I-4-1-56.Certification of the Administrative Record

Last Update: 9/13/05 (Transmittal I-4-15)

A. General

The CCPRB Chief must certify the administrative record prior to release for printing. The CRA is responsible for determining and completing the appropriate certification of the record, as well as the copy requirements. After the CRA assembles, numbers and properly indexes the record, the necessary information is entered on the appropriate certification form, and the completed certification with the branch chief's signature is then generated.

Certifications are ready for release with the record after being signed and after the Official 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 Commissioner of Social Security. Use the standard certification on all complete new court case records (see I-4-1-94).

2. Substitute Parties

If a substitute party files the court action; e.g., a widow, an executor of the estate, or someone filing or acting on behalf of a 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 pursuing the claim while it was under the jurisdiction of SSA, the substitute party also appears on the index heading.

3. Reconstructed Records

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

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

4. Incomplete Records

If a record is not complete, it is not a “full and accurate” record of proceedings relating to the claim under litigation. When the record is incomplete, the CRA must use a modified certification (see I-4-1-95) and footnote any missing materials on the index to the record, as well as in the record where the missing document or other material appeared. Such deficiencies may include: missing exhibits pertaining to the current claim, missing transcript of oral hearing, missing translation, and “inaudible portions” in the transcript of oral hearing which are significant in length or are the result of equipment malfunction. The CRA must consult the OS 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).

CRA will not place a footnote on the index.

5. Supplemental Records

The CRA must prepare a special certification for any supplemental record prepared to correct a deficiency in the original record (see I-4-1-58 E).

The samples provided in section I-4-1-58 E. do not cover all of the situations that the CRA may encounter in preparing certifications for supplemental records. If the CRA encounters any situation which deviates from the samples, the case must be submitted to the OS for approval.