I-4-2-40.Special Situations

Last Update: 6/26/23 (Transmittal I-4-93)

There are certain cases that require the court legal assistant to perform special processing. This section sets forth the guidelines for processing cases in these special situations. For guidance on 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, “C” to the third set, etc. In these cases, the court legal assistant 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 order on the current exhibit list. The index must include all procedural documents related to the current request for hearing.

NOTE:

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 court legal assistant will construct the record in the same format as the format used for individual cases, except for the certification. When the case involves multiple named litigants, the court legal assistant will prepare a separate transcript for each named litigant. In both instances, the court legal assistant will use a certification that includes the name 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 a State within 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 certified administrative record (CAR) must contain certain documents to ensure that the Federal court will be able to determine whether the ALJ's order was justified. The court legal assistant will assign the case to a a Court Case and Preparation Review Branch (CCPRB) analyst to review whether the dismissal was appropriate. If the analyst believes the ALJ's dismissal is defensible and the claimant has court litigation rights, the analyst will identify the documents that will be included in a limited CAR. In these cases, the AC will prepare a limited CAR as set forth in HALLEX I-4-2-10.

D. Modified or Supplemental CAR

1. Guidelines for a Modified or Supplemental CAR

If a CAR is filed with the court, any subsequent certification is referred to as a modified or supplemental CAR. A modified CAR is prepared when CCPRB staff remove and/or replace information from the CAR. A court legal assistant will prepare a modified CAR in the following situation:

  • When portion(s) of a CAR are illegible, and the court legal assistant supplements the CAR with copies that have been retyped or traced, or that are more legible.

A supplemental CAR is prepared when CCPRB staff add information to the CAR. A court legal assistant will prepare a supplemental CAR in the following situations:

  • When the court legal assistant prepared and released an incomplete CAR, and the court legal assistant later obtains the missing material. The material may consist of exhibits, translations of exhibits, or transcripts of oral hearings.

  • 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 a new audit of the recording. For guidance on auditing a hearing, see HALLEX I-4-1-15 and I-4-2-15.

  • When a document was inadvertently omitted from the original CAR.

  • At the request of OGC or the court, when a case is a sentence six remand.

NOTE 1:

The court legal assistant will prepare an index for a supplemental CAR.

NOTE 2:

The court legal assistant 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 Modified or Supplemental CAR

The language in a modified or supplemental CAR varies depending upon the situation. The following examples do not cover all situations the court legal assistant may encounter in the preparation of supplemental CARs. If the supplemental certification deviates from one of these examples, the court legal assistant 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], which was not available when the administrative record was certified on [date].

  • More than one exhibit or document:

    … hereby certifies that the documents annexed hereto are true copies of Exhibits [numbers], which were not available when the administrative record 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 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 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 accurate copy of the transcript of the hearing held on [date], which was [inadvertently omitted from the administrative record] [unavailable when the administrative record was ] certified on [date].

  • Documents omitted from administrative record by the court legal assistant:

    … hereby certifies that the document annexed hereto is a true and accurate copy of [describe document, e.g., a letter from the claimant's attorney to the Appeals Council] dated [date], which was inadvertently omitted from the administrative record 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 certified on [date].

The language in a modified CAR varies depending upon the situation. The following examples do not cover all situations the court legal assistant may encounter in the preparation of modified CARs. If the modified certification deviates from one of these examples, the court legal assistant will submit it to the branch chief for approval.

The language below is used if the modified CAR corrects:

  • Best typed copies or more legible copies:

    … hereby certifies that the documents annexed hereto are true and accurate copies of Exhibits [numbers], which were illegible in the administrative record certified on [date].

  • Personally identifiable information:

    … hereby certifies that the documents annexed hereto constitute a full and accurate transcript of the entire record of proceedings relating to this case. Exhibit [numbers], page [numbers], which was included in the record certified on [date], has been redacted, as it pertains to a different individual.

  • The civil action number:

    … hereby certifies that the documents annexed hereto constitute a full and accurate transcript of the entire record of proceedings relating to this case. This certification amends the civil action number included in the record certified on [date].