws, regulations and/or policies issued by federal agencies such
as OSHA, EPA, the General Services Administration (GSA), and SSA Central Office
technical experts and Industrial Hygiene Staff.
B. At the request of the AALJ, on-site investigations and inspections shall be conducted
when there is reasonable cause to suspect an air, mold, asbestos, pest, leak, or water quality
problem exists in the work environment. These investigations and inspections shall be
conducted by trained SSA personnel, representatives of other federal agencies such as
GSA, Public Health Service, OHSA, etc., or by trained contract personnel from the private
sector under contract to the Agency through Central Office technical experts and Industrial
Hygiene Staff.
C. When inspections of the heating, ventilation, air-conditioning, or water systems are
conducted, the criteria of the GSA Federal Property Management Regulations shall apply.
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D. When investigations of indoor air quality are conducted, the protocols of OSHA,
Central Office Industrial Hygiene Staff, and the American Conference of Government
Industrial Hygienists shall be complied with to the extent possible. This means that
standard air quality tests shall include measurement of carbon monoxide, carbon dioxide,
formaldehyde, mold, asbestos, temperature, humidity and other air borne pollutants.
Additional tests may be conducted as indicated by inspection of the work site and/or test
results obtained from the basic protocol.
E. When inspections, investigations, or test results reveal the presence of an air, mold,
asbestos, pest, leak, or water quality problem, or any other contaminant, the Agency shall
take appropriate measures to mitigate the problem to meet the standards and guidelines
cited in §§6 A and B; this includes relocating Judges to alternate work locations or
allowing Judges to work at their regular ADS until such health problems are resolved.
F. Copies of all inspection and investigation reports and test results shall be provided to
the AALJ President within 48 hours a reasonable time after receipt by the Agency.
G. The AALJ shall be given an reasonable opportunity to have an inspector of its
choosing examine water and air quality. It is understood that the Agency shall be provided
with advance notice of the inspection. The Agency shall not pay any costs associated with
the inspection.
Section 7.
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A. ODAR facilities are smoke-free.
B. The parties agree that they shall intensify efforts to assist Judges who are interested in
breaking the smoking habit. The cost of SSA/ODAR sponsored and approved programs
will be paid by SSA/ODAR not by the Judge. SSA/ODAR sponsored programs shall
ordinarily be offered during normal duty hours unless not available during duty hours.
Programs sponsored by or approved by SSA/ODAR shall include or be similar to
programs conducted by the American Lung Association or the American Heart Association.
The parties recognize that these programs will be more readily available where the hearing
office is located near large SSA installations. Where there is not SSA/ODAR sponsored
programs, Judges may request information on how to locate a smoking cessation class and
educational materials such as videotapes, books and pamphlets on smoking cessation from
the Employee Assistance Program. Judge participation in counseling or cessation
programs related to smoking is strictly voluntary.
Section 8. Vision Program.
A. In accordance with the SSA Vision Program for VDT Users (Instructions for VDT
Programare contained in PMS S 792-1), Judges shall only be eligible for VDT- related eye
exams and eyeglasses/contacts based upon supervisory certification that the Judge uses a
VDT in the course of his or her official duties. be reimbursed for eye examinations by
licensed optical practitioners.
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B. If an eligible Judge obtains a prescription from a licensed optical practitioner (e.g.,
optometrist or ophthalmologist) indicating that the Judge needs special corrective
eyeglasses/contacts in order to operate a VDT without eyestrain or because of other
optical-related problems; the Agency shall reimburse the Judge for 100% of the
examination and eyeglass/contact fee.
in accordance with the SSA Vision Program for VDT Users. In this process the Judge will
present the practitioner with a form, obtained from management, which will indicate that
any prescription should only be for VDT use. The practitioner must certify on the form
that the eyeglasses are for VDT use. This form must be returned to management.
C. A Judge who has met the conditions listed in (A) and (B) above shall be entitled to a
pair of eyeglasses/contacts for VDT operation at Agency expense. The Agency will bear
the cost pursuant to the SSA Vision Program for VDT Users. The Agency will either
procure the eyeglasses/contacts of the Judge’s choice, or will reimburse the Judge upon the
presentation of proper documentation. The option will be left to the Agency.
C. Judges shall be entitled to a reasonable amount of excused absence to up to 4 hours of
administrative leave to obtain eyeglasses/contacts, and VDT eyeglass/contact examination
and fitting. provided that the Judge in fact has an authorized VDT eyeglass/contact
prescription. Normally this will not exceed 2 hours total time for all matters.
Section 9.
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A. The Agency agrees that when a Judge suffers a job-related illness or injury in the
performance of his or her duties and reports it to his or her supervisor, he or she will be
informed by management on the procedures for filing a claim for benefits under the
Federal Employees Compensation Act. Information will also be provided about the type
of benefits available, including specific reference to his or her option to file a claim for
disability compensation or use accrued leave if he or she is disabled from work.
B. The Agency shall provide, upon request, copies of appropriate forms and publications
related to filing claims for employee disability compensation. Appropriate forms may
include but not limited to:
Form CA-1 Federal Employee’s Notice of Traumatic Injury and Claim for
Continuation of Pay/Compensation
Form CA-2 Notice of Occupational Disease and Claim for Compensation
Form CA-7 Claim for Compensation on Account of Traumatic Injury or
Occupational Disease
Form CA-20 Attending Physician’s Report
C. The Agency agrees to provide the Union with 1 copy of each of the above for each
Executive Officer, Vice-President, and Local Office Representative. The Agency shall also
provide these AALJ representatives with an electronic link to these forms.
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Section 10. As part of the annual review of the hearing office’s Security Action Plan and
Occupant Emergency Plan, the Agency will ensure that all Judges are thoroughly familiar with
the shelter-in-place plan and the proper means for leaving the building during a suspected fire or
bomb threat or other emergency. Where hearing offices are located in designated earthquake
zones, each Judge shall be provided with emergency shelter-in-place backpacks and hardhats,
and the Agency shall train Judges in earthquake safety once per years. In designated earthquake,
tornado, hurricane, and flooding zones, the Agency shall comply with all local, state, and federal
health and safety regulation. When a fire, or bomb threat, or similar emergency is reasonably
suspected, the Agency will evacuate the Judges to the areas designated in the SAP/OEP. Under
no circumstances will Judges be required to remain at their workstations and search for a
suspected bomb.
Section 11. The Agency agrees to furnish each JudgeDuring the open health benefits enrollment
period, a copy of a union supplied AALJ/IFPTE Membership Benefits brochure. When
requested, the Agency agrees to supply information on other federal health benefit programs.
Section 12.
A. In each hearing office and where Judges are located, the Agency will maintain adequate
first aid supplies. All Judges will have readyasonable access to these supplies that will be
kept in common areas.
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B. The Agency agrees to make reasonable efforts to assure that each hearing office has
trainedadequate volunteer personnel available to administer cardio-pulmonary resuscitation
(CPR).
C. The names of all personnel who are assigned first aid supplies or who agree to be
identified as trained in CPR techniques shall be posted in reasonable places so as to ensure
proper Judge awareness.
D. The Agency will provide each hearing office and permanent remote site with a cardiac
defibrillator as well as annual training for its use for any employee who volunteers.
Section 13. When it is necessary for a Judge to leave work and return home because of illness
or incapacitation, the Agency shall assist in locating a willing Judge to transport the sick Judge to
his or her residence. The Agency shall grant a reasonable amount of administrative leave to the
Judge transporting the sick Judge for this transport to be accomplished. The parties recognize
that the Agency’s monetary, tort, or pecuniary liability is governed by the Comptroller General
and Federal Court decisions. The Agency assumes only that responsibility or liability allowable
by law, regulation, or such decision.
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Article 24
Retirement, Sabbaticals, and Awards
Section 1. Pre-Retirement Counseling.
A. To assist the Judge in preparation for retirement the Agency has determined that a
Judge who is within 5 years of eligibility for retirement under the Federal Government’s
retirement rules or are at least 50 years of age shall be authorized a total of 24 hours of
duty time per year to attend retirement seminars offered by the Agency, U.S. Office of
Personnel Management or other organizations. Should this National Agreement be
renewed for an additional 3-year term, a Judge shall be authorized a total of 24 additional
hours of duty time to attend such retirement seminars.
B. A Judge may withdraw any resignation or retirement notice when authorized by law,
government-wide rule or regulation, provided that the withdrawal is communicated to the
Agency in writing.
Section 2. Awards. Pursuant to the Administrative Procedure Act, the Agency has determined
that it shall not grant any award to a Judge that is related to the duties of a Judge’s position or
that stems from an assignment of work. This restriction does not preclude other types of
recognition such as of years of service or retirement.
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Section 3. Trial Retirement. Judges are entitled to a trial retirement for up to one year. At any
time during the trial period, the Judge, upon the Judge’s request, shall be reinstated to a full-time
Judge position.
Section 4. Gradual Retirement. Any judge who serves a minimum of five (5) years and is at
least 55 years of age shall be entitled to participate in a gradual retirement program.
A. A Judge may participate in the plan even after reaching eligibility for optional
retirement.
B. Judges participating in the Gradual Retirement program may alter their normal work
schedules to adjust to being at home or in a non-work capacity prior to permanent
retirement.
C. The Judge shall submit the Plan to the Office of the Chief Administrative Law Judge
at least sixty days in advance of the commencement of Gradual Retirement. The Plan
shall reflect the modified schedule the Judge plans to maintain and include a duration
period of up to three years for the Gradual Retirement Plan. The Agency shall approve
the Plan unless more than half of the Judges in a Hearing Office at one time seek to
participate in the Gradual Retirement program.
D. When a Judge participates in a Gradual Retirement plan, it is not mandatory that the
judge retires at the end of a gradual retirement plan. Ten (10) working days prior to the
end of the Gradual Retirement, the Judge shall give notice whether he intends to retire or
return to full time work. If the Judge decides that he/she is not ready to retire, the Judge
will return to work on a normal work schedule.
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E. The Judge’s workload will reflect the reduced hours in the Gradual Retirement Plan.
F. Because of the adverse effect on the retirement annuity, it is not recommended that an
employee change to a part-time schedule to participate in a gradual retirement plan.
Rather, employees may use annual leave and/or leave without pay to adjust their work
schedules under this retirement option.
Section 5. Sabbatical Leave.
A. When a Judge has served seven (7) consecutive years, the Judge shall be entitled to
participate in a Sabbatical. The period of the Sabbatical shall be no less than 30 calendar
days and nor longer than 365 calendar days. The Judge shall notify the HOCALJ no less
than 60 days in advance of the Sabbatical Leave.
B. When on Sabbatical Leave, the ALJ will be in duty status. Sabbatical leave shall be
used for the purpose of enhancing professional or personal development. A Judge may
engage in activities such as teaching, consulting, writing, research, reading, volunteering,
community service, life enrichment, and attending educational courses during the
Sabbatical Leave.
C. Cases already scheduled during the period of the Sabbatical shall be transferred from
the Judge and other ODAR judges assigned to adjudicate the case(s).
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Article 25
Committees
Section 1. Introduction. The parties recognize that a National Labor/Management Committee
(LMC) is an important element in the development of successful and effective labor-
management relations.
Section 2. National Labor/Management Committee. The parties endorse the use of the
Labor/Management Committee to promote the exchange of information and the discussion of
appropriate matters of concern. The Labor/Management Committee will endeavor to:
A. Foster a cooperative and constructive relationship between the ODAR and the AALJ.
B. Encourage, endorse, and sponsor labor-management cooperation throughout the ODAR
including but not limited to establishing additional LMCs by mutual agreement.
C. Ensure that each party retains all legal, contractual and statutory rights.
Section 3. Structure of the National Labor/Management Committee. The LMC will consist of 5
members from ODAR and 5 members of the AALJ, including the Deputy Commissioner or
designee and the President of the AALJ or designee. The ODAR Deputy Commissioner and the
AALJ President, or their designees, will Co-Chair the LMC. The AALJ President will appoint
the AALJ members. The Deputy Commissioner will appoint the ODAR members, who shall not
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be AALJ bargaining unit members. The Co-Chairs or their designees shall prepare action items
at the conclusion of each LMC meeting. The ODAR will prepare the minutes of
these meetings. The minutes shall include a statement of agenda items with a brief review of the
parties’ discussion. These proposed minutes shall be forwarded to the AALJ’s Co-Chair for
appropriate comments and changes. Upon agreement as to the content of the minutes, such will
become the official record of the meeting. A copy of this record will be forwarded to committee
members.
Section 4. National Labor/Management Committee Meetings. The LMC meetings will take
place quarterly for two days, at the written request of either party. The written request shall
contain all matters proposed for discussion and shall be forwarded to the other party at least
5thirty (30) working days prior to these meetings. The location of the meetings will be at
ODAR Headquarters. The ODAR will provide a reasonable amount of official time not counted
against the official time pool for AALJ participants to prepare for, travel to and from, and
participate in the LMC. AALJ participants who travel to engage in the LMC will be provided
travel and per diem reimbursement by the Agency in accordance with Federal Travel
Regulations.
Section 5. JTAC, JEC, HSC, and WJC.
A. The Joint Technology Advisory Committee (JTAC), Judicial Education Committee
(JEC), and the Health and Safety Committee (HSC), and the Women’s Judicial Committee
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(WJC) established as part of this agreement will operate as subcommittees of the National
LMC and will be governed by the terms negotiated in the appropriate articles.
B. ODAR will provide JTAC, JEC, HSC, and WJC members use of a reasonable amount
of official time that will not be subject to any pool or capcounted against the official time
pool for AALJ participants to prepare for, travel to and from, and participate in their JTAC,
JEC, and HSC meetings.
C. AALJ participants who travel to engage in JTAC, JEC, WJC, and HSC committee
meetings will be provided travel and per diem reimbursement by the ODAR in accordance
will Federal Travel Regulations.
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Article 26
Judge Orientation
Section 1 - Judge Orientation
Section 1. The AALJ President or designee shall be notified whenever the Agency appoints and
hires any new Judge. The Agency shall give notice of newly appointed Judges to AALJ
President or designee by providing a list , either in electronic format andor hard copy, providing
the AALJ the name, duty station, ALJ number, email address, telephone number with extension,
and appointment date for each Judge. This list will be provided within a reasonable time after
the appointment of the new Judge. If this list cannot be given to the AALJ prior to the Judge’s
first date of employment, the Agency shall promptly provide the required data to the ALJ
President or designee by digital or voice communication and send the written list to the AALJ
President or designee promptly thereafter.
Section 2. TThe parties agree that the AALJ shall have the opportunity to communicate to the
newly appointed Judges. Upon request, Tthe AALJ President, Executive Vice President, andor
designees shall be provided 2one hours of official time at beginning of the session on Wednesday
of the last week of training, to address the new Judges during duty hours. Addressing the new
Judges shall be in person. The AALJ shall have the right to discuss the contract, current labor-
management issues, AALJ’s internal structure and Union Benefits programs, the laws and
regulations on federal sector labor relations and any other subject not prohibited by law. The
AgencyAALJ will pay the cost of travel and per diem, if any, of the AALJ President, Executive
Vice President, and or designees. If the AALJ elects not to address the new Judges in person,
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the Agency agrees to provide newly appointed Judges covered by the AALJ bargaining unit, a
copy of the negotiated master agreement during the initial personnel processing when they report
for duty. The Agency will also provide information to the newly appointed Judges on where to
obtain additional agreements by electronic means. The AALJ will provide management with
introductory letters from the AALJ and brochures on AALJ benefits to be distributed to the
newly appointed judges. Such letters shall clearly state that the Agency's provision of this
information is an accommodation to the AALJ and that the Agency is not trying to encourage or
interfere with the right of the newly appointed Judge to join or refrain from joining the AALJ.
Section 2 - Training and Education
A. The parties acknowledge that judicial excellence is one of the cornerstones of our hearing
processes. The parties recognize that initial and continuing judicial education (CJE) is essential
to maintaining the knowledge, skills, and abilities of the Judges required to carry out the
Agency’s adjudication function and that judicial education is of concern to both parties.
B. Recognizing this need, the parties agree to establish an advisory Judicial Education
Committee (JEC) consisting of four (4) Judges appointed by the AALJ President and four (4)
members, who are not members of the AALJ bargaining unit, appointed by the Associate
Commissioner for Hearings and Appeals. ODAR has determined that at least two (2) of the
members appointed by the Associate Commissioner will be Judges. The President of the AALJ
and the Associate Commissioner for Hearings and Appeals shall each appoint one of their
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committee members to serve as Co-Chairpersons of the Judicial Education Committee. The
committee will establish the ground rules under which it will operate.
C. The JEC may identify education and training topics for initial and continuing judicial
education and propose training and education programs. If the Chief Administrative Law Judge
(CALJ) has agreed that training and education is needed in an area so identified, the JEC will
prepare and present a proposed training and education program that will be submitted to the
CALJ.
D. ODAR will provide a reasonable amount of official time, not counted against the official time
bank, for AALJ participants to prepare for and participate in JEC meetings. AALJ participants
who travel to engage in JEC meetings set by agreement will be provided travel and per diem
reimbursement by ODAR in accordance with Federal Travel Regulations.
E. Good faith consideration of the JEC recommendation shall be given by the CALJ, or his/her
designee, in advising the Associate Commissioner on training proposals and needs. ODAR has
determined that decisions regarding training will be made by the Associate Commissioner for
Hearings and Appeals, or his/her designee.
F. ODAR has determined that as far as practicable, the agency shall provide newly appointed
Judges with training before the Judges report to their duty stations. ODAR has determined that
the education faculty shall be authorized a reasonable amount of duty time for program design
and preparation.
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Article 27
Judicial Education and Training
Section 1. Philosophy. JThe parties acknowledge that judicial excellence is the cornerstone of
the due process hearing adjudicationsprocess. Judicial education is essential to maintaining the
knowledge, skills, and abilities required to perform the adjudication function.
Section 2. AALJ Education Conference.
A. The Agency agrees to provide support to AALJ in delivering the AALJ’sits Annual
Education Conference (“Conference”).
B. The AALJ will notify the Agency of the dates of its Conference not less than 90 days
prior to first day of the Conference.
C. The Agency will not prohibit any Agency Official from attending and participating in
the Conference at the invitation of AALJ.
D. The AALJ President, AALJ Education Conference Chair, and AALJ Education
Conference Committee members (not to exceed 10), will receive duty time to prepare
for, participate in, and travel to and from the Conference.
E. The Agency will provide duty time for any Judge who will participate in the
Conference as a presenter or session facilitator to prepare for, participate in, and travel to
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and from the Conference. The AALJ Dean of Continuing Legal Education will receive
duty time to organize, prepare for, participate in, and travel to all meetings and
conferences necessary to effectuate the AALJ Continuing Legal Education Program.
F. The Agency will provide 5 days of duty time for any Judge who wishes to attend the
Annual Education Conference.
G. The Agency shall pay annually up to $100,000 for speakers and administrative costs
including up to $500 for each Judge for travel and per diem associated with the AALJ
Judicial Education Conference. Payment shall be made directly to vendors as designated
by the AALJ Judicial Education Conference Chair.
Section 3. Continuing Legal Education Courses.
A. MThe parties acknowledge that many Judges are required to complete Mmandatory
or Mminimum Continuing Llegal Eeducation (MCLE) courses (MCLE) to maintain law
licenses. (www.abanet.org/cle/mcleview.html)
BThe Agency shall grant duty time of up to 5 days, plus travel time, to attend courses which are
approved for continuing legal education credit by any State bar. This shall be in addition to any
duty time, travel time, and expenses provided by the Agency for the AALJ Judicial Education
Conference and any Agency-sponsored training.
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C. The Agency agrees that it shawill reimburse tuition costs for all CLE courses; and
further agrees that it will reimburse per diem, lodging, and travel expenses whenever a
Judge is required by the Judge’s state bar to attend in-state MCLE courses.
D. The Agency agrees that it shawill authorize up to 24 hours of duty time, and
additional duty time for travel when necessary, for any Judge to complete CLEs.
E. The Agency shallagrees to authorize duty time for any Judge who is enrolled in the
National Judicial College courses or an ABA accredited degree or certification seeking
program.
Section 4. Initial and Continuing AgencyODAR Training.
A. AThe parties acknowledge that a cadre composed of both bargaining unit Judges and
management Judges is the best combination for all in-person, Agency-sponsored judicial
training. This provision does not preclude the use of non-judge instructors when
appropriate.
B. B. The AALJ President or designee will submit to OCALJ a list of Judges by
February 1 each year that it recommends for the teaching cadre. The Agency shall select
one-half the instructors for each training program from this list and report the names of
those selected to the AALJ President or designee when the selection occurs.
Section 5. Joint Education Committee (JEC).
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A. AThe parties recognize that an Agency-AALJ Joint Education Committee (JEC) iscan
be an invaluable in providing guidance on judicial training.
B. AThe parties agree to establish an advisory advisory Judicial Education Committee
(JEC will be established. It will consist of ) consisting of 4 Judges appointed by the
AALJ President and 4 Judges, who are not members of the AALJ bargaining unit,
appointed by the Deputy Commissioner for Office of Disability Adjudication and
Review.
C. The AALJ President and the Deputy Commissioner for ODAR shall each appoint one
of their committee members to serve as Co-Chairs of the JEC.
D. The JEC shall be responsible for identifying training needs, participating in the
development of training content and the method and means of delivering training, and
evaluating training programs.
E. The JEC shall meet face to face, a minimum of 4 times per fiscal year for purpose of
conducting its business. The itinerary for such meetings shall consist of 2 travel days and
2 meeting days. The JEC Co-Chairs shall develop and distribute the meeting agenda 5
working days before the start of the meeting.
F. The AgencyODAR will provide a reasonable amount of official time, not counted
against the AALJ Time Poolofficial time bank, for AALJ participants to prepare for and
participate in JEC meetings. AALJ participants who participate in JEC meetings shall be
provided travel and per diem reimbursement by the AgencyODAR in accordance with
Federal Travel Regulations.
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G. The Agency officials shall periodically brief JEC Co-Chairs as to all proposed
projects, initiatives and proposed training that will involve Judges as trainees or as
instructors or trainers.
H. All recommendations, proposals, suggestions and or questions formulated by the JEC
shall be directed to the Chief Administrative Law Judge (“CALJ”), with a copy to the
Deputy Commissioner of ODAR. The CALJ shall respond to all JEC submissions from
the JEC within 30 days. If the CALJ rejects, denies, or fails to respond to any
recommendations, proposals, suggestions and or questions, the CALJ shall provide a
detailed reason for the response.
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Section 6. The Agency shall reimburse Judges 100% for the cost of any bar dues within 30 days
of submission of proof of payment.for any who chooses to be in active status instead of judicial
or inactive status.Article 28
Joint Technology Advisory Committee
and
Technology Workgroup
Section 1. In order to facilitate the regular exchange of pre-decisional information,
recommendations, and initiatives regarding hearing technology innovations and office
automation, including but not limited to CPMS, eDIB, and eCourteCat, EBP, and other
programs (formerly known as eBP), between the Agency and the AALJ, the parties agree to the
formation of a Joint Technology Advisory Committee (JTAC).
Section 2. EThe parties agree that except as otherwise provided in this article, this labor-
management committee shall be organized and function pursuant to this agreement.
Section 3. FThe parties agree that full and open communication at all levels within ODAR
between management and the AALJ on office technology issues that affect their work lives
should be facilitated by the work of the JTAC in keeping with Article 2, Section §1. B.both the
language and the spirit of Presidential Executive Order 13522.
Section 4. Hearing and office technology will be employed consistent with the APA, judicial
needs, law and government-wide rules and regulations.
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Section 5. Establishment of this committee does not constitute a waiver of any of the AALJ’s
statutory rights to information, pre-decisional, consultation, or negotiations. The activities of the
JTAC are not envisioned by the parties as replacing the ODAR’s responsibility to provide
appropriate notice and the opportunity to bargain over impact and implementation under Article
2 of this Agreement (Mid Contract Negotiations).
Section 6. TEstablishment of this JTAC committee will be a forum for the parties shall engage
in pre-decisional discussions is an election by the ODAR to bargain with the AALJ on the
technology, methods, and means of performing work.
Section 7. The JTAC will consist of eight members. Four members will be Judges appointed by
the President of the AALJ. The other four members will be management representatives
appointed by the Deputy Commissioner of ODAR or designee and shall not be members of the
AALJ bargaining unit. The President of the AALJ and the Deputy Commissioner will each
designate their respective Co-Chairperson for the JTAC.
Section 8. The parties agree that:
A. The JTAC will meet in person at least four times per year for no more than three (3)
days each time. Two additional days will be provided for travel to and from the in-person
meetings. JTAC shallcan engage in additional meetings at least 1 time per month via
telephone, VTC, or computer methods such as Share Point, or other available technology
as hearing technology and office automation changes evolve;
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B. The ODAR will pay for travel and per diem for the JTAC’s in-person meeting(s); and
C. The AALJ’s JTAC members will be authorized a reasonable amount of official time for
committee work, including preparation and travel, pursuant to Article 9, Official Time. The
AALJ’s JTAC committee members’ use of official time will not be subject to any time pool
or cap.
Section 9. The Co-Chairs of the JTAC will finalize the agenda jointly no later than five (5) days
prior to the date of the meeting and submit it to the Deputy Commissioner, unless mutually
agreed otherwise. The JTAC will review and make recommendations regarding the efficacy and
appropriate use of video teleconference technology, CPMS, eBP, eCATourt, eDIB, desktop video
units, or other technology used by Judges in adjudicationin the hearing process.
Section 10. When the Agency is making decisions at either the ODAR or SSA levels, the
Agency will fully involve the JTAC and the Technology Workgroup in pre-decisional
consultation ODAR’s JTAC will be consulted promptly for input on the issues so as to ensure
that the AALJ’s input is considered and incorporated before making a decisions. This will be
done in full keeping with Article 2 Section 1. B. the language and spirit of Presidential Executive
Order 13522.
Section 11. The parties acknowledge the importance of appointing JTAC members with an
interest and expertise in technology issues and of seeking information, input, and
recommendations from Judges. To that end, the parties will encourage Judges with an interest
and expertise in technology issues to identify themselves for participation in Agency automation
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or innovation activities. There will be a national annual solicitation for membership to JTAC.
Section 12. Technology Workgroup.
A. The parties will establish a 10-member technology workgroup to meet biweekly, along
with 6 in-person meetings per year, to discuss all technology issues and make recommendations
to the Deputy Commissioner. The AALJ will appoint 5 members to the workgroup, and the
Deputy Commissioner will appoint 5 members to the workgroup. The 5 AALJ members will be
on 100% duty time for this workgroup. The AALJ President and the Deputy Commissioner will
each appoint a co-chair for the workgroup.
B. The 6 annual in-person meetings will be for 3 days each, with an additional 2 days of
travel time at Agency expense. The technology workgroup co-chairs will finalize an agenda 7
calendar days before each meeting.
C. The biweekly meetings shawill be conducted by video conferencing utilizing Agency
equipment and facilities. The technology workgroup co-chairs will finalize an agenda 5 calendar
days before each meeting.
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Article 29
Senior Judges
Section 1. Pursuant to 5 C.F.R §930, the ODAR may decide to temporarily re-employ retired
administrative law judges. A Senior Judge is defined in 5 C.F.R. §930.202 and 930.209 as a re-
employed annuitant who temporarily performs the duties of an administrative law judge. Re-
employment of Senior Judges by ODAR shall be in accordance with Office of Personnel
Management (OPM) regulations.
Section 2
Hours of duty, administrative support services, and travel reimbursement for Senior
Judges will be determined by the employer in accordance with the same rules and
procedures that are generally applicable to other employees. Current time keeping
procedures will continue.
Section 3
The parties agree that the provisions of the following articles or provisions of this
agreement are not applicable to Senior Judges: Temporary Changes in Judicial
Assignments, Dues Withholding, Credit Hours, Leave, Reassignments, Reduction in Force,
and Retirement.
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Section 2. A Senior Judge shall have reasonable access to available office space, furniture,
facilities and equipment. If office space is not available, work at an alternate site may be
arranged.
Section 3. 5 TODAR has decided that the President of the AALJ shall be notified when a
request for a list of eligible candidates for the position of Senior Administrative Law Judge is
requested from OPM. Whenever a Senior Administrative Law Judge is reemployed by the
Agency, ODAR shall notify the President of AALJ of that fact and the office to which that
Senior Judge shall be assigned.
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Article 30
Facilities and Services
Section 1. Definitions.
A. Space Allocation Standard. The OHA Space Allocation Standard (SAS), dated March
1998, is Agency policy for the allocation of space and to be used when requesting or
providing space for ODAR.
. Except as hereinafter provided, the provisions of this SAS are made a part of this
National Agreement.
B. Hearing Office. A hearing office is the primary duty station for ODAR's Judges. Each
hearing office has a defined geographic service area. The hearing office is a space
whichspace that has been assigned to or leased for ODAR by GSA, located in a city under
the guidance of and subject to formal approval processes within the Office of the Chief
Administrative Law Judge (OCALJ) and other components of the Agency.
C. Satellite Offices. A satellite office is a subordinate permanent duty station aligned with
a specific hearing office and administratively managed as a branch of the office. A satellite
office is located in a city subject to formal approval processes within OCALJ and other
components of the Agency and for which space has been assigned to or leased for ODAR
by GSA. Such an office normally has a limited staff, usually consisting of one or two
Judges and a few support staff.
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D. Remote Site. A remote site is an unstaffed space located within the defined service
area of a hearing office and administratively managed by that office's management team.
Hearings are held intermittently at remote sites. Judges travel to the location from their
normal duty station or hear the cases by video teleconferencing. There are two types of
remote sites - permanent and temporary.
E. Permanent Remote Site. A permanent remote site is a space that has been assigned to
or leased for ODAR by GSA, in a city within the defined service area of a Hearing Office.
Such sites are established and located under the guidance of and subject to formal approval
processes within OCALJ and other components of the Agency.
F. Temporary Remote Site. A temporary remote site is a location where hearings are held
in spaces not under a GSA lease or assignment to ODAR. Typically such sites are in
spaces rented under a daily or weekly rate under the Hearing Office Chief Administrative
Law Judge'sJudge or Hearing Office Director's local purchase authority or in spaces made
available to ODAR at no charge.
G. Claimant-Only Video Hearing Room. A claimant-only video hearing room is a
location where only video hearings are held, and the Judge never appears there in person.
Section 2. Space Allocation Standard. Except as modified in this Agreement, the provisions of
the Space Allocation Standard (“SAS”), dated March 1998 are made part of this Agreement.
Section 3. Hearing Offices: Information and Notice.
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A. For relocation or space modification actions relating to existing or newly established
hearing offices, satellite offices, and permanent remote sites, the Agency agrees
automatically to:
1. Provide to the AALJ Regional Vice President prior to the time that a Regional
Chief Judge Administrative Law Judge (RCALJ) transmits it to the Office of the
Chief Judge for review and approval, a copy of a draft Request for Space Package
(SF-81, together with all attachments, worksheets, amendments or equivalent), so
that the AALJ Regional Vice President may make suggestions and comments on
all matters in the SF-81, including, but not limited to, box 9b on the designated
area; provide the Regional Vice President and the LAR with the name, office
address, e-mail, fax number, and telephone number of the ODAR Regional
Office's contact person.
2. Transmit, from At the point in time that it is transmitted to the appropriate
Office of the Regional Commissioner for processing, OCALJ, shall also transmit
a complete copy of the SF-81 package, together with all attachments, worksheets,
amendments or equivalent, to the AALJ Regional Vice President, at the point in
time that it is transmitted to the appropriate Office of the Regional Commissioner
for processing.
3. in the event of a relocation of an existing hearing office from a central
business area, Pthe agency agrees to provide the respective AALJ Regional Vice
President, in the event of a relocation of an existing hearing office from a central
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business area with, with a copy of the Agency's written justification to GSA that
sets forth facts and consideration sufficient to demonstrate that first consideration
has been given to the central business area and to support the determination that
the Agency program functions involved cannot be efficiently performed in the
central business area. The information shall be provided to AALJ at the same
time it is submitted to GSA.
4. Provide the Regional Vice President and the LAR a copy of any new or
supplemental lease agreement, at the same time it is made available to the
RCALJ;
5. Provide the Regional Vice President and the LAR a drawn-to-scale copy of
any new site plan, space shell/floor plate, or elevations, at the same time made
available to the RCALJ;
6. Provide the Regional Vice President and the LAR a drawn-to-scale copy of
management's proposed floor plan for an office, including specific measurements
of all rooms and spaces, at the same time it is they are made available to the
RCALJ;
7. Receive suggestions and comments from the LAR during the site
identification process;
8. Allow AALJ's designated representative shall be entitled to accompany the
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Agency's representative, at the AALJ's expense, on any site survey in connection
with acquisition of office space after signing athe Certificate of Nondisclosure.
(See Appendix A.) Any disclosure to other Judges of any information obtained
by the AALJ’s designated representative during the site survey, requires that they
sign athe Certificate of Non-Disclosure (Appendix A). AALJ’s designated
representative shall be provided 21 days’ advance notice of the proposed date of
any site survey. The AALJ designated representative shall have the discretion to
continue or postpone any scheduled dockets.
9. Advise the local AALJ Representative (LAR) of the date on which
management has completed the site surveys.
B. AALJ's designated representative shall be provided copies of the GSA's site
solicitation package, proposed lease, and signed lease regarding an office space
acquisition or re-location action within 5 days of receipt of each by the RCALJ.
C. The AALJ President and appropriate Regional Vice President shall be advised of the
Agency's decision to permanently close a hearing office, permanent remote site, or
satellite office 120 days prior to closure.
D. Neither party waives any right to bargain as provided by law or this agreement.
E. The Agency shall not proceed to construction in any hearing office or facility without
having followed the negotiation and impasse procedures set forth in 5 USC 71.
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Section 4. Hearing Office Establishment, Modification, Relocation, Lease Renewal, and
Expansion
A. The following provisions will apply in all situations involving the acquisition of
hearing office space, whether by expansion, relocation, or establishment of new hearing
offices, or in the event of lease expiration. The following provisions will apply to any
establishment, modification, relocation, or expansion of any Hearing Office, satellite
office or permanent remote site. No construction or alteration of any building or office
that impacts the working conditions of the judges or any past practices related to the
judges will take place without written agreement of the AALJ, in keeping with the
bargaining obligation set forth in Article 2 on Mid-Contract Negotiation. For existing
offices, no lease renewal shall be signed until the office complies with all provisions of
this Collective Bargaining Agreement and the SSA Office of Hearings and Appeals Space
Allocation Standards of March 1998.
B. In the interests of fair and proportionate representation among bargaining units, at
least 1 AALJ bargaining unit member will be appointed by the Union to any hearing
office committee empowered to select styles and colors for carpeting and wall and
window coverings. The Agency will request color, style and design samples in a timely
manner in relation to the date of the proposed relocation and will provide the committee
with the color, style and design samples as soon as those are obtained by
managementmanagement obtains those. Absent a multi-bargaining unit committee as
above noted, the AALJ through its LAR or designee will make local recommendations
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directly to management about style and colors from samples provided by management,
no later than 10 days from date of receipt.
C. The provisions of any GSA lease regarding the hearing office building and safety
codes, health and safety, fire protection, security, sound transmission, ambient noise,
lighting, stairwells, restrooms, cleaning, heating and cooling ranges, are made a part of
this CBA as to that particular sitewill apply, unless the provision conflicts with any
specific term of this collective bargaining agreement. These provisions will be
monitored by the Agency and prompt corrective action will be taken to ensure
compliance.
D. Upon occupancy, each Judge’s office will have all of the items in Section 6 of this
Article in a fully functioning condition.telephone with voice mail, LAN access and a
functioning computer in his/her office
E. The LAR or other AALJ designee will accompany the Agency on a health and safety
inspection and a walk-through inspection prior to occupancy. Documentation verifying
the measurement of lighting levels and STC levels in each judge’s office and hearing
room will be provided as part of the walk- through inspection. The Agency will
immediately notify the AALJ in writing when the new space is accepted by GSA and by
ODAR for occupancy in accordance with the health and safety and other provisions of
the GSA lease or occupancy permit.
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F. All judges will be permitted to walk-through the new space at least three weeks prior
to occupancy, in order to choose their offices pursuant to the seniority provisions of
Article 22 of this agreement. The judges’ availability will be accommodated to ensure
that each judge can engage in a walk-through, even if more than 1 walk-through needs to
be arranged.
G. Within 30 days of occupancy, the Agency will provide to each Judge a copy of the
portions of the Physical Security Action Plan and the Occupant Emergency Plan that are
to be produced to employees according to the AIMS language in existence at the time of
final approval of this Agreement, which includes, but is not limited to, hearing office
evacuation plans, bomb threat plans and building evacuation plans including the names
and emergency assignments of the responsible individuals.
H. All phases of major space preparation, including removal of major construction
equipment, painting of the facility and placement of carpeting and modular furniture will
be completed before occupancy of the space begins. Prior to occupancy, there will be a
reasonable time to permit the dissipation of paint and other fumes occasioned by
construction and other space preparation actions.
I. The Agency will provide each judge with sufficient moving supplies (boxes, etc.)
prior to the move and will grant a minimum of two work days, away from assigned
duties, to pack, and a minimum of two work days to unpack. Packing, unpacking, setting
up, and moving of any furniture/equipment and personal items will be done in a way that
does not jeopardize the health and safety of Judgesemployees. The Agency will assist
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judges in handling any claims for damages and injuries incurred during the relocation
process and installation of office furniture. Judges will identify all their boxes
appropriately. The Agency will direct the movers to associate the proper boxes with the
appropriate workstation, so that when the judges report to their new location, their
materials will be in their offices, with furniture arranged as desired by the judge. This
provision is not applicable to remote sites.The Agency will provide the specific date for
the move at least 20 working days in advance of the projected move so that judges may
pack and prepare for the move while still accommodating their hearing schedules.
J. Local issues relating to the establishment, modification, relocation, lease renewal, or
expansion of a hearing office, satellite office or remote site will be negotiated with the
Agency at the local level, in keeping with Article 2 of this Agreement on Mid-Contract
Negotiations.
Section 5. Hearing Office Characteristics.
SPACE PLANNING
A. In the acquisition of hearing office space, whether by expansion, relocation, or
new hearing offices, or in the event of lease expiration, office space calculations will
fully comply with the SSA Office of Hearings and Appeals Space Allocation
Standards dated March 1998, unless otherwise agreed to by the parties in writing.
B. ODAR space plans must fully comply with applicable local and state fire codes,
unless otherwise agreed to by the parties in writing.
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A. The order of selection of individual private offices by the Judges assigned to the site
shall be made from among the offices designated on the floor plan for Judges. The order
of selection shall be made in accordance withing to the agreed-upon seniority procedure,
in accordance with Article 22.
B. Intrusion detection (security) systems and Judge duress buttons will be installed and
monitored consistent with the current OHA SAS, dated March 1998, and tested
consistent with the AIMS language in existence at the time of final approval of this
Agreement.
C. Each Judge in a hearing office shall be provided an individual private office, and each
office shall be 300 square feet. If the Judge’s office is to be used for video hearings, it
shall be 350 square feet.
D. Appropriate window coverings for judge offices will be provided, subject to any
building standard limitations.
E. Each hearing office will have the same number of hearing rooms as there are Judges
assigned to that office. Each hearing room shall be constructed with materials and by
design to meet a minimum sound transmission class (STC) of 50rooms as there are
Judges assigned to that office. Each hearing minimum sound transmission (suppression
class of 50).. All video hearing rooms in hearing offices, permanent remote sites, and
satellite offices shall be a minimum of 400 square feet. All video hearing rooms in
permanent remote sites shall be a minimum of 400 square feet.Judges will have access to
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and use of any and all employee restrooms, which shall be secure and accessible only to
SSA employees and contractors. All newly established, modified or relocated offices
must contain the restrooms in the secure ODAR space. All existing restrooms not in
secure ODAR space shall contain cipher or electronic locks. At least one water fountain
shall be located in secure ODAR space.
F. Heating, Ventilation and Air Conditioning (HVAC).
1. The HVAC system will be operational during the core hours and flexible time
bands during which employees are permitted to work, including credit hours. The
HVAC system will maintain the temperature and humidity level in the general
office area and in each employee office and hearing room within a range of 70 to
74 degrees, with appropriate humidity levels within a range of 30% to 50%,
regardless of outside temperature conditions. The Agency will have available, in
every hearing office, satellite office and remote site, a digital thermometer that
can be used to measure temperature throughout the office space.
2. If the office temperature and/or humidity fail to conform with the above
standards, management will timely report the problem to the lessor and will
notify the Union immediately. The problem will be correctedaddressed within
three (3) 3 hours and if the problem cannot be resolved, management will either
release the affected Judges from duty without charge to leave or provide suitable
alternative work arrangements either inside the hearing office or at the judges’
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ADS. If management fails to respond within three hours, the affected Judges will
be released from work on administrative leave.
3. No hearing office will be located on the same floor with any firm or attorney
who has a Social Security practice. The Agency will require GSA to include a
provision in all leases that precludes the landlord from renting space on the same
floor to any attorney or firm that has a Social Security practice.
Section 6. Private Office Furnishings.
A. Private office furnishings, equipment, desks, chairs, tables, and bookcases for the
Judges shall be of a class and quality provided to members of the Senior Executive
Service. Where there is a choice among like items, the individual judge may make the
selections for his or her private office. Judges will be provided one ergonomic, high-back
Judge’s chair.
B. An ergonomic computer table and an ergonomic chair as described in Article 23,
Health and Safety will be provided. A table, bookcaseshelf, locking file cabinet, printer,
U.S. flag display, and two visitor's chairs will also be provided, and at least 1 locking 5-
drawer file cabinet will be provided.
C. The ergonomic features of the Judge's private office furniture are found in Article 23
of this agreement, entitled Health and Safety.
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D. Judges may bring in personally owned items such as, but not limited to, desks, chairs,
cabinets, shelves, lamps, and personal decorative objects to be used in their offices.
Judges may place personal electrical appliances in their private office, such as
microwaves, refrigerators, coffee makers, computers and accessories.
E. Each Judge shall be provided with a telephone with speaker and voice mail features.
F. An operational laser printer, capable of printing at least 15 to 20 pages a minute, will
be located in the office of every judge.
G. Management will provide one or more file cabinet drawers to each Judge, located in his or
her office, for the purpose of housing and storing correspondence, development, case files, and
similar items, should the Judge so request. This provision is not applicable to remote sites.
Section 7. Hearing Room Furnishings and Assignment.
A. Hearing rooms in an ODAR office are available for use by any Judge. Hearing room
usage by Judges will be determined by local negotiations.agreement; absent agreement,
Article 22 shall apply. The holding of hearings by Judges will preempt the use of a
hearing room for office or other employee or group meetings.
B. All hearing rooms shall contain an ergonomically adjustable high-back executive
chair from the Relax the Back store for the use of the Judges. ,. Management will
provide a traditional high-backed "ALJ" chair in each hearing room. Judges needing
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alternative seating will be allowed to move one of their agency-provided chairs from
their private office into a hearing room for their hearings.
C. Bench to wall railings will be provided in each hearing room. The railings shall be
the height of the ALJ bench, and shall extend to within two inches of the floor. The
railing will have a gate which is to be equipped with a mechanical latch. The gate will
swing toward the claimant, not the judge.
D. Sight glass windows, six inches by thirty-six inches, will be provided in every
hearing room door. A convex mirror on the wall above the ALJ will be installed.
E. The ALJ door to the hearing room will be equipped with a pneumatic door closer
which will be set on the weakest possible setting. All hearing room doors will be
equipped with retractable acoustic door seals on the bottom together with side and top
gaskets, which will seal the doors when closed so as to maintain the SCT of 50.
F. All hearing room doors shall be defaulted to locked; the ALJ door to the hearing room
will be equipped with an electronic card reader or cipher lock on the hearing room side
of the door.
G. Benches will be 84 inches wide in hearing rooms when prototype furniture is not
used.
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H. A hearing room containing video equipment shall be at least 400 square feet. A video
equipped hearing room at a remote site shall be at least 350 square feet. The additional
space required by this provision shall be added to the total space requirements authorized
inby the SAS. With regard to claimant-only video hearing rooms, the judge shall have
the capability of moving the camera so as to view the entire room; the room shall be at
least 250 square feet with of sufficient dimensions to allow for appropriate camera focal
distance and appropriate lighting for clear visual images.
I. All hearing room benches shall have ergonomically adjustable bench-tops.
J. Sight lines from the judge to the claimants, witnesses and representatives shall be
clear and not obscured in any way by the placement of monitors or other equipment. All
monitors shall be capable of being folded flat or movable by use of an articulating arm.
K. At least one hearing room in every hearing office, satellite office, and permanent
remote site shall be equipped with a railed ramp external to the hearing room that allows
a wheelchair to have access to the bench. Since the March 1998 SAS does not address
the issue of wheelchair access for judges, the necessary space to install such a ramp shall
be in addition to the total space authorized in the SAS.
L. An American flag of an appropriate size shall be placed in every hearing room; the
flag stand shall be anchored to the floor and the flagstaff to the stand.
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M. A two-drawer filing cabinet, on rollers, shall be provided in each hearing room for
the use of the judge.
N. Supplies necessary for the conduct of hearings shall be maintained within each
hearing room.
7Section 8. Permanent Remote Site Planning.
A. Management has determined that establishment of a remote site will be pursuant to
the policy guidance document of February 15, 1990. In the acquisition of new
permanent remote sites, office space calculations and the outfitting of hearing rooms are
to be consistent with ODAR SAS dated March 1998, and paragraph C below.
B. All ODAR space plans must be consistent with applicable local and state fire codes.
C. In permanent remote sites, floor plans will include an appropriately sized reception
area, at least one attorney-client conference room, at least one unisex restroom with
adjacent water fountain for the Judge, and at least one standard hearing room. However,
video hearing rooms will always be at least 350 400 square feet.
Section 98. Claimant-only Hearing Rooms. Claimant-only video hearing rooms shall be at
leastbe 250 square feet with one-attorney conference room equipped to review electronic files.
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Section 109. Satellite Offices. The acquisition of satellite office space shall follow Section 3 of
this Article and the SAS dated March 1998. However, video hearing rooms will always be at
least 400350 square feet.
Section 110. Temporary Remote Sites.
A. At times, hearings will be held in remote locations away from the hearing offices and
in other locations not under permanent control of the ODAR or SSA. Management has
determined that establishment of a remote site will be pursuant to the policy guidance
document of February 15, 1990.
B. TManagement has determined that the HOCALJ, in pre-decisional consultation with
the Local Association Representative will be responsible for locating hearing sites that
are consistent with the criteria in Section A above. The following reflects the ODAR
policy on the types of spaces the HOCALJ is expected to explore:
1. Federally controlled space (i.e. federal facilities for other government
agencies);
2. State government controlled space (i.e. state agency or court facilities);
3. Local government controlled space (i.e. municipal government or court
facilities);
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4. publicPublic educational institution space (i.e. college or local libraries); or
5. otherOther spaces deemed to meet the ODAR's needs by local hearing office
management.
C. The use of hotel/motels at remote sites is the least preferable, and the alternatives
listed in 119.B should be first secured when available. If a hotel/motel site is used it
must be appropriate for conducting hearings, e.g., a lockable conference room with a
second door which can serve as a Judge’ss escape door.
D. All remote hearing sites will have a security guard and hearing monitor to assist the
Judge. In lieu of a hard-wired duress alarm, at each temporary remote site, a walkie-
talkie system shall be provided by the Agency so the Judge may summon the guard if
needed.
Section 12. Parking.
A. Parking within 1 block of the hearing office will be provided at no cost to the Judges.
B. A designated "loading zone" area will be provided at each hearing location.
Section 132. Other Services.
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A. Badges. The Agency will provide the Judges with current “Special Purpose” badges,
any building-specific access badges when required by the Landlord, and any additional
identification or badge when required, all at no cost to the Judges.
B. Office Access. Judges shall have access to hearing offices and remote sites at all
times, subject only to the condition that Judges shall arm and disarm the intrusion
detection system (IDS), when necessary.
C. Telephone Directories.
1. The ODAR agrees to continue to maintain, update, and distribute, on an annual
basis, a directory of all Judges within ODAR. Distribution of this directory shall
begin 30 days after the Agency head approval and every year thereafter. Such a
directory will contain listing by Judge name with his/her hearing office location
and ALJ number of each Judge. It will also list each hearing office and the Judges
assigned to the office, along with the address, fax and phone number for the
office, including each Judge’s extension number. If such directory is maintained
on the Agency Intranet, information about the Intranet link will be provided to
each Judge annually.
2. The ODAR will provide the existing telephone directory information
containing the names, addresses, and office telephone numbers of SSA and
ODAR executives and senior staff located in Baltimore, MD and Falls Church,
VA to the AALJ President annually, along with the Intranet link.
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3. The ODAR will provide its existing Regional Office staff directory information
to the AALJ President annually, along with the Intranet link.
4. Each Judge shall annually receive a new local area phone directory when
received in the office from the local telephone service provider.
Section 14. All hearing offices, satellite offices, and remote sites that do not comply with all
provisions of this Article will be retrofitted and brought into compliance no later than January
2011.
Section 15. Expedited Arbitration Procedure. Any grievance filed alleging that the Agency has
failed to comply with any provision of this Article may, at the election of the AALJ, be filed
pursuant to the expedited arbitration procedure set forth in Article 11, or the regular arbitration
provision also set forth in Article 11.
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Article 31
Bias and Misconduct Complaints
Section 1. This Article involves complaints of bias and misconduct made against a Judge
with regard to any aspect of the manner in which a Judge has handled a case. A Judge
shall be notified by the Agency of any written or oral complaint of bias or misconduct
made to SSA about the Judge, from any source, within 48 hours of receipt by anyone
employed by SSA. Oral complaints shall be reduced to writing by the Agency on the date
received, and signed and dated by the person who took the complaint. All complaints shall
be date-stamped on the day of receipt.
A. The above complaints include, but are not limited to, any complaints received by
an SSA field office, an SSA 800 number, a HOCALJ, RCALJ, the Appeals Council
(including in the form of a request for review), OIG, or OCALJ.
B. These complaints include, but are not limited to, any complaints made by a
member of the public, a claimant, a claimant’s representative, an Agency employee,
a supervisor and/or a manager.
Section 2. The burden of proof shall be on the person making the complaint.
A. Within ten (10) days of receipt of the complaint, SSA shall provide to the Judge
a copy of all documents and information related in any way to the complaint, which
includes (but is not limited to) a copy of the complaint and the envelope (if sent by
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mail), a copy of the written record, the hearing CD, an index of the hearing CD
prepared by the VHR, all documents submitted to the Appeals Council, and any
statements made by alleged witness (s) received by the Agency at the same time as
the complaint.
B. Failure to meet the ten (10) day requirement above deems the complaint to be
without merit and the matter shall be immediately concluded with the
determination that the Judge is without fault. The complaint and any related
documents shall be expunged from all Agency records and shall not be used in any
manner against the Judge.
C. If a complaint is filed before the Judge has issued a decision, the further
processing of the case will be held in abeyance until the complaint procedure has
been exhausted.
Section 3. Complaints that meet the requirements of 2(A) above shall be investigated as
follows:
A. The Agency shall mail a sworn statement form to the complainant within ten
(10) days from receipt of the complaint. This form shall require specifics of the
allegation as identified in 3(B).
B. The complainant shall be required to fill out the form with the following
information: name of Judge; date and place of alleged bias or misconduct; specifics
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of alleged bias or misconduct; the names, addresses and telephone numbers of
witnesses (if any). If the alleged complaint involves a disability claim or the hearing
process, the complainant shall also be directed to provide his/her relationship to the
disability applicant as well as the status of the disability claim. This form shall
specify that failure of the complainant to complete the form and return it within
fifteen (15) days shall result in an automatic dismissal of the complaint. It shall also
specify that if the complaint is filed prior to the issuance of a decision the disability
decision process will be delayed until such time that there is a final resolution of the
complaint.
C. The completed sworn statement form must be returned within fifteen (15) days
of the date that the Agency mailed it out. If the form is returned by mail, the date
of receipt shall be deemed to be the postmarked date. A form hand-delivered to an
Agency office must be date-stamped when received. Absent receipt by the Agency
of the sworn statement within fifteen (15) days, the complaint shall be automatically
dismissed and expunged from all Agency records and shall not be used in any
manner against the Judge.
D. If the sworn statement is returned in a timely manner (i.e. within 15 days), the
Agency shall then mail a sworn statement form to any and all witnesses identified
by the complainant. This form shall direct the proposed witness to provide the
following information: name of Judge; date and place of alleged bias; specifics of
alleged biased or misconduct; relationship of the witness to the complainant. This
form shall specify that failure to complete the form and return it within fifteen (15)
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days shall result in a finding that the witness does not endorse the allegations in the
complaint.
E. At the end of the fifteen (15) day period, the Agency shall then refer the
complaint and all sworn statements to the three member Judicial Peer Panel
(described below in paragraph 4) for review to determine whether there is a
reasonable basis to pursue further investigation or to recommend dismissal. If
further investigation is warranted, the Judicial Peer Panel will notify the Judge that
a complaint has been filed and the hearing process must be stayed pending
resolution of the complaint.
F. The Judicial Peer Panel shall provide the Judge a copy of the sworn statements
and all relevant documentation within fifteen (15) days from the Judicial Peer
Panel’s determination that further action is warranted. The Judicial Peer Panel
shall specify in writing to the Judge the exact nature of the allegations that it
reasonably believes constitutes potential bias or misconduct based upon the
preliminary investigation.
G. The Judge may have a representative, who may or may not be an AALJ
representative. The Judge or his or her representative may provide a narrative
response to the allegations which the Judicial Peer Panel has identified as potential
bias or misconduct within sixty (60) days of receipt of the documents mentioned
above in subparagraph F. The Judge may also provide statements from witnesses
(if any). Any request for oral argument shall be granted.
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H. Within thirty days of receipt of the Judge’s written response and oral argument
(if any), the Judicial Peer Panel shall either issue a written finding based upon a
review of the record or notify the parties that a hearing is required, which may be
held in person, by telephone, or by videoconferencing, at the Judicial Peer Panel’s
discretion.
I. If the Judicial Peer Panel issues findings on the written record, those findings
shall detail the panel’s basis for decision. The findings shall be sent to the Judge,
the Judge’s representative and the Agency representative. If the Judicial Peer Panel
finds that the Judge has engaged in some bias or misconduct, it shall explain the
reasons therefore and make recommendations for remediation.
J. If an in-person hearing is necessary, the Judicial Peer Panel will set the time and
place and take sworn testimony and evidence. The Judicial Peer Panel will issue
findings, which detail the basis for decision. The findings shall be sent to the Judge,
the Judge’s representative and the Agency representative. If the Judicial Peer Panel
finds that the Judge has engaged in some bias or misconduct, it shall explain the
reasons therefore and make recommendations for remediation.
K. If the Judicial Peer Panel determines that the complaint is not meritorious, the
complaint shall be expunged from Agency records and shall not be used in any
manner against the Judge.
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L. The findings of the Judicial Peer Panel with regard to the merits of the
complaint are binding on the Agency.
M. The Agency will give serious consideration to the recommendations for
remediation should the Judicial Peer Panel find that the Judge has engaged in bias
or misconduct. If the Agency does not adopt the recommendation for remediation,
it shall explain in writing the reasons therefore within 30 calendar days of the date
of the recommendations.
N. The Agency shall pay all travel costs of any AALJ representative.
l壱Section 4. Judicial Peer Panel
A. The Judicial Peer Panel, operating under Article 31, shall be appointed by
the AALJ President and be comprised of three members: two bargaining unit
judges and one HOCALJ.
B. The panel shall use the ABA Model Code of Judicial Conduct in evaluating
the conduct of the at-issue Judge under this Article.
C. The burden of proof is on the person making the complaint to establish bias
or misconduct by a preponderance of the credible evidence.
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D. The Judicial Peer Panel has the authority to make all determinations in
connection with the above procedure, including deciding whether a hearing is
warranted and determining what witnesses to call.
E. The Agency shall pay all costs in connection with the Judicial Peer Panel.
Section 5. Every two years, on February 1st, a Judge may make a request of OCALJ for
copies of all written complaints alleging bias or misconduct pertaining to the Judge, which
have been received by the Agency. OCALJ shall provide the copies to the Judge within
sixty (60) days.
Section 6. Nothing in the foregoing shall otherwise affect the operation of 20 C.F.R.
404.940 or 20 C.F.R. 416.1440 concerning the disqualification of the administrative law
judge.
Section 7. Complaints and all related documents, which are processed through the above
procedure, including the Judicial Peer Panel’s findings and recommendations as well as the
subsequent action of the Agency shall be kept for no longer than two years from the date
the complaint was received. Thereafter, they shall be expunged from all Agency records
and not be used in any future proceeding against the Judge.
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Article 32
Women’s Judicial Committee
Section 1. Pursuant to this agreement, there shall be formed a Women’s Judicial
Committee (WJC). The Committee shall meet to exchange information, study, discuss and
provide recommendations for promoting gender equality in the workplace, improving and
enhancing the participation of women Judges in the business and development of the ALJ
corps and advancing issues of concern to women Judges within ODAR.
Section 2. The Women’s Committee shall consist of four (4) Judges appointed by the
AALJ President and four (4) Judges, who are not members of the bargaining unit,
appointed by the Deputy Commissioner of ODAR. The President of the AALJ and the and
the Deputy Commissioner of ODAR, or their designees, shall each appoint one of their
committee members to serve as Co-Chairpersons of the Women’s Committee.
Section 3. The committee will establish the ground rules under which it will operate. The
Committee will meet quarterly for no more than two (2) days. The proposed agenda shall
be forwarded to the Deputy Commissioner by the Co-Chairs five (5) working days prior to
these meetings.
Section 4. The AALJ WJC members use of official time will not be subject to any pool or
cap to prepare for and participate in committee meetings. AALJ participants who travel
to engage in committee meetings set by agreement will be provided travel and per diem
reimbursement by ODAR in accordance with the Federal Travel Regulations.
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Section 5. Establishment of this committee does not constitute a waiver of any of the
AALJ’s statutory rights to information, consultation, or negotiations. The activities of the
Women’s Committee will not replace the ODAR’s responsibility to provide appropriate
notice and the opportunity to bargain over impact and implementation and appropriate
arrangements under Article 2, Mid-Contract Negotiations of this Agreement.
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Article 33
Discipline
Section 1. Standard.
A. Disciplinary actions against Judges may be brought when conduct or performance
of a Judge fails to meet the standards set forth in the American Bar Association’s 2007
Model Judicial Code (http://www.abanet.org/judicialethics/aba-mcjc-approved.pdf.) In
addition, any discipline taken must be for proven just cause and be consistent with law,
regulation and this collective bargaining agreement.
B. Denial or restriction of any employment benefits provided by law, regulation and
this collective bargaining agreement is not an appropriate disciplinary measure and
therefore may not be used as a substitute for discipline.
Section 2. Progressive and Rehabilitative Discipline.
A. The parties recognize that discipline shall be rehabilitative in purpose and
progressive in nature to address any conduct or performance issue involving a Judge.
B. Before any discipline is contemplated, the Agency will provide the judge with
relevant training, peer assistance, and counseling to remediate any conduct or
performance-related issue.
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C. No discipline shall be imposed on any Judge for conduct occurring outside of the
workplace unless the discipline involves conduct found to be a felony by a court of
competent jurisdiction after all appellate issues have been resolved.
Section 3. Disciplinary procedures.
A. When training or informal counseling or peer review assistance after a period of 1
year has failed to resolve the issues, the following progressive disciplinary steps shall be
followed.
1. Oral Reprimand
2. Written Reprimand
3. Progressive Suspension (beginning with 1 day and proceeding in 1-day increments up to
10 days; then 15 days, 20 days, and then in 5-day increments up to 60 days).
4. Termination
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B. The parties recognize that a suspension or termination of a Judge may only be
authorized by the Merit System Protection Board, however, before presenting any
disciplinary issues to MSPB, the procedures set forth in this article will be followed.
C. All records on discipline shall be maintained in accordance with Article 21.
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Article 34
Procedural Rules for Hearings
The adoption of procedural rules for hearings will substantially assist Judges at the Social
Security Administration to provide due process adjudication. Pursuant to the
Administrative Procedure Act, the Agency shall, within 60 days of the signing of this
Agreement, cause to be published in the Federal Register, for purposes of notice and
comment, the rules that are contained in Appendix 1 to this Article. After the close of the
comment period, the Agency shall work diligently toward the adoption of these rules so
that they become the final rules of the Agency. The Agency shall promulgate the final rules
by publication in the Federal Register. Any proposed alteration of the final rules by the
Agency shall only be made after first bargaining with the AALJ and then pursuant to the
rule-making provisions of the Administrative Procedure Act.
Appendix 1
Rules of Practice and Procedure
For
Administrative Hearings
Before
The Office of Disability Hearings and Review
Social Security Administration
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Subpart A--General
Rule 1 Scope of rules
(a) General application. These rules of practice are generally applicable to adjudicatory
proceedings before the Office of Disability and Review, Social Security Administration.
Such proceedings shall be conducted expeditiously and the parties shall make every effort
at each stage of a proceeding to avoid delay. To the extent that these rules may be
inconsistent with a rule of special application as provided by statute, executive order, or
regulation, the latter is controlling.
(b) Waiver, modification, or suspension. Upon notice to all parties, the Judge may, with
respect to matters pending before him or her, modify or waive any rule herein upon a
determination that no party will be prejudiced and that the ends of justice will be served
thereby. These rules may, from time to time, be suspended, modified or revoked in whole
or part.
Rule 2 Definitions for these rules:
(a) Adjudicatory proceeding means a judicial-type proceeding leading to the formulation
of a final order;
(b) Judge means an administrative law judge appointed pursuant to the provisions of 5
U.S.C. 3105;
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(c) APA means those provisions of the Administrative Procedure Act, as codified, which are
contained in 5 U.S.C. 551 through 559;
(d) Commissioner means the Commissioner of the Social Security Administration and
includes any administrator, commissioner, appellate body, board, or other official there
under for purposes of appeal of recommended or final decisions of Judges;
(e) Hearing means that part of a proceeding presided over by a Judge which involves the
consideration of evidence, either by oral presentation or written submission. This includes
but is not limited to a prehearing conference, hearing, and supplemental hearing;
(f) Order means the whole or any part of a pre-hearing order or ruling, or any final
procedural or substantive disposition of a matter by the Judge;
(g) Party includes a person who requests a hearing available under section 404.930 and is
named or admitted as a party to a proceeding. In addition any other person may be made
a party to the hearing if his or her rights may be adversely affected by the decision, and the
Judge notifies the person to appear at the hearing or to present evidence supporting his or
her interest;
(h) Person includes any individual, partnership, corporation, association, exchange or
other entity or organization other than an agency;
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(i) Claimant means a party who is seeking relief under the Social Security Act;
(j) The term motion means a written or oral request, made by a person or party, for some
affirmative action;
(k) Commencement of proceedings is the filing of a request for hearing;
(l) "Ex parte communication" means an oral or written communication not on the public
record with respect to which reasonable prior notice to all parties is not given, but it shall
not include requests for procedural information, calendar information, or status reports on
any matter or proceeding;
(m) ODAR means the Office of Disability and Review, the current agency title for the
offices where Judges conduct due process adjudication for the Social Security
Administration.
Rule 3 Service and Filing of Documents
(a) Generally. Except as otherwise provided in this part, copies of all documents shall be
served on all parties of record. All documents should clearly designate the docket number,
the name of the party, and in the case of a claimant the last four digits of the claimant’s
social security number. All documents to be filed shall be delivered or mailed to the office
of the Judge to whom the proceeding has been assigned for hearing. Each document filed
shall be clear and legible.
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(b) How made; by parties. All documents shall be filed with the office of the Judge to
whom the proceeding has been assigned for hearing with a copy, including any
attachments, filed with the other parties of record. When an attorney or other
representative represents a party, service shall be made upon the attorney or other
representative, unless the Judge orders service upon the party or by email or fax (see
paragraph f below). Regular Service of any document upon any party may be made by
personal delivery or by mailing a copy to the party’s last known address. The person
serving the document shall file written certification as to the manner and date of service.
Parties may accept service in an alternate fashion by mutual agreement, upon written and
signed confirmation of the agreement.
(c) How made; by ODAR: Service of notices, orders, decisions and all other documents
shall be made by regular mail to the party’s last known address, unless a party requests
ODAR to serve by email or fax service in lieu of regular mail.
(d) Time for Filing Documents. Documents, including proposed evidence, shall be filed in
the office of the Judge to whom the proceeding has been assigned for hearing no later than
ten (10) days prior to the date of the scheduled hearing, The failure to comply with this
requirement may result in a postponement of a hearing.
(e) Illegible documents. Illegible documents, whether handwritten, typewritten,
photocopied, or otherwise will not be accepted. Documents may be reproduced by any
duplicating process, provided all copies are clear and legible.
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(f) Filing by email or facsimile (fax).
(1) Filings by any party may be made by email or by facsimile (fax).
(2) Cover sheet. Filings by email or fax shall include a cover sheet that identifies the sender,
the total number of pages transmitted, the name of the party, and in the case of a
claimant;the last four digits of the claimant’s social security number or the docket number
of the case.
(3) Originals. Documents filed by email or fax shall be presumed to be accurate
reproductions of the original document until proven otherwise. The party proffering the
document shall retain the original in the event of a dispute over authenticity or the
accuracy of the transmission. The original document need not be submitted unless so
ordered by the assigned Judge.
(4) Length of document. Documents filed by email or by fax should not exceed 20 pages
including the cover sheet, the service sheet and all accompanying exhibits or appendices,
except that this page limitation may be exceeded if prior permission is granted by the
Judge or if the document's length cannot be conformed because of statutory or regulatory
requirements.
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(5) Hours for filing by email or by fax. Filings by email or by fax) should normally be
made on business days between 8:00 am and 5:00 pm, local time at the receiving location.
If an email or faxis received on a non-business day or after 5:00 pm, it shall be deemed to
have been received the on the next business day.
(g) Filing by courier service. Documents transmitted by courier service shall be deemed
transmitted by regular mail in proceedings before ODAR.
Rule 4 Time computations.
(a) Generally. In computing any period of time under these rules or in an order issued
hereunder the time begins with the day following the act, event, or default, and includes
the last day of the period, unless it is a Saturday, Sunday or legal holiday observed by the
Federal Government in which case the time period includes the next business day.
(b) Date of entry of orders. In computing any period of time involving the date of the entry
of an order, the date of entry shall be the date the order is received by ODAR.
(c) Computation of time for filing with the Judge. (1) Documents are not deemed filed until
received by the Judge to whom the proceeding has been assigned for hearing. (2) Service of
all documents on the Judge is deemed effected on the date it is received in the Judge’s local
ODAR office. (3) Whenever a party has the right or is required to respond and take some
action within a prescribed period after the service of a pleading, notice, or other document
uponsaid party, , and the responsive pleading, notice or document of the party is served
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upon ODAR by regular mail,service shall by deemed effective on the date it is received by
ODAR.
(d) Filing by email or by fax. Filing by email or by fax is effective upon receipt of the
entire document by the receiving email recipient or by the receiving fax machine. For
purposes of filings by email or fax, the time printed on the transmission by the receiving
email or fax equipment constitutes the date, except as prescribed by rule 3 (f) (5).
Rule 5 Parties, how designated
(a) The term party whenever used in these rules shall include any person who requests a
hearing available and is named or admitted as a party to a proceeding
(b) Other persons may be made a party to the hearing if his/her rights may be adversely
affected by the decision, and the Judge notifies the person to appear at the hearing or to
present evidence supporting his/her interest.
Rule 6 Motions and requests.
(a) Generally. Any application for an order or any other request shall be made by motion
which, unless orally made during a hearing, shall be made in writing prior to the hearing. ,
All motions shall state with particularity the relief requested, and the law and fact that
support such relief. Motions or requests made during the course of any hearing or
appearance before a Judge shall be stated orally in similar fashion, and be made part of
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the record. Whether made orally or in writing, all parties shall be given a brief
opportunity to state an objection to the motion or request, although the Judge has the
right to limit the time of any motion or objection in the efficient administration of justice.
(b) Oral Arguments or Briefs. No oral argument shall be heard on motions unless the
Judge requests it. Short written memoranda or briefs may be filed with motions, stating
the points and authorities relied upon in support of the position taken.
(c) Evidence Supporting Motions and Requests: Parties may attach short copies or
selected portions of applicable evidence to Motions or Requests, but only after the attached
referenced evidence has been separately submitted and filed as a proposed exhibit(s) in the
evidentiary file. The party must identify the attached material by its evidentiary number
and page. Under no circumstances shall a party attach materials to a motion or a request
as evidentiary support, without having first separately submitted the document or
materials as an exhibit.
(d) Sanctions for Failure to Comply. If a party fails to comply with any order issued by the
a Judge, the Judge may take such action as is just, including but not limited to the
following: (i) an order that the testimony or document that is the subject matter of the
failure to comply is adverse to the interest of the non-compliant party; (ii)an order refusing
to allow the non-compliant party to support or oppose designated claims or defenses; (iii)
an order prohibiting the non-compliant party from introducing certain matters into
evidence; (iv) an order striking a portion of the non-compliant party’s claim; (v) and order
continuing the proceedings until the non-compliant party complies with the original order;
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(vi) an order finding the non-compliant party has waived all or part of the asserted claim
for relief; (vii) an order dismissing the claim in its entirety; (viii) referring the matter to
the federal district court for contempt; (ix) exclusion from the pre-hearing conference or
hearing; (x) or any other relief that is reasonable and just under the circumstances, which
may also include certifing the facts to the Federal District Court having jurisdiction in the
place in which he or she is sitting to request appropriate contempt remedies.
Rule 7 Consolidation of hearings
When two or more hearings are to be held, and the same or substantially similar evidence
is relevant and material to the matters at issue at each such hearing, the assigned Judge
may, upon motion by any party or on the Judge’s own motion, order that a consolidated
hearing be conducted. Where consolidated hearings are held, a single record of the
proceedings may be made and the evidence introduced in one matter may be considered as
introduced in the others, and a separate or joint decision shall be made, at the discretion of
the Judge as appropriate
Rule 8 Amicus curiae
A brief of an amicus curiae may be filed only with the written consent of all parties, or by
leave of the Judge granted upon motion, or on the request of the Judge, except that consent
or leave shall not be required when the brief is presented by an officer of an agency of the
United States, or by a state, territory or commonwealth. The amicus curiae shall not
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participate in any way in the conduct of the hearing, including the presentation of evidence
and the examination of witnesses.
Rule 9 Ex parte communications
(a) Communications by ODAR or the assigned Judge with any party for the sole purpose
of scheduling hearings, or requesting extensions of time, or requesting/providing
procedural information are not considered improper ex parte communications.All other ex
parte communications are prohibited..
(b) Sanctions against a Party. A party or participant who engages in prohibited ex parte
communication, or who encourages or solicits another to make any such communication to
the Judge or any employee of ODAR for the purpose of influencing the Judge, may be
subject to any appropriate sanction or sanctions identified in Rule 6 herein
Rule 10 Assignment and Jurisdiction of Judge
Hearings shall be held before a Judge appointed under 5 U.S.C. 3105 and assigned to the
ODAR division of the Social Security Administration. Judges are assigned cases by the
local office in a strict rotational basis. Absent exigent circumstances (e.g., death, incapacity,
retirement, etc), once a Judge is assigned to a case, that assigned Judge retains jurisdiction
over all matters in the case until the case is fully resolved.
Rule 11 Time and Place for Hearing
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(a) The Judge sets the time and place for the hearing. The Judge may change the time and
place, if the Judge deems it necessary. After sending the parties reasonable notice of the
proposed action, the Judge may adjourn, postpone, or reopen the hearing to receive
additional evidence at any time before the Judge notifies the parties of the Judge’s final
decision.
(b) If a party objects to the time or place set by the Judge for the hearing, the party must
notify the Judge at the earliest possible opportunity prior to the time set for the hearing.
The party should state the reason for the objection in writing and also state the time and
place they prefer the hearing to be held. The Judge will change the time or place of the
hearing upon a finding of good cause.
(c) (1) Good Cause for Hearing Continuance. 20 CFR 404.936
The Judge will determine whether good cause exists for changing the time and place of the
scheduled hearing after considering all facts alleged and making a finding that good cause
exists, and that a continuance is fair and supports the efficient administration of justice.
(d) In determining whether good cause exists, the Judge will consider a party’s reason for
requesting the change, the facts supporting it, and the impact of the proposed change on
the efficient administration of the hearing process. Factors affecting the impact of the
change include, but are not limited to: the effect on the processing of other scheduled
hearings, delays which might occur in rescheduling the hearing, and whether any prior
continuances were granted to the party. Examples of other facts that might constitute
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good cause in changing the time or place of the hearing, include, but are not limited to, the
following:
(1) The party has attempted to obtain a representative but needs additional time;
(2)The party’s representative was appointed within 30 days of the scheduled hearing and
needs additional time to prepare for the hearing;
(3) The party’s representative has a prior commitment to be in court or at another
administrative hearing on the date scheduled for the hearing;
(4) A witness who will testify to facts material to the case would be unavailable to attend
the scheduled hearing and the evidence cannot be otherwise obtained;
(5) the party has provided proof that she/he has made all reasonable attempts to find
transportation to the hearing, but is still unable to attend because of lack of
transportation;
(6) A party lives closer to another hearing location and requests a transfer of the case to
that location ;
(7) The party is unrepresented, and has been unable to respond to the notice of hearing
because of a physical, mental, educational, or linguistic limitation (including any lack of
facility with the English language) which the party shows proof of having; or
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(8) The party or his/her representative are unable to attend or to travel to the scheduled
hearing because of a serious physical or mental condition, incapacitating injury, or death
in the family;
Rule 12 Notice of Hearing 20 CFR 404.938
(a)After the Judge sets the time and place of the hearing, notice of the hearing will be
mailed to the parties at their last known addresses, or given by personal service, unless a
party has indicated in writing that s/he does not wish to receive this notice.
(b) The notice of the hearing will be mailed or served at least sixty (60) days before the
hearing.
(c)The notice of hearing will contain a statement of the specific issues to be decided and tell
the parties that they may designate a person to represent them during the proceedings, and
that such designation should occur a minimum of thirty (30) days prior to the hearing.
The notice will also contain the following:
1an explanation of the procedures for requesting a change in the time or place of the
hearing,
2a reminder that if a party does not appear at their scheduled hearing without good cause
the Administrative Law Judge may dismiss their hearing request,
3and other information about the scheduling and conduct of the hearing.
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(d)If a party or their representative does not acknowledge receipt of the notice of hearing,
ODAR will attempt to contact the party for an explanation. If the party tells ODAR that
s/he did not receive the notice of hearing, an amended notice will be sent to the party by
certified mail.
Rule 13 No ODAR Legal assistance
Disability cases are civil actions, and the results of disability hearings do not involve the
loss of liberty. ODAR does not have authority to appoint counsel on behalf any party.
ODAR does not refer parties to individual attorneys or representatives.
Rule 14 Representation
(a) Appearances. Any party shall have the right to appear at a hearing in person, by
counsel, or by other authorized representative, to examine and cross-examine witnesses,
and to introduce into the record documentary or other relevant evidence, except that the
participation of any intervening party or representative shall be limited to the extent
prescribed by the Judge.
(a)Each attorney or other representative shall file a written notice of appearance and fee
agreement. Such notice shall indicate the name of the case or controversy, if representing a
claimant the last four digits of the claimant’s social security number, or docket number of
the case.
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(c) Rights of parties. Every party shall have the right of timely notice and all other rights
essential to a fair hearing, including, but not limited to, the rights to present evidence, to
conduct such cross- examination as may be necessary for a full and complete disclosure of
the facts, and to be heard by objection, motion, and argument consistent with these rules
(d) Rights of participants. Every participant shall have the right to make a written or oral
statement of position. At the discretion of the Judge, participants may file a proposed
decision, proposed findings of fact, conclusions of law and a post hearing brief.
(e) Rights of witnesses. Any person compelled to testify in a proceeding in response to a
subpoena may be accompanied, represented, and advised by counsel or other
representative.
Rule 15 Qualifications of Representatives CFR 404.1705, 1740 (b) (3) (i)
(a) Attorney. An attorney is any attorney in good standing who—
(1) Has the right to practice law before a court of a State, Territory, District, or island
possession of the United States, or before the Supreme Court or a lower Federal court of
the United States;
(2) Is not disqualified or suspended from acting as a representative in dealings with
ODAR; and
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(3) Is not prohibited by any law from acting as a representative.
(b) Person other than attorney. Any person, who is not an attorney, but who—
(1) Is generally known to have a good character and reputation;
(2) Has the knowledge, skill, thoroughness and preparation reasonably necessary for the
representation. This includes knowing the significant issue(s) in a claim and having a
working knowledge of the applicable provisions of the Social Security Act, as amended, the
regulations and the Rulings;
(3) Is not disqualified or suspended from acting as a representative in dealings with
ODAR; and
(4) Is not prohibited by any law from acting as a representative.
Rule 16 Authority for representation
Any individual acting in a representative capacity in any adjudicative proceeding may be
required by the Judge to show his or her authority to act as a representative..
Rule 17 Standards of Conduct and Responsibility for Representatives
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(a) The following provisions set forth certain affirmative duties and prohibited actions
which shall govern the relationship between the representative and the Agency, including
matters involving administrative procedures and fee collections.
(1)All attorneys or other persons acting on behalf of a party seeking a statutory right or
benefit shall faithfully execute their duties as agents and fiduciaries of a party. A
representative shall provide competent assistance to the claimant and recognize the
authority of the Judge to lawfully administer the process.
(2) All representatives shall be forthright in their dealings with the Judge and shall
comport themselves with due regard for the non-adversarial nature of the proceedings by
complying with ODAR’s rules and standards, which are intended to ensure an orderly,
impartial, and fair presentation of evidence and argument
(3) A representative shall act with reasonable promptness to obtain the information and
evidence that the claimant wants to submit in support of his or her claim, and forward the
same to the Judge for consideration as as soon as practicable, at least a minimum of ten
(10) days before the hearing. In disability and blindness claims, this includes the
obligations to assist the claimant in bringing to the Judge’s attention everything that shows
that the claimant is disabled or blind, and to assist the claimant in furnishing medical
evidence that the claimant intends to personally provide and other evidence that the Judge
can use to reach conclusions about the claimant's medical impairment(s) and, if material to
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the determination of whether the claimant is blind or disabled, its effect upon the
claimant's ability to work on a sustained basis;
(2) A representative shall assist the claimant in complying, as soon as practicable, with
Judicial requests for information or evidence at any stage of the administrative decision
making process in his or her claim. In disability and blindness claims, this includes the
obligation to the claimant in promptly providing, at least ten (10) days prior to the
hearing, the following evidence:
(i) The claimant's age and alleged date of disability (including any motion to amend the
alleged date);
(ii) The claimant's education and training;
(iii) The claimant's work experience and efforts to work;
(iv) The claimant's daily activities both before and after the date the claimant alleges that
he or she became disabled;
(v) All the claimant's alleged disabiling conditions, and the specific analysis of exhibits filed
in the evidentiary file that support each allegation; ;
(vi) The claimant’s financial resources, including but not limited to, all personal and real
property, income, as well as living costs, and debts;
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(vii) The criminal and civil litigation history of the claimant during the period of disability;
(viii) The worker’s compensation claim and unemployment benefits history of the claimant
during the period of disability;
(ix)Any prior Social Security decisions involving the claimant that may act as precedent or
guidance in the pending disability claim;
(x) Any drug or alcohol related treatment that the claimant has participated in during the
period of disability; and
(xi)Any other factors showing how the claimant's impairment(s) affects his or her ability to
work; and
(3) A representative will behave in a manner that furthers the efficient, fair and orderly
conduct of the adjudication process, including duties to:
(i) Provide competent representation to a claimant. Competent representation requires the
knowledge, skill, thoroughness and preparation reasonably necessary for the
representation. This includes having a working knowledge of the applicable provisions of
the Social Security Act, as amended, the regulations and the Rulings and being prepared to
discuss the significant issue(s) in the case; and
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(ii) Act with reasonable diligence and promptness in representing a claimant. This includes
providing prompt and responsive answers to Judicial or Agency requests information
pertinent to processing of the claim.
(iii) By appearing at a hearing an attorney or representative certifies that all records
known to him or her concerning the claimant’s physical or mental condition have been
disclosed.
(iv) Absent good cause shown, an attorney or representative seeking to withdraw as a
party’s representative shall submit a written request to withdraw from said matter at least
seven (7) days prior to the date of the hearing.
(c) Prohibited actions. A representative shall not:
(1) In any manner or by any means threaten, coerce, intimidate, deceive or knowingly
mislead a claimant, or prospective claimant or beneficiary, regarding benefits or other
rights under the Act;
(2) Knowingly charge, collect or retain, or make any arrangement to charge, collect or
retain, from any source, directly or indirectly, any fee for representational services in
violation of applicable law or regulation;
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(3) Knowingly make or present, or participate in the making or presentation of, false or
misleading oral or written statements, assertions or representations about a material fact
or law concerning a matter within our jurisdiction;
(4) Through his or her own actions or omissions, unreasonably delay or cause to be
delayed, without good cause, the processing of a claim at any stage of the administrative
decision making process;
(5) Divulge, without the claimant's consent, except as may be authorized by regulations
prescribed by the Agency or as otherwise provided by Federal law, any information
furnished or disclosed by the Agency about a claim or prospective claim;
(6) Attempt to influence, directly or indirectly, the outcome of a decision, determination or
other administrative action by offering or granting a loan, gift, entertainment or anything
of value to a Judge, Agency employee or a witness who is or may reasonably be expected to
be involved in the adjudication, excepting thereimbursement for legitimately incurred
expenses or lawful compensation for the services of an expert witness retained on a non-
contingency basis to provide evidence; or
(7) Engage in actions or behavior prejudicial to the fair and orderly conduct of
administrative proceedings, including but not limited to:
(i) Repeated absences from or persistent tardiness at scheduled hearings without good
cause;
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(ii) Willful behavior which has the effect of improperly disrupting proceedings or
obstructing the adjudicative process; and
(iii) Threatening or intimidating language, gestures or actions directed at a Judge, Agency
employee, or witness..
Rule 18 Subpoenas
(a) A licensed attorney may issue a subpoena without requesting authorization from a
Judge. When it is reasonably necessary for the full presentation of a case, a Judge may, on
his or her own initiative or at the request of any party, issue subpoenas for the appearance
and testimony of witnesses and for the production of books, records, correspondence,
papers, or other documents that are material to an issue at the hearing.
(b) Parties to a hearing who wish Judicial assistance to subpoena documents or witnesses
must file a written request for the issuance of a subpoena with the Judge at least five
thirty(30) days before the hearing date. The written request must give the names of the
witnesses or documents to be produced; describe the address or location of the witnesses or
documents with sufficient detail to find them; state the important facts that the witness or
document is expected to prove; and indicate why these facts could not be proven without
issuing a subpoena.
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(c) A subpoena shall be served by certified mail or by any person who is not a party and
not less than 18 years of age, unless the witness to be served agrees in writing to alternate
service Subpoenaed witnesses will be paid the same fees and mileage they would receive if
a Federal district court had subpoenaed them.
(d) Motion to Quash or Limit Subpoena. Within five(5) days of receipt of a subpoena but
no later than fifteen (15) days prior to the date of the hearing, the person against whom it
is directed may file a motion to quash or limit the subpoena, setting forth the reasons why
the subpoena should be withdrawn or why it should be limited in scope. Any such motion
shall be answered within five (5) days of service, and shall be ruled on immediately
thereafter. The order shall specify the date, if any, for compliance with the specifications of
the subpoena.
(e) Failure to Comply. Upon failure of any person to comply with an order to testify or a
subpoena, the Administrative Law Judge may, where authorized by statute or by law,
apply to the appropriate district court for enforcement of the order or subpoena, in
addition to such other sanctions described in rule 6(d) of these Rules.
Rule 19 Waiver of Right to Appear
If all parties waive the right to appear before the Judge or to personally present evidence
or argument or by representative, it shall not be necessary for the Judge to give notice of
and conduct an oral hearing. A waiver of the right to appear and present evidence and
allegations as to facts and law shall be made in writing and filed with the Judge. Where
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such a waiver has been filed by all parties and they do not appear before the Judge
personally or by representative, the Judge shall make a record of the relevant written
evidence submitted by the parties, together with any pleadings they may submit with
respect to the issues in the case. Such documents shall be considered as all of the evidence
in the case, and the decision shall be based on them.
Rule 20 Dismissals and Good Cause
(a) A Judge may dismiss a request for hearing by motion of the party or parties who filed it
or by a finding of abandonment. A party shall be deemed to have abandoned a request for
hearing, or deemed to have requested a dismissal, as the case may be, if:
(1) The party fails to appear at the time of the scheduled hearing, without good cause, even
if the party’s representative appears;
(2) At any time before notice of the hearing decision is mailed, the party or parties that
have requested the hearing ask to withdraw that request. This request may be submitted
in writing to the Judge or made orally at the hearing
(3) In order to dismiss the request for hearing for failure of the party to appear, proof of
mailing of the notice of hearing by ODAR, to the last known address, must be in the case
record. Also, the notice of hearing must state that the request for hearing may be
dismissed without further notice if the party did not appear at the time and place of
hearing and good cause has not been found by the Judge for the failure to appear. If there
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is no prima facie proof that the notice of hearing was received by the party, and in lieu of
an "Order to Show Cause" the Administrative Law Judge may document any one of the
following actions:
(i) An attempt to contact the party by telephone, at his/her last known phone number;,
(ii) An attempt to ascertain the party's last known address and compare it to the notice of
hearing and, if it is not the same as on the notice of hearing a new hearing must be
scheduled, and.
(iii) An attempt to contact the District Office in order to determine if the party’s address is
correct and, if it is not correct, a new hearing must be scheduled.
(iv) If, after doing one of the above, the party’s whereabouts are still not known, and there
is no other information upon which to base a conclusion of good cause, then, in such case,
the request for hearing may be dismissed without the necessity of sending an Order to
Show Cause.
(4) Other Bases for Dismissal:
(b The Administrative Law Judge also may decide that there is a basis to dismiss a hearing
request or may refuse to consider any one or more of the issues for hearing any of the
following reasons:
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(1) The doctrine of res judicata applies in that there exists a previous determination or
decision under this subpart of the Regulations about a party’s rights on the same facts and
on the same issue or issues, and this previous determination or decision has become final
by either administrative or judicial action;
(2) The person requesting a hearing has no right to it under applicable authority;
(3) The party did not request a hearing within the stated time period and the Social
Security Administration has not extended the time for requesting a hearing; or
(4) A party dies, there are no other parties, and we have no information to show that
another person may be adversely affected by the determination that was to be reviewed at
the hearing. However, dismissal of the hearing request will be vacated if, within 60 days
after the date of the dismissal, another person submits a written request for a hearing on
the claim and shows that he or she may be adversely affected by the determination that
was to be reviewed at the hearing.
(4) Good cause to continue a hearing or any part of the hearing may be established as
follows:
(i)by sending the party and the representative (if any), an Order to Show Cause requiring
the party, within ten (10) calendar days of the service of said Order, to state written
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reasons establishing good cause for his/her failure to appear, and the Judge finds, based
upon such response, that good cause exists; or
(ii) by the Judge determining, based on information obtained by any other means, that
good cause existed for the failure to appear. In determining good cause, a Judge will
consider any physical, mental, educational, or linguistic limitations, including any lack of
facility with the English language, that a party may have.
(b
Rule 21 Continuances
(a) When granted. Continuances will be granted upon a showing of good cause.
(b) Time limit for requesting. Except for good cause shown, a party’s request for a
continuance must be filed a minimum of seven (7) working days prior to the date set for
hearing.
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(c) How filed. Motions for continuances shall be in writing. In addition to the written
request, the Motion shall be telephonically conveyed to the Judge or a member of his or
her staff and to all other parties.
(d) Ruling. Time permitting, the Judge shall issue a written order in advance of the
scheduled proceeding date, which either allows or denies the request. Otherwise the ruling
may be made orally by telephonic communication to the party requesting it, who shall then
be responsible for communicating the ruling to all other parties.
Rule 22 Prehearing conferences
(a) Purpose and Scope.
(1) Upon motion of a party or upon the Judge’s own motion, the Judge may direct the
parties or counsel to participate in a pre- hearing conference at any reasonable time, prior
to or during the course of the adjudication, when the Judge finds that the adjudication
would be expedited or issues clarified by such a prehearing conference. Such conferences
may be conducted by telephonic or video communication unless, in the opinion of the
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Judge, such method would be impractical, or it would be more expeditious or effective to
require a personal appearance. Reasonable notice of the time, place and manner of the
preconference shall be given.
(2) At the preconference, the following matters shall be considered: (i) The simplification
or amendment of the issues; (ii) The possibility of obtaining stipulations of facts and of the
authenticity and accuracy of documents which will avoid unnecessary proof; (iii) The
limitation of the number of expert or other witnesses; (iv) The exchange of copies of
proposed exhibits; (v) The identification of documents or matters of which official notice
may be requested; (vi) A schedule to be followed by the party or parties for completion of
the actions decided at the conference; and (vii) Such other matters as may expedite and aid
in the disposition of the proceeding.
(b) Reporting. If directed by the Judge a record of the prehearing conference shall be
made. At any time the Judge assigns an attorney designee to hold the prehearing
conference, the conference shall be recorded.
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(c) Order. Any action(s) taken as a result of the preconference shall be reduced to a written
order, unless the Judge elects to record the prehearing conference and summarize the
actions taken and any orders issued on the record at the hearing..
(d) If, after written notice given to a party at the last address of record, the party fails,
without good cause, to appear at a scheduled prehearing conference, the Judge may
dismiss the request for hearing
Rule 23 Prehearing Statement
(a) At any time prior to the commencement of the pre hearing conference and/or the
evidentiary hearing, the Judge may order any party to file a prehearing statement, which
outlines the party’s factual and legal positions..
(b) A prehearing statement shall state the name of the party on whose behalf it is presented
and shall briefly set forth the following matters, unless otherwise ordered by the Judge: (1)
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Issues involved in the proceeding; (2) Facts stipulated; (3) Facts in dispute; (4) Witnesses;
(5) A brief statement of the theory upon which the relief sought can be granted, including
the evidentiary and legal basis for such assertion; (6) The conclusion to be drawn; (7)
Estimated time required for presentation of the claimant’s or party’s case; and (8) Any
appropriate comments, suggestions, or information which might assist the Judge in
preparing for the hearing or otherwise aid in the disposition of the issue(s) on appeal.
Rule 24 Authority of Assigned Judge
(a) Jurisdiction. The Judge shall have jurisdiction to decide all issues of fact and related
issues of law.
(b) General powers. In any proceeding under this part, the assigned Judge shall have all
powers necessary to the conduct of fair and impartial hearings, including, but not limited
to, the following: (1) Develop evidence and conduct formal due process hearings in
accordance with the APA; (2) Administer oaths and examine witnesses; (3) Compel the
production of documents and appearance of witnesses in control of the parties; (4) Compel
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the appearance of witnesses by the issuance of subpoenas as authorized by statute or law;
(5) Issue decisions and orders; (6) Take any action authorized by the Administrative
Procedure Act; (7) Exercise, for the purpose of the due process hearing and in regulating
the conduct of the proceeding, such powers vested in the Commissioner of the Social
Security Administration as are necessary and appropriate; (8) Where applicable, take any
appropriate action consistent with these rules and the Rules of Civil Procedure for the
United States District Courts,; and (9) Do all other things necessary to enable the Judge to
discharge the duties of the office.
(c) Enforcement. If any person in proceedings before Judge disobeys or resists any lawful
order or process, or misbehaves during a hearing or so near the place thereof as to obstruct
the same, or neglects to produce, after having been ordered to do so, any pertinent book,
paper or document, or refuses to appear after having been subpoenaed, or upon appearing
refuses to take the oath as a witness, or after having taken the oath refuses to be examined
according to law, the assigned Judge may sanction the party pursuant to these rules, and
also certify the facts to the Federal District Court having jurisdiction in the place in which
he or she is sitting to request appropriate contempt remedies.
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Rule 25 Unavailability of Assigned Judge
In the event the assigned Judge becomes unavailable due to death, retirement, resignation,
transfer, or prolonged leave of thirty (30) working days or more, the Chief Administrative
Law Judge may designate another Judge for the purpose of further hearing or other
appropriate action. Such re-assignment shall be filed in writing, sent to all parties, and
specify the reason for the reassignment.
Rule 26 Recusal or Disqualification of Assigned Judge
(a) Judicial Recusal: A Judge may recuse him or herself from presiding in a particular
proceeding, if the assigned Judge has a reasonable belief that s/he cannot act as a fair and
impartial jurist on the case. The Judge shall withdraw by filing a written notice directed
to the Hearing Office Chief Administrative Law Judge, with a copy provided to all parties.
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(b) A party may allege that a Judge should be disqualified to preside, or to continue to
preside, in a particular proceeding, by filing with the assigned Judge a written otion for
disqualification. . The motion shall be supported by a signed affidavit setting forth the
specific grounds for disqualification. A Judge’s history of denying or granting cases may
not serve as a disqualification ground. The assigned Judge shall rule upon the motion. If
the Motion is denied, the party shall proceed before the assigned Judge, reserving the
party’s right to address any appeal of the ruling to the Appeals Council after the Judge
issues a final ruling.
(c) In the event of disqualification or recusal of a Judge as provided in paragraph (a) or
(b) of this section, the Hearing Office Chief Administrative Law Judge shall assign the
matter to another Judge for further proceedings.
Rule 27 Conduct of Hearings
Unless otherwise required by statute or regulations, hearings shall be conducted in
conformance with the Administrative Procedure Act, 5 U.S.C. 554.
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Rule 28 Conduct of Participants at any Hearing
Participants appearing before the assigned Judge at the prehearing conferences, hearings,
or supplemental hearings shall conduct themselves in an orderly manner conducive to the
formality of the due process hearing. The consumption of food or beverage, the
carrying/brandishing of any weapons, rearranging of courtroom furniture, the use of foul
language, and/or other types of informal or improper behaviors, unless specifically
authorized by the Judge, are prohibited.
Rule 29 Judicial or Officialnotice
The assigned Judge may take Judicial or Official notice of any material fact, not appearing
in evidence in the record, which is among the traditional matters of judicial notice:
Provided, however, that at the hearing the parties shall be given adequate notice, of such
notice, and shall be given adequate opportunity to show the contrary. If the reference is
contained in the Judge's decision, the parties may file an appeal to the Appeals Council. ,.
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Rule 30 Limitation of evidence
Upon motion of any party, or upon the Judge’s own motion, the Judge may limit the
introduction of evidence or issue such protective or other orders as in his or her judgment
may be consistent with the objective of protecting privileged communications, or to
prevent undue and unreasonable annoyance, embarrassment, oppression, or which
furthers the efficient administration of justice.
Rule 31 Exhibits
(a) Identification. All exhibits offered in evidence shall be identified by name and date
authored, and consecutively numbered by page. .
(b) Each exhibit shall contain only one source or medical provider. The pages of each
exhibit shall be consecutively numbered. If the exhibit is duplicated, it shall be properly
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authenticated and legible. If the original exhibit is in handwriting, it shall include a
typewritten copy so that it is easily legible. If it is a medical exhibit, it shall be clear from
the exhibit which medical provider prepared it, and it shall be clearly identified as
pertaining to a treating physician, if that is the case.
(c) Substitution of copies for original exhibits. The Judge may permit a party to withdraw
original documents offered in evidence and substitute true copies in lieu thereof.
Rule 32 Records from other proceedings
If any portion of a record from any other proceeding such as a civil or criminal action is
offered in evidence, an authenticated copy of such portion shall be presented for the record
in the form of an exhibit unless the Judge directs otherwise.
Rule 33 Designation of part of a document
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Where relevant and material matter offered in evidence is contained in a document which
also contains matter not material or relevant and not intended to be put in evidence, the
participant offering the document shall plainly designate the matter so offered, segregating
and excluding insofar as practicable the immaterial or irrelevant parts. If other matter in
such document is in such bulk or extent as would necessarily encumber the record, such
document will not be received in evidence, but may be marked for identification, and if
properly authenticated, the relevant and material parts thereof may be read into the
record, or if the Judge so directs, a true copy of such matter in proper form shall be
received in evidence as an exhibit. Copies shall be delivered by the participant offering the
same to the other parties or their representatives appearing at the hearing, who shall be
afforded an opportunity to examine the entire document and to offer in evidence in like
manner other material and relevant portions thereof.
Rule 34 Stipulations and Representations
The parties, or their representatives on their behalf, may by stipulation, or representation,
in writing at any stage of the proceeding, or orally made at hearing, agree upon any
pertinent facts in the proceeding. It is desirable that the facts be thus agreed upon so far as
and whenever practicable. Stipulations, or representations may be received in evidence at a
hearing or prior thereto, and when received in evidence, shall be binding on the parties
thereto. Motions to amend onset dates, closed periods or other changes to the allegations
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contained in the original application(s) and any other representation made by the claimant
or the designated representative on behalf of the claimant, shall be binding on the
claimant.
Rule 35 Public Access to Hearings,
It is in the best interest of a democracy to conduct all adjudication with transparency.
Unless otherwise directed by the assigned Judge, all hearings shall be open to the public.
However, in unusual circumstances, the Judge may order a hearing or any part thereof
closed, where to do so would be in the best interests of the parties, a witness, or other
affected persons. Any order closing the hearing shall be set forth in writing the reasons for
the decision and filed. Any objections thereto shall be made a part of the record.
Rule 36 Expedition
Hearings shall proceed with all reasonable speed, insofar as practicable and with proper
regard to the to the requirements of due process and the efficient administration of justice.
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Rule 37 Closing Arguments and Briefs
At his/her discretion, the Judge may hear closing arguments of counsel and may allow a
brief to be filed on behalf of a party. The Judge may limit the time of such arguments or
briefs at his or her discretion.,.
Rule 38 Record of Proceeding
Unless otherwise noted in these rules, all preconferences and hearings shall be
electronically, mechanically or stenographically reported. All evidence upon which the
Judge relies for decision shall be contained in the evidentiary record, either directly or by
appropriate reference. All exhibits introduced as evidence shall be marked for
identification and incorporated into the record. The official record of the proceeding shall
contain a verbatim recording of all testimony offered at the hearing.
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Rule 39 Supplemental evidence
(a) The record shall be closed at the conclusion of an evidentiary hearing, such unless the
Judge specifically directs otherwise, by Judicial motion or upon a party’s motion. Before
the conclusion of the hearing a party may petition the Judge for permission to submit
evidence after the closing of the record, with a specific explanation for why such evidence is
necessary and why it had not been previously filed At the Judge’s discretion, evidence may
be allowed and admitted into the record only upon a showing that such evidence is new
and material and could not have been reasonably submitted at or before the conclusion of
the hearing.
(b) If there is only one party, and the party waives a hearing, the record shall be closed on
the date the party filed a waiver of the hearing, and the Judge shall issue a decision based
on the evidence contained in the record at that time.
Rule 40 Reopening the Adjudication
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After a Judge has issued a decision, a party may submit additional evidence only by filing
a petition to reopen a decision pursuant to the CFR, Title 20 sections 404.987 and 416.1587
et. seq.
Rule 41 Restricted Record Access
On a Judge’s own motion, or on the motion of any party, the Judge may direct that there
be restricted public access to a portion of the record by law or by the terms of a protective
order entered in the proceedings. This portion of the record shall be placed in a separate
file and clearly marked to avoid improper disclosure and to identify it as a portion of the
official record in the proceedings.
Rule 42 Decision of the Judge
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The decision of the Judge shall be based upon the whole record of the proceeding.
Whenever practicable, the decision shall refer to evidence in the record as support for the
decision. It is not necessary, however, for the Judge to refer to all evidence in the record in
rendering a legally sufficient decision.
Rule 43 Appeals
The procedures for appeals shall be as provided by the statute or regulation under which
hearing jurisdiction is conferred. If no appeal is sought from a decision, the decision of the
Judge shall become the final administrative decision of the Commissioner.
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·Article 35
Personally Identifiable Information
Section 1. General
A. As used in this Article, failure to safeguard Personally Identifiable Information (PII)
refers to all conduct in connection with PII, including but not limited to knowledge of the
Agency’s rules, policies and procedures; failure to safeguard PII in any way; using certain
systems and applications; logging off workstations; saving, storing or hosting PII on K
drives, CDs or personal computers; failure to report lost or stolen PII; encrypting PII and
the failure to encrypt; disclosure of PII; and loss of PII.
B. The provisions of this article are applicable to all places where PII is located, including
but not limited to the Judge’s alternative duty station, to any type of vehicle used by a
Judge, and to all hearing offices, hearing rooms, prisons, remote sites, hotels,
representatives’ offices, SSA offices or any other place where a Judge holds a hearing or
performs SSA business.
C. Judges shall make a reasonable effort to safeguard PII. Whether or not a Judge’s
conduct is considered reasonable depends upon the totality of the circumstances.
D. No Judge shall be disciplined, counseled or otherwise treated adversely for failure to
safeguard PII if the Judge has made a reasonable effort to protect the at-issue information.
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E. No Judge shall be disciplined, counseled or otherwise treated adversely for providing
PII to an SSA employee or contract individual within a hearing office or SSA facility.
F. No Judge shall be disciplined, counseled or otherwise treated adversely for failure to
safeguard PII where the Agency has not provided a sufficiently large locked container for
the Judge’s use.
G. No Judge shall be disciplined, counseled or otherwise treated adversely for failure to
safeguard PII where the Judge cannot or will not physically transport the PII.
H. Judges are not required to keep the locked container with them when they are not on
duty, such as evenings, or when they are out of the hearing room such as when they are on
lunch breaks, restroom breaks, etc.
I. No Judge shall be disciplined, counseled or otherwise treated adversely for failure to
safeguard PII if the PII is disclosed because of inadequate sound transmission protection.
J. No Judge shall be disciplined, counseled or otherwise treated adversely for failure to
safeguard PII if the PII is placed in a secure location including but not limited to a locked
vehicle, a locked vehicle trunk, a locked briefcase, a locked file cabinet, a locked room, or a
locked house.
K. No Judge shall be disciplined, counseled or otherwise treated adversely for checking
baggage which contains PII while traveling.
L. No Judge shall be disciplined, counseled or otherwise treated adversely because another
individual has disclosed PII in any manner, including but not limited to leaving PII in a
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hearing room, conference room, waiting room, or anyplace else, or leaving PII on a video
screen.
M. No Judge shall be disciplined, counseled or otherwise treated adversely because of an
unintentional disclosure of PII.
N. No Judge is required to monitor in any way, including by reminders, the use of PII by
any other individual, including but not limited to SSA employees, claimants,
representatives, contract hearing reporters, guards, and expert witnesses.
O. The Agency shall provide sufficient secure computer storage for Judges to permanently
store their decisions and notes.
P. The Agency shall provide adequate file cabinets for Judges who wish to maintain closed
ALJ files; the Judge shall designate the location of the file cabinet.
Q. No Judge shall be required to burn or encrypt a CD, computer, flash drive, or other
device. No Judge shall be disciplined, counseled, or otherwise treated adversely because
another individual has failed to burn or encrypt any CD, computer, flash drive, or other
device which the Judge uses to transport or view data.
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R. PII which is located within the hearing office space or on the LAN system, including the
K drive, is considered as secured.
·Section 2 – Episodes of Failure to Safeguard PII
A. When a Judge is found, after an investigation conducted pursuant to the provisions of
the CBA, and in conformity with the provisions of this Article and the CBA, to have
wrongfully failed to safeguard PII information, the following action shall be taken:
(i) For the first five episodes of such failure, peer assistance will be provided.
(ii) For the next five episodes of such failure, a counseling memorandum shall
be issued outlining the specific actions which have led to the failures to safeguard PII
information.
(iii) For episodes eleven through twenty, a reprimand shall be issued.
(iv) For episodes twenty-one through thirty, a suspension of one day shall be
issued.
(v) For episodes thirty-one through forty, a suspension of five days shall be
issued.
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(vi) For each episode thereafter, a suspension of ten days shall be issued.
B. An episode is considered to be all actions that lead to a failure to safeguard PII
information. Individual pieces of PII when lost or disclosed at the same time are not
counted as separate episodes.
·Section 3 – Permitted Disclosures
Disclosure of PII under the following circumstances is permitted and will not result in any
counseling, discipline or other adverse action:
(i) PII can be disclosed to a Judge’s legal representative in connection with
any employment matter.
(ii) PII can be disclosed to any representative of any governmental agency or
board in connection with any proceeding brought by or against a Judge.
(iii) PII can be disclosed to any Agency employee and any contract employee.
(iv) PII can be disclosed to any individual in the hearing room.
Section 4 – Travel
A. No Judge shall be required to travel with PII.
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B. No Judge shall be required to move, lift, carry, pack, ship, mail or transport files, CDs,
laptops, DRAP units or any other equipment in the performance of the Judge’s duties.
C. No Judge shall be required to burn, load or encrypt data to a CD, laptop, flash drive or
other device.
D. When at any remote site, files, CDs, laptops, DRAP equipment, and anything else
necessary for the hearing, may be stored in the locked hearing room. No Judge shall be
required to move equipment, files, CDs, boxes, briefcases, crates or anything else in the
performance of the Judge’s duties.
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Article 36
Code of Judicial Conduct
Section 1. An independent, fair and impartial federal administrative judiciary is in the
public interest and is indispensable to effectuating the intent of Congress in enacting the
Social Security Act of 1935, as amended, and the Administrative Procedure Act of 1946, as
amended, the Civil Service Reform Act of 1978 and the Federal Service Labor-
Management Relations Act.
A. Judges covered by this Agreement are public sector employees appointed as
Administrative Law Judges under 5 U.S.C. 3105 and have conferred upon them a unique,
quasi-judicial role necessary for adjudicating and making decisions on the cases to which
they are assigned.
B. A Judge’s quasi-judicial powers, duties, rights and responsibilities arise from the
Administrative Procedure Act and Congress has directly vested Administrative Law Judges
with APA powers, duties, rights and responsibilities without the necessity of express agency
delegation. An agency is without the power to withhold such powers from its
Administrative Law Judges.
C. Decisional independence of an Administrative Law Judge encompasses all aspects of
adjudicating a case, including but not limited to prehearing review and development,
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scheduling, conduct of a hearing (including calling appropriate witnesses and establishing
the record), post hearing review and development, the deliberative process (making
findings of fact and conclusions of law), and drafting, editing and issuing of the decision.
D. It is in the public interest that public sector Administrative Law Judges may avail
themselves of the right to organize, bargain collectively and participate through labor
organizations that they select pursuant to the Federal Service Labor Management
Relations Statute (Title VII of the Civil Service Reform Act of 1978), 5 U.S.C. 7101(a)(1)
and (a)(1)(A).
E. The Judges covered by this Agreement, having elected to form and join a federal sector
union, are entitled to all of the statutory protections afforded federal employees under Title
VII as such protections contribute to the effective conduct of public business, 5 U.S.C.
7101(a)(1)(B), and foster settlements of disputes between management and employees
involving conditions of employment.
F. The Agency is without power to effectuate any changes in the conditions of employment
of the Judges covered by this Agreement under the guise of an exercise of Management’s
rights under 5 U.S.C. 7106 to the extent that such changes impinge upon, alter, diminish or
conflicts with the Judge’s unique, quasi-judicial role and aforementioned APA powers,
duties, rights and responsibilities.
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G. An Agency can take disciplinary action against an ALJ “only for good cause established
and determined by the Merit Systems Protection Board on the record after opportunity for
a hearing….” 5 U.SC. 7521. The “good cause” standard applicable to Administrative Law
Judges is not the same standard as “efficiency of the service” standard which is used in
connection with adverse actions taken by the Agency against other governmental
employees not appointed pursuant to 5 U.S.C. 3105.
H. Agency disciplinary action that is arbitrary, politically motivated, or based on reasons
that constitute an improper interference with the performance by an ALJ of his or her
judicial function cannot constitute “good cause.”
I. Members of the federal administrative judiciary are “judges” as that term is defined in
the 2007 American Bar Association Model Code of Judicial Conduct and are the functional
equivalents of Article III Judges under controlling precedent of the Supreme Court of the
United States.
J. The Judicial Code of Conduct, set out in Section 2 below, is intended to provide the
parties hereto a national, uniform and professionally-based set of articulated standards for
application to a wide range of labor management issues affecting Administrative Law
Judges in their unique capacity as quasi-independent adjudicators.
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K. The Judicial Code of Conduct establishes standards for the ethical conduct of judges.
The Code is intended to provide guidance and assist Judges in establishing and
maintaining the highest standards of judicial and professional conduct. The Code will
provide a basis for regulating the conduct of Judges through applicable disciplinary and
nondisciplinary processes.
L. Such standards are necessary for and beneficial to the goal of harmonizing the intent of
Congress in enacting the Social Security Act, the Administrative Procedure Act, The Civil
Service Reform Act of 1978 and the Federal Service Labor-Management Relations Statute
as such statutes bear on the status, function, performance and conduct of Administrative
Law Judges. Specifically, the standards are intended
(i) To effectuate the Congressional goal of safeguarding the public interest,
contributing to the effective conduct of business in the public sector, and
fostering settlements of disputes between the parties involving conditions of
employment;
(ii) To preserve and protect the adjudicatory independence of ALJs;
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(iii) To insure that the Agency maintains and upholds the right of claimant’s
to a full and fair Due Process hearing before ALJs as presiding officers in
such hearings;
(iv) To guide Administrative Law Judges and the Agency as to whether
performance or conduct of an ALJ may constitute “good cause” for the
Agency to seek to impose discipline before the Merit Systems Protection
Board; and
(v) To guide the Agency in its rule making and policy formulation activities
to avoid issuing rules, regulations or policies which unlawfully infringe upon
or interfere with an ALJ’s APA powers, duties, rights and responsibilities.
M. Such standards should be applied in a liberal manner consistent with rules of reason,
constitutional requirements, statutes, decisional law, the Canons and Rules of the 2007
ABA Model Code of Judicial Conduct, and all relevant circumstances.
Section 2.
A. A Judge shall uphold and promote the independence, integrity, and impartiality of the
Judiciary, and shall avoid impropriety and the appearance of impropriety.
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B. A Judge shall not engage in activity that is inconsistent with the independence, integrity
or impartiality of the Judiciary.
C. A Judge shall perform the duties of judicial office impartially, competently and
diligently.
D. A Judge shall conduct the Judge’s personal and extrajudicial activities to minimize the
risk of conflict with the obligations of judicial office.
E. A Judge shall not engage in the compensated practice of the law.
F. A Judge may engage in activities to improve the law, the legal system and the
administration of justice.
G. A Judge should refrain from political activity inappropriate to the Judiciary.
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Article 37
Technology and Electronic Tools Supporting Adjudication
Section 1. Preamble. Technology should be used wisely in order to provide exceptional
adjudicatory service to the American public, which includes U.S. Citizens, taxpayers, wage
earners, widows, widowers, children, and other individuals who rely on the SSA to provide
exemplary service in administering its programs. The parties recognize the following four
(4) primary goals of the Commissioner of Social Security (COSS) in adjudicating claims
under the Social Security Act:
· Service - To deliver high-quality, citizen centered service.
· Stewardship - To protect the integrity of Social Security programs through superior
stewardship.
· Solvency - To achieve sustainable solvency and ensure that Social Security programs meet
the needs of current and future generations.
·Staff -To strategically manage and align staff to support the mission of the agency.
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Many individuals are desperately awaiting social security decisions and need their
cases adjudication. . However, Judges also routinely adjudicate thousands of claims filed
by members of the American public who have filed claims in the mistaken belief that
temporary unemployment, financial difficulties, lack of education, divorce, unplanned
dependents, lack of job opportunities, lack of transportation, and/or a myriad of other
problems entitles them to disability or other social security benefits. Judges also adjudicate
cases where members of the public are fraudulently pursuing benefits.
A. Service: Judges’ service commitment to the American public includes providing
compassionate and vigilant leadership in assessing the needs of citizens applying for social
security benefits. In reviewing social security appeals, Judges are charged with the task of
providing high quality due process to all members of the American public, which includes
both claimants who have filed claims, as well as every other member of the public. Every
person in the American public relies upon Judges to ethically and responsibly develop,
hear, and adjudicate the appeals filed, so that cases are fairly adjudicated and the Social
Security Trust Fund is properly safeguarded.
B. Stewardship: Judges are responsible to develop, hear, and decide social security
appeals that have voluminous facts and complex issues. Pursuant to the APA and this
Agreement, the judicial process of reviewing and developing the record, holding hearing(s)
and deciding the appeal issues is an adjudicatory process that cannot be reduced to a
standardized method and/or measured by production quotas. Pursuant to the
Administrative Procedure Act (APA) and this Agreement, in adjudicating appeals on
behalf of the American public, Judges must exercise decisional independence. This
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includes all activity from the time a Judge first reviews a case until the decision is finally
decided. The parties agree with Chief Judge Frank Cristaudo, that in order for Judges to
properly discharge their obligations in adjudicating appeals, Judges must read and
consider the entire record to ensure that benefits are not improperly granted. The Agency
will assist and support Judges in developing the adjudicatory tools and litigation
procedural methods that will best serve Judges in providing the highest standards of the
adjudicatory process, so that Judges may protect the integrity of Social Security programs.
C. Solvency: Judges have a sworn obligation to uphold the Constitution and to be
impartial judicial guardians of the Social Security Trust Fund. Each time a Judge awards
benefits in a Social Security disability appeal, the Judge is authorizing, on behalf of the
American public, a payment of approximately a quarter of a million dollars from the
Social Security Trust Fund. Without careful adjudication, the Social Security Trust Fund
is projected to be bankrupt in 2018, thereby depriving millions of individuals of needed
financial assistance. As Judges exercise adjudicatory discretion in developing and deciding
social security cases, Judges must remain vigilant, so that every member of the American
public can be fully assured that Judges are authorizing Social Security Trust Fund
expenditures only in cases that have been properly developed, carefully reviewed, and
meaningfully heard. While there are many deserving individuals waiting for disability
payments to be authorized, there are also many other individuals who have applied for
benefits who do not meet the definitions required for benefit entitlement. The parties are
committed to ensuring the solvency of the Social Security Trust Fund by supporting due
process hearings, which requires taking the time to meaningfully develop, read, and hear
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all evidence, so that proof of entitlement has been reasonably established pursuant to all
applicable law.
D. Staff: Judges are a specialized class of highly educated, licensed1 professionals
who are uniquely tasked with the tremendous responsibility of authorizing expenditures of
Social Security Trust Funds; with each disability claim valued at approximately a quarter
of a million dollars. Judges should continually provide ideas and necessary feedback on
how Agency staff and resources can best assist Judges in identifying issues, developing the
evidentiary record, provide objective, impartial hearings, and help Judges in issuing
decisions that are legally sufficient. As a best practice in utilizing judicial resources, the
Chief Administrative Judge, and all Deputy Chief Administrative Judges, Regional Chief
Administrative Judges, and Assistant Regional Chief Administrative Judges, shall hear and
decide a minimum of one hundred (100) cases per year, utilizing the same rotational
assignments and staff resources as utilized by Judges in the bargaining unit.
E. Technology and Electronic Tools: As part of a new technology use, the Agency has been
introducing an electronic process called “Electronic Business Process” (EBP), as well as
other programs, such as CPMS. The purpose of technology in the hearing offices is to
provide electronic tools to support the work of the Judges. As Chief Administrative Judge
Frank Cristaudo said, as electronic tools are utilized in the hearing offices, Judges “are in
the best position to know what works, and what can be improved.”
1 ? “Licensed” means membership of a bar association, which includes (but is not limited to) active, inactive, and/or judicial status.
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Section 2. The AALJ and Agency are both committed to the effective and efficient use of
technology to enhance the hearing process, to the extent it supports judicial adjudication
and does not violate the requirements of the APA and constitutional due process.
Section 3. The Agency’s unilateral introduction of the Electronic Business Process (EBP)
and other technology in hearing offices beginning in 2008 resulted in a substantial impact
on judicial working conditions and processes. In using technology and electronic tools,
there are many factors beyond the control of the Judges that substantially impact efficient
and meaningful case adjudication (e.g., computer slowdowns and breakdowns; downloads
during working hours; inadequate bandwidth; software limitations; inadequate
technological training; inadequate technical assistance; inefficient and outdated equipment
and software; inadequate ergonomic equipment and resources; inadequate voice
recognition programs or integration; lack of time to learn and understand new computer
programs and software; insufficient equipment and network access for off-site use at
remote sites and alternative duty stations; etc.).
Section 4. The continuing goal of the Agency is to provide electronic tools and other
resources to assist the U.S. Administrative Law Judges in developing, hearing, deciding,
and issuing decisions on appeals involving the Social Security Act, pursuant to the APA and
this agreement.
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Section 5. The Agency will engage in pre-decisional consultation with the AALJ on all
proposed upgrades and changes in software, hardware, applications, operational systems,
staff assistance, and other adjudication resources.
Section 6. The most efficient and effective method of assisting and supporting Judges in
their unique adjudicatory responsibilities is to encourage and promote the combined use of
multiple resources (e.g., electronic tools, paper tools, oral and written communications;
and sufficient competent support staff, etc.).
Section 7. The provisions in this Article provide a “best practices” model for the efficient,
consistent, and predictable use of combined Agency resources to allow Judges to protect
the integrity of social security programs through due process adjudication for all members
of the American public.
Section 8. The Case Processing Management System (CPMS) is an electronic, data-entry,
information collection system. By utilizing manual clerical entries, CPMS collects and
stores communication data involving the processing of all cases. It also includes a “record
of actions” taken on any particular case. All entries into the CPMS system involve clerical
data entry tasks, both by mouse clicks and by manual typing.
A To insure that there is little or no adverse impact of CPMS management information
collection on the Judicial process, and to insure that non-judicial tasks may be performed
in a timely and cost effective manner, no Judge will be required to perform any CPMS
data entry tasks;
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AThe Agency will not mandate the transfer any clerical data entry tasks, accomplished
either by computer “mouse clicks” or by computer typing, to Judges;
AThe Agency will not characterize Judges negatively in any way (e.g., “inefficient,”
“incompetent,” “not fully functioning,” “not fully productive,” etc) for choosing not to
engage in clerical data entry into CPMS or other management data collection systems;
AThe Agency will not engage in any counseling, performance-related, or disciplinary
action against any Judge because the Judge is choosing not to perform clerical data entry
tasks.
Section 9. Other Data Entry and Clerical Tasks: In addition to all CPMS data entries,
any/all other clerical data entry tasks or clerical work for other technology or electronic
programs will be performed by other Agency personnel to support the Judges’
adjudicatory functions. Clerical personnel are employees hired and trained to perform
clerical tasks. Clerical assistance is necessary to support the Agency's goal to assist Judges
in adjudication. These clerical tasks involve all data entry and preparation of information
for adjudication, which include, but are not limited to:
AScanning evidence into the Certified Electronic Folder (CEF);
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AExhibiting evidence in chronological order in the CEF;
A Checking for and deleting duplicative evidence in the CEF;
B Creating and maintaining a separate, paper Judge’s Folder for each CEF case;
CCreating, attaching and updating to the paper Judge’s Folder a traditional paper “cover
sheet” with background data on the characteristics of the particular case;
ARunning SGA updates 24 hours prior to any hearing and placing the same in both the
Judge’s Folder and the CEF;
AProviding the Judge with a printed copy of the CPMS Workload listing every morning;
and picking up the paper Workload listing at the Judge’s request, should the Judge wish to
make written notes on the paper copy as the preferred method of communicating
instructions;
ATyping all entries into the CEF regarding the coding, movement and status of case,
including but not limited to all development requested, all remarks, all data entries
regarding the status of a case, as well as all dispositional codes;
ACreating a workload listing in the CEF which specifies not only the category of the work
(e.g. POST, EDIT, ARPR, etc.) but also specifies tasks recommended to process the case
(e.g., “Read new Exhibits 13F-15F (20 pages) filed by attorney on 3/20/99,” etc);
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AUpdating the CEF 24 hours prior to any hearing and alerting the Judge as to new
exhibits, per the Judge’s standing orders;
AUpdating the CEF at the end of the POST period and alerting the Judge as to new
exhibits, per the Judge’s standing orders;
APer the Judge’s standing orders, providing a paper copy of the proposed Decision, upon
which the Judge may hand-write proposed edits and then return to the decision writer.
AObtaining and inputting all case characteristic codes and any other coding.
Section 10. Computer Applications, Programs, and Other Resources: To assist Judges in
adjudication, the Agency will work collaboratively and in partnership with Judges to
constantly refine computer applications, programs, and other resources to ensure easy
Judicial use and maximize Judicial efficiency. The Agency will engage in pre-decisional
consultation with the AALJ on all proposed upgrades and changes in applications,
programs, and other resources. In addition, the following computer applications,
programs, and other resources will be immediately addressed or provided:
ARevise and simplify CPMS so that Judges will be no more than two (2) “mouse
clicks” away from any feature;
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ARevise CPMS so that all redundant and unnecessary confirmation questions are
eliminated;
ARevise CPMS so that immediately upon opening the CPMS Workload link, it will open as
a default into the Judge’s Workload list option;
AProvide electronic tracking and immediate alert capability (i.e., “red flagging) in CPMS
and the CEF to notify Judges of violent or potentially dangerous claimants or witnesses;
AProvide technical access to SSA components (e.g., the field offices, district offices,
contractors, vendors, etc), to allow them to immediately alert ODAR hearing offices of
potential dangers or threats;
A“Time outs” on all electronic programs and applications will occur not less than 60
minutes after opening the application;
ALinks for Q and K drives will be visible on the Judge’s desktop;
AAny actions that are recommended by staff to the Judge for further adjudication in a
case, or any matter that staff brings to the attention of a Judge by electronic
communication, must be placed in the “Workload” listing area, with specific
communication regarding the item so that the Judge is fully informed as to the request and
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can act on it, without having to open the E-view feature in CPMS to search for information
in the CEF;
APer the Judge’s standing orders, the “To Do” workload listing in the CEF will be
reserved exclusively for the Judge to initiate entries and/or send instructions to staff on any
case, if the Judge chooses to utilize electronic communications;
A Revise CPMS so that Judges who choose to enter electronic data will have a “master
checklist” of development actions that can marked and provided to clerical staff. This
“master checklist” may also be printed and made available to Judges as a paper
instruction list, per the Judge’s standing orders;
ARevise the EBP so that a Judge may recommend edits to the writer on a proposed
Decision by dictating or typing on a sidebar in the proposed decision, and then sending to
the decision writer;
ARevise the EBP so that E-sign is available immediately upon a Judge accessing the
Decision; without further mouse clicks or typing required;
AThe Agency will immediately research advanced voice recognition (VR) technology
consistent with the state of the art, and begin to upgrade from “DragonSpeak” to more
advanced VR technology within one year;
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APending the acquisition within one year of more advanced VR technology, the Agency
will immediately fully integrate the current “DragonSpeak” technology so that it is fully
useable with CPMS, CEF, E-view, emails, Word, etc. This includes (but is not limited to)
the integration of “DragonSpeak” so that it is fully functional with all non-standard
windows;
APending the acquisition within one year of more advanced VR technology, the Agency
will immediately upgrade “DragonSpeak” Applications to version 10.1 and thereafter
continue to upgrade the Dragon Speak application during the one year transition;
APending the acquisition within one year of more advanced VR technology, the Agency
will provide additional training and resource materials with the necessary duty time
allowances, for all Judges who utilize “DragonSpeak” or any VR program;
AProvide full-time, specialized, knowledgeable technical support, dedicated to
troubleshooting for all Judges, which includes specialized VR technical support from both
the Agency and the VR vendor personnel;
AProvide Judges with all necessary, state of the art ergonomic equipment, furniture, and
resources for both individual offices and hearing rooms (e.g., including, but not limited, to
chairs, desks, keyboards, speakers, wrist rests, foot rests, leg raisers, proper lighting and
light dimmers, proper heated and cooled work stations, electronic cord connections,
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hearing room benches, monitor height equipment, mouse arms, etc) to support the Judges’
healthy and safe use of electronic tools and resources;
AProvide Judges the name and email address of the principal staff member at each
Regional office responsible for ergonomic issues, so Judges can properly alert the Agency
of needed specific ergonomic reforms (e.g., lack of ergonomic furniture; unnecessary key
strokes in applications, improper placement of key board, mouse, monitor, outlets, etc);
AProvide specialized technical staff to review all Judicial workstations for ergonomic
deficiencies and make immediate corrections, and subsequently to provide an annual
workstation review, as well as a new employee workstation review;
AWithin thirty (30) days, the Agency will upgrade the VISTA and/or current computer
system so that Judges may personalize their taskbars, printer connections and other
electronic options without having to repeat the personalization action every 24 hours;
AWithin sixty (60) days, the Agency will upgrade the VISTA and/or current computer
technology systems so that Judges may have access to operational, laser color personal
printers located in their individual offices;
AThe Agency shall provide remote access to the EBP, CEF and CPMS systems for Judges
working on Flexiplace from their own computers or agency laptops (choice of equipment at
the Judge’s discretion), and while working at all remote hearing sites;
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AThe Agency will upgrade and integrate the CEF so that any portion of an Exhibit,
including E and F Exhibit information, may be easily copied and pasted into a Word
document, utilizing the “cut and paste” options in Word;
AThe Agency will allow eight (8) hours of duty time per pay period for Judges to watch
Videos on Demand (VOD), visit the EBP website and links, use other Agency educational
resources, and engage in other personal or educational tasks (e.g., reviewing RWatch
mailings, Adjudication Tips, researching on Lexis/Nexis, reading HALLEX, reading court
case decisions, working on the mandated SF-278, etc).
Section 11. “Best Practices” Communications: As a best practice model in a Judge’s
unique adjudicatory process, Judges shall be encouraged to communicate orally, in
writing, and by computer with all staff members.
Section 12. Judge’s File: The internal file for adjudication shall be called the Judge’s File.
APer the Judge’s standing order, the Agency support staff will create and
maintain a separate, paper Judge’s File with cover sheet for any CEF case;
AThe Judge’s File may contain working adjudicatory documents such as (but
not limited to) notes taken during a hearing by the Judge, case analyses
prepared by hearing office employees, case file cover sheets, ODAR attorney
research and notes, clerical staff documentation, copies of exhibits, working
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papers filed in the CEF and copied onto paper, and other developmental
research, notes and instructional aids;
APer the Judge’s standing orders, whenever a paper document has been
received by the office and scanned into the CEF, the paper document shall also
be given to the Judge and maintained in the Judge’s File until the case is fully
decided;
APer the Judge’s standing orders, the Judge’s File may be used as a
communication tool with office staff;
APer the Judge’s standing orders, a paper copy of the proposed Decision will be
provided to the Judge, upon which the Judge may hand-write proposed edits
and then return to the decision writer;
AThe Judge’s File shall be maintained by the office, at a location of the Judge’s
choosing, until the case is fully decided (i.e., after all appeals have been
resolved);
A After the case is fully decided (i.e., after all appeals have been resolved), a
Judge may continue to retain the Judge’s File in his/her office.
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Section 13. Additional Agency Assistance: The Agency shall provide additional assistance
to Judges in performing their independent adjudication as follows:
ASufficient staff shall be assigned to assist the Judge in discharging his or her adjudicatory
responsibilities. Staff shall be assigned so as to insure the fair and equitable distribution of
resources to each Judge. Staffing for the Judges holding hearings in the NHCs will be the
same allocation of staff resources as in the local hearing offices;
BHearing notices mailed to litigants and representatives shall require filing all evidence a
minimum of ten (10) days prior to the scheduled hearing. Hearing notices shall set forth
any specific requirements as per the Judge’s orders (e. g., bring a medications);
CCases shall not be placed in ARPR or RTS unless all development, including requesting
and receiving updates on all medical or other evidence, is current per the Judge;
D Provide Judges with sufficient time, at the Judge’s discretion, to consult with decision
writers regarding the following (not inclusive): Judicial instructions regarding the decision,
how to further edit a decision, and how to draft more complex decisions (complexity as
defined by the Judge);
ERevive the Pre-Hearing Conference program, utilizing Senior Attorneys, as previous
successfully developed by SSA (1988-1991) under the leadership of Judge Wesker and
RCALJ Rucker;
Section 14. EBP Website: The EBP website shall contain training and education resources
that are helpful to Judges. In addition to the recommendations and advice provided by the
Joint Technology Advisory Committee and Technology Work Group that are identified in
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this CBA, the EBP website will also include a link to allow Judges to provide feedback to
the Agency about the efficacy of technological programs. The Agency will immediately do
the following:
AProvide an easily accessible “feedback” site in the EBP website, where Judges
may post on-going feedback regarding the EBP process. This feedback site will
be available to all Judges, not only to post comments but also to read all
comments posted by others. If Judges submit comments in written paper form,
the Agency will post the Judges’ comments within 24 hours of receipt;
AInstitute and continually provide to the Judges an electronic and email
“progress report” summarizing how the Agency is adopting Judicial
recommendations in its commitment to quality adjudicatory process;
AProvide links to ergonomic websites and ergonomic educational information.
Section 15. Electronic Data Collection and Dissemination: The level of proficiency and
efficiency in adjudicatory work will always vary among Judges, particularly given the wide
variety of cases, complexity of development, complexity of issues and multiple variables
regarding tools, resources and work environment. To assist Judges in attaining the four (4)
primary goals in adjudicating claims under the Social Security Act, as well as in Judicial
training, peer assistance matters, as well as for other representational purposes, the Agency
will continually provide or made accessible all statistical information collected by CPMS to
the following: the AALJ President, all members of the National Executive Board, and the
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AALJ Grievance Chair. In addition, the Agency will provide the AALJ officers (as
identified above) with the following information:
A All credit hours earned by Judges on a weekly basis, broken out by office and region;
BAll sick leave, vacation time, credit hours, worker’s compensation, ADA requests, and all
other leave time claimed by Judges on a weekly basis, broken out by office and region;
CThe names and location of all ODAR management personnel, who are recommended for,
or who receive an award; the specifics of the award; and the basis for such an award;
D The identification, expertise, and location of all personnel working on technological and
ergonomic issues;
EAll Agency studies and reports conducted to date on technology and ergonomic issues;
and
FAll continuing expert data, technological and ergonomic reports, studies, and statistics,
on a monthly basis.
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· Article 38
Mass Transportation
Section 1. Purposes of Article.
A. To reduce traffic congestion, air pollution, gasoline consumption, and to expand
commuting alternatives, a transportation benefit program has been established.
B. To be eligible to participate in this program, a Judge must commute to and/or
from any ODAR office via mass transit facilities or vanpools, as defined in
appropriate laws, rules and regulations.
Section 2. Notification. All Judges shall be provided a written notice of the Mass
Transportation Benefits Programs (Transportation Subsidy Program and Employees Pre-
Tax Contribution Program) under this Article by the Agency on January 1, 2010 and
annually thereafter. The notice shall describe the transportation benefits programs, state
how to apply for the programs and provide a copy of the application forms. The
transportation benefits programs shall be administered by the Agency.
Section 3. Transportation Subsidy Program
A. All Judges are eligible to participate in the transportation subsidy program if they
commute to and from their hearing office via mass transit facilities or van pools, as
provided by law.
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B. The Agency shall provide transit vouchers, passes or tokens to Judges
participating in the program at the maximum amount provided by law, currently
$230 per month. A voucher includes any item that may be exchanged only for a
transit pass, tokens or coupons good for transportation.
Section 4. General Procedures for the Transportation Subsidy Program.
A. Transit passes or vouchers shall be delivered to participating Judges by the
beginning of each month. The Judge shall acknowledge receipt of the transit pass or
voucher.
B. Cash reimbursement for any transit pass, transit tokens, coupons good for
transportation or other qualified transportation expenses provided under this
Article may be made only if a voucher is not readily available for direct distribution
by the Agency to the Judge.
C. In circumstances under which cash reimbursement is authorized, such
reimbursement shall be made after:
(i) Proper substantiation by the Judge that he/she incurred an expense for
transit passes or qualified commuter expenses in an amount at least equal to
the amount claimed for reimbursement; and,
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(ii) Certification by the Judge that he/she purchased the transit passes or
incurred the qualified commuter expenses, and shall use them or has used
them for commuting between his/her home and duty station.
D. A Judge electing to participate in the transportation subsidy program shall
submit a written application, on the form provided by the Agency, to the HOCALJ
or designee indicating the Judge's election to participate in the program.
E. The total amount of the monthly Transportation Subsidy Program cannot
exceed the actual monthly commuting costs of the Judge.
F. By August 15th of each program year, the Agency shall provide the President of
the AALJ a copy of information regarding the transportation benefits program
applicants. This information shall include, but is not limited to, a list by region, of
the names and office addresses of all Judges who applied for the program,
expenditures in the current fiscal year, and budget for the next fiscal year. Provided,
however, that the first list shall be provided to the President of the AALJ within 60
days following the execution of this CBA.
Section 5. Employees Pre-Tax Contribution for the use of Mass Transportation and
Vanpools.
A. This Section covers the implementation of the employees pre-tax contribution
(EPC) for use in the purchase of transit vouchers or fare media for mass
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transportation and vanpools pursuant to Executive Order 13150, §1, and subject to
5 U.S.C. Chapter 71.
B. All Judges who use mass transportation or vanpools may participate in the EPC.
Judges’ pre-tax contributions, together with any transportation subsidy received,
cannot exceed the maximum amount permitted by law, currently $230.00 per
month.
C. The Agency shall withhold the judge’s designated pre-tax dollar amount from
the judge’s pay during any given quarter and return to the employee the amount
withheld the following quarter in the form of transit vouchers or other fare media.
D. As the regulations/laws are modified or changed to increase the allotment
amounts (shown in B above), the Agency will automatically notify the judge, in
advance, of the new rates and give the judge the option of making any changes.
E. No judge is obligated to participate in the pre-tax fringe benefit program.
F. The judge must file an application to begin, change, or revoke the EPC by the
end of the second month of any program quarter for withholding to begin, effect
changes, or revocation of the contribution to occur in the next quarter.
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G. The application process for the EPC will include, as part or attachment, a
Compensation Reduction Election Form (CREF), which will designate the amount
of salary to be withheld, and a mechanism for change and revocation.
H. The election to participate in the EPC is irrevocable once the period covered by
that CREF begins. Also, the CREF and application will remain in effect and roll
over to subsequent quarters unless the judge makes such a change or revocation of
the pre-tax contribution.
I. To be eligible for the EPC, the judge must commute to and/or from work via
mass transit facilities or commuter highway vehicles, etc., as defined in appropriate
laws, rules, and regulations. Vouchers received by judges pursuant to the program
become the property of the judge for his/her use.
J. The amount of the EPC for which a judge is eligible per month is the actual cost
of mass transit to the judge reduced by the amount of any transit subsidy received
from the SSA Transportation Subsidy Program.
K. In the event of administrative error, the Agency will take timely corrective action
including reimbursement, when appropriate.
L. State and local taxes may still apply to any portion or all of the EPC.
M. The Agency assumes no responsibility or obligation for any effect the judge’s
contribution has upon the judge’s yearly earnings, other contributions or benefits,
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or retirement benefits. FERS judges will be given reasonable duty time (up to eight
hours per calendar year) to access the Agency’s Intranet Site (http://co.ba.ssa.gov)
to determine the effect, if any that the EPC will have on the Social Security portion
of the FERS retirement benefit.
N. In addition to the compensation reduction election provisions, the application
will contain sufficient information for the identification and location of the judge,
the mode of mass transportation that qualifies for the EPC, the judge’s certification
to comply with the rules and requirements for the EPC program, the Agency’s
disclaimer of responsibility regarding lost or stolen vouchers, the statement of that
portion of the Privacy Act (PL.103-72) that applies, and the certification and
acknowledgement of receipt by the judge’s supervisor or designated management
official.
O. This Article will be interpreted in conformity with all laws, regulations, rulings,
and other legal precedents governing the program for judges’ pre-tax contribution
for the use of mass transportation and vanpools.
P. Nothing in this agreement shall prevent either the Agency or AALJ from
negotiating cost discounts with local transit providers.
Section 6. Parity. If, during the duration of this CBA, any other collective bargaining unit
within the Social Security Administration Office of Hearings and Appeals negotiates terms
and conditions of mass transportation benefits programs more favorable than those set
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forth herein, the Judges shall be automatically granted the same terms and conditions
within thirty (30) days.
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Article 39
Peer Review
Section 1. A Peer Review system would be a beneficial approach to address workplace
issues that involve Judges. A Peer Review Workgroup is established and charged with the
responsibility of recommending a Peer Review program to the AALJ and the Agency for
the purpose of assisting Judges.
Section 2. The Peer Review Workgroup will consist of 12 judges, six appointed by the
AALJ and six appointed by the Agency. These appointments shall be made no later than
15 days after the contract is ratified.
Section 3. The Peer Review Workgroup will begin meeting in Falls Church, VA, within 75
days from the date the contract is ratified. The Peer Review Workgroup will continue with
monthly meetings, at mutually agreeable times and places, until a final recommendation is
submitted to the AALJ President and the Deputy Commissioner of ODAR.
Section 4. The Agency will pay for all workgroup travel expenses as well as other expenses
relating to the Workgroups development of recommendations.
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Article 40
Video Teleconference Hearings
And
Digital Video Unit Hearings
Section 1. Definitions.
A. A Video Teleconference (VTC) is an APA due process hearing held in a VTC hearing
room where the hearing participants appear and testify via video on a secure SSA data
network. The hearing is conducted in the same way as an in-person hearing except that
the ALJ who has scheduled and will preside at the hearing is at one location and the
claimant is at a different location. Witnesses may appear at either of the two VTC
locations. A hearing monitor who is responsible for recording the hearing and other VTC
hearing support functions will normally be at the location where the claimant appears.
B. Video Teleconference (VTC) Equipment in a VTC hearing room includes but is not
limited to the secure data network which allows the participants to a VTC hearing to see
and hear each other testify by video; wall-mounted, high quality flat screen, color HDTV
monitors measuring not less than 58” diagonally to insure life-size images of the
participants; video cameras; and camera and sound remote controllers.
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C. VTC and VTC hearing room ancillary equipment in a VTC hearing room includes a fax
machine, high quality digital microphones; digital hearing testimony recording devices;
and a printer.
D. VTC hearing room means a hearing room equipped with VTC equipment of not less
than 400 sq feet in an ODAR Hearing Office and not less than 350 sq ft in an ODAR
permanent remote site. Sound transmission standards for VTC hearing rooms will be 60
decibels.
E. VTC monitors will meet or exceed the following monitor technical specifications:
aspect ratio: 16:9; resolution 1080p (1920x1080); and auto motion plus 240 Hz.
Section 2.
A. Agency VTC rules and procedures are set forth at 20 CFR 404.929, 404.936, 404.938,
404.950, 416.1429, 416.1436, 416.1438 and 416.1450, as amended, and HALLEX I-5-1-16,
as amended. The Judge, at his or her discretion, has the authority to decide not to
schedule a VTC hearing if the Judge determines that there is a circumstance preventing
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use of VTC to conduct the hearing. The Judge has sole discretion to determine whether
expert witnesses and interpreters will appear at the hearing by means of a VTC.
A. VTC hearings will be held in VTC hearing rooms with VTC equipment. VTC hearings
will be held normally in ODAR leased or owned space. All hearing sites under Agency
control involved in the use of VTC will be sufficiently equipped to permit the ALJ to
conduct an efficient and effective due process hearing.
B. For purposes of the VTC hearing, the presiding ALJ shall have complete authority to
control when the video and audio equipment is operational.
C. Each VTC hearing shall result, upon completion, in a complete sound recording of the
proceeding and this recording shall be the only official record of the hearing. There will be
no video recording of any video hearing involving claimants.
D. Trained staff support shall be provided to the presiding ALJ to facilitate the conduct of
the hearing. Adequate security will be provided in all locations where VTC hearings are
held. The Agency will ensure that Agency Hearing Office support personnel and Judges
are trained, as necessary, during core hours on the use of VTC equipment.
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E. Holding hearings by VTC will not change any contractual rights, benefits and
obligations provided in this Agreement, past practice, law or regulations.
F. The Agency will maintain and routinely update HALLEX procedures for VTC so that
users have a single, readily available source for all essential VTC policy, procedure,
protocols and guidance.
G. No hearing office will be closed and no judge subject to a reduction-in-force or
involuntary transfer because of the use of VTC equipment.
H. At the sole discretion of the AALJ representative, VTC equipment shall not be used to
communicate any type of personnel action or to conduct examinations or investigations or
to discipline any Judge.
Section 3.
A. Desktop Video Units (DVUs) are high definition video monitors connected to the SSA
data network. Under an ODAR pilot program, DVUs are being utilized to hold DVU
video hearings where the ALJ conducts the hearing from his or her ALJ office. Under the
pilot program, agency supervisors are using DVUs.
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B. Within 30 days from the date that this Agreement becomes effective, the Agency agrees
to afford AALJ and its bargaining unit members an opportunity to join the DVU pilot
program and to have at least one Judge in each of ODAR’s 10 regions trained in the use of
and equipped with a DVU unit for the purpose of holding video hearings by DVU.
Section 4.
A. The Agency will give AALJ sufficient advance notice of the Agency’s intention to
implement program, policy, procedure or equipment changes under the VTC and DVU
programs so that AALJ may be timely included in pre-decisional involvement in keeping
with Article 2, Section 1. B. of this Agreement.
B. AALJ also retains its statutory and contractual rights to bargain in good faith about
any VTC and/or DVU program changes under Article 2 of this Agreement.
C. The parties will regularly discuss the use, processes, efficiencies and deficiencies of the
VTC and DVU programs at the meetings of the National Labor-Management Committee
and the Joint Technology Advisory Committee as provided in Articles 25 and 28 of this
Agreement.
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