I-4-1-55.Numbering and Indexing the Administrative Record

Last Update: 12/1/14 (Transmittal I-4-35)

A. Numbering the Administrative Record

After all material in the administrative record is assembled and in proper order, the court records assistant (CRA) must number all pages in the upper right hand corner starting with the first page of the exhibit list. The CRA must:

  • Ensure that all page numbers are dark and clear;

  • Place page numbers approximately 1 inch from the top and right side of the page (this will prevent deletion of the page numbers during reproduction);

  • Stamp the page number over printing or writing in rare instances, but the CRA must avoid this whenever possible;

  • Identify pages that are unnumbered, by oversight, as an “A,” “B,” etc. page (show these pages on the index to the record and include them in the total page count for the record);

  • Number both sides of any document in the record that refers to the “reverse side.” This includes: notice of hearing, notice of representative appointment, the initial determination letter, and form letters to vocational experts or medical experts;

  • Place white tape on the page and then place the numbers on the tape, when it is necessary to place a page number on a dark background (for example, part of the Medical History and Disability Report (Form SSA-3368-BK) is shaded green. Because page numbers will not show up well if stamped directly onto this green area, the CRA must place the number on white tape); and

  • Place lines through the old page number and renumber the page, when the page numbers from prior administrative records are in a current administrative record.

B. Indexing the Administrative Record

1. General

The index to the administrative record is simply a list of each item in the record and its location. The CRA does not prepare the index until all of the material is assembled, and all of the pages are numbered. The index generally shows the following items in sequence:

  • Exhibit list;

  • Procedural material in reverse chronological order (starting with the most recent dated item and ending with the earliest dated item);

  • The transcript of the oral hearing (which appears out of date order); and

  • Exhibits.

2. Index Guidelines

In preparing the index, the CRA must:

  • Number the index page at the bottom with “(i)” or “(ii)” for the second page, and date in the lower left hand corner should correspond to the date of certification of the record. If an index has two pages, the CRA should type the claimant's name and account number on the second page in the same fashion used on the first page of the index.

  • Describe each document in the index accurately, e.g., attorney's brief, request for reopening, request for extension of time to submit additional evidence, request for additional time to file civil action, deposition of Dr. _______, statement of claimant, request for postponement of hearing, etc. Letters transmitting specific documents are a part of the document they transmit and require no separate entry.

  • Use the word “correspondence” only to describe letters not categorized specifically as part of a legal document or that are of little significance.

  • List the document in the appropriate place on the index, with the date and the notation, when the administrative law judge or Appeals Council makes a procedural document (such as a request for hearing) an exhibit.

  • Consider the acknowledgment date (when shown) on documents such as the request for hearing and the request for review, as the date of the request; otherwise, use the date the form was completed.

  • Prepare only one copy of the index and check that no items are missing; that the claimant's name and account number and all dates are correct; and that the page numbers run consecutively.

  • Show, on the index heading, the claimant, wage earner, account number(s), and the name of any party acting on behalf of a minor child claimant or deceased or incapable adult claimant (e.g., Mary Doe (Substitute Party) O/B/O John Doe (Deceased) or Mary Doe (Mother) O/B/O John Doe (A Minor Child).