Last Update: 9/28/05 (Transmittal I-2-67)
The guidance provided in this section supplements the general instructions contained in SSA's Administrative Instructions Manual System (AIMS), Materiel Resources Manual (MRM), Section 04.50.05, Protective Security for Employees, Visitors, and Facilities.
In the face of any life-threatening or potentially life-threatening situation, OHA personnel involved or alerted must act immediately to protect the life and safety of the claimant, as well as the safety of the public and OHA personnel. Personnel should deal with such situations as emergency events, following the instructions in this section using common sense and good judgment to defuse violent threats. Indications of suicidal, homicidal, or other violent potential should be treated as legitimate threats to the safety of the claimant, the public, and OHA personnel and/or property. Appropriate action or referral must be completed immediately. Because such behavior is usually sudden and unpredictable, precise instructions on handling cases involving such threats are difficult to formulate. General guidelines can be set forth, but the specific circumstances of each individual case will determine the action taken.
While the causes of such extreme behavior may be numerous and complex, it is generally agreed that such behavior is often a plea for help. OHA personnel should keep this in mind when dealing with such behavior. Suicidal or homicidal potential may be identified in several ways. In most instances, such information will come from the individuals themselves, either by their words or their actions. It may also come from other sources, such as family, friends, legal representatives, medical personnel, the DDS, the local FO, law enforcement authorities, etc.
When any OHA employee becomes aware that a claimant or other individual has shown a potential for violence and that, based on the total information on hand, he or she appears to pose a present or immediate threat to his or her own person or to others, this information must be conveyed immediately to the appropriate personnel and authorities. In all such cases, the servicing FO should be notified. The FO's familiarity and proximity to the claimant means that the FO may ultimately be the component that is confronted by the claimant, regardless of the level of appeal or the physical location of the file.
There are two basic situations which OHA personnel must be alert to: (1) an immediate threat, that is, the claimant or other individual is on-site or on the telephone and is threatening violence; or (2) there is no immediate threat but the information indicates a need to alert all subsequent handlers of the claim to the potential for violence.
An immediate threat exists when OHA personnel becomes aware, either through face-to-face or telephone contact with the individual, that a life-threatening action is imminent.
The foremost concern in such an emergency situation is for the safety of everyone involved. All OHA offices, including hearing offices, regional offices, and all components of OHA Headquarters, must establish emergency procedures to minimize the exposure to possible danger. One specific person in each office or component (preferably an individual accustomed to acting with authority and handling responsibility, such as an RCALJ, HOCALJ, HOD, or a division or branch chief in Headquarters) must be designated as the person to whom the individual will be referred, with the explanation that this person is the one who can best help them. Another person must be designated to quickly clear the office of all other staff and the public, and to immediately request assistance from appropriate authorities. For each of these responsibilities, at least one other person must be assigned to act as an alternate in case of leave or other absence on the part of the designee.
The local police and/or building security personnel must be contacted and provided with all available details, including the individual's description and his or her location in the office, the nature of the threat, the observed or alleged weapons in the individual's possession, and the number of people in the office with the individual. Many police departments have units specializing in such sensitive referrals. All OHA offices must maintain an up-to-date list of referral sources (suicide prevention hotlines, crisis intervention centers, etc.) staffed by people who are trained to deal with potential suicides or homicides. The names and numbers of such units and local police number, must be recorded as emergency numbers on all OHA telephones. Depending on the circumstances, it may also be appropriate to contact the individual's treating physician, spouse or relatives, or representative payee for assistance in pacifying the individual.
The threatening individual will often believe that he or she is surrounded by a hostile environment. OHA personnel must not attempt to dispute the individual's contentions, and must avoid any action that my increase their level of agitation. Instead, the individual must be supported with an attitude of personal concern and cooperation.
Experience with individuals who threaten violence indicates that, in general, the longer such an individual can be occupied, the less likelihood there is that the threat will be carried out. Thus, OHA personnel must, above all, listen to and talk with such individuals. Although the individual may initially be severely agitated and hostile, this level of excitement may not be sustained for long. In general, these individuals must be given reassurances and simple statements as to what will be done and when. Disputes and contradictions must be avoided and the individuals allowed to do as they wish to the extent possible. With respect to the claim at issue, personnel must emphasize OHA's desire to have all relevant information.
When a telephone contact is made by the individual or a third party, there is a greater likelihood that an on-site confrontation with a threatening individual can be avoided altogether. This situation will allow OHA personnel time to notify the police and local crisis counselors, alert building security, and clear the office. Even though the individual is not on-site, a threatening phone call must be treated as an emergency situation. Immediate steps must be taken to request police assistance and protect the safety of all parties. Contacting Federal authorities may be an appropriate subsequent action in certain situations, as use of a telephone to make abusive, obscene, or harassing calls may constitute a Federal offense.
If possible, the OHA employee who receives a threatening phone call must obtain information to aid personnel in locating the claim file, identifying the individual, understanding the specific nature of his or her complaint, etc.
The gravity and sensitivity of the issue are such that each case must be carefully handled on an individual basis. Critical judgment must be emphasized in these cases, including consideration of the referral of such individuals to community agencies which are available to assist in such situations.
If the folder is located in the servicing HO or OHA Headquarters, all details must be recorded on a Report of Contact (RC) and placed in the file to alert future handlers of the case to the potential suicidal/homicidal threat.
If the folder is located outside OHA, telephone the component holding the folder, confirm the telephone contact with a written RC which will be forwarded to the component for placement in the folder, and retain a copy of the report for OHA records.
Regardless of OHA's disposition of such claims, prompt processing of the claim of a person who is threatening violence must be made a top priority. A specific person such as the hearing office director (HOD), regional management officer (RMO), or division director must be designated as the person responsible for coordinating timely processing of such cases. If the ALJ or the Appeals Council (AC) renders a favorable decision, the claimant will be promptly informed by telephone. (See I-2-1-40 for additional information about processing cases involving potential suicide or homicide.)
The circumstances of the threat and the action by OHA in response to the threat must be documented by completing a RC which fully explains such circumstances. A copy of the RC should be prong-filed in the manner of a diary slip to remain readily visible on top of the right side of the folder. Also, an alert must be attached to the front of the file indicating that the case must be expedited because of suicidal/homicidal potential.
In ALJ or AC decisions involving claimants who have threatened violence, the decisionwriter must be careful to avoid any language that might be upsetting to the claimant. The use of emotionally charged words must be avoided. There may be situations where language which might be upsetting to the claimant is relevant to the ultimate issue of disability, and thus must be included in the decision. If there is a representative in the case, the decision must be sent to the representative. The paragraph in the above-cited sections of HALLEX explaining why a copy of the decision has not been sent to the claimant must be inserted on the form transmitting the decision. Also, a brief letter must be prepared to inform the claimant that a copy of the decision has been sent to the representative.
When an HO manager becomes aware of an incident or activity that (1) could be perceived as “outside of standard operations,” and/or (2) has the potential for negative publicity, and/or (3) generates inquiries from the media, a fact sheet must be prepared no later than four hours after the incident is confirmed. The following procedures should be followed:
The fact sheet will be submitted through the Regional Chief Administrative Law Judge simultaneously to the Chief Administrative Law Judge (ATTN: Division of Field Operations and Liaison (DFOL), with a copy to the DFOL Desk Officer), to the Associate Commissioner, and to Executive Secretariat (at ¦¦¦S3GA1ES).
After initial review by the Chief Judge and the Associate Commissioner, the Executive Secretariat will submit an informational copy of the fact sheet to the Office of Disability and Income Security Programs (ODISP).
The Regional Offices (ROs) will be required to update all fact sheets on a continuing basis until there are no “pending actions”. After all actions have been resolved, the RO should submit an updated fact sheet to OCALJ indicating that there are “no pending actions”.
OCALJ and the Executive Secretariat will forward a bi-weekly consolidated report on all pending fact sheets to ODISP. The report will include updated information on each incident.
The fact sheet will remain open until all issues are resolved and the Office of the Chief Judge closes the report.
In handling cases involving potential suicide or homicide, OHA personnel must bear in mind two essential factors.
First, HO, RO and OCALJ personnel must be aware of the possibility of such behavior, and be prepared to respond in a prompt and resourceful manner. In dealing with these cases, establishing and maintaining close contact with appropriate community services and law enforcement authorities are essential for the avoidance of immediate threats of violent behavior, for assistance, and advice in the future handling of such cases, and for obtaining appropriate counseling and treatment for the individual.
Second, OHA personnel must show the utmost consideration, compassion, and patience in dealing with the potentially violent individual. Indications of violent potential must be treated as legitimate threats to the safety of the individual, the public, and OHA personnel, and appropriate action or referral must be completed promptly. OHA personnel must explain the appeals process carefully, emphasizing OHA's desire to have all of the information relevant to the individual's claim, and OHA's willingness to assist in obtaining additional or clarifying information.
These cases must receive the personal attention of OHA personnel form beginning-to-end to avoid causing or contributing to violent behavior. A specific person must be assigned to each of the cases to assure that it receives priority handling, and that these individuals are referred to an appropriate community service and/or physician, as necessary. At all stages, OHA's actions must be fully documented and included in the claims files.