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HALLEX I-4-156
Office of Hearings and Appeals
Social Security Administration (S.S.A.)
Department of Health and Human Services

Volume I
Division IV: Civil Action
Subject: New Court Cases
Chapter: I-4-100

June 30, 1994

Current through June 1997


A. General

The Director, OCA, must certify the administrative record prior to release for printing. The technician is responsible for determining and completing the appropriate certification of the record, as well as the copy requirements. After the technician assembles, numbers and properly indexes the record, he or she types the necessary information on the appropriate certification form, and places it in a tray designated for certifications ready for signature.

When a special certification is necessary, the technician must furnish a draft to the typist or complete a certification request form (see > I-4-159, Exhibit G).

Certifications are ready for release with the record when the original has been signed, the carbon copies have been signature stamped, and the Departmental Seal has been impressed on the original.

B. Certification Guidelines

1. General

The certification heading bears the district, division (if appropriate), claimant, and civil action number as docketed and shown on the complaint. (If the claimant's name is misspelled on the complaint, spell it correctly on the certification.) The defendant will always be the current Secretary of Health and Human Services. Use the standard certification (see > I-4-159, Exhibit H) on all complete new court case records.

2. Substitute Parties

If a substitute party files the court action; e.g., the widow, the executor of the estate, or someone acting on behalf of the claimant, the certification heading must show the name of the plaintiff as the case was docketed in court. However, the index heading to the record shows the name of the claimant. If the substitute party was pursing the claim while it was under the jurisdiction of SSA, the substitute party appears on the index heading also. These procedures also apply when a person files on behalf of another, as well as when there are designated parties-in-interest.

3. Reconstructed Records

When the technician prepares an administrative record from a reconstructed file, the technician must modify the certification to read:

"... full and accurate transcript of the reconstructed record of proceedings ..."

4. Incomplete Records

If a record is deficient and is not a "full and accurate" record of proceedings relating to the claim under litigation, the technician must use a modified certification (see > I-4-159, Exhibit I) and footnote any deficiencies on the index to the record, as well as in the record where the deficiency appears. Such deficiencies may include: missing exhibits pertaining to the current claim, missing transcript of oral hearing, missing translation, "inaudible portions" in the transcript of oral hearing which are significant in length or are the result of equipment malfunction. The technician must consult the operations supervisor to determine whether the preparation of a transcript should be delayed to obtain a missing item.

If the missing item is not pertinent to the litigated claim, the record is certified as "full and accurate." However, the record is footnoted as follows when the missing item is mentioned:

Not pertinent to Title II (or Title XVI).

In this instance, the technician will not place a footnote on the index.

5. Supplemental Records

The technician must use a special certification for any supplemental record prepared to correct a deficiency in the original record (see > I-4-158 E). The technician must furnish the typist with a draft for these special certifications, the language of which varies depending upon the situation necessitating a supplemental record.

The samples provided in section > I-4-158 E. do not cover all of the situations that the technician may encounter in preparing certifications for supplemental records. If the technician encounters any situation which deviates from the samples, he or she must submit the case to the operations supervisor for approval.

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