Revised Medical Criteria for Evaluating Hearing Loss, 30693-30704 [2010-13094]
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Social Security Administration.
Final rules.
AGENCY:
ACTION:
SUMMARY: We are revising the criteria in
the Listing of Impairments (the listings)
that we use to evaluate claims involving
hearing loss under titles II and XVI of
the Social Security Act (Act). The
revisions reflect our adjudicative
experience, advances in medical
knowledge, treatment, and methods of
evaluating hearing loss, and public
comments we received in response to a
Notice of Proposed Rulemaking
(NPRM).
DATES: These rules are effective August
2, 2010.
FOR FURTHER INFORMATION CONTACT: Tiya
Marshall, Social Insurance Specialist,
Office of Medical Listings Improvement,
Social Security Administration, 6401
Security Boulevard, Baltimore,
Maryland 21235–6401, (410) 965–9291.
For information on eligibility or filing
for benefits, call our national toll-free
number, 1–800–772–1213, or TTY 1–
800–325–0778, or visit our Internet Web
site, Social Security Online, at https://
www.socialsecurity.gov.
The electronic file of this document is
available on the date of publication in
the Federal Register at https://
www.gpoaccess.gov/fr/.
2. Amend § 406.9 by revising
paragraph (a) to read as follows:
[FR Doc. 2010–13218 Filed 6–1–10; 8:45 am]
Revised Medical Criteria for Evaluating
Hearing Loss
Electronic Version
■
Issued in Washington, DC, on May 25,
2010.
J. Randolph Babbitt,
Administrator.
RIN 0960–AG20
SUPPLEMENTARY INFORMATION:
Authority: 49 U.S.C. 70101–70121.
§ 406.9
20 CFR Part 404
Background
We are revising and making final the
rules for evaluating hearing loss we
proposed in an NPRM we published in
the Federal Register on August 13, 2008
(73 FR 47103). The preamble to the
NPRM discussed the changes from the
current rules and our reasons for
proposing those changes. To the extent
that we are adopting the proposed rules
as published, we are not repeating that
information here. Interested readers may
refer to the preamble to the NPRM,
available at https://www.regulations.gov.
We are making a number of changes
from the NPRM as a result of public
comments. We explain those changes in
our summary of the public comments
and our responses later in this
preamble.
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30693
Why are we revising the listings for
hearing loss?
We are revising the listings for
hearing loss to update the medical
criteria, provide more information about
how we evaluate hearing loss, and
reflect our adjudicative experience. The
listings for hearing loss are in the
special senses and speech body system,
which also includes listings for visual
disorders, disturbances of labyrinthinevestibular function, and loss of speech.
In the NPRM, we proposed changes only
to the listings for hearing loss and their
accompanying introductory text. We
published final rules revising the
listings for visual disorders in the
Federal Register on November 20, 2006
(71 FR 67037). We intend to separately
publish proposed rules for disturbances
of labyrinthine-vestibular function and
loss of speech.
When will we use these final rules?
We will use these final rules
beginning on their effective date. We
will continue to use the current listings
until the date these final rules become
effective. We will apply the final rules
to new applications filed on or after the
effective date of the final rules and to
claims that are pending on and after the
effective date.1
How long will the rules in the special
senses and speech body system be in
effect?
We are extending the effective date of
the special senses and speech body
system in parts A and B of the listings
until 5 years after the effective date of
these final rules, except we intend to
revise the Disturbance of labyrinthinevestibular function and Loss of speech
listings before then. The rules will
remain in effect only until that date
unless we extend them. We will
continue to monitor the rules and may
revise them before the end of the 5-year
period.
Public Comments on the NPRM
In the NPRM, we provided the public
with a 60-day comment period, which
ended on October 14, 2008. We received
17 public comment letters. The
comments came from national medical
organizations, advocacy groups, a
national group representing Social
1 This means that we will use these final rules on
and after their effective date in any case in which
we make a determination or decision. We expect
that Federal courts will review our final decisions
using the rules that were in effect at the time we
issued the decisions. If a court reverses the
Commissioner’s final decision and remands a case
for further administrative proceedings after the
effective date of these final rules, we will apply
these final rules to the entire period at issue in the
decision we make after the court’s remand.
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Security disability consultants, a
national group representing disability
examiners in the State agencies that
make disability determinations for us,
individual State agencies, and members
of the public.
We provide below summaries of the
significant comments that were relevant
to this rulemaking and our responses to
those comments. We tried to present the
commenters’ concerns and suggestions
accurately and completely.
Some commenters supported the
proposed changes and noted provisions
with which they agreed. We appreciate
those comments, but have not
summarized or responded to them
below because they do not require a
response. Some commenters also sent us
comments on subjects that were
unrelated to the proposed rules; for
example, several commenters suggested
changes to the rules we use to evaluate
claims involving vertigo and speech
disorders. As we have already noted, we
intend to publish a separate NPRM for
disturbances of labyrinthine-vestibular
function and loss of speech.2
Establishing the Existence and Severity
of Impairments That Cause Hearing
Loss
Three commenters thought that our
proposed requirements to establish that
a person has a medically determinable
impairment that causes hearing loss
were unclear. The commenters pointed
out that we referred to both audiometric
testing within 2 months of a complete
otologic examination and ‘‘subsequent’’
audiometric testing. Another commenter
asked whether we would use otoscopy
(a description of the appearance of the
external ear canals and an evaluation of
the tympanic membrane) performed by
an audiologist to establish a medically
determinable impairment.
We agreed with the commenters that
the proposed provisions could have
been clearer and revised and
reorganized proposed 2.00B1 and
102.00B1 in response to these
comments. Proposed (now final) 2.00B1
and 102.00B1 provided information
about two issues regarding evidence
under these listings: How we establish
a medically determinable impairment
that causes hearing loss and how we
establish the severity of that
impairment. We generally require both
a complete otologic examination and
2 While we included the sections on vertigo
associated with disturbances of labyrinthinevestibular function and loss of speech in the NPRM,
we indicated that we were not proposing any
substantive changes. 73 FR at 47104. Although we
are not responding to comments on those sections,
we will consider them as we develop NPRMs for
the disorders they address.
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audiometric testing within 2 months of
the complete otologic examination to
establish a medically determinable
impairment. After that, we do not
require a complete otologic examination
to assess the severity of the hearing loss;
audiometry is sufficient. Otoscopy is
part of the complete otologic
examination, and we require otoscopy
before audiometry to determine if there
are any conditions that would prevent
valid testing.
We will not substitute otoscopy
performed by an audiologist for a
complete otologic examination
performed by a licensed physician
(medical or osteopathic doctor) to
establish a medically determinable
impairment. We also will not use
audiometric testing that was performed
without otoscopy to find that a hearing
impairment meets or medically equals a
listing.
In revising proposed 2.00B1 and
102.00B1 in response to these comments
and a comment we summarize below,
we realized that our proposal to require
both a complete otologic examination
and audiometric testing to establish a
medically determinable impairment
would be unnecessary in some cases.
For example, there are some
impairments, such as congenital
abnormalities, that are clearly
observable by otologic examination. In
the final rules, therefore, we provide
that we ‘‘generally’’ require a complete
otologic examination and audiometry to
establish that you have a medically
determinable impairment that causes
your hearing loss.
Several commenters recommended
that we use audiometric testing
performed more than 2 months from the
complete otologic examination in
determining whether there is a
medically determinable impairment that
causes hearing loss. Some of these
commenters recommended alternative
periods. A commenter also asked
whether a report of audiometry in a
person’s existing medical evidence (that
is, one that we did not purchase by
consultative examination (CE)) would
be acceptable if there were no recent
otologic examination.
We did not adopt these comments
because the proposed (now final) rules
already allow use of audiometric testing
performed more than 2 months from the
date of the otologic examination in
determining whether you have a
medically determinable impairment that
causes hearing loss. The rules provide
that the testing ‘‘should’’ be performed
within 2 months of the complete
otologic examination to allow our
adjudicators to use evidence that is
outside the period in appropriate cases.
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Such cases could include the situation
mentioned by one of the commenters in
which there is properly performed
audiometric testing in a person’s
evidence that is not within 2 months of
an otologic examination. We use the
word ‘‘should’’ in these rules to indicate
our preference and ‘‘must’’ to indicate an
absolute requirement. We prefer the 2month rule because it ensures the most
accurate and reliable findings about the
existence of the impairment.
In the NPRM, we invited the public to
comment on a proposed change to our
prior rule that provided that an
otolaryngologic examination should
precede audiometric testing. The
proposed rules for adults and children
provided that a person could have
audiometric testing either before or after
the complete otologic examination to
establish a medically determinable
impairment. Two commenters
recommended that this audiometric
testing always precede the complete
otologic examination. They indicated
that physicians generally need the
results of audiometric testing to make
comprehensive findings about a
person’s hearing loss. They believed
that such a rule would be more efficient
because a physician would likely order
audiometric testing if he or she did not
already have it.
After considering these comments, we
decided to make final the proposed rule
that allows audiometric testing either
before or after complete otologic
examination. We believe this rule will
provide flexibility for our adjudicators
to establish the existence of a medically
determinable impairment as soon as
practicable. The purpose of the rule is
only to establish the presence of some
medically determinable impairment that
would account for the hearing loss, and
as we explained in the preamble to the
NPRM, there are advantages to
audiometric testing before or after the
otologic examination. In addition, we
realized that, in some cases, we could
establish the medically determinable
impairment based on the otologic
examination alone. As we indicated
above, we made a revision in final
2.00B1 and 102.00B1 to recognize this
possibility.3
Otologic Examinations
A commenter recommended that we
specify that otolaryngologists certified
by the American Board of
Otolaryngology should perform otologic
3 The revision is also consistent with the
statement we made in the NPRM that ‘‘[h]aving the
otologic examination precede the audiometric
testing can help identify conditions that could
interfere with the audiometric testing.’’ 73 FR
47103, 47105 (2008).
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examinations. We partially adopted the
comment by specifying in final 2.00B1b
and 102.00B1b that a licensed physician
(medical or osteopathic doctor) must
perform the complete otologic
examination to establish whether a
person has a medically determinable
impairment. For our purposes, licensed
physicians have the necessary
education, training, and experience to
perform the otologic examination.
One commenter recommended that
we remove from proposed 2.00B1b and
102.00B1b the description of the pinnae
(the outer, visible parts of the ears) from
the requirements for a complete otologic
examination. The commenter believed
that the pinnae do not contribute to
hearing disability. We did not adopt the
comment because abnormalities of the
pinnae are associated with a number of
conditions that affect hearing, and such
abnormalities may be signs of a
medically determinable impairment.
Abnormalities of the pinnae can also
influence how sound waves are directed
to the middle ear.
Another commenter said that our
description of an otologic examination
was incomplete. The commenter said
that otologists do, and should, examine
the nasopharynx, nose, oral pharynx,
mouth, and neck when they evaluate
hearing loss. While we agree that
otologists do examine these areas, we do
not include them in these final rules
because we are describing only findings
that we need to determine whether a
person has a medically determinable
impairment that could cause hearing
loss. A physician does not need to
examine the areas suggested by the
commenter to establish such an
impairment.
Otoscopic Examinations
Two commenters recommended that
we specify who may perform the
otoscopic examination described in
final 2.00B2b and 102.00B2b. We
adopted the recommendation by stating
in 2.00B2b and 102.00B2b that the
medical professional described in final
2.00B1c and 102.00B1c must conduct
the audiometric testing. In addition, in
response to a comment pointing out that
‘‘otoscopic inspection’’ is the term
usually used when audiologists conduct
otoscopic examinations, we explain in
final 2.00B2b and 102.00B2b that our
term ‘‘otoscopic examination’’ includes
‘‘otoscopic inspection.’’ This addition
clarifies that audiologists and other nonphysicians may do the otoscopic
examination that we require before
audiometric testing.
One commenter said that the
requirement for an evaluation of the
tympanic membrane immediately before
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an audiometric examination might add
expense and time to a CE. The
commenter was especially concerned
that, when the otoscopic examination
shows cerumen (earwax), we would
need to ask a physician or audiologist to
remove it before we could continue with
the audiological testing. In particular,
the commenter was concerned about
cerumen that only partially obscures the
view of the tympanic membrane. The
commenter said that this condition does
not necessarily equate to invalid
audiometric testing. We agree that
cerumen can, but does not always,
interfere with audiometric testing, and
we will rely on the person who
conducts the test to decide whether to
remove cerumen. We will address this
issue in our internal operating
instructions.
Audiometric Testing
One commenter recommended that
we clarify the provision in proposed
2.00B1d and 102.00B1d (final 2.00B1c
and 102.00B1c) that permitted
audiometric testing by a non-audiologist
‘‘under the supervision of’’ an
otolaryngologist. The commenter
recommended that we require nonaudiologists to conduct testing only
under ‘‘direct’’ supervision, in
accordance with Medicare regulations
requiring the physician to be present in
the office suite when the service is being
performed and to assist if necessary. We
adopted the recommendation. We will
provide guidance to our adjudicators on
how to apply the rule in our
instructions and training.
Two commenters recommended that
we accept the results of audiometric
testing conducted independently by
hearing aid specialists—also called
Hearing Instrument Specialists (HIS)—
in addition to the professionals
described in proposed 2.00B1d and
102.00B1d. We did not adopt this
comment because the educational and
other qualifications required for
licensure or certification as an HIS are
less comprehensive than those of
otolaryngologists and audiologists and
can vary from place to place. Therefore,
we cannot be assured that all HISs
would have the expertise needed to
independently perform the audiometric
testing we require under these listings.
If an HIS conducts the testing under the
direct supervision of an
otolaryngologist, the evidence would be
acceptable audiometric testing both for
establishing a medically determinable
impairment and for assessing its
severity. We may also consider an HIS’
evidence when we assess severity in the
same way that we consider evidence
from other sources who are not
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30695
acceptable medical sources as defined
in §§ 404.1513(d) and 416.913(d) of our
regulations and Social Security Ruling
(SSR) 06–3p.4
Another commenter recommended
that we accept the results of audiometric
testing conducted solely by clinical
audiologists. We did not adopt this
comment because otolaryngologists
have the requisite education, training,
and experience to perform and
supervise the audiometric testing we
require.
A few commenters questioned our
requirement in proposed 2.00B2a and
102.00B2f(i) for audiometric testing in a
soundproof booth. Some of these
commenters suggested we revise our
rules to require testing in a soundtreated booth or room. We agreed with
these commenters and made this change
in final 2.00B2a and 102.00B2f(i).
One commenter noted that several
types of sound are used for audiometric
testing in a sound field. The commenter
also noted that air and bone conduction
testing is not sound field testing and
asked us to clarify the type of sound that
we require for air and bone conduction
testing. The type of sound used for air
and bone conduction testing is referred
to as ‘‘pure tone’’ sound. Our rules
require that air and bone conduction
testing be conducted in accordance with
the most recently published standards
of the American National Standards
Institute (ANSI). Those standards
describe the type of sound that should
be used. Therefore, we do not believe it
is necessary to specify the type of sound
used.
One commenter asked us to clarify
how we would evaluate tests that report
a vibrotactile (VT) response, rather than
a hearing response, at 500 Hertz (Hz)
during bone conduction testing, or no
response at one or more frequencies
during air or bone conduction testing. A
VT response may occur during bone
conduction testing when the person
does not have an auditory response but
perceives the sensation from the
oscillator; we consider a VT response to
be a ‘‘no response.’’ To address this
issue, we added guidance in final
2.00B2c, 102.00B2c(ii), 102.00B2d(ii),
102.00B2e(ii), and 102.00B2f(ii). In the
final rule, we now clarify that when
there is no response at one or more
frequencies during air or bone
conduction testing, we will use 5 dB
4 SSR 06–3p: Titles II and XVI: Considering
Opinions and Other Evidence from Sources Who
Are Not ‘‘Acceptable Medical Sources’’ in Disability
Claims; Considering Decisions on Disability by
Other Governmental and Nongovernmental
Agencies, 71 FR 45593 (2006), also available at:
https://www.socialsecurity.gov/OP_Home/rulings/di/
01/SSR2006–03-di-01.html.
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over the limit of the audiometer used for
the test to compute the average
threshold.
One commenter indicated that our
definition of speech reception threshold
(SRT) in proposed 2.00B2d and
102.00B2f(iii) was not entirely correct.
The commenter stated that SRT is the
minimum dB level required to recognize
‘‘spondee words 50 percent of the time,’’
not ‘‘the minimal decibel (dB) level
required * * * to recognize a standard
list of words.’’ 5 The commenter also
recommended that we replace the term
‘‘speech reception threshold’’ with
‘‘spondee threshold’’ to ensure
standardization of testing material. We
agreed with the first comment and
revised the definition of SRT in final
2.00B2d and 102.00B2f(iii) accordingly.
We also added a parenthetical statement
in final 2.00B2a and 102.00B2f(i)
explaining that SRT is also called
‘‘spondee threshold’’ or ‘‘ST.’’ We did not
change the term SRT because it is the
more common name for this type of
testing, and we believe our adjudicators
are more likely to see it in the medical
evidence.
One commenter recommended that
we require certain specific Department
of Veterans Affairs’ recordings of 50word lists, presented at 70 dB in quiet,
for measuring the word recognition
ability of persons with hearing loss not
treated with cochlear implantation.
Another commenter also recommended
that, for children, the word list should
be appropriately normed. We did not
adopt the first recommendation because
there are several appropriate tests
available to measure a person’s word
recognition ability, and we want to
provide our adjudicators with flexibility
in obtaining this evidence to determine
disability. We adopted the suggestion to
provide that word lists for children
must be appropriately normed. In the
NPRM, we said that the lists must be
‘‘standardized.’’ We intended this word
to include the idea that the tests must
be appropriately normed for age.
However, to be clearer, we are adding
the words ‘‘age-appropriate’’ in response
to this comment.
One commenter asked us to clarify
whether the word recognition testing in
proposed 2.00B2e and 102.00B2f(iv)
should be done using live presentation
or recorded material. Another
commenter suggested we require testing
with recorded material, unless there is
documentation indicating why live
presentation was necessary. In the
proposed rules, we did not specify the
method of presentation because we will
5 Spondee words, such as ‘‘baseball’’ and
‘‘airplane,’’ have equal stress on each syllable.
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accept either method; however, we
added text to final 2.00B2e and
102.00B2f(iv) to clarify this intent.
Although word recognition testing
usually uses recorded material, we do
not believe that the method of
presentation will affect our ability to
determine whether a person has a
listing-level hearing loss. Therefore, we
did not adopt the second comment.
Two commenters recommended that
we require word recognition testing
conducted with background noise, not
only in quiet (see final 2.00B2e,
2.00B3b, 102.00B2f(iv), and 102.00B3b).
These commenters also recommended
that the words be presented at a normal
conversational level. We did not adopt
the comments. We require testing under
optimal circumstances (that is, in quiet
and at a level of amplification that
allows us to measure a person’s
maximum ability to discriminate words)
to ensure that the impairment is of
listing-level severity.
One commenter suggested that we
replace the term ‘‘amplification level’’ in
proposed 2.00B2e and 102.00B2f(iv)
with ‘‘presentation level.’’ The
commenter asked whether we require
that word recognition testing be done at
the ‘‘phonetically balanced maximum’’
(PB Max), which the commenter
believed is equivalent to the ‘‘most
comfortable level’’ (MCL). Another
commenter recommended that we use
the term ‘‘supra-threshold’’ instead of
specifying the level of amplification we
require for word recognition testing.
We did not adopt the first suggestion
because we believe that ‘‘amplification
level’’ describes more precisely the test
parameters we require for word
recognition testing. With respect to the
second comment, we note that PB Max
and MCL are not the same. PB Max is
the hearing level at which the maximum
percentage of words is correctly
repeated during testing with a list of
phonetically balanced monosyllabic
words, such as ‘‘chew’’ and ‘‘knees.’’ It
may not be the listener’s MCL, which is
the hearing level at which speech is
most comfortable for the listener. As we
indicate in final 2.00B2e and
102.00B2f(iv), the words must be
presented at a level of amplification that
will measure a person’s ‘‘maximum
ability’’ to discriminate words, usually
35 to 40 dB above the SRT. This level
of amplification is often a person’s PB
Max; when it is not, it is still sufficient
for us to determine whether there is
listing-level hearing loss. However, in
response to this comment, we clarified
in final 2.00B2e and 102.00B2f(iii) that,
if a person cannot be tested at 35 to 40
dB above his or her SRT, the person
who performs the test should report the
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word recognition testing score at the
highest comfortable level of
amplification. We did not adopt the
comment to refer to testing at 35 to 40
dB above the SRT as ‘‘supra-threshold’’
testing because we prefer to specify our
criteria for word recognition testing.
We received several comments about
acoustic immittance assessment (AIA),
that is, a tympanogram and acoustic
reflex testing. In the proposed rules, we
required an AIA for children from birth
to the attainment of age 5. One
commenter recommended that we
require an AIA for adults to rule out
conductive pathology, which is
amenable to treatment, and to aid in
detecting situations in which a person
may be feigning a serious hearing loss.
Another commenter questioned our
proposal to require an AIA for children
because listing 102.10A uses only air
conduction thresholds. A third
commenter recommended that we
require high-frequency tympanometry
for children under age 5 months.
We did not adopt the comment to
require an AIA for adults because the
bone conduction criterion in final
listing 2.10A ensures that there is a
significant sensorineural component to
the hearing loss. Sensorineural hearing
loss results from permanent damage to
the inner ear or to the nerve pathways
from the inner ear to the brain. Persons
with the degree of sensorineural hearing
loss required in final listing 2.10A do
not usually obtain significant
improvement with hearing aids. We also
believe that an AIA is unnecessary to
detect deception because the
professionals referenced in final
2.00B1c who may conduct audiometric
testing are trained to detect whether a
person is feigning hearing loss and to
recognize test results that may suggest
such deception. We agreed with the
second commenter that we do not need
an AIA to determine disability for
children under age 5 and did not
include it in final 102.00B2c(i),
102.00B2d(i), and 102.00B2e(i). We
proposed to require an AIA for these
children to identify conditions that
would prevent valid audiometric
testing. However, the otoscopic
examination we require will detect any
conditions revealed by AIA. Since we
removed the requirement for an AIA for
children under age 5 we are not
adopting the third comment.
Two commenters recommended that
we require audiologists who conduct
audiometric testing for us to complete
hearing checklists recommended in a
2005 National Research Council report
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(‘‘NRC report’’).6 The commenters said
the checklists would ensure the quality
of the data collected and provide useful
information for evaluating disability at
later steps in the sequential evaluation
process. We considered these checklists
at the time we developed the proposed
rules and determined we did not need
them. We believe we have adequately
specified in these final rules the
information we need to evaluate
whether a person’s hearing impairment
meets or medically equals one of the
hearing listings. Finally, we also specify
qualifications for audiologists that will
ensure the quality of the data they
collect.
WReier-Aviles on DSKGBLS3C1PROD with RULES
Issues Specific to Audiometric Testing
of Children
One commenter recommended that
we should strongly prefer audiometric
testing by an experienced pediatric
audiologist when evaluating hearing
loss in children. While we generally
agree with the comment, we did not
make any changes in the final rules
because we do not believe it is
necessary to include this guidance in
the regulations. We have a general
preference for obtaining evidence from
appropriate specialists in childhood
cases, and we believe that our internal
operating instructions are sufficient for
this purpose.7
One commenter recommended that
we reference the American Academy of
Audiology’s pediatric protocols for
audiological evaluation of children. We
did not adopt the comment because we
believe the audiometric testing we
require in these final rules is sufficient
for evaluating hearing loss in children.
Two commenters wrote about our
statement in proposed 102.00B2a that
we would not purchase physiologic
hearing tests for children and would
instead consider ‘‘other evidence’’ when
such testing was not done or when it
was done, we could not obtain the
results. One of these commenters
requested clarification of what ‘‘other
evidence’’ we would consider and asked
whether we may purchase physiologic
testing that does not require sedation.
The other commenter stated that
physiologic testing would be necessary
for infants, some toddlers, and some
children with certain developmental
disorders that preclude participation in
6 National Research Council (NRC): Committee on
Disability Determination for Individuals with
Hearing Impairments. (2005). Hearing Loss:
Determining Eligibility for Social Security Benefits.
Action Recommendation 4–5. (Complete citation at
73 FR at 47110.)
7 See, for example, Program Operations Manual
Systems (POMS) DI 25205.015, available at:
https://secure.ssa.gov/apps10/poms.nsf/lnx/
0425205015!opendocument.
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behavioral testing. This commenter also
recommended that we should use all
information gathered during testing to
evaluate functioning if the impairment
does not meet or medically equal a
listing.
When we evaluated these comments,
we determined that our guidance in
proposed 102.00B2a was unclear and
contrary to our intent because it implied
that a hearing impairment could meet
listing 102.10 without physiological or
behavioral testing. The proposed
guidance was not for determining
whether hearing loss met a listing; we
intended it to apply only to evaluations
of medical and functional equivalence.
To clarify that listing 102.10 requires
physiologic testing, we removed the
word ‘‘generally’’ from proposed
102.00B2a and removed the proposed
guidance indicating that we will
evaluate a person’s hearing loss based
on other evidence in the case record.
We also removed unnecessary and
potentially confusing language in
102.00B2a. In the proposed rules, we
said that we would use other evidence
when physiologic testing had not been
done or we could not obtain the results
of testing that had been done. However,
there was a third possibility: We have
the results of physiologic testing, but we
need new testing. Since our intent was
only to say that we would not purchase
physiologic testing, we simplified the
rule to say just that. This rule applies
regardless of whether such testing
requires sedation.
We did not adopt the comment that
recommended we use all information
gathered during testing to evaluate
functioning if the impairment does not
meet or medically equal a listing. We
already use all of the relevant
information we gather in connection
with testing when we determine
whether a child’s impairment(s)
functionally equals the listings. We have
other rules that explain how we
consider medical and other evidence
when we evaluate a child’s functioning.
See §§ 416.924a and 416.926a, and SSR
09–2p.8
One commenter recommended that
we require otoacoustic emissions (OAE)
testing in addition to the physiologic
testing we required in proposed
102.00B2c(i) for children from birth to
the attainment of age 6 months to
identify children with auditory
dyssynchrony or auditory neuropathy.
Another commenter pointed out that,
when testing indicates that an infant
8 SSR 09–2p: Title XVI: Determining Childhood
Disability—Documenting a Child’s ImpairmentRelated Limitations, 74 FR 7625 (2009), also
available at: https://www.socialsecurity.gov/
OP_Home/rulings/ssi/02/SSR2009–02-ssi-02.html.
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may have auditory neuropathy (that is,
normal OAE but no response on
Auditory Brainstem Response (ABR)
testing), we should presume the child
disabled until it is possible to perform
age-appropriate behavioral testing,
generally by age 6 months. We did not
adopt these comments. Test results
showing normal OAE, but no response
on ABR testing are uncommon and
nearly always involve children who
have other impairments that we would
find disabling under the criteria of a
listing in another body system. We will
evaluate the small number of children
who do not have such other
impairments on an individual basis. If
we cannot make a fully favorable
determination in those cases, we will
defer them until the child is age 6
months and can participate in
behavioral testing.
One commenter suggested that it
would be helpful to list some of the
other types of physiologic testing—such
as Brainstem Auditory Evoked Response
(BAER)—in addition to ABR testing. We
did not adopt the recommendation. We
cite only the ABR because, as the
commenter noted, ABR testing is the
most commonly used physiologic test
and is the one that adjudicators are most
likely to see.
One commenter recommended that
we determine the pure tone air and bone
conduction thresholds in children by
testing at 3000 Hz in addition to 500,
1000, 2000, and 4000 Hz. We did not
adopt the comment because, as we
explained in the NPRM,9 our
adjudicative experience has shown that
testing is often not done at 3000 Hz.
Moreover, several commenters on the
April 13, 2005, Advance Notice of
Proposed Rulemaking 10 recommended
that we remove the current requirement
to test at 3000 Hz. We agreed with those
commenters and believe the findings we
require in these final rules are adequate
for our purposes.
One commenter noted that we
provided in proposed 102.00B2g that we
can consider normal results from
hearing screening tests, such as OAE, to
determine that a child’s hearing loss is
not ‘‘severe’’ when these test results are
consistent with the other evidence in
the case record. The commenter asked
whether we could use normal results
from a pure tone screen by a speechlanguage pathologist in the same way.
We can use such evidence in the same
way as other screening tests. In response
to this comment, we revised the
guidance in final 102.00B2g to include
9 73
FR 47107 (2008).
FR 19353 (2005).
10 70
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pure tone testing as a type of screening
test.
Validity of Audiometric Testing
One commenter commented on our
proposed requirements for otoscopic
examination together with pure tone
average and SRT testing to document
the validity of audiometry and
suggested that we instead require only
a statement of reliability, validity, or
inter-test reliability. The commenter
believed that such a statement would
also cover issues such as patient
cooperation and the attention of a child.
We partially adopted the comment:
We do not consider test results in
isolation. Therefore, in response to this
comment and another comment we
describe later, we added a sentence in
final 2.00B1a and 102.00B1a stating that
we will consider your test scores
together with any other relevant
information we have about your
hearing, including information from
outside of the test setting. This is our
basic policy for considering any test
results.
In final 2.00B2b and 102.00B2b, we
provide that the person who performs
the audiometry should report on any
factors in addition to the factors
observable on otoscopy that can affect
the interpretation of the test results. As
this commenter suggested, we used
patient cooperation as an example in the
adult rule and a child’s ability to
maintain attention as an example in the
childhood rule. It is common practice to
report such observations, so the
provisions in the final rules will not be
an additional burden on our CE
providers. We also expect to find such
observations in existing reports of
audiometric testing.
We did not adopt the general
statement the commenter suggested,
because general statements about
reliability and validity are too vague to
assure us that the results of audiometric
testing are reliable and valid.
One commenter asked whether
adjudicators must reject the results of all
audiometric testing when the person’s
SRT is not within 10 dB of the average
pure tone air conduction thresholds at
500, 1000, and 2000 Hz. In proposed
2.00B2d and 102.00B2f(iii), we
indicated only that the reason for such
a discrepancy should be documented.
Another commenter suggested that we
highlight or strengthen the guidance in
these sections. In response to these
comments, we revised the guidance in
final 2.00B2d and 102.00B2f(iii) to
explain that, if we cannot determine a
medical basis for the discrepancy we
will not use the results of the testing to
determine that a person’s hearing loss
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meets the listing. We also clarified that
we require an explanation of the
discrepancy, by using ‘‘must’’ in the final
rule instead of the proposed ‘‘should.’’
Two commenters recommended that
we require a check of the cochlear
implant before testing to ensure that it
is turned on and functioning properly.
One of these commenters also
recommended that we require
corroborating behavioral evidence that
correlates with the Hearing in Noise
Test (HINT) results to ensure the
validity and reliability of the testing. In
the NPRM, we said that word
recognition testing ‘‘must be conducted
in quiet in a sound field with your
implant adjusted to your normal
settings.’’ 11 We intended this
requirement to include verification that
the person’s cochlear implant is turned
on and functioning properly. However,
to be clearer, we added in final 2.00B3b
and 102.003B3b a requirement that the
person’s implant must be functioning
properly. In response to the second
comment and another comment we have
already described, we added sentences
in final 2.00B1a and 102.00B1a
providing that we consider test results
together with all relevant evidence in
the case record.
Issues Regarding Audiometric Testing of
Persons Who Are Not Fluent in English
Several commenters responded to our
request in the NPRM for suggestions
about other methods we could use to
evaluate the word recognition ability of
persons who are not fluent in English.12
One commenter noted that our proposed
rules did not recognize recorded speech
testing in foreign languages. As we have
already noted in response to an earlier
comment, we accept word recognition
testing using recorded material, and that
includes recorded material in a foreign
language. While considering this
comment, however, we noticed that we
inadvertently omitted requirements for
word recognition testing when a person
is not fluent in English from the
proposed rules, although we included
the requirements in the preamble to the
NPRM.13 We have included the omitted
text in the final rules. As in the
preamble to the NPRM, the final rules
explain that testing of a person who is
not fluent in English should be
conducted using an appropriate word
list for the language in which the person
is most fluent, and the person
conducting the testing should be fluent
in the language used for the test.
11 73
FR at 47111.
FR at 47106.
13 73 FR at 47105–06.
12 73
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Another commenter suggested that we
consider a person’s contact with treating
sources, other health care professionals,
and other third parties, such as past
employers, to see whether the person is
able to communicate with them either
directly or through the use of an
interpreter. We did not add this
guidance. In some cases, the persons
referenced by the commenter are
already included in the clause ‘‘other
persons who speak the language in
which you are the most fluent’’ in final
2.00B4 and 102.00B4. In other cases, we
do not need to consider the person’s
ability to communicate with such
persons when we evaluate word
recognition ability under the final
listings.
A third commenter approved of our
guidance in proposed 2.00B4 and
102.00B4 regarding word recognition
testing for a person who is not fluent in
English, but thought it might be difficult
to obtain the testing we need. We
understand this concern and to address
it include the guidance in final 2.00B4
and 102.00B4 concerning medical
equivalence.
Another commenter recommended
that we include physiologic testing,
such as frequency-specific evoked
potentials, for persons who do not speak
English. We did not adopt this
suggestion because this testing does not
test word recognition ability.
One commenter noted that, while the
HINT is available in 12 languages, our
requirement that a person who performs
audiometric testing ‘‘must be fluent’’ in
the claimant’s native language would
create a problem for obtaining the test.
As we explained above, the person
administering the test ‘‘should’’ be fluent
in the language. We do not have an
absolute rule that the person who
administers the test must be fluent in
the language, although that is our
preference. We also provide that the
inability to measure a person’s word
recognition ability means only that his
or her hearing impairment cannot meet
final listing 2.11B or 102.11B. If a
person with a severe impairment(s) has
difficulty understanding words in the
language in which he or she is most
fluent and we are unable to measure his
or her word recognition ability, we will
consider whether the degree of
difficulty (either alone or in
combination with another
impairment(s)) medically equals final
listing 2.11B or 102.11B. If not, we
consider the person’s difficulty
understanding words when we assess
residual functional capacity for adults
or functional equivalence for children.
One commenter suggested that we
should acknowledge in the childhood
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listings that the ‘‘speech education and
articulation’’ of children in bilingual or
multilingual environments differs from
those of children in monolingual
environments. The commenter believed
that most speech tests conducted for
children who are bilingual or
multilingual would be invalid. We did
not adopt this comment. We agree that
children who are bilingual or
multilingual do not always develop in
the same way as children who are
monolingual, but we do not agree that
all speech testing of such children is
invalid. Moreover, we do not rely on
test scores alone, but consider all of the
relevant evidence when we evaluate a
child’s functioning. See
§ 416.924a(a)(1)(ii).
Listing Criteria for Hearing Loss Not
Treated With Cochlear Implantation
We received several comments about
the criteria in proposed listings 2.10 and
102.10. One commenter said that we
should change the criteria in listings
2.10B and 102.10B2 from a word
recognition score of 40 percent or less
in the better ear to a score of 70 percent
or less. Another commenter noted that
our proposed listings did not address
the variability in word recognition
scores, that is, that a score higher than
40 percent might not be statistically
different from a score of 40 percent or
less. Some commenters also
recommended various changes to listing
102.10A. They recommended that we:
• Use the average air conduction
threshold criteria in Table 7–2 of the
NRC report;
• Use the speech and language
criteria in Tables 7–2 and 7–3 of the
NRC report;
• Change the criterion for children
from birth to age 5 in proposed listing
102.10A to 25–30 dB, and use the same
criterion for children ages 5–12; and
• Use an unaided air conduction
threshold of 50 dB for children ages 12–
18.
We did not adopt any of these
suggestions because we believe they
would require us to find some adults
and children who do not have listinglevel impairments disabled under the
listings. We set the levels of hearing loss
in these final rules for adults and
children at levels that reflect very
serious hearing loss; we use the listings
only to deem persons disabled without
considering any other factors that may
contribute to their inability to work or
to function age-appropriately in the case
of children. It is important to remember,
however, that we do not deny benefits
to anyone solely because his or her
impairment(s) does not meet a listing.
We may still find that a person’s
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impairment(s) is disabling based on
medical equivalence or based on an
individualized assessment when we
evaluate an adult’s residual functional
capacity, age, education, and work
experience, or functional equivalence in
children.
One commenter requested that we
include listing criteria for adults with
precipitous hearing loss who have an
impairment(s) that does not meet the
pure tone criteria in listing 2.10A but
who have significant limitations in the
ability to discriminate words. The
commenter also requested that we
include criteria for children over age 5
who have an unaided hearing threshold
of 50 dB in the better ear and normal
speech and language development but
do not have the ability to listen
accurately in distant and noisechallenged situations. The commenter
suggested we use the HINT or HINT–C
for children to evaluate these persons.
We did not adopt these comments
because we had already proposed
criteria for determining when a
limitation in word recognition ability is
of listing-level severity in listings 2.10B
and 102.10B2. The final rules, which are
the same as the proposed rules, require
results from a phonetically balanced
monosyllabic word list for persons who
do not have cochlear implants,
regardless of the type or level of their
hearing loss. We specify this type of test
because it is the one most often used in
clinical practice.
One commenter recommended that
we consider first-time hearing aid users
under a disability for 1 year because
they may need a period of rehabilitation
and training to use the aid effectively.
This commenter also recommended a 1year period of disability for persons
with sudden hearing loss, rapidly
deteriorating hearing, or fluctuating
hearing because they may need time to
adjust to the challenges of
communication. We did not adopt these
recommendations because some persons
with the conditions described by the
commenter will not have impairments
that meet our definition of disability,
including the 12-month duration
requirement.
One commenter noted that visual
reinforcement audiometry (VRA), which
we indicate is the usual method of
testing for children from age 6 months
to the attainment of age 2, is only an
estimate of the hearing threshold. The
commenter recommended that we raise
the average air conduction threshold in
proposed listing 102.10A to ensure that
children in this age range are truly
disabled. While we acknowledge that
VRA provides only an estimate of
hearing loss, it is the most reliable
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method for testing children from age 6
months to the attainment of age 2, and
we believe that—even as an estimate—
an average air conduction threshold of
50 dB or greater in the better ear does
indicate listing-level severity in these
young children.
One commenter noted an
inconsistency between our definition of
‘‘marked’’ limitation in speech in
proposed 102.00B5a and our definition
of the term in SSR 98–1p.14 The
commenter recommended that we use
unintelligibility on the first attempt 67
percent (two-thirds) of the time as the
threshold for a marked limitation
instead of 60 percent. We adopted the
comment by changing the rule to ‘‘at
least 50 percent (half) of the time but no
more than 67 percent (two-thirds) of the
time.’’ This is the same range that we
use in our definitions of ‘‘marked’’ in
SSR 98–1p and other rules, that is, onehalf to two-thirds.
One commenter recommended that
we consider children with ‘‘marked
mental retardation’’ who cannot be
evaluated for speech or language to be
disabled when their impairment meets
the hearing criterion alone. We were not
certain what the commenter intended by
‘‘marked mental retardation’’ because the
American Psychiatric Association (APA)
and World Health Organization (WHO)
currently use the terms ‘‘mild,’’
‘‘moderate,’’ ‘‘severe,’’ and ‘‘profound’’ to
describe the levels of the disorder.15 We
assume that the commenter meant at
least ‘‘moderate’’ mental retardation,
which in the APA’s definition is mental
retardation generally with an IQ of 35–
55; the WHO’s is similar, with an IQ of
35–49. In either case, the mental
retardation by itself meets listing
112.05C in the mental disorders listings,
and depending on the facts of the case,
may meet listing 112.05B. It is not
necessary for a child to also have
hearing loss to qualify under either of
those listings.
Listing Criteria for Hearing Loss Treated
With Cochlear Implantation
We received several comments about
our proposal to find disability for 1 year
14 SSR 98–1p: ‘‘Policy Interpretation Ruling: Title
XVI: Determining Medical Equivalence in
Childhood Disability Claims When a Child Has
Marked Limitations in Cognition and Speech,’’ 63
FR 15248 (1998), also available at: https://
www.socialsecurity.gov/OP_Home/rulings/ssi/02/
SSR98-01-ssi-02.html.
15 American Psychiatric Association, Diagnostic
and Statistical Manual of Mental Disorders, Fourth
Edition, Text Revision (DSM–IV–TR). Washington,
DC (2000); World Health Organization, Division of
Mental Health and Substance Abuse, ICD–10 Guide
for Mental Retardation, Geneva (1996), available at:
https://www.who.int/mental_health/media/en/
69.pdf. See also: https://apps.who.int/classifications/
apps/icd/icd10online/.
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following cochlear implantation under
listing 2.11A and, for some children,
listing 102.11A.16 The commenters said
that the 1-year period was arbitrary and
that it may be insufficient because it
does not account for variation in
treatment outcomes or allow for
maximal improvement. The commenters
recommended that we extend the period
by various amounts of time ranging from
18 months to 3 years. Another
commenter suggested that we provide
the option of extending the period of
disability past 1 year as necessary,
particularly for persons who also have
vision impairments and may require a
longer period of adjustment because of
their multiple impairments.
We did not adopt these comments.
While some persons will still have
listing-level impairments 1 year after
implantation, many will have improved,
so we must reexamine their status to see
whether they remain disabled. Our rule
is not arbitrary: most therapy programs
following cochlear implantation involve
a period of rehabilitation and training
for about 1 year.
Moreover, the 1-year rule does not
mean that disability automatically ends
after 1 year. Under the Act and our
regulations, we generally cannot find
that a person’s disability has ended
unless his or her impairment has
medically improved and the person is
no longer disabled.17 After 1 year, we
must consider whether the
impairment(s) is disabling under the
criteria in listing 2.11B or 102.11B, or if
not, under other listings or our other
disability criteria.
Two commenters sent us questions
about various adjudication scenarios
involving cochlear implants. With one
exception, we did not add more detailed
guidance to the rules to address these
situations because they are uncommon
and we can address them in training
and other instructions. We did clarify
that we count the 1-year period for
which we presume disability from the
date of the initial implantation
procedure when a person has had more
than one implant. This rule will apply
regardless of whether the person had an
implant in the other ear or replacement
of the initial implant. See final 2.00B3a
and 102.00B3a and final listings 2.11
and 102.11.
16 Like the proposed rule, final listing 102.11A
provides for a finding of disability after cochlear
implantation until age 5 or for 1 year after
implantation ‘‘whichever is later.’’ We will find that
some children are disabled under this listing for
more than 1 year.
17 See sections 223(f) and 1614(a)(4) of the Act,
and §§ 404.1594, 416.994, and 416.994a of our
regulations.
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Two commenters were concerned
about our requirement in proposed
listings 2.11B and 102.11B that we use
the HINT or HINT–C to evaluate a
person’s hearing loss after cochlear
implantation. The commenters
indicated that we would have difficulty
obtaining a HINT or HINT–C because
most audiologists do not have the test.
One commenter was concerned that
residents of rural areas might be
disadvantaged because these tests are
available primarily at medical centers
that perform cochlear implants. The
second commenter, who acknowledged
that the HINT is the accepted standard
for assessing hearing outcome after
cochlear implantation, indicated that
the original CD version of this test was
noted to have limitations and has been
replaced with computerized software
versions (such as the HINT for Windows
and the HINT®Pro) that contain
improvements and enhancements. The
commenter asked what version of the
HINT we would accept. The commenter
further noted that literature from the
manufacturer of the HINT®Pro indicates
that this test is normed for anyone who
reads at a first grade level and for
children as young as age 6. The
commenter asked whether this test
could also be used for children between
the ages of 5 and 6 and for adults who
have literacy problems. The commenter
also stated that other speech-in-noise
tests are used more frequently and asked
whether we would use the results of
those other tests.
We do not share the commenters’
concerns about the availability of the
HINT or HINT–C. As one of the
commenters noted, the HINT is the
accepted standard for assessing hearing
outcome after cochlear implantation,
and we believe this testing is likely to
be in the evidence we obtain from a
person’s medical sources. If not, or if we
need more recent testing, we believe
that in most instances we will be able
to purchase it from these sources or
from audiologists who do have the
HINT or HINT–C. We acknowledge
there may be a few cases in which we
will not be able to get testing for a
resident of a rural area. In those cases,
we will use other evidence to determine
whether the person is disabled.
In response to the concerns raised by
the second commenter, we are
providing in final 2.00B3b and
102.00B3b that we will use ‘‘any
version’’ of the HINT or, for children,
any age-appropriate version of the HINT
or HINT–C. We will use results only
from the HINT or HINT–C to determine
that an impairment meets one of the
final listings. We can use results from
other tests to determine whether the
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impairment(s) medically equals a listing
or to assess residual functional capacity
in adults or functional equivalence in
children. With respect to the age and
literacy issues, we can use versions of
the HINT that have been normed for
children as young as age 6 to test
children between age 5 and 6 and, when
appropriate, to test adults with literacy
problems.
One commenter believed that we
should use the same word recognition
tests and test-score criteria to evaluate
hearing loss in persons who have
cochlear implants as we use to evaluate
hearing loss in persons who have
hearing aids. We did not adopt the
comment because the final listings
reflect the way that persons are
ordinarily tested. Persons who do not
have cochlear implants are ordinarily
tested with phonetically balanced
monosyllabic word lists. The HINT is
the accepted test for assessing persons
with cochlear implants. The HINT is a
sentence test, and persons generally
have higher word recognition scores
when tested with a sentence test
because sentences provide context for
the words used. Therefore, we must
require a higher word recognition score
for cochlear implant users.
Terminology Issues
One commenter recommended that
we use the term ‘‘audiometric
evaluation’’ rather than ‘‘audiometric
testing’’ throughout these final rules to
reflect the full scope of the audiologist’s
identification and assessment of hearing
disorders. We did not adopt the
comment. While we recognize that the
scope of an audiologist’s practice is not
limited to audiometric testing, the term
‘‘audiometric testing’’ describes the type
of evidence we require from
audiologists under these listings.
Two commenters recommended that
we consistently use the abbreviation dB
HL (decibel hearing level) throughout
the final rules wherever we used the
abbreviation dB (decibel) in the
proposed rules. We did not adopt the
recommendation because, in these final
rules, the ‘‘dB HL’’ designation is
relevant only to word recognition
testing for persons with cochlear
implants. The sound used to test
persons with cochlear implants can be
delivered by two methods, referred to as
‘‘HL’’ and ‘‘SPL’’ (sound pressure level).
Both of these methods are expressed in
dB, but a specific dB HL is not the same
level of loudness as the same dB SPL.
To ensure that we use a consistent
standard to evaluate every person with
a cochlear implant, we use the
abbreviation ‘‘dB HL’’ only in final
2.00B3b and 102.00B3b.
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Hearing Loss in Combination With
Another Impairment(s)
One commenter wrote to us about
persons with hearing loss together with
other medical conditions, such as visual
or cognitive disorders, that compromise
their ability to compensate for their
hearing loss. The commenter said that
some of these persons have greater
difficulty functioning than persons with
worse hearing loss but no other
impairments. The commenter believed
that such persons may not be disabled
under our listings, but would still have
difficulty responding to the
communication challenges of daily
living, and that we should consider
them disabled. This commenter was
also concerned that some persons with
hearing loss whose impairments do not
meet the criteria of the final listings may
have difficulty functioning and should
also be considered disabled.
In these final rules, we include
revisions only to our listings for hearing
loss. We have other listings and other
rules that we use to find many persons
disabled, including persons like those
described by the commenter. In
addition, our regulations require us to
consider the combined impact of
multiple impairments throughout the
disability determination process. See
§§ 404.1523, 416.923, and 416.924.
Some persons with a combination of
hearing loss and other impairments will
have impairments that meet or
medically equal listings in other body
systems. Others may be found disabled
at a later step of the sequential
evaluation process.
WReier-Aviles on DSKGBLS3C1PROD with RULES
Accounting for Improvement With
Hearing Aids
While most commenters agreed with
our proposal to remove the requirement
for testing with hearing aids, one
commenter believed that we should not
determine disability without accounting
for any improvement in functioning that
a person may derive from the use of
such aids. Another commenter
suggested that we include some
functional criteria in the listings to
account for persons who have
individualized hearing aids that
improve their functioning.
As we explained in the NPRM,18 we
determined that persons with the level
of hearing loss specified in the listings
do not usually obtain significant
improvement in their ability to hear and
communicate with the use of hearing
aids. In other words, the severity criteria
we provide in the final listings make
testing with a hearing aid unnecessary.
18 73
FR 47106 (2008).
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Therefore, we believe that it is
appropriate to eliminate the
requirement for aided testing and that it
is not necessary to add functional
criteria to the listings for the evaluation
of persons with listing-level hearing loss
who have individualized hearing aids.
Need for Listings for Hearing Loss
Citing testimony from our 2005 policy
conference regarding the number of
persons with deafness who work, one
commenter believed that we should not
presume that all persons whose hearing
impairments meet the criteria in these
listings are disabled. The commenter
indicated that we should document that
the proposed rules correctly identify
persons who meet the definition of
disability in the Act and our regulations.
When we developed our proposed rules
for evaluating claims involving hearing
loss, we consulted with some of the
most renowned experts in the field of
hearing disorders. We also received
comments from experts who supported
our proposed rules. Based on this
information, we believe it is appropriate
to presume disability in persons whose
hearing impairments meet the criteria in
these final rules. In addition, the
testimony from our policy conference
regarding persons with deafness who
work did not fully address the issue of
work independence (for example,
special accommodations) and other
factors (such as levels of earnings);
therefore, the testimony was not
specifically relevant to the issue in this
comment. Moreover, when persons with
listing-level hearing loss work at the
substantial gainful activity level, we
find them not disabled at the first step
of the sequential evaluation process.
Other Changes From the NPRM
We made a number of nonsubstantive,
editorial corrections and changes in the
final rules from the language of the
NPRM, such as changing some
sentences from the passive into the
active voice.
What is our authority to make rules and
set procedures for determining whether
a person is disabled under our statutory
definition?
Under the Act, we have full power
and authority to make rules and
regulations and to establish necessary
and appropriate procedures to carry out
such provisions. Sections 205(a),
702(a)(5), and 1631(d)(1).
Regulatory Procedures
Executive Order 12866
We have consulted with the Office of
Management and Budget (OMB) and
determined that these final rules meet
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the requirements for a significant
regulatory action under Executive Order
12866 and were subject to OMB review.
Regulatory Flexibility Act
We certify that these final rules have
no significant economic impact on a
substantial number of small entities
because they affect only individuals.
Therefore, a regulatory flexibility
analysis was not required under the
Regulatory Flexibility Act, as amended.
Paperwork Reduction Act
This rule does not create any new or
affect any existing collections, and
therefore, does not require Office of
Management and Budget approval
under the Paperwork Reduction Act.
(Catalog of Federal Domestic Assistance
Program Nos. 96.001, Social SecurityDisability Insurance; 96.002, Social SecurityRetirement Insurance; 96.004, Social
Security-Survivors Insurance; and 96.006,
Supplemental Security Income)
List of Subjects in 20 CFR Part 404
Administrative practice and
procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability
Insurance, Reporting and recordkeeping
requirements, Social Security.
Michael J. Astrue,
Commissioner of Social Security.
For the reasons set out in the
preamble, we amend appendix 1 to
subpart P of part 404 of chapter III of
title 20 of the Code of Federal
Regulations as set forth below:
■
PART 404—FEDERAL OLD-AGE,
SURVIVORS AND DISABILITY
INSURANCE (1950– )
1. The authority citation for subpart P
of part 404 continues to read as follows:
■
Authority: Secs. 202, 205(a), (b), and (d)–
(h), 216(i), 221(a) and (i), 222(c), 223, 225,
and 702(a)(5) of the Social Security Act (42
U.S.C. 402, 405(a), (b), and (d)–(h), 416(i),
421(a) and (i), 422(c), 423, 425, and
902(a)(5)); sec. 211(b), Pub. L. 104–193, 110
Stat. 2105, 2189; sec. 202, Pub. L. 108–203,
118 Stat. 509 (42 U.S.C. 902 note).
Appendix 1 to Subpart P of Part 404—
[Amended]
2. Amend appendix 1 to subpart P of
part 404 as follows:
■ a. Revise item 3 of the introductory
text before part A of appendix 1.
■ b. Revise section 2.00B of part A of
appendix 1.
■ c. Redesignate section 2.00C of part A
of appendix 1 as section 2.00E.
■ d. Redesignate section 2.00B2 of part
A of appendix 1 as section 2.00C, revise
the heading, and designate the
undesignated paragraphs as sections
2.00C1, 2.00C2, and 2.00C3.
■
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e. Redesignate section 2.00B3 of part
A of appendix 1 as section 2.00D.
■ f. Remove listing 2.08 of part A of
appendix 1.
■ g. Add listings 2.10 and 2.11 to part
A of appendix 1.
■ h. Revise section 102.00B of part B of
appendix 1.
■ i. Remove listing 102.08 of part B of
appendix 1.
■ j. Add listings 102.10 and 102.11 to
part B of appendix 1.
The revised text is set forth as follows:
■
Appendix 1 to Subpart P of Part 404—
Listing of Impairments
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3. Special Senses and Speech (2.00 and
102.00): August 3, 2015.
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Part A
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2.00
SPECIAL SENSES AND SPEECH
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WReier-Aviles on DSKGBLS3C1PROD with RULES
B. How do we evaluate hearing loss?
1. What evidence do we need?
a. We need evidence showing that you
have a medically determinable impairment
that causes your hearing loss and
audiometric measurements of the severity of
your hearing loss. We generally require both
a complete otologic examination and
audiometric testing to establish that you have
a medically determinable impairment that
causes your hearing loss. You should have
this audiometric testing within 2 months of
the complete otologic examination. Once we
have evidence that you have a medically
determinable impairment, we can use the
results of later audiometric testing to assess
the severity of your hearing loss without
another complete otologic examination. We
will consider your test scores together with
any other relevant information we have about
your hearing, including information from
outside of the test setting.
b. The complete otologic examination must
be performed by a licensed physician
(medical or osteopathic doctor). It must
include your medical history, your
description of how your hearing loss affects
you, and the physician’s description of the
appearance of the external ears (pinnae and
external ear canals), evaluation of the
tympanic membranes, and assessment of any
middle ear abnormalities.
c. Audiometric testing must be performed
by, or under the direct supervision of, an
otolaryngologist or by an audiologist
qualified to perform such tests. We consider
an audiologist to be qualified if he or she is
currently and fully licensed or registered as
a clinical audiologist by the State or U.S.
territory in which he or she practices. If no
licensure or registration is available, the
audiologist must be currently certified by the
American Board of Audiology or have a
Certificate of Clinical Competence (CCC–A)
from the American Speech-Language-Hearing
Association (ASHA).
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2. What audiometric testing do we need when
you do not have a cochlear implant?
a. We generally need pure tone air
conduction and bone conduction testing,
speech reception threshold (SRT) testing
(also referred to as ‘‘spondee threshold’’ or
‘‘ST’’ testing), and word recognition testing
(also referred to as ‘‘word discrimination’’ or
‘‘speech discrimination’’ testing). This testing
must be conducted in a sound-treated booth
or room and must be in accordance with the
most recently published standards of the
American National Standards Institute
(ANSI). Each ear must be tested separately.
b. You must not wear hearing aids during
the testing. Additionally, a person described
in 2.00B1c must perform an otoscopic
examination immediately before the
audiometric testing. (An otoscopic
examination provides a description of the
appearance of your external ear canals and an
evaluation of the tympanic membranes. In
these rules, we use the term to include
otoscopic examinations performed by
physicians and otoscopic inspections
performed by audiologists and others.) The
otoscopic examination must show that there
are no conditions that would prevent valid
audiometric testing, such as fluid in the ear,
ear infection, or obstruction in an ear canal.
The person performing the test should also
report on any other factors, such as your
cooperation with the test, that can affect the
interpretation of the test results.
c. To determine whether your hearing loss
meets the air and bone conduction criteria in
2.10A, we will average your air and bone
conduction hearing thresholds at 500, 1000,
and 2000 Hertz (Hz). If you do not have a
response at a particular frequency, we will
use a threshold of 5 decibels (dB) over the
limit of the audiometer.
d. The SRT is the minimum dB level
required for you to recognize 50 percent of
the words on a standard list of spondee
words. (Spondee words are two-syllable
words that have equal stress on each
syllable.) The SRT is usually within 10 dB of
the average pure tone air conduction hearing
thresholds at 500, 1000, and 2000 Hz. If the
SRT is not within 10 dB of the average pure
tone air conduction threshold, the reason for
the discrepancy must be documented. If we
cannot determine that there is a medical
basis for the discrepancy, we will not use the
results of the testing to determine whether
your hearing loss meets a listing.
e. Word recognition testing determines
your ability to recognize a standardized list
of phonetically balanced monosyllabic words
in the absence of any visual cues. This testing
must be performed in quiet. The list may be
recorded or presented live, but in either case
the words should be presented at a level of
amplification that will measure your
maximum ability to discriminate words,
usually 35 to 40 dB above your SRT.
However, the amplification level used in the
testing must be medically appropriate, and
you must be able to tolerate it. If you cannot
be tested at 35 to 40 dB above your SRT, the
person who performs the test should report
your word recognition testing score at your
highest comfortable level of amplification.
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3. What audiometric testing do we need when
you have a cochlear implant?
a. If you have a cochlear implant, we will
consider you to be disabled until 1 year after
initial implantation.
b. After that period, we need word
recognition testing performed with any
version of the Hearing in Noise Test (HINT)
to determine whether your impairment meets
2.11B. This testing must be conducted in
quiet in a sound field. Your implant must be
functioning properly and adjusted to your
normal settings. The sentences should be
presented at 60 dB HL (Hearing Level) and
without any visual cues.
4. How do we evaluate your word recognition
ability if you are not fluent in English?
If you are not fluent in English, you should
have word recognition testing using an
appropriate word list for the language in
which you are most fluent. The person
conducting the test should be fluent in the
language used for the test. If there is no
appropriate word list or no person who is
fluent in the language and qualified to
perform the test, it may not be possible to
measure your word recognition ability. If
your word recognition ability cannot be
measured, your hearing loss cannot meet
2.10B or 2.11B. Instead, we will consider the
facts of your case to determine whether you
have difficulty understanding words in the
language in which you are most fluent, and
if so, whether that degree of difficulty
medically equals 2.10B or 2.11B. For
example, we will consider how you interact
with family members, interpreters, and other
persons who speak the language in which
you are most fluent.
C. How do we evaluate vertigo associated
with disturbances of labyrinthine-vestibular
function, including Meniere’s disease?
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2.01 Category of Impairments, Special
Senses and Speech
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2.10 Hearing Loss Not Treated With
Cochlear Implantation
A. An average air conduction hearing
threshold of 90 decibels or greater in the
better ear and an average bone conduction
hearing threshold of 60 decibels or greater in
the better ear (see 2.00B2c).
OR
B. A word recognition score of 40 percent
or less in the better ear determined using a
standardized list of phonetically balanced
monosyllabic words (see 2.00B2e).
2.11 Hearing Loss Treated With Cochlear
Implantation
A. Consider under a disability for 1 year
after initial implantation.
OR
B. If more than 1 year after initial
implantation, a word recognition score of 60
percent or less determined using the HINT
(see 2.00B3b).
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Part B
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102.00
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SPECIAL SENSES AND SPEECH
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B. How do we evaluate hearing loss?
WReier-Aviles on DSKGBLS3C1PROD with RULES
1. What evidence do we need?
a. We need evidence showing that you
have a medically determinable impairment
that causes your hearing loss and
audiometric measurements of the severity of
your hearing loss. We generally require both
a complete otologic examination and
audiometric testing to establish that you have
a medically determinable impairment that
causes your hearing loss. You should have
this audiometric testing within 2 months of
the complete otologic examination. Once we
have evidence that you have a medically
determinable impairment, we can use the
results of later audiometric testing to assess
the severity of your hearing loss without
another complete otologic examination. We
will consider your test scores together with
any other relevant information we have about
your hearing, including information from
outside of the test setting.
b. The complete otologic examination must
be performed by a licensed physician
(medical or osteopathic doctor). It must
include your medical history, your
description of how your hearing loss affects
you, and the physician’s description of the
appearance of the external ears (pinnae and
external ear canals), evaluation of the
tympanic membranes, and assessment of any
middle ear abnormalities.
c. Audiometric testing must be performed
by, or under the direct supervision of, an
otolaryngologist or by an audiologist
qualified to perform such tests. We consider
an audiologist to be qualified if he or she is
currently and fully licensed or registered as
a clinical audiologist by the State or U.S.
territory in which he or she practices. If no
licensure or registration is available, the
audiologist must be currently certified by the
American Board of Audiology or have a
Certificate of Clinical Competence (CCC–A)
from the American Speech-Language-Hearing
Association (ASHA).
2. What audiometric testing do we need when
you do not have a cochlear implant?
a. General. We need either physiologic or
behavioral testing (other than screening
testing, see 102.00B2g) that is appropriate for
your age at the time of testing. See
102.00B2c–102.00B2f. We will make every
reasonable effort to obtain the results of
physiologic testing that has been done;
however, we will not purchase such testing.
b. Testing requirements. The testing must
be conducted in accordance with the most
recently published standards of the American
National Standards Institute (ANSI). You
must not wear hearing aids during the
testing. Additionally, a person described in
102.00B1c must perform an otoscopic
examination immediately before the
audiometric testing. (An otoscopic
examination provides a description of the
appearance of your external ear canals and an
evaluation of the tympanic membranes. In
these rules, we use the term to include
otoscopic examinations performed by
physicians and otoscopic inspections
performed by audiologists and others.) The
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otoscopic examination must show that there
are no conditions that would prevent valid
audiometric testing, such as fluid in the ear,
ear infection, or obstruction in an ear canal.
The person performing the test should also
report on any other factors, such as your
ability to maintain attention, that can affect
the interpretation of the test results.
c. Children From Birth to the Attainment of
Age 6 Months
(i) We need physiologic testing, such as
auditory brainstem response (ABR) testing.
(ii) To determine whether your hearing loss
meets 102.10A, we will average your hearing
thresholds at 500, 1000, 2000, and 4000 Hertz
(Hz). If you do not have a response at a
particular frequency, we will use a threshold
of 5 decibels (dB) over the limit of the
audiometer.
d. Children From Age 6 Months to the
Attainment of Age 2
(i) We need air conduction thresholds
determined by a behavioral assessment,
usually visual reinforcement audiometry
(VRA). We can use ABR testing if the
behavioral assessment cannot be completed
or if the results are inconclusive or
unreliable.
(ii) To determine whether your hearing loss
meets 102.10A, we will average your hearing
thresholds at 500, 1000, 2000, and 4000 Hz.
If you do not have a response at a particular
frequency, we will use a threshold of 5 dB
over the limit of the audiometer.
(iii) For this age group, behavioral
assessments are often performed in a sound
field, and each ear is not tested separately.
If each ear is not tested separately, we will
consider the test results to represent the
hearing in the better ear.
e. Children From Age 2 to the Attainment of
Age 5
(i) We need air conduction thresholds
determined by a behavioral assessment, such
as conditioned play audiometry (CPA),
tangible or visually reinforced operant
conditioning audiometry (TROCA, VROCA),
or VRA. If you have had ABR testing, we can
use the results of that testing if the behavioral
assessment cannot be completed or the
results are inconclusive or unreliable.
(ii) To determine whether your hearing loss
meets 102.10A, we will average your hearing
thresholds at 500, 1000, 2000, and 4000 Hz.
If you do not have a response at a particular
frequency, we will use a threshold of 5 dB
over the limit of the audiometer.
(iii) For this age group, behavioral
assessments are often performed in a sound
field and each ear is not tested separately. If
each ear is not tested separately, we will
consider the test results to represent the
hearing in the better ear.
f. Children From Age 5 to the Attainment of
Age 18
(i) We generally need pure tone air
conduction and bone conduction testing,
speech reception threshold (SRT) testing
(also referred to as ‘‘spondee threshold’’ or
‘‘ST’’ testing), and word recognition testing
(also referred to as ‘‘word discrimination’’ or
‘‘speech discrimination’’ testing). This testing
must be conducted in a sound-treated booth
or room and must be in accordance with the
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30703
most recently published ANSI standards.
Each ear must be tested separately.
(ii) To determine whether your hearing loss
meets the air and bone conduction criterion
in 102.10B1 or 102.10B3, we will average
your hearing thresholds at 500, 1000, 2000,
and 4000 Hz. If you do not have a response
at a particular frequency, we will use a
threshold of 5 dB over the limit of the
audiometer.
(iii) The SRT is the minimum dB level
required for you to recognize 50 percent of
the words on a standard list of spondee
words. (Spondee words are two-syllable
words that have equal stress on each
syllable.) The SRT is usually within 10 dB of
the average pure tone air conduction hearing
thresholds at 500, 1000, and 2000 Hz. If the
SRT is not within 10 dB of the average pure
tone air conduction threshold, the reason for
the discrepancy must be documented. If we
cannot determine that there is a medical
basis for the discrepancy, we will not use the
results of the testing to determine whether
your hearing loss meets a listing.
(iv) Word recognition testing determines
your ability to recognize an age-appropriate,
standardized list of phonetically balanced
monosyllabic words in the absence of any
visual cues. This testing must be performed
in quiet. The list may be recorded or
presented live, but in either case, the words
should be presented at a level of
amplification that will measure your
maximum ability to discriminate words,
usually 35 to 40 dB above your SRT.
However, the amplification level used in the
testing must be medically appropriate, and
you must be able to tolerate it. If you cannot
be tested at 35 to 40 dB above your SRT, the
person who performs the test should report
your word recognition testing score at your
highest comfortable level of amplification.
g. Screening testing. Physiologic testing,
such as ABR and otoacoustic emissions
(OAE), and pure tone testing can be used as
hearing screening tests. We will not use these
tests to determine that your hearing loss
meets or medically equals a listing, or to
assess functional limitations due to your
hearing loss, when they are used only as
screening tests. We can consider normal
results from hearing screening tests to
determine that your hearing loss is not
‘‘severe’’ when these test results are
consistent with the other evidence in your
case record. See § 416.924(c).
3. What audiometric testing do we need when
you have a cochlear implant?
a. If you have a cochlear implant, we will
consider you to be disabled until age 5, or for
1 year after initial implantation, whichever is
later.
b. After that period, we need word
recognition testing performed with any ageappropriate version of the Hearing in Noise
Test (HINT) or the Hearing in Noise Test for
Children (HINT–C) to determine whether
your impairment meets 102.11B. This testing
must be conducted in quiet in a sound field.
Your implant must be functioning properly
and adjusted to your normal settings. The
sentences should be presented at 60 dB HL
(Hearing Level) and without any visual cues.
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4. How do we evaluate your word recognition
ability if you are not fluent in English?
If you are not fluent in English, you should
have word recognition testing using an
appropriate word list for the language in
which you are most fluent. The person
conducting the test should be fluent in the
language used for the test. If there is no
appropriate word list or no person who is
fluent in the language and qualified to
perform the test, it may not be possible to
measure your word recognition ability. If
your word recognition ability cannot be
measured, your hearing loss cannot meet
102.10B2 or 102.11B. Instead, we will
consider the facts of your case to determine
whether you have difficulty understanding
words in the language in which you are most
fluent, and if so, whether that degree of
difficulty medically equals 102.10B2 or
102.11B. For example, we will consider how
you interact with family members,
interpreters, and other persons who speak the
language in which you are most fluent.
5. What do we mean by a marked limitation
in speech or language as used in 102.10B3?
a. We will consider you to have a marked
limitation in speech if:
(i) Entire phrases or sentences in your
conversation are intelligible to unfamiliar
listeners at least 50 percent (half) of the time
but no more than 67 percent (two-thirds) of
the time on your first attempt; and
(ii) Your sound production or phonological
patterns (the ways in which you combine
speech sounds) are atypical for your age.
b. We will consider you to have a marked
limitation in language when your current and
valid test score on an appropriate
comprehensive, standardized test of overall
language functioning is at least two standard
deviations below the mean. In addition, the
evidence of your daily communication
functioning must be consistent with your test
score. If you are not fluent in English, it may
not be possible to test your language
performance. If we cannot test your language
performance, your hearing loss cannot meet
102.10B3. Instead, we will consider the facts
of your case to determine whether your
hearing loss medically equals 102.10B3.
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102.01 Category of Impairments, Special
Senses and Speech
WReier-Aviles on DSKGBLS3C1PROD with RULES
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102.10 Hearing Loss Not Treated With
Cochlear Implantation
A. For children from birth to the
attainment of age 5, an average air
conduction hearing threshold of 50 decibels
or greater in the better ear (see 102.00B2).
OR
B. For children from age 5 to the
attainment of age 18:
1. An average air conduction hearing
threshold of 70 decibels or greater in the
better ear and an average bone conduction
hearing threshold of 40 decibels or greater in
the better ear (see 102.00B2f); or
2. A word recognition score of 40 percent
or less in the better ear determined using a
standardized list of phonetically balanced
monosyllabic words (see 102.00B2f); or
VerDate Mar<15>2010
14:57 Jun 01, 2010
Jkt 220001
3. An average air conduction hearing
threshold of 50 decibels or greater in the
better ear and a marked limitation in speech
or language (see 102.00B2f and 102.00B5).
102.11 Hearing Loss Treated With Cochlear
Implantation
A. Consider under a disability until the
attainment of age 5 or for 1 year after initial
implantation, whichever is later.
OR
B. Upon the attainment of age 5 or 1 year
after initial implantation, whichever is later,
a word recognition score of 60 percent or less
determined using the HINT or the HINT–C
(see 102.00B3b).
*
*
*
*
*
[FR Doc. 2010–13094 Filed 6–1–10; 8:45 am]
BILLING CODE 4191–02–P
FEDERAL MEDIATION AND
CONCILIATION SERVICE
29 CFR Part 1404
RIN 3076–AA12
Arbitration Services
AGENCY: Federal Mediation and
Conciliation Service.
ACTION: Final rule.
SUMMARY: This final rule amends the
Federal Mediation and Conciliation
Service (FMCS) rules pertaining to
arbitration services. It revises rules
addressing the removal of arbitrators
from the FMCS roster, the process
relating to complaints about arbitrators,
procedures for requesting lists and
panels, arbitrators’ inactive status, the
selection by parties and appointment of
arbitrators, and arbitrators’ obligation to
provide FMCS with certain case
information. The final rule also provides
that FMCS may decline to service any
request by a party for an arbitration list
or panel based on the party’s nonpayment of arbitrator fees. In addition,
the final rule raises the annual listing
fee for all arbitrators on the FMCS
roster. The changes will promote more
efficient and effective procedures
involving arbitrator retention and
arbitration services. The increased
annual listing fee more accurately
reflects FMCS’s costs of maintaining
and responding to requests for
arbitrators’ biographical data. The final
rule withdraws the proposed revisions
to § 1404.9(b).
DATES: This final rule is effective July 2,
2010.
FOR FURTHER INFORMATION CONTACT:
Vella M. Traynham, Director, Office of
Arbitration Services, FMCS, 2100 K
Street, NW., Washington, DC 20427.
Telephone: (202) 606–5111.
PO 00000
Frm 00018
Fmt 4700
Sfmt 4700
Pursuant
to 29 U.S.C. 171(b) and 29 CFR part
1404, FMCS maintains a roster of
qualified labor arbitrators to hear
disputes arising under collective
bargaining agreements and provide fact
finding and interest arbitration. FMCS
amends its rules pertaining to such
arbitration services as follows: The
revised rule relating to the removal of
arbitrators from the roster provides that
FMCS will give written notice of
removal to the affected arbitrator. The
revised rule relating to complaints
against arbitrators provides that
complaints should be in writing and
directed to the director of the office of
arbitration services, and should cite
specific sections of the professional
code or FMCS rules allegedly violated
by the arbitrator. The revised rule on
arbitrators’ inactive status clarifies the
applicable annual listing fee and
suggests that arbitrators use inactive
status to assist them in certain
scheduling circumstances. The revised
rule on procedures for requesting panels
and lists provides that FMCS may
decline to service any request from a
party for arbitration lists or panels based
on the party’s non-payment of arbitrator
fees. The revised rule on the selection
by parties and appointment of
arbitrators provides that arbitrators must
provide FMCS with certain information
upon being selected by a party. The
revised rules describe the methods of
arbitrator selection that FMCS will
accept, where the parties’ collective
agreement is silent on the manner of
selection. These changes are intended to
make FMCS’s arbitration procedures
more efficient and effective.
FMCS also amends Appendix to Part
1404 to increase the annual listing fee
from $100 to $150 for all arbitrators on
the FMCS roster. With increasing
frequency, parties have been requesting
that FMCS furnish arbitration panels
that are individualized to the dispute at
issue. This requires detailed research
and review of arbitrators’ biographies.
The increased listing fee reflects the cost
in staff time necessary to be responsive
to these requests as well as the costs
associated with updating arbitrator
biographies.
This rule is not a significant
regulatory action for the purposes of
Executive Order 12866 and has not been
reviewed by the Office of Management
and Budget. As required by the
Regulatory Flexibility Act, I certify that
this rule will not have a significant
impact on a substantial number of small
entities. This regulation does not have
any federalism or tribal implications.
Background: On August 6, 2008,
FMCS published a Notice of Proposed
SUPPLEMENTARY INFORMATION:
E:\FR\FM\02JNR1.SGM
02JNR1
Agencies
[Federal Register Volume 75, Number 105 (Wednesday, June 2, 2010)]
[Rules and Regulations]
[Pages 30693-30704]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-13094]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
20 CFR Part 404
[Docket No. SSA-2008-0016]
RIN 0960-AG20
Revised Medical Criteria for Evaluating Hearing Loss
AGENCY: Social Security Administration.
ACTION: Final rules.
-----------------------------------------------------------------------
SUMMARY: We are revising the criteria in the Listing of Impairments
(the listings) that we use to evaluate claims involving hearing loss
under titles II and XVI of the Social Security Act (Act). The revisions
reflect our adjudicative experience, advances in medical knowledge,
treatment, and methods of evaluating hearing loss, and public comments
we received in response to a Notice of Proposed Rulemaking (NPRM).
DATES: These rules are effective August 2, 2010.
FOR FURTHER INFORMATION CONTACT: Tiya Marshall, Social Insurance
Specialist, Office of Medical Listings Improvement, Social Security
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235-
6401, (410) 965-9291. For information on eligibility or filing for
benefits, call our national toll-free number, 1-800-772-1213, or TTY 1-
800-325-0778, or visit our Internet Web site, Social Security Online,
at https://www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Electronic Version
The electronic file of this document is available on the date of
publication in the Federal Register at https://www.gpoaccess.gov/fr/.
Background
We are revising and making final the rules for evaluating hearing
loss we proposed in an NPRM we published in the Federal Register on
August 13, 2008 (73 FR 47103). The preamble to the NPRM discussed the
changes from the current rules and our reasons for proposing those
changes. To the extent that we are adopting the proposed rules as
published, we are not repeating that information here. Interested
readers may refer to the preamble to the NPRM, available at https://www.regulations.gov.
We are making a number of changes from the NPRM as a result of
public comments. We explain those changes in our summary of the public
comments and our responses later in this preamble.
Why are we revising the listings for hearing loss?
We are revising the listings for hearing loss to update the medical
criteria, provide more information about how we evaluate hearing loss,
and reflect our adjudicative experience. The listings for hearing loss
are in the special senses and speech body system, which also includes
listings for visual disorders, disturbances of labyrinthine-vestibular
function, and loss of speech. In the NPRM, we proposed changes only to
the listings for hearing loss and their accompanying introductory text.
We published final rules revising the listings for visual disorders in
the Federal Register on November 20, 2006 (71 FR 67037). We intend to
separately publish proposed rules for disturbances of labyrinthine-
vestibular function and loss of speech.
When will we use these final rules?
We will use these final rules beginning on their effective date. We
will continue to use the current listings until the date these final
rules become effective. We will apply the final rules to new
applications filed on or after the effective date of the final rules
and to claims that are pending on and after the effective date.\1\
---------------------------------------------------------------------------
\1\ This means that we will use these final rules on and after
their effective date in any case in which we make a determination or
decision. We expect that Federal courts will review our final
decisions using the rules that were in effect at the time we issued
the decisions. If a court reverses the Commissioner's final decision
and remands a case for further administrative proceedings after the
effective date of these final rules, we will apply these final rules
to the entire period at issue in the decision we make after the
court's remand.
---------------------------------------------------------------------------
How long will the rules in the special senses and speech body system be
in effect?
We are extending the effective date of the special senses and
speech body system in parts A and B of the listings until 5 years after
the effective date of these final rules, except we intend to revise the
Disturbance of labyrinthine-vestibular function and Loss of speech
listings before then. The rules will remain in effect only until that
date unless we extend them. We will continue to monitor the rules and
may revise them before the end of the 5-year period.
Public Comments on the NPRM
In the NPRM, we provided the public with a 60-day comment period,
which ended on October 14, 2008. We received 17 public comment letters.
The comments came from national medical organizations, advocacy groups,
a national group representing Social
[[Page 30694]]
Security disability consultants, a national group representing
disability examiners in the State agencies that make disability
determinations for us, individual State agencies, and members of the
public.
We provide below summaries of the significant comments that were
relevant to this rulemaking and our responses to those comments. We
tried to present the commenters' concerns and suggestions accurately
and completely.
Some commenters supported the proposed changes and noted provisions
with which they agreed. We appreciate those comments, but have not
summarized or responded to them below because they do not require a
response. Some commenters also sent us comments on subjects that were
unrelated to the proposed rules; for example, several commenters
suggested changes to the rules we use to evaluate claims involving
vertigo and speech disorders. As we have already noted, we intend to
publish a separate NPRM for disturbances of labyrinthine-vestibular
function and loss of speech.\2\
---------------------------------------------------------------------------
\2\ While we included the sections on vertigo associated with
disturbances of labyrinthine-vestibular function and loss of speech
in the NPRM, we indicated that we were not proposing any substantive
changes. 73 FR at 47104. Although we are not responding to comments
on those sections, we will consider them as we develop NPRMs for the
disorders they address.
---------------------------------------------------------------------------
Establishing the Existence and Severity of Impairments That Cause
Hearing Loss
Three commenters thought that our proposed requirements to
establish that a person has a medically determinable impairment that
causes hearing loss were unclear. The commenters pointed out that we
referred to both audiometric testing within 2 months of a complete
otologic examination and ``subsequent'' audiometric testing. Another
commenter asked whether we would use otoscopy (a description of the
appearance of the external ear canals and an evaluation of the tympanic
membrane) performed by an audiologist to establish a medically
determinable impairment.
We agreed with the commenters that the proposed provisions could
have been clearer and revised and reorganized proposed 2.00B1 and
102.00B1 in response to these comments. Proposed (now final) 2.00B1 and
102.00B1 provided information about two issues regarding evidence under
these listings: How we establish a medically determinable impairment
that causes hearing loss and how we establish the severity of that
impairment. We generally require both a complete otologic examination
and audiometric testing within 2 months of the complete otologic
examination to establish a medically determinable impairment. After
that, we do not require a complete otologic examination to assess the
severity of the hearing loss; audiometry is sufficient. Otoscopy is
part of the complete otologic examination, and we require otoscopy
before audiometry to determine if there are any conditions that would
prevent valid testing.
We will not substitute otoscopy performed by an audiologist for a
complete otologic examination performed by a licensed physician
(medical or osteopathic doctor) to establish a medically determinable
impairment. We also will not use audiometric testing that was performed
without otoscopy to find that a hearing impairment meets or medically
equals a listing.
In revising proposed 2.00B1 and 102.00B1 in response to these
comments and a comment we summarize below, we realized that our
proposal to require both a complete otologic examination and
audiometric testing to establish a medically determinable impairment
would be unnecessary in some cases. For example, there are some
impairments, such as congenital abnormalities, that are clearly
observable by otologic examination. In the final rules, therefore, we
provide that we ``generally'' require a complete otologic examination
and audiometry to establish that you have a medically determinable
impairment that causes your hearing loss.
Several commenters recommended that we use audiometric testing
performed more than 2 months from the complete otologic examination in
determining whether there is a medically determinable impairment that
causes hearing loss. Some of these commenters recommended alternative
periods. A commenter also asked whether a report of audiometry in a
person's existing medical evidence (that is, one that we did not
purchase by consultative examination (CE)) would be acceptable if there
were no recent otologic examination.
We did not adopt these comments because the proposed (now final)
rules already allow use of audiometric testing performed more than 2
months from the date of the otologic examination in determining whether
you have a medically determinable impairment that causes hearing loss.
The rules provide that the testing ``should'' be performed within 2
months of the complete otologic examination to allow our adjudicators
to use evidence that is outside the period in appropriate cases. Such
cases could include the situation mentioned by one of the commenters in
which there is properly performed audiometric testing in a person's
evidence that is not within 2 months of an otologic examination. We use
the word ``should'' in these rules to indicate our preference and
``must'' to indicate an absolute requirement. We prefer the 2-month
rule because it ensures the most accurate and reliable findings about
the existence of the impairment.
In the NPRM, we invited the public to comment on a proposed change
to our prior rule that provided that an otolaryngologic examination
should precede audiometric testing. The proposed rules for adults and
children provided that a person could have audiometric testing either
before or after the complete otologic examination to establish a
medically determinable impairment. Two commenters recommended that this
audiometric testing always precede the complete otologic examination.
They indicated that physicians generally need the results of
audiometric testing to make comprehensive findings about a person's
hearing loss. They believed that such a rule would be more efficient
because a physician would likely order audiometric testing if he or she
did not already have it.
After considering these comments, we decided to make final the
proposed rule that allows audiometric testing either before or after
complete otologic examination. We believe this rule will provide
flexibility for our adjudicators to establish the existence of a
medically determinable impairment as soon as practicable. The purpose
of the rule is only to establish the presence of some medically
determinable impairment that would account for the hearing loss, and as
we explained in the preamble to the NPRM, there are advantages to
audiometric testing before or after the otologic examination. In
addition, we realized that, in some cases, we could establish the
medically determinable impairment based on the otologic examination
alone. As we indicated above, we made a revision in final 2.00B1 and
102.00B1 to recognize this possibility.\3\
---------------------------------------------------------------------------
\3\ The revision is also consistent with the statement we made
in the NPRM that ``[h]aving the otologic examination precede the
audiometric testing can help identify conditions that could
interfere with the audiometric testing.'' 73 FR 47103, 47105 (2008).
---------------------------------------------------------------------------
Otologic Examinations
A commenter recommended that we specify that otolaryngologists
certified by the American Board of Otolaryngology should perform
otologic
[[Page 30695]]
examinations. We partially adopted the comment by specifying in final
2.00B1b and 102.00B1b that a licensed physician (medical or osteopathic
doctor) must perform the complete otologic examination to establish
whether a person has a medically determinable impairment. For our
purposes, licensed physicians have the necessary education, training,
and experience to perform the otologic examination.
One commenter recommended that we remove from proposed 2.00B1b and
102.00B1b the description of the pinnae (the outer, visible parts of
the ears) from the requirements for a complete otologic examination.
The commenter believed that the pinnae do not contribute to hearing
disability. We did not adopt the comment because abnormalities of the
pinnae are associated with a number of conditions that affect hearing,
and such abnormalities may be signs of a medically determinable
impairment. Abnormalities of the pinnae can also influence how sound
waves are directed to the middle ear.
Another commenter said that our description of an otologic
examination was incomplete. The commenter said that otologists do, and
should, examine the nasopharynx, nose, oral pharynx, mouth, and neck
when they evaluate hearing loss. While we agree that otologists do
examine these areas, we do not include them in these final rules
because we are describing only findings that we need to determine
whether a person has a medically determinable impairment that could
cause hearing loss. A physician does not need to examine the areas
suggested by the commenter to establish such an impairment.
Otoscopic Examinations
Two commenters recommended that we specify who may perform the
otoscopic examination described in final 2.00B2b and 102.00B2b. We
adopted the recommendation by stating in 2.00B2b and 102.00B2b that the
medical professional described in final 2.00B1c and 102.00B1c must
conduct the audiometric testing. In addition, in response to a comment
pointing out that ``otoscopic inspection'' is the term usually used
when audiologists conduct otoscopic examinations, we explain in final
2.00B2b and 102.00B2b that our term ``otoscopic examination'' includes
``otoscopic inspection.'' This addition clarifies that audiologists and
other non-physicians may do the otoscopic examination that we require
before audiometric testing.
One commenter said that the requirement for an evaluation of the
tympanic membrane immediately before an audiometric examination might
add expense and time to a CE. The commenter was especially concerned
that, when the otoscopic examination shows cerumen (earwax), we would
need to ask a physician or audiologist to remove it before we could
continue with the audiological testing. In particular, the commenter
was concerned about cerumen that only partially obscures the view of
the tympanic membrane. The commenter said that this condition does not
necessarily equate to invalid audiometric testing. We agree that
cerumen can, but does not always, interfere with audiometric testing,
and we will rely on the person who conducts the test to decide whether
to remove cerumen. We will address this issue in our internal operating
instructions.
Audiometric Testing
One commenter recommended that we clarify the provision in proposed
2.00B1d and 102.00B1d (final 2.00B1c and 102.00B1c) that permitted
audiometric testing by a non-audiologist ``under the supervision of''
an otolaryngologist. The commenter recommended that we require non-
audiologists to conduct testing only under ``direct'' supervision, in
accordance with Medicare regulations requiring the physician to be
present in the office suite when the service is being performed and to
assist if necessary. We adopted the recommendation. We will provide
guidance to our adjudicators on how to apply the rule in our
instructions and training.
Two commenters recommended that we accept the results of
audiometric testing conducted independently by hearing aid
specialists--also called Hearing Instrument Specialists (HIS)--in
addition to the professionals described in proposed 2.00B1d and
102.00B1d. We did not adopt this comment because the educational and
other qualifications required for licensure or certification as an HIS
are less comprehensive than those of otolaryngologists and audiologists
and can vary from place to place. Therefore, we cannot be assured that
all HISs would have the expertise needed to independently perform the
audiometric testing we require under these listings. If an HIS conducts
the testing under the direct supervision of an otolaryngologist, the
evidence would be acceptable audiometric testing both for establishing
a medically determinable impairment and for assessing its severity. We
may also consider an HIS' evidence when we assess severity in the same
way that we consider evidence from other sources who are not acceptable
medical sources as defined in Sec. Sec. 404.1513(d) and 416.913(d) of
our regulations and Social Security Ruling (SSR) 06-3p.\4\
---------------------------------------------------------------------------
\4\ SSR 06-3p: Titles II and XVI: Considering Opinions and Other
Evidence from Sources Who Are Not ``Acceptable Medical Sources'' in
Disability Claims; Considering Decisions on Disability by Other
Governmental and Nongovernmental Agencies, 71 FR 45593 (2006), also
available at: https://www.socialsecurity.gov/OP_Home/rulings/di/01/SSR2006-03-di-01.html.
---------------------------------------------------------------------------
Another commenter recommended that we accept the results of
audiometric testing conducted solely by clinical audiologists. We did
not adopt this comment because otolaryngologists have the requisite
education, training, and experience to perform and supervise the
audiometric testing we require.
A few commenters questioned our requirement in proposed 2.00B2a and
102.00B2f(i) for audiometric testing in a soundproof booth. Some of
these commenters suggested we revise our rules to require testing in a
sound-treated booth or room. We agreed with these commenters and made
this change in final 2.00B2a and 102.00B2f(i).
One commenter noted that several types of sound are used for
audiometric testing in a sound field. The commenter also noted that air
and bone conduction testing is not sound field testing and asked us to
clarify the type of sound that we require for air and bone conduction
testing. The type of sound used for air and bone conduction testing is
referred to as ``pure tone'' sound. Our rules require that air and bone
conduction testing be conducted in accordance with the most recently
published standards of the American National Standards Institute
(ANSI). Those standards describe the type of sound that should be used.
Therefore, we do not believe it is necessary to specify the type of
sound used.
One commenter asked us to clarify how we would evaluate tests that
report a vibrotactile (VT) response, rather than a hearing response, at
500 Hertz (Hz) during bone conduction testing, or no response at one or
more frequencies during air or bone conduction testing. A VT response
may occur during bone conduction testing when the person does not have
an auditory response but perceives the sensation from the oscillator;
we consider a VT response to be a ``no response.'' To address this
issue, we added guidance in final 2.00B2c, 102.00B2c(ii),
102.00B2d(ii), 102.00B2e(ii), and 102.00B2f(ii). In the final rule, we
now clarify that when there is no response at one or more frequencies
during air or bone conduction testing, we will use 5 dB
[[Page 30696]]
over the limit of the audiometer used for the test to compute the
average threshold.
One commenter indicated that our definition of speech reception
threshold (SRT) in proposed 2.00B2d and 102.00B2f(iii) was not entirely
correct. The commenter stated that SRT is the minimum dB level required
to recognize ``spondee words 50 percent of the time,'' not ``the
minimal decibel (dB) level required * * * to recognize a standard list
of words.'' \5\ The commenter also recommended that we replace the term
``speech reception threshold'' with ``spondee threshold'' to ensure
standardization of testing material. We agreed with the first comment
and revised the definition of SRT in final 2.00B2d and 102.00B2f(iii)
accordingly. We also added a parenthetical statement in final 2.00B2a
and 102.00B2f(i) explaining that SRT is also called ``spondee
threshold'' or ``ST.'' We did not change the term SRT because it is the
more common name for this type of testing, and we believe our
adjudicators are more likely to see it in the medical evidence.
---------------------------------------------------------------------------
\5\ Spondee words, such as ``baseball'' and ``airplane,'' have
equal stress on each syllable.
---------------------------------------------------------------------------
One commenter recommended that we require certain specific
Department of Veterans Affairs' recordings of 50-word lists, presented
at 70 dB in quiet, for measuring the word recognition ability of
persons with hearing loss not treated with cochlear implantation.
Another commenter also recommended that, for children, the word list
should be appropriately normed. We did not adopt the first
recommendation because there are several appropriate tests available to
measure a person's word recognition ability, and we want to provide our
adjudicators with flexibility in obtaining this evidence to determine
disability. We adopted the suggestion to provide that word lists for
children must be appropriately normed. In the NPRM, we said that the
lists must be ``standardized.'' We intended this word to include the
idea that the tests must be appropriately normed for age. However, to
be clearer, we are adding the words ``age-appropriate'' in response to
this comment.
One commenter asked us to clarify whether the word recognition
testing in proposed 2.00B2e and 102.00B2f(iv) should be done using live
presentation or recorded material. Another commenter suggested we
require testing with recorded material, unless there is documentation
indicating why live presentation was necessary. In the proposed rules,
we did not specify the method of presentation because we will accept
either method; however, we added text to final 2.00B2e and
102.00B2f(iv) to clarify this intent. Although word recognition testing
usually uses recorded material, we do not believe that the method of
presentation will affect our ability to determine whether a person has
a listing-level hearing loss. Therefore, we did not adopt the second
comment.
Two commenters recommended that we require word recognition testing
conducted with background noise, not only in quiet (see final 2.00B2e,
2.00B3b, 102.00B2f(iv), and 102.00B3b). These commenters also
recommended that the words be presented at a normal conversational
level. We did not adopt the comments. We require testing under optimal
circumstances (that is, in quiet and at a level of amplification that
allows us to measure a person's maximum ability to discriminate words)
to ensure that the impairment is of listing-level severity.
One commenter suggested that we replace the term ``amplification
level'' in proposed 2.00B2e and 102.00B2f(iv) with ``presentation
level.'' The commenter asked whether we require that word recognition
testing be done at the ``phonetically balanced maximum'' (PB Max),
which the commenter believed is equivalent to the ``most comfortable
level'' (MCL). Another commenter recommended that we use the term
``supra-threshold'' instead of specifying the level of amplification we
require for word recognition testing.
We did not adopt the first suggestion because we believe that
``amplification level'' describes more precisely the test parameters we
require for word recognition testing. With respect to the second
comment, we note that PB Max and MCL are not the same. PB Max is the
hearing level at which the maximum percentage of words is correctly
repeated during testing with a list of phonetically balanced
monosyllabic words, such as ``chew'' and ``knees.'' It may not be the
listener's MCL, which is the hearing level at which speech is most
comfortable for the listener. As we indicate in final 2.00B2e and
102.00B2f(iv), the words must be presented at a level of amplification
that will measure a person's ``maximum ability'' to discriminate words,
usually 35 to 40 dB above the SRT. This level of amplification is often
a person's PB Max; when it is not, it is still sufficient for us to
determine whether there is listing-level hearing loss. However, in
response to this comment, we clarified in final 2.00B2e and
102.00B2f(iii) that, if a person cannot be tested at 35 to 40 dB above
his or her SRT, the person who performs the test should report the word
recognition testing score at the highest comfortable level of
amplification. We did not adopt the comment to refer to testing at 35
to 40 dB above the SRT as ``supra-threshold'' testing because we prefer
to specify our criteria for word recognition testing.
We received several comments about acoustic immittance assessment
(AIA), that is, a tympanogram and acoustic reflex testing. In the
proposed rules, we required an AIA for children from birth to the
attainment of age 5. One commenter recommended that we require an AIA
for adults to rule out conductive pathology, which is amenable to
treatment, and to aid in detecting situations in which a person may be
feigning a serious hearing loss. Another commenter questioned our
proposal to require an AIA for children because listing 102.10A uses
only air conduction thresholds. A third commenter recommended that we
require high-frequency tympanometry for children under age 5 months.
We did not adopt the comment to require an AIA for adults because
the bone conduction criterion in final listing 2.10A ensures that there
is a significant sensorineural component to the hearing loss.
Sensorineural hearing loss results from permanent damage to the inner
ear or to the nerve pathways from the inner ear to the brain. Persons
with the degree of sensorineural hearing loss required in final listing
2.10A do not usually obtain significant improvement with hearing aids.
We also believe that an AIA is unnecessary to detect deception because
the professionals referenced in final 2.00B1c who may conduct
audiometric testing are trained to detect whether a person is feigning
hearing loss and to recognize test results that may suggest such
deception. We agreed with the second commenter that we do not need an
AIA to determine disability for children under age 5 and did not
include it in final 102.00B2c(i), 102.00B2d(i), and 102.00B2e(i). We
proposed to require an AIA for these children to identify conditions
that would prevent valid audiometric testing. However, the otoscopic
examination we require will detect any conditions revealed by AIA.
Since we removed the requirement for an AIA for children under age 5 we
are not adopting the third comment.
Two commenters recommended that we require audiologists who conduct
audiometric testing for us to complete hearing checklists recommended
in a 2005 National Research Council report
[[Page 30697]]
(``NRC report'').\6\ The commenters said the checklists would ensure
the quality of the data collected and provide useful information for
evaluating disability at later steps in the sequential evaluation
process. We considered these checklists at the time we developed the
proposed rules and determined we did not need them. We believe we have
adequately specified in these final rules the information we need to
evaluate whether a person's hearing impairment meets or medically
equals one of the hearing listings. Finally, we also specify
qualifications for audiologists that will ensure the quality of the
data they collect.
---------------------------------------------------------------------------
\6\ National Research Council (NRC): Committee on Disability
Determination for Individuals with Hearing Impairments. (2005).
Hearing Loss: Determining Eligibility for Social Security Benefits.
Action Recommendation 4-5. (Complete citation at 73 FR at 47110.)
---------------------------------------------------------------------------
Issues Specific to Audiometric Testing of Children
One commenter recommended that we should strongly prefer
audiometric testing by an experienced pediatric audiologist when
evaluating hearing loss in children. While we generally agree with the
comment, we did not make any changes in the final rules because we do
not believe it is necessary to include this guidance in the
regulations. We have a general preference for obtaining evidence from
appropriate specialists in childhood cases, and we believe that our
internal operating instructions are sufficient for this purpose.\7\
---------------------------------------------------------------------------
\7\ See, for example, Program Operations Manual Systems (POMS)
DI 25205.015, available at: https://secure.ssa.gov/apps10/poms.nsf/lnx/0425205015!opendocument.
---------------------------------------------------------------------------
One commenter recommended that we reference the American Academy of
Audiology's pediatric protocols for audiological evaluation of
children. We did not adopt the comment because we believe the
audiometric testing we require in these final rules is sufficient for
evaluating hearing loss in children.
Two commenters wrote about our statement in proposed 102.00B2a that
we would not purchase physiologic hearing tests for children and would
instead consider ``other evidence'' when such testing was not done or
when it was done, we could not obtain the results. One of these
commenters requested clarification of what ``other evidence'' we would
consider and asked whether we may purchase physiologic testing that
does not require sedation. The other commenter stated that physiologic
testing would be necessary for infants, some toddlers, and some
children with certain developmental disorders that preclude
participation in behavioral testing. This commenter also recommended
that we should use all information gathered during testing to evaluate
functioning if the impairment does not meet or medically equal a
listing.
When we evaluated these comments, we determined that our guidance
in proposed 102.00B2a was unclear and contrary to our intent because it
implied that a hearing impairment could meet listing 102.10 without
physiological or behavioral testing. The proposed guidance was not for
determining whether hearing loss met a listing; we intended it to apply
only to evaluations of medical and functional equivalence. To clarify
that listing 102.10 requires physiologic testing, we removed the word
``generally'' from proposed 102.00B2a and removed the proposed guidance
indicating that we will evaluate a person's hearing loss based on other
evidence in the case record.
We also removed unnecessary and potentially confusing language in
102.00B2a. In the proposed rules, we said that we would use other
evidence when physiologic testing had not been done or we could not
obtain the results of testing that had been done. However, there was a
third possibility: We have the results of physiologic testing, but we
need new testing. Since our intent was only to say that we would not
purchase physiologic testing, we simplified the rule to say just that.
This rule applies regardless of whether such testing requires sedation.
We did not adopt the comment that recommended we use all
information gathered during testing to evaluate functioning if the
impairment does not meet or medically equal a listing. We already use
all of the relevant information we gather in connection with testing
when we determine whether a child's impairment(s) functionally equals
the listings. We have other rules that explain how we consider medical
and other evidence when we evaluate a child's functioning. See
Sec. Sec. 416.924a and 416.926a, and SSR 09-2p.\8\
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\8\ SSR 09-2p: Title XVI: Determining Childhood Disability--
Documenting a Child's Impairment-Related Limitations, 74 FR 7625
(2009), also available at: https://www.socialsecurity.gov/OP_Home/rulings/ssi/02/SSR2009-02-ssi-02.html.
---------------------------------------------------------------------------
One commenter recommended that we require otoacoustic emissions
(OAE) testing in addition to the physiologic testing we required in
proposed 102.00B2c(i) for children from birth to the attainment of age
6 months to identify children with auditory dyssynchrony or auditory
neuropathy. Another commenter pointed out that, when testing indicates
that an infant may have auditory neuropathy (that is, normal OAE but no
response on Auditory Brainstem Response (ABR) testing), we should
presume the child disabled until it is possible to perform age-
appropriate behavioral testing, generally by age 6 months. We did not
adopt these comments. Test results showing normal OAE, but no response
on ABR testing are uncommon and nearly always involve children who have
other impairments that we would find disabling under the criteria of a
listing in another body system. We will evaluate the small number of
children who do not have such other impairments on an individual basis.
If we cannot make a fully favorable determination in those cases, we
will defer them until the child is age 6 months and can participate in
behavioral testing.
One commenter suggested that it would be helpful to list some of
the other types of physiologic testing--such as Brainstem Auditory
Evoked Response (BAER)--in addition to ABR testing. We did not adopt
the recommendation. We cite only the ABR because, as the commenter
noted, ABR testing is the most commonly used physiologic test and is
the one that adjudicators are most likely to see.
One commenter recommended that we determine the pure tone air and
bone conduction thresholds in children by testing at 3000 Hz in
addition to 500, 1000, 2000, and 4000 Hz. We did not adopt the comment
because, as we explained in the NPRM,\9\ our adjudicative experience
has shown that testing is often not done at 3000 Hz. Moreover, several
commenters on the April 13, 2005, Advance Notice of Proposed Rulemaking
\10\ recommended that we remove the current requirement to test at 3000
Hz. We agreed with those commenters and believe the findings we require
in these final rules are adequate for our purposes.
---------------------------------------------------------------------------
\9\ 73 FR 47107 (2008).
\10\ 70 FR 19353 (2005).
---------------------------------------------------------------------------
One commenter noted that we provided in proposed 102.00B2g that we
can consider normal results from hearing screening tests, such as OAE,
to determine that a child's hearing loss is not ``severe'' when these
test results are consistent with the other evidence in the case record.
The commenter asked whether we could use normal results from a pure
tone screen by a speech-language pathologist in the same way. We can
use such evidence in the same way as other screening tests. In response
to this comment, we revised the guidance in final 102.00B2g to include
[[Page 30698]]
pure tone testing as a type of screening test.
Validity of Audiometric Testing
One commenter commented on our proposed requirements for otoscopic
examination together with pure tone average and SRT testing to document
the validity of audiometry and suggested that we instead require only a
statement of reliability, validity, or inter-test reliability. The
commenter believed that such a statement would also cover issues such
as patient cooperation and the attention of a child. We partially
adopted the comment:
We do not consider test results in isolation. Therefore, in
response to this comment and another comment we describe later, we
added a sentence in final 2.00B1a and 102.00B1a stating that we will
consider your test scores together with any other relevant information
we have about your hearing, including information from outside of the
test setting. This is our basic policy for considering any test
results.
In final 2.00B2b and 102.00B2b, we provide that the person who
performs the audiometry should report on any factors in addition to the
factors observable on otoscopy that can affect the interpretation of
the test results. As this commenter suggested, we used patient
cooperation as an example in the adult rule and a child's ability to
maintain attention as an example in the childhood rule. It is common
practice to report such observations, so the provisions in the final
rules will not be an additional burden on our CE providers. We also
expect to find such observations in existing reports of audiometric
testing.
We did not adopt the general statement the commenter suggested,
because general statements about reliability and validity are too vague
to assure us that the results of audiometric testing are reliable and
valid.
One commenter asked whether adjudicators must reject the results of
all audiometric testing when the person's SRT is not within 10 dB of
the average pure tone air conduction thresholds at 500, 1000, and 2000
Hz. In proposed 2.00B2d and 102.00B2f(iii), we indicated only that the
reason for such a discrepancy should be documented. Another commenter
suggested that we highlight or strengthen the guidance in these
sections. In response to these comments, we revised the guidance in
final 2.00B2d and 102.00B2f(iii) to explain that, if we cannot
determine a medical basis for the discrepancy we will not use the
results of the testing to determine that a person's hearing loss meets
the listing. We also clarified that we require an explanation of the
discrepancy, by using ``must'' in the final rule instead of the
proposed ``should.''
Two commenters recommended that we require a check of the cochlear
implant before testing to ensure that it is turned on and functioning
properly. One of these commenters also recommended that we require
corroborating behavioral evidence that correlates with the Hearing in
Noise Test (HINT) results to ensure the validity and reliability of the
testing. In the NPRM, we said that word recognition testing ``must be
conducted in quiet in a sound field with your implant adjusted to your
normal settings.'' \11\ We intended this requirement to include
verification that the person's cochlear implant is turned on and
functioning properly. However, to be clearer, we added in final 2.00B3b
and 102.003B3b a requirement that the person's implant must be
functioning properly. In response to the second comment and another
comment we have already described, we added sentences in final 2.00B1a
and 102.00B1a providing that we consider test results together with all
relevant evidence in the case record.
---------------------------------------------------------------------------
\11\ 73 FR at 47111.
---------------------------------------------------------------------------
Issues Regarding Audiometric Testing of Persons Who Are Not Fluent in
English
Several commenters responded to our request in the NPRM for
suggestions about other methods we could use to evaluate the word
recognition ability of persons who are not fluent in English.\12\ One
commenter noted that our proposed rules did not recognize recorded
speech testing in foreign languages. As we have already noted in
response to an earlier comment, we accept word recognition testing
using recorded material, and that includes recorded material in a
foreign language. While considering this comment, however, we noticed
that we inadvertently omitted requirements for word recognition testing
when a person is not fluent in English from the proposed rules,
although we included the requirements in the preamble to the NPRM.\13\
We have included the omitted text in the final rules. As in the
preamble to the NPRM, the final rules explain that testing of a person
who is not fluent in English should be conducted using an appropriate
word list for the language in which the person is most fluent, and the
person conducting the testing should be fluent in the language used for
the test.
---------------------------------------------------------------------------
\12\ 73 FR at 47106.
\13\ 73 FR at 47105-06.
---------------------------------------------------------------------------
Another commenter suggested that we consider a person's contact
with treating sources, other health care professionals, and other third
parties, such as past employers, to see whether the person is able to
communicate with them either directly or through the use of an
interpreter. We did not add this guidance. In some cases, the persons
referenced by the commenter are already included in the clause ``other
persons who speak the language in which you are the most fluent'' in
final 2.00B4 and 102.00B4. In other cases, we do not need to consider
the person's ability to communicate with such persons when we evaluate
word recognition ability under the final listings.
A third commenter approved of our guidance in proposed 2.00B4 and
102.00B4 regarding word recognition testing for a person who is not
fluent in English, but thought it might be difficult to obtain the
testing we need. We understand this concern and to address it include
the guidance in final 2.00B4 and 102.00B4 concerning medical
equivalence.
Another commenter recommended that we include physiologic testing,
such as frequency-specific evoked potentials, for persons who do not
speak English. We did not adopt this suggestion because this testing
does not test word recognition ability.
One commenter noted that, while the HINT is available in 12
languages, our requirement that a person who performs audiometric
testing ``must be fluent'' in the claimant's native language would
create a problem for obtaining the test. As we explained above, the
person administering the test ``should'' be fluent in the language. We
do not have an absolute rule that the person who administers the test
must be fluent in the language, although that is our preference. We
also provide that the inability to measure a person's word recognition
ability means only that his or her hearing impairment cannot meet final
listing 2.11B or 102.11B. If a person with a severe impairment(s) has
difficulty understanding words in the language in which he or she is
most fluent and we are unable to measure his or her word recognition
ability, we will consider whether the degree of difficulty (either
alone or in combination with another impairment(s)) medically equals
final listing 2.11B or 102.11B. If not, we consider the person's
difficulty understanding words when we assess residual functional
capacity for adults or functional equivalence for children.
One commenter suggested that we should acknowledge in the childhood
[[Page 30699]]
listings that the ``speech education and articulation'' of children in
bilingual or multilingual environments differs from those of children
in monolingual environments. The commenter believed that most speech
tests conducted for children who are bilingual or multilingual would be
invalid. We did not adopt this comment. We agree that children who are
bilingual or multilingual do not always develop in the same way as
children who are monolingual, but we do not agree that all speech
testing of such children is invalid. Moreover, we do not rely on test
scores alone, but consider all of the relevant evidence when we
evaluate a child's functioning. See Sec. 416.924a(a)(1)(ii).
Listing Criteria for Hearing Loss Not Treated With Cochlear
Implantation
We received several comments about the criteria in proposed
listings 2.10 and 102.10. One commenter said that we should change the
criteria in listings 2.10B and 102.10B2 from a word recognition score
of 40 percent or less in the better ear to a score of 70 percent or
less. Another commenter noted that our proposed listings did not
address the variability in word recognition scores, that is, that a
score higher than 40 percent might not be statistically different from
a score of 40 percent or less. Some commenters also recommended various
changes to listing 102.10A. They recommended that we:
Use the average air conduction threshold criteria in Table
7-2 of the NRC report;
Use the speech and language criteria in Tables 7-2 and 7-3
of the NRC report;
Change the criterion for children from birth to age 5 in
proposed listing 102.10A to 25-30 dB, and use the same criterion for
children ages 5-12; and
Use an unaided air conduction threshold of 50 dB for
children ages 12-18.
We did not adopt any of these suggestions because we believe they
would require us to find some adults and children who do not have
listing-level impairments disabled under the listings. We set the
levels of hearing loss in these final rules for adults and children at
levels that reflect very serious hearing loss; we use the listings only
to deem persons disabled without considering any other factors that may
contribute to their inability to work or to function age-appropriately
in the case of children. It is important to remember, however, that we
do not deny benefits to anyone solely because his or her impairment(s)
does not meet a listing. We may still find that a person's
impairment(s) is disabling based on medical equivalence or based on an
individualized assessment when we evaluate an adult's residual
functional capacity, age, education, and work experience, or functional
equivalence in children.
One commenter requested that we include listing criteria for adults
with precipitous hearing loss who have an impairment(s) that does not
meet the pure tone criteria in listing 2.10A but who have significant
limitations in the ability to discriminate words. The commenter also
requested that we include criteria for children over age 5 who have an
unaided hearing threshold of 50 dB in the better ear and normal speech
and language development but do not have the ability to listen
accurately in distant and noise- challenged situations. The commenter
suggested we use the HINT or HINT-C for children to evaluate these
persons.
We did not adopt these comments because we had already proposed
criteria for determining when a limitation in word recognition ability
is of listing-level severity in listings 2.10B and 102.10B2. The final
rules, which are the same as the proposed rules, require results from a
phonetically balanced monosyllabic word list for persons who do not
have cochlear implants, regardless of the type or level of their
hearing loss. We specify this type of test because it is the one most
often used in clinical practice.
One commenter recommended that we consider first-time hearing aid
users under a disability for 1 year because they may need a period of
rehabilitation and training to use the aid effectively. This commenter
also recommended a 1-year period of disability for persons with sudden
hearing loss, rapidly deteriorating hearing, or fluctuating hearing
because they may need time to adjust to the challenges of
communication. We did not adopt these recommendations because some
persons with the conditions described by the commenter will not have
impairments that meet our definition of disability, including the 12-
month duration requirement.
One commenter noted that visual reinforcement audiometry (VRA),
which we indicate is the usual method of testing for children from age
6 months to the attainment of age 2, is only an estimate of the hearing
threshold. The commenter recommended that we raise the average air
conduction threshold in proposed listing 102.10A to ensure that
children in this age range are truly disabled. While we acknowledge
that VRA provides only an estimate of hearing loss, it is the most
reliable method for testing children from age 6 months to the
attainment of age 2, and we believe that--even as an estimate--an
average air conduction threshold of 50 dB or greater in the better ear
does indicate listing-level severity in these young children.
One commenter noted an inconsistency between our definition of
``marked'' limitation in speech in proposed 102.00B5a and our
definition of the term in SSR 98-1p.\14\ The commenter recommended that
we use unintelligibility on the first attempt 67 percent (two-thirds)
of the time as the threshold for a marked limitation instead of 60
percent. We adopted the comment by changing the rule to ``at least 50
percent (half) of the time but no more than 67 percent (two-thirds) of
the time.'' This is the same range that we use in our definitions of
``marked'' in SSR 98-1p and other rules, that is, one-half to two-
thirds.
---------------------------------------------------------------------------
\14\ SSR 98-1p: ``Policy Interpretation Ruling: Title XVI:
Determining Medical Equivalence in Childhood Disability Claims When
a Child Has Marked Limitations in Cognition and Speech,'' 63 FR
15248 (1998), also available at: https://www.socialsecurity.gov/OP_Home/rulings/ssi/02/SSR98-01-ssi-02.html.
---------------------------------------------------------------------------
One commenter recommended that we consider children with ``marked
mental retardation'' who cannot be evaluated for speech or language to
be disabled when their impairment meets the hearing criterion alone. We
were not certain what the commenter intended by ``marked mental
retardation'' because the American Psychiatric Association (APA) and
World Health Organization (WHO) currently use the terms ``mild,''
``moderate,'' ``severe,'' and ``profound'' to describe the levels of
the disorder.\15\ We assume that the commenter meant at least
``moderate'' mental retardation, which in the APA's definition is
mental retardation generally with an IQ of 35-55; the WHO's is similar,
with an IQ of 35-49. In either case, the mental retardation by itself
meets listing 112.05C in the mental disorders listings, and depending
on the facts of the case, may meet listing 112.05B. It is not necessary
for a child to also have hearing loss to qualify under either of those
listings.
---------------------------------------------------------------------------
\15\ American Psychiatric Association, Diagnostic and
Statistical Manual of Mental Disorders, Fourth Edition, Text
Revision (DSM-IV-TR). Washington, DC (2000); World Health
Organization, Division of Mental Health and Substance Abuse, ICD-10
Guide for Mental Retardation, Geneva (1996), available at: https://www.who.int/mental_health/media/en/69.pdf. See also: https://apps.who.int/classifications/apps/icd/icd10online/.
---------------------------------------------------------------------------
Listing Criteria for Hearing Loss Treated With Cochlear Implantation
We received several comments about our proposal to find disability
for 1 year
[[Page 30700]]
following cochlear implantation under listing 2.11A and, for some
children, listing 102.11A.\16\ The commenters said that the 1-year
period was arbitrary and that it may be insufficient because it does
not account for variation in treatment outcomes or allow for maximal
improvement. The commenters recommended that we extend the period by
various amounts of time ranging from 18 months to 3 years. Another
commenter suggested that we provide the option of extending the period
of disability past 1 year as necessary, particularly for persons who
also have vision impairments and may require a longer period of
adjustment because of their multiple impairments.
---------------------------------------------------------------------------
\16\ Like the proposed rule, final listing 102.11A provides for
a finding of disability after cochlear implantation until age 5 or
for 1 year after implantation ``whichever is later.'' We will find
that some children are disabled under this listing for more than 1
year.
---------------------------------------------------------------------------
We did not adopt these comments. While some persons will still have
listing-level impairments 1 year after implantation, many will have
improved, so we must reexamine their status to see whether they remain
disabled. Our rule is not arbitrary: most therapy programs following
cochlear implantation involve a period of rehabilitation and training
for about 1 year.
Moreover, the 1-year rule does not mean that disability
automatically ends after 1 year. Under the Act and our regulations, we
generally cannot find that a person's disability has ended unless his
or her impairment has medically improved and the person is no longer
disabled.\17\ After 1 year, we must consider whether the impairment(s)
is disabling under the criteria in listing 2.11B or 102.11B, or if not,
under other listings or our other disability criteria.
---------------------------------------------------------------------------
\17\ See sections 223(f) and 1614(a)(4) of the Act, and
Sec. Sec. 404.1594, 416.994, and 416.994a of our regulations.
---------------------------------------------------------------------------
Two commenters sent us questions about various adjudication
scenarios involving cochlear implants. With one exception, we did not
add more detailed guidance to the rules to address these situations
because they are uncommon and we can address them in training and other
instructions. We did clarify that we count the 1-year period for which
we presume disability from the date of the initial implantation
procedure when a person has had more than one implant. This rule will
apply regardless of whether the person had an implant in the other ear
or replacement of the initial implant. See final 2.00B3a and 102.00B3a
and final listings 2.11 and 102.11.
Two commenters were concerned about our requirement in proposed
listings 2.11B and 102.11B that we use the HINT or HINT-C to evaluate a
person's hearing loss after cochlear implantation. The commenters
indicated that we would have difficulty obtaining a HINT or HINT-C
because most audiologists do not have the test. One commenter was
concerned that residents of rural areas might be disadvantaged because
these tests are available primarily at medical centers that perform
cochlear implants. The second commenter, who acknowledged that the HINT
is the accepted standard for assessing hearing outcome after cochlear
implantation, indicated that the original CD version of this test was
noted to have limitations and has been replaced with computerized
software versions (such as the HINT for Windows and the
HINT[reg]Pro) that contain improvements and enhancements.
The commenter asked what version of the HINT we would accept. The
commenter further noted that literature from the manufacturer of the
HINT[reg]Pro indicates that this test is normed for anyone
who reads at a first grade level and for children as young as age 6.
The commenter asked whether this test could also be used for children
between the ages of 5 and 6 and for adults who have literacy problems.
The commenter also stated that other speech-in-noise tests are used
more frequently and asked whether we would use the results of those
other tests.
We do not share the commenters' concerns about the availability of
the HINT or HINT-C. As one of the commenters noted, the HINT is the
accepted standard for assessing hearing outcome after cochlear
implantation, and we believe this testing is likely to be in the
evidence we obtain from a person's medical sources. If not, or if we
need more recent testing, we believe that in most instances we will be
able to purchase it from these sources or from audiologists who do have
the HINT or HINT-C. We acknowledge there may be a few cases in which we
will not be able to get testing for a resident of a rural area. In
those cases, we will use other evidence to determine whether the person
is disabled.
In response to the concerns raised by the second commenter, we are
providing in final 2.00B3b and 102.00B3b that we will use ``any
version'' of the HINT or, for children, any age-appropriate version of
the HINT or HINT-C. We will use results only from the HINT or HINT-C to
determine that an impairment meets one of the final listings. We can
use results from other tests to determine whether the impairment(s)
medically equals a listing or to assess residual functional capacity in
adults or functional equivalence in children. With respect to the age
and literacy issues, we can use versions of the HINT that have been
normed for children as young as age 6 to test children between age 5
and 6 and, when appropriate, to test adults with literacy problems.
One commenter believed that we should use the same word recognition
tests and test-score criteria to evaluate hearing loss in persons who
have cochlear implants as we use to evaluate hearing loss in persons
who have hearing aids. We did not adopt the comment because the final
listings reflect the way that persons are ordinarily tested. Persons
who do not have cochlear implants are ordinarily tested with
phonetically balanced monosyllabic word lists. The HINT is the accepted
test for assessing persons with cochlear implants. The HINT is a
sentence test, and persons generally have higher word recognition
scores when tested with a sentence test because sentences provide
context for the words used. Therefore, we must require a higher word
recognition score for cochlear implant users.
Terminology Issues
One commenter recommended that we use the term ``audiometric
evaluation'' rather than ``audiometric testing'' throughout these final
rules to reflect the full scope of the audiologist's identification and
assessment of hearing disorders. We did not adopt the comment. While we
recognize that the scope of an audiologist's practice is not limited to
audiometric testing, the term ``audiometric testing'' describes the
type of evidence we require from audiologists under these listings.
Two commenters recommended that we consistently use the
abbreviation dB HL (decibel hearing level) throughout the final rules
wherever we used the abbreviation dB (decibel) in the proposed rules.
We did not adopt the recommendation because, in these final rules, the
``dB HL'' designation is relevant only to word recognition testing for
persons with cochlear implants. The sound used to test persons with
cochlear implants can be delivered by two methods, referred to as
``HL'' and ``SPL'' (sound pressure level). Both of these methods are
expressed in dB, but a specific dB HL is not the same level of loudness
as the same dB SPL. To ensure that we use a consistent standard to
evaluate every person with a cochlear implant, we use the abbreviation
``dB HL'' only in final 2.00B3b and 102.00B3b.
[[Page 30701]]
Hearing Loss in Combination With Another Impairment(s)
One commenter wrote to us about persons with hearing loss together
with other medical conditions, such as visual or cognitive disorders,
that compromise their ability to compensate for their hearing loss. The
commenter said that some of these persons have greater difficulty
functioning than persons with worse hearing loss but no other
impairments. The commenter believed that such persons may not be
disabled under our listings, but would still have difficulty responding
to the communication challenges of daily living, and that we should
consider them disabled. This commenter was also concerned that some
persons with hearing loss whose impairments do not meet the criteria of
the final listings may have difficulty functioning and should also be
considered disabled.
In these final rules, we include revisions only to our listings for
hearing loss. We have other listings and other rules that we use to
find many persons disabled, including persons like those described by
the commenter. In addition, our regulations require us to consider the
combined impact of multiple impairments throughout the disability
determination process. See Sec. Sec. 404.1523, 416.923, and 416.924.
Some persons with a combination of hearing loss and other impairments
will have impairments that meet or medically equal listings in other
body systems. Others may be found disabled at a later step of the
sequential evaluation process.
Accounting for Improvement With Hearing Aids
While most commenters agreed with our proposal to remove the
requirement for testing with hearing aids, one commenter believed that
we should not determine disability without accounting for any
improvement in functioning that a person may derive from the use of
such aids. Another commenter suggested that we include some functional
criteria in the listings to account for persons who have individualized
hearing aids that improve their functioning.
As we explained in the NPRM,\18\ we determined that persons with
the level of hearing loss specified in the listings do not usually
obtain significant improvement in their ability to hear and communicate
with the use of hearing aids. In other words, the severity criteria we
provide in the final listings make testing with a hearing aid
unnecessary. Therefore, we believe that it is appropriate to eliminate
the requirement for aided testing and that it is not necessary to add
functional criteria to the listings for the evaluation of persons with
listing-level hearing loss who have individualized hearing aids.
---------------------------------------------------------------------------
\18\ 73 FR 47106 (2008).
---------------------------------------------------------------------------
Need for Listings for Hearing Loss
Citing testimony from our 2005 policy conference regarding the
number of persons with deafness who work, one commenter believed that
we should not presume that all persons whose hearing impairments meet
the criteria in these listings are disabled. The commenter indicated
that we should document that the proposed rules correctly identify
persons who meet the definition of disability in the Act and our
regulations. When we developed our proposed rules for evaluating claims
involving hearing loss, we consulted with some of the most renowned
experts in the field of hearing disorders. We also received comments
from experts who supported our proposed rules. Based on this
information, we believe it is appropriate to presume disability in
persons whose hearing impairments meet the criteria in these final
rules. In addition, the testimony from our policy conference regarding
persons with deafness who work did not fully address the issue of work
independence (for example, special accommodations) and other factors
(such as levels of earnings); therefore, the testimony was not
specifically relevant to the issue in this comment. Moreo