Subject: Preparing the Certified Administrative Record
This transmittal amends sections I-4-2-1, I-4-2-5, I-4-2-10, I-4-2-15, I-4-2-20, I-4-2-30, I-4-2-35, and I-4-2-40 of the Hearings, Appeals and Litigation Law (HALLEX) manual and archives sections I-4-2-25, I-4-2-45, I-4-2-50, I-4-2-55, I-4-2-60, I-4-2-65, and I-4-2-70 to update our policies concerning how the Office of Appellate Operations' (OAO) Division of Civil Actions (DCA) prepares the Certified Administrative Record (CAR) to correspond to updates to DCA's business processes.
I-4-2-1 – We updated the instructions for preparing and certifying the CAR and updated employee titles to correspond with the updated DCA business processes.
I-4-2-5 – We updated this section to reflect that cases will be processed in the order the Office of General Counsel (OGC) notifies OAO of the case unless a request is made to expedite in order to meet a court-imposed deadline. We removed the requirement to use overnight mail and eliminated a requirement to mount or reinforce physical documents. We updated employee titles to correspond with updated DCA business processes.
I-4-2-10 – We updated this section to reflect a change in employee titles in DCA. We added subsection E to explain the limited CAR business process and its application. We removed the note in subsection B.7. as this is no longer part of the current DCA business process for preparing the CAR.
I-4-2-15 – We updated the section name to clarify that this section relates to reviewing and placing hearing transcripts into the CAR to differentiate from I-4-1-14 (Obtaining Hearing Transcripts). In subsection B, we updated the subsection name to relate solely to associating transcripts in the record. We updated subsection B to clarify how transcripts are associated into the file and removed information related to obtaining hearing transcripts from the contractors as this information is available in I-4-1-14. We updated the instructions in subsection C for determining whether an audit of the hearing is necessary and the instructions for reviewing the hearing transcript to correspond with DCA business processes. We removed instructions in subsection C related to sending a case to a contractor for an audit to correspond with the DCA business process. We added language to subsection C to clarify that a contractor may be recontacted to correct any errors on the transcript or for a new transcription of the hearing. We removed instructions in subsection D related to correcting spelling and numbering errors as this process is obsolete. We updated employee position titles, and we made minor changes to reflect agency policy regarding use of gender-neutral language.
I-4-2-20 – We added a note to clarify that staff should follow instructions in I-4-2-10 E related to preparing a limited CAR. We updated subsection A to clarify DCA's business process for reviewing and marking exhibits. We removed references to manually adding an exhibit stamp or markings onto exhibits, as this practice is obsolete. We removed instructions for photocopying documents, creating barcodes, and manually scanning documents into the claim(s) folder as this practice is obsolete. We clarified the instructions in subsection B for receipt of translated documents, and we made a change in the note in subsection B to reflect agency policy regarding the use of gender neutral language. We removed the distinction between paper and electronic cases for reviewing stricken exhibits in subsection C, and for special considerations with respect to subsection E. We removed all references to sending discs and copies to reprographics, to correspond with the updated DCA business process. We removed references to exhibiting non-standard-size documents, smaller-than-standard letter size, and oversized documents, as this practice is outdated. We updated subsection D to reflect agency policy regarding removal of personally identifiable information. We also updated employee position titles.
I-4-2-25 – We archived this section in its entirety as it is reliant on software used to number and index the CAR and is covered by the DCA electronic business process.
I-4-2-30 – We updated the instructions to reflect current electronic processes by removing references to creating duplicate copies of the administrative record and by removing the requirement to impress the original copy of the CAR with the Official Seal. We added subsection 6 to subsection B, clarifying the certification requirements for limited CARs. We also updated employee position titles.
I-4-2-35 – We updated the instructions to reflect the current electronic business processes for delivering CARs directly to USAfx, a Department of Justice application. We removed references to sending the record to reprographics, as this practice is outdated. We also updated employee position titles and consolidated information from I-4-2-50.
I-4-2-40 – We removed the note in subsection C and incorporated this information into the subsection to identify the special situation where a limited CAR may be required. We removed the specific language regarding the contents of the limited CAR and added a citation to HALLEX I-4-2-10, which now explains the limited CAR business process and requirements. We updated subsection D to differentiate between a modified and supplemental CAR. We removed subsection E in its entirety, as the policy is obsolete and not consistent with the current DCA business process. We removed subsection F, “Equal Access to Justice Cases,” in its entirety in consultation with OGC, as the events described are highly unlikely. We removed subsection G in its entirety, as the information is unnecessary. We also updated employee position titles.
I-4-2-45 – We archived this section in its entirety as DCA does not require OAO's reprographic services to duplicate the CAR.
I-4-2-50 – We archived this section in its entirety and combined it with section I-4-2-35.
I-4-2-55, I-4-2-60, I-4-2-65, and I-4-2-70 – We archived these sections and the enclosed exhibits in their entirety as they are either obsolete or automatically generated as part of current electronic business processes.
Date: June 26, 2023