Transmittal of record procedures

Under 1921.15, the hearing examiner must transmit the record immediately after the period allowed for filing exceptions has ended. See 1921.15.

• The regulation uses the phrase "Immediately following the period allowed for filing exceptions" to set the timing.
• If you need the exact deadline for filing exceptions in a particular case, check the hearing order or other applicable rules in 1921 that govern the overall procedure.

Under 1921.15, the hearing examiner must transmit the record to the Assistant Secretary. See 1921.15.

• The regulation explicitly names the Assistant Secretary as the recipient of the record.

Under 1921.15, the record must include pleadings, motions, requests and rulings thereon; the transcript of testimony and exhibits; documents or papers filed in connection with prehearing conferences; any proposed findings of fact, conclusions of law, and orders filed in connection with the hearing; the hearing examiner's decision; and any exceptions, statements of objections, and supporting briefs filed in the proceeding. See 1921.15.

• Use this list as a checklist when assembling the record to make sure nothing the regulation lists is left out.

Under 1921.15, yes—the transmitted record must include the transcript of the testimony taken at the hearing. See 1921.15.

• Include any exhibits that were filed with or admitted at the hearing along with the transcript.

Under 1921.15, yes—exhibits filed at the hearing must be included with the transcript as part of the record. See 1921.15.

• Be sure to include labelled exhibits and an exhibit list so the Assistant Secretary can match exhibits to the transcript.

Under 1921.15, yes—documents or papers filed in connection with prehearing conferences must be included in the transmitted record. See 1921.15.

• That includes written minutes, motions, exhibit lists, or other filings made in connection with prehearing matters if they were filed in the proceeding.

Under 1921.15, any proposed findings of fact, conclusions of law, and orders that were filed in connection with the hearing must be included in the record. See 1921.15.

• Include both the proposed language and any supporting reasons or memoranda that accompanied them.

Under 1921.15, yes—exceptions, statements of objections, and any briefs filed in support of those exceptions must be included in the record transmitted to the Assistant Secretary. See 1921.15.

• Make sure to include all versions and attachments of briefs and exception filings so the Assistant Secretary has the complete argument record.

Under 1921.15, no—the hearing examiner must transmit the record only immediately following the period allowed for filing exceptions, not before that period has ended. See 1921.15.

• If parties expect to file exceptions or additional materials, they should do so within the allowed period so their filings are included in the transmitted record.

Under 1921.15, the regulation requires transmission of the record but does not specify the method or technical format for that transmittal. See 1921.15.

• Follow agency instructions or local Office of Administrative Law procedures for electronic or hard-copy filing if available; consult the Office handling the case or 1921 for any related procedural details.

Under 1921.15, the regulation does not authorize adding documents after the hearing examiner has transmitted the record, because the examiner transmits "immediately following the period allowed for filing exceptions." See 1921.15.

• If a party believes an important document was omitted, they should promptly notify the Assistant Secretary or follow any corrective procedures in other parts of 1921 or case-specific orders to seek supplementation.

Under 1921.15, the hearing examiner is responsible for assembling and transmitting the record to the Assistant Secretary after the period for filing exceptions has passed. See 1921.15.

• That responsibility includes gathering pleadings, transcripts, exhibits, rulings, proposed findings and any filed exceptions or briefs.

Under 1921.15, yes—the record must include motions and requests that were filed and the rulings on them. See 1921.15.

• Include both the original motion or request and any written ruling or order resolving it.

Under 1921.15, only documents or papers that were filed in the proceeding are required to be included; informal or unfiled communications are not automatically part of the transmitted record. See 1921.15.

• To make a communication part of the record, a party should formally file it so it can be included before the record is transmitted.

Under 1921.15, yes—the hearing examiner's decision must be included in the record transmitted to the Assistant Secretary. See 1921.15.

• Include the decision text and any attached findings or supporting reasons.

Under 1921.15, "statements of objections" are formal filings by a party objecting to aspects of the proceeding or decision, and if they were filed they must be included in the transmitted record. See 1921.15.

• Make sure to include any supporting briefs or exhibits that accompany the statement of objections.

Under 1921.15, any proposed findings of fact, conclusions of law, and orders that were filed in connection with the hearing must be included in the record regardless of whether they were adopted by the hearing examiner. See 1921.15.

• Include the proposed documents and any supporting reasons so the Assistant Secretary has the complete set of positions advanced.

Under 1921.15, oral arguments are included in the transmitted record if they were placed on the record (for example, if a transcript captures them) or if related documents or briefs were filed; the regulation requires the transcript of testimony and filed briefs and objections to be included. See 1921.15.

• To ensure oral argument is included, make certain it is part of the official transcript or that related briefs are filed prior to transmittal.

Under 1921.15, the record should include the following items before transmittal to the Assistant Secretary: pleadings, motions and rulings; the complete hearing transcript and exhibits; documents filed for prehearing conferences; any proposed findings, conclusions, and orders; the hearing examiner's decision; and any exceptions, statements of objections, and supporting briefs. See 1921.15.

• Use this checklist to verify completeness and to avoid leaving out material that the regulation expressly requires.