I-2-1-20.Preparation of Exhibit List
Last Update: 8/5/15 (Transmittal I-2-148)
A. Preparing a Proposed Exhibit List Before the Hearing
Prior to the hearing, hearing office (HO) staff will select, arrange in order, and mark proposed exhibits (see Hearings, Appeals and Litigation Law (HALLEX) manual I-2-1-15). HO staff will also prepare a list of all the proposed exhibits (“proposed exhibit list”) and associate a copy of the proposed exhibit list with the claim(s) file.
Instructions for preparing a proposed exhibit list in an electronic claim(s) file are in the hearing office Standard Hearings Operations Procedure (SHOP) section 3.2.1. For paper claim(s) files, HO staff will use the exhibit list template in the Document Generation System.
As explained in HALLEX I-2-1-35, the claimant and appointed representative, if any, have the right to examine the material that constitutes or will constitute the evidence of record. Adding a proposed exhibit list to the record before the hearing ensures that the claimant and representative know what information the administrative law judge (ALJ) intends to rely on during the hearing and when making a decision. Adding a proposed exhibit list to the record before the hearing also provides the claimant or representative with an opportunity to object to any proposed exhibits or to supplement the claim(s) file with any information that is missing before the ALJ holds the hearing.
B. Updating the Exhibit List After the Hearing
1. Additional Evidence Submitted at or After the Hearing
If an ALJ receives additional evidence at or after a hearing that he or she intends to add to the record, HO staff will mark the information with the next exhibit number. See HALLEX I-2-1-15 C.1. For an electronic claim(s) file, see also SHOP sections 4.6.5, 4.6.8 and 5.1.9.
2. ALJ Issues Fully Favorable Decision
When the ALJ issues a fully favorable decision and the proposed exhibit list is associated with the claim(s) file, the HO staff may, but is not required to, prepare the exhibit list in final form.
3. ALJ Issues Less Than Fully Favorable Decision
If the ALJ issues a partially favorable or unfavorable decision, HO staff must prepare the exhibit list in final form and place it in the claim(s) file. An exhibit list in final form is required when an ALJ issues a less than fully favorable decision to protect the claimant's due process rights. The claimant is entitled to know the information the ALJ relied on when making the decision. When an ALJ issues a less than fully favorable decision, preparing the exhibit list in final form is mandatory and is not a discretionary practice.