Last Update: 7/18/17 (Transmittal I-4-74)
There are certain cases that require the court records assistant (CRA) to perform special processing. This section sets forth the guidelines for processing cases in these special situations. For processing expedited appeals cases, see Hearings, Appeals and Litigation Law (HALLEX) manual I-4-9-40.
A. “B” or “C” Cases
Cases referred to as “B” or “C” are those in which there was a prior final hearing decision on the same or a directly related issue. The hearing operation adds the letter “B” to the numbers of the second set of exhibits, and “C” to the third set, etc. In these cases, the CRA will:
Ensure the procedural material in the record consists of all relevant material from the current request for hearing through the final action of the Appeals Council (AC). See HALLEX I-4-2-10.
Make the transcript from a prior hearing part of the record if the current decision (or a prior decision that is an exhibit) substantively refers to testimony at a prior hearing.
Place exhibits in the administrative record in their order of admission following the current exhibit list. The index must include all procedural documents related to the current request for hearing.
Place the List of Exhibits for all of the materials from the current and prior hearings in front of all procedural documents, transcripts, and exhibits at the beginning of the certified administrative record (CAR).
The record is “full and accurate” when it contains all procedural documents related to the current request for hearing; the transcript of the current hearing; the transcript of any previous hearing, if necessary; and all exhibits that the administrative law judge (ALJ) and AC admitted.
B. Class Action Cases
When a class action involves only one named litigant, the CRA will construct the record in the same format for individual cases, except for the certification. When the case involves multiple named litigants, the CRA will prepare a separate transcript for each named litigant. In both instances, the CRA will use a certification that includes the names of each named litigant who is a party to the suit.
C. Acquiescence Ruling (AR) 16-1(7), Boley v. Colvin
Under AR 16-1(7), Boley v. Colvin, 761 F.3d 803 (7th Cir. 2014): Judicial Review of an Administrative Law Judge's Order Finding No Good Cause for a Late Hearing Request and Dismissing the Request as Untimely—Titles II and XVI of the Social Security Act, a claimant who lives in the 7th Circuit may obtain judicial review of an ALJ's dismissal order finding no good cause for a late hearing request if the claimant timely requested that the AC review the ALJ's dismissal, and the AC denied the request for review. The claimant must have resided in the 7th Circuit (Indiana, Illinois, or Wisconsin) at the time the AC denied review. See HALLEX I-3-3-15 for more information. If AR 16-1(7) applies, the CAR must contain certain documents to ensure that the Federal court will be able to determine whether the ALJ's order was justified. The CRA will prepare the CAR with only the following documents if they are in the case file:
Notice of Initial Determination;
Request for Reconsideration;
Notice of Reconsideration;
Request for Hearing;
Statements and correspondence regarding good cause;
Correspondence between the hearing office and claimant or appointed representative, if any;
Transcript of oral hearing, if an oral hearing was held;
ALJ Order of Dismissal;
Request for Review of ALJ Order of Dismissal;
Any additional statements or correspondence of good cause;
Notice of the AC on the request for review; and
Correspondence between the AC and the claimant or appointed representative, if any, subsequent to the AC denial of review.
For both electronic and paper claim(s) files, the CRA will print or extract the necessary documents from the file and number and index the documents. The CRA will prepare a certification page and modify the language to state that the documents “constitute a full and accurate transcript of the proceedings relating to the dismissal in this case.”
The CRA will send the case to Reprographics to produce the number of copies corresponding to the jurisdiction's CAR requirements. If the civil action is filed in a jurisdiction where electronic filing is mandatory, the case will be scanned and burned to a compact disc (CD) as a Portable Document Format (PDF) file. Copies of the paper CAR and CD, if applicable, will be mailed to the Office of the General Counsel (OGC) and the Assistant United States Attorney according to the jurisdictional requirements, as a limited electronic CAR is not available for these cases.
D. Supplemental CAR
1. Guidelines for a Supplemental CAR
If a CAR is filed with the court, any subsequent certification is referred to as a supplemental CAR. A CRA will prepare a supplemental CAR in the following situations:
When the CRA prepared and released an incomplete CAR, and the CRA later obtains the missing material. The material may consist of exhibits, translation of exhibits, or transcripts of oral hearings.
When portion(s) of a CAR are illegible, and the CRA supplements the CAR with copies that have been retyped, traced, or are more legible.
When a portion of testimony in the transcript of an oral hearing was inaudible or was not transcribed. The court may direct the Commissioner to supplement the CAR with a new transcript of that portion of the hearing testimony after audit of the recording.
When a document was inadvertently omitted from the original CAR.
When some pages were omitted from the CAR because of an error in the printing process. Omissions noticed by OGC before the CAR is filed with the court may be corrected by photocopying the omitted pages and interfiling them in the original CAR.
When a case is a sentence six remand, but only at the request of OGC or the court.
The CRA will not prepare an index for a supplemental CAR consisting of one document; however, those comprised of more than one document must have an index.
The CRA will number a supplemental CAR by continuing the sequence started with the original CAR. For example, if the original CAR ended with page 201, the first page of the first document in the supplemental CAR will be page 202.
2. Example Language for a Supplemental CAR
The language in a supplemental CAR varies depending upon the situation. The following examples do not cover all situations the CRA may encounter in the preparation of supplemental CARs. If the supplemental certification deviates from one of these examples, the CRA will submit it to the branch chief for approval.
Supplemental CARs may consist of material that was not available when the original CAR was prepared. The language below is used if the supplemental CAR includes:
One exhibit or document:
… hereby certifies that the document annexed hereto is a true copy of Exhibit [number], a medical report from [source], dated [date], which was not available when the administrative record in the case of [claimant's name] was certified on [date].
More than one exhibit or document:
… hereby certifies that the documents annexed hereto are true copies of Exhibits [numbers], described on page [page number] herein, which were not available when the administrative record in the case of [claimant's name] was certified on [date].
Transcript of oral hearing:
… hereby certifies that the document annexed hereto is a true and accurate transcript of the oral hearing held on [date], which was not available when the administrative record in the case of [claimant's name] was certified on [date].
Translation of document:
… hereby certifies that the pages annexed hereto consist of a duplicate copy of Exhibit [number], and the translation thereof, which was not available when the administrative record in the case of [claimant's name] was certified on [date].
Certifications of supplemental CARs may need to correct other deficiencies. The language below is used if the supplemental CAR needs a:
Corrected transcript of oral hearing:
… hereby certifies that the document annexed hereto is a true and corrected transcription of the testimony taken at the hearing held on [date], in the administrative record in the case of [claimant's name], certified on [date].
Best typed copies or more legible copies:
… hereby certifies that the documents annexed hereto are true and accurate copies of Exhibits [numbers], described on page [page number] herein, which were illegible in the administrative record in the case of [claimant's name], certified on [date].
Documents omitted from administrative record by CRA:
… hereby certifies that the document annexed hereto is a true and accurate copy of a letter from the claimant's attorney to the Appeals Council dated [date], which was inadvertently omitted from the administrative record in the case of [claimant's name], certified on [date].
Pages omitted in printing:
… hereby certifies that the documents annexed hereto are true and accurate copies of pages [page numbers], which were inadvertently omitted from the administrative record in the case of [claimant's name], certified on [date].
E. Special Certifications
Special certifications must be signed by the Court Case Preparation and Review Branch (CCPRB) chief and affixed with a seal. The CRA uses these certifications when the CCPRB receives a request for certified copies of documents that are usually not part of the record or when a request is made for documents involving a case in which a civil action has not yet been filed. Examples of documents formally certified are award letters, information from the Office of Earnings Operations, etc. Special certifications are used to authenticate documents (e.g., when the claimant's attorney requests certified copies of documents that are part of Social Security Administration files).
The CRA will assemble the requested documents and prepare the certification. The certification sheet on all copies (except the file box copy) will be a photocopy of the original that bears the seal. The CCPRB chief initials the file box copy of the certification. The CRA will send an original and four copies to OGC with a covering transmittal on form HA-505, Transmittal By Office of Disability, Adjudication, and Review. Copies of all documents being certified should be attached to the file box copy of the certification and to all other copies of the certification.
F. Equal Access to Justice Act Cases
Equal Access to Justice Act Cases are partially or fully favorable cases in which the civil action and litigation cover the amount of the appointed representative's fee. See HALLEX I-4-9-35. There are rare instances when a CAR may be required in these cases because the claim can be taken to court following an award of benefits at any level. Consequently, construction of the transcript varies depending on the level of the appeals process at which the claimant was granted benefits. The CRA will consult with the CCPRB chief for guidance on construction of the record. The CRA will release these cases in the same manner as any routine new court case.
G. Declaration Cases
In some instances, the court may not grant the Commissioner's motion for dismissal and will order that a transcript be submitted into the record. The CRA will prepare and distribute these cases in the same manner as any routine new court case.