Expedited Vocational Assessment Under the Sequential Evaluation Process, 56357-56362 [2011-23396]
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Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Proposed Rules
airspace necessary to ensure the safety
of aircraft and the efficient use of
airspace. This regulation is within the
scope of that authority as it would
establish additional controlled airspace
at Driggs-Reed Memorial Airport,
Driggs, ID.
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA–2010–0060]
RIN 0960–AH26
List of Subjects in 14 CFR Part 71
Expedited Vocational Assessment
Under the Sequential Evaluation
Process
Airspace, Incorporation by reference,
Navigation (air).
AGENCY:
The Proposed Amendment
Accordingly, pursuant to the
authority delegated to me, the Federal
Aviation Administration proposes to
amend 14 CFR part 71 as follows:
1. The authority citation for 14 CFR
part 71 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40103, 40113,
40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–
1963 Comp., p. 389.
[Amended]
2. The incorporation by reference in
14 CFR 71.1 of the Federal Aviation
Administration Order 7400.9V, Airspace
Designations and Reporting Points,
dated August 9, 2011, and effective
September 15, 2011 is amended as
follows:
Paragraph 6005 Class E airspace areas
extending upward from 700 feet or more
above the surface of the earth.
*
*
*
ANM ID E5
*
*
Driggs, ID [Modified]
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Driggs-Reed Memorial Airport, ID
(Lat. 43°44′34″ N., long. 111°05′48″ W.)
That airspace extending upward from 700
feet above the surface within a 10.4-mile
radius of Driggs-Reed Memorial Airport, and
within 4.5 miles either side of the 344°
bearing of the airport extending from the
10.4-mile radius to 14.8 miles northwest of
Driggs-Reed Memorial Airport, and within 2
miles west and 5.4 miles east of the 208°
bearing of the airport extending from the
10.4-mile radius to 13 miles south of DriggsReed Memorial Airport.
Issued in Seattle, Washington, on
September 1, 2011.
Robert Henry,
Acting Manager, Operations Support Group,
Western Service Center.
[FR Doc. 2011–23289 Filed 9–12–11; 8:45 am]
BILLING CODE 4910–13–P
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We propose to give
adjudicators the discretion to proceed to
the fifth step of the sequential
evaluation process for assessing
disability when we have insufficient
information about a claimant’s past
relevant work history to make the
findings required for step 4. If an
adjudicator finds at step 5 that a
claimant may be unable to adjust to
other work existing in the national
economy, the adjudicator would return
to the fourth step to develop the
claimant’s work history and make a
finding about whether the claimant can
perform his or her past relevant work.
This proposed new process would not
disadvantage any claimant or change the
ultimate conclusion about whether a
claimant is disabled, but it would
promote administrative efficiency and
help us make more timely disability
determinations and decisions.
DATES: To ensure that your comments
are considered, we must receive them
no later than November 14, 2011.
ADDRESSES: You may submit comments
by any one of three methods—Internet,
fax, or mail. Do not submit the same
comments multiple times or by more
than one method. Regardless of which
method you choose, please state that
your comments refer to Docket No.
SSA–2010–0060 so that we may
associate your comments with the
correct regulation.
Caution: You should be careful to
include in your comments only
information that you wish to make
publicly available. We strongly urge you
not to include in your comments any
personal information, such as Social
Security numbers or medical
information.
1. Internet: We strongly recommend
this method for submitting your
comments. Visit the Federal
eRulemaking portal at https://
www.regulations.gov. Use the Search
function of the webpage to find docket
number SSA–2010–0060 and then
submit your comment. Once you submit
your comment, the system will issue
you a tracking number to confirm your
SUMMARY:
PART 71—DESIGNATION OF CLASS A,
B, C, D AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND
REPORTING POINTS
§ 71.1
Social Security Administration.
Notice of proposed rulemaking
(NPRM).
ACTION:
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56357
submission. You will not be able to
view your comment immediately as we
must manually post each comment. It
may take up to a week for your
comment to be viewable.
2. Fax: Fax comments to (410) 966–
2830.
3. Mail: Address your comments to
the Office of Regulations, Social
Security Administration, 107 Altmeyer
Building, 6401 Security Boulevard,
Baltimore, Maryland 21235–6401.
Comments are available for public
viewing on the Federal eRulemaking
portal at https://www.regulations.gov or
in person, during regular business
hours, by arranging with the contact
person identified below.
FOR FURTHER INFORMATION CONTACT:
Janet Truhe, Office of Disability
Programs, Social Security
Administration, 6401 Security
Boulevard, Baltimore, Maryland 21235–
6401, (410) 966–7203. 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 site, Social Security
Online, at https://
www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Background
The Current Sequential Evaluation
Process
We use a five-step ‘‘sequential
evaluation process’’ 1 to decide whether
a claimant is disabled 2 when he or she
applies for disability benefits under title
II of the Social Security Act (Act) or
Supplemental Security Income
payments based on disability under title
XVI of the Act. We follow each step in
a set order. If we can find that a
claimant is disabled or not disabled at
a step, we do not go on to the next step.3
If we cannot find that a claimant is
disabled or not disabled at a step, we
evaluate the claim at the next step in the
sequential evaluation process.4 The
following is a general overview of the
five steps.
At step 1, we consider whether a
claimant is working and whether the
work qualifies as ‘‘substantial gainful
1 20
CFR 404.1520 and 416.920.
claimant is disabled if he or she is unable to
do any substantial gainful activity because he or she
has a medically determinable physical or mental
impairment that can be expected to result in death
or can be expected to last for a period of at least
12 continuous months. See 42 USC 423(d)(1)(A)
and 1382c(a)(3)(A); 20 CFR 404.1505 and 416.905.
3 20 CFR 404.1520(a)(4) and 416.920(a)(4).
4 Id.
2A
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activity.’’ 5 If the claimant is doing
substantial gainful activity, we will find
that the claimant is not disabled,
regardless of his or her medical
condition, age, education, and work
experience. If the claimant is not
performing substantial gainful activity,
we go to the second step of the
sequential evaluation process.
At step 2, we consider whether a
claimant has any ‘‘severe’’
impairment(s), which significantly
limits his or her physical or mental
ability to do basic work activities 6 and
whether the impairment(s) meets the
statutory duration requirement.7 If the
claimant’s impairment(s) is not severe
or if it does not meet the duration
requirement, we will find that the
claimant is not disabled.8 If the claimant
has a severe impairment(s) that meets
the duration requirement, we go to the
third step of the sequential evaluation
process.
At step 3, we consider whether a
claimant’s impairment(s) meets or
medically equals in severity an
impairment(s) in the Listing of
Impairments.9 If the claimant’s
impairment(s) meets or medically
equals in severity a listed impairment,
we will find that the claimant is
disabled. If the claimant does not have
an impairment(s) that meets or
medically equals in severity a listed
impairment, we determine the
claimant’s residual functional capacity
(RFC)10 before we go to the fourth step
of the sequential evaluation process.
At step 4, we consider whether a
claimant can perform any of his or her
past relevant work (either as the
claimant actually performed it or as the
work is generally performed in the
national economy) given his or her
RFC.11 Past relevant work is work that
a claimant did within the past 15 years,
that qualifies as ‘‘substantial gainful
activity,’’ and that lasted long enough
5 20 CFR 404.1520(a)(4)(i) and 416.920(a)(4)(i).
We explain substantial gainful activity at 20 CFR
404.1510, 404.1572, 416.910, and 416.972.
6 See 20 CFR 404.1520(a)(4)(ii), 404.1520(c),
416.920(a)(4)(ii) and 416.920(c). We explain what
we mean by an impairment that is not severe in 20
CFR 404.1521 and 416.921. We use the term
‘‘impairment(s)’’ to mean an ‘‘impairment or
combination of impairments’’ in this NPRM.
7 20 CFR 404.1520(a)(4)(ii) and 416.920(a)(4)(ii).
We explain the duration requirement at 20 CFR
404.1509 and 416.909.
8 20 CFR 404.1520(a)(4)(ii), 404.1520(c),
416.920(a)(4)(ii), and 416.920(c).
9 20 CFR 404.1520(a)(4)(iii) and 416.920(a)(4)(iii).
The Listing of Impairments are found at 20 CFR part
404 subpart P, appendix 1, and they apply to title
XVI under 20 CFR 416.925.
10 See 20 CFR 404.1545 and 416.945. The RFC
includes an assessment of both a claimant’s
physical and mental capacities.
11 20 CFR 404.1520(a)(4)(iv), 404.1560(b)(2),
416.920(a)(4)(iv), and 416.960(b)(2).
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for the claimant to learn to do it.12 If we
find that the claimant can perform any
of his or her past relevant work, we will
find that the claimant is not disabled. If
the claimant cannot perform any of his
or her past relevant work, we go to the
fifth step of the sequential evaluation
process because we do not allow claims
at step 4.
At step 5, we consider whether a
claimant’s impairment(s) prevents him
or her from doing any other work that
exists in significant numbers in the
national economy, considering his or
her RFC and vocational factors (age,13
education,14 and work experience 15).16
If we find that the claimant cannot
perform other work, we will find that
the claimant is disabled. If we find that
the claimant can perform other work,
we will find that the claimant is not
disabled.
How We Currently Obtain Evidence
and Consider Disability at Step 4 of the
Sequential Evaluation Process
At step 4, we determine whether a
claimant can perform his or her past
relevant work given his or her RFC. We
require claimants to provide us with
evidence about the work they performed
during the relevant 15-year period. This
evidence constitutes the claimant’s
work history.
We need information about each of
the claimant’s jobs, including but not
limited to: (1) The claimant’s job duties;
(2) any tools, machinery or equipment
he or she used; (3) the amount of
walking, standing, sitting, lifting, and
carrying the claimant did during the
workday; (4) how long the claimant
worked at each job; and (5) the physical
and mental demands required of the job
(either as the claimant actually
performed it or as it is generally
performed in the national economy).17
A claimant provides us with work
history information on the Form SSA–
3368 ‘‘Disability Report—Adult’’ (or the
Internet version of this form 18) and,
when necessary, the Form SSA–3369
‘‘Work History Report.’’ 19 Sometimes a
claimant does not provide enough
information on these forms for us to
make a step 4 finding. If we do not have
sufficient information, we will try to
contact the claimant and possibly the
12 See
20 CFR 404.1560(b)(1) and 416.960(b)(1).
20 CFR 404.1563 and 416.963.
14 See 20 CFR 404.1564 and 416.964.
15 See 20 CFR 404.1565 and 416.965.
16 20 CFR 404.1520(a)(4)(v) and 404.920(a)(4)(v).
17 20 CFR 404.1560(b)(2), 404.1565, 416.960(b)(2),
and 416.965.
18 Currently available at https://secure.ssa.gov/
apps6z/radr/radr-fi.
19 Currently available at https://
www.socialsecurity.gov/online/ssa-3369.pdf.
13 See
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claimant’s former employer or other
person who knows about the work, such
as a family member or co-worker.20
Once we have obtained all the
information we need, we then compare
the claimant’s RFC to the physical and
mental demands of these past relevant
jobs to determine whether the claimant
can still perform any of them. To make
this comparison, we may use the
services of vocational experts,
vocational specialists, or other
resources, such as the Dictionary of
Occupational Titles, its companions,
and supplements (published by the
Department of Labor).21 If we find that
a claimant can perform any of his or her
past relevant work, either as actually
performed or as generally performed in
the national economy, we will find that
the claimant is not disabled. If the
claimant cannot perform any of his or
her past relevant work, we go to step 5
to determine whether he or she can
perform other work that exists in
significant numbers in the national
economy.
How We Currently Obtain Evidence
and Consider Disability at Step 5 of the
Sequential Evaluation Process
At step 5, we determine whether a
claimant’s impairment(s) prevents him
or her from doing any other work that
exists in significant numbers in the
national economy, considering his or
her RFC (physical and mental) and
vocational factors (age, education, and
work experience).22 We use several
methods to help us make this finding.
First, we determine whether the
claimant’s impairment(s) and his or her
vocational factors match one of the
special medical-vocational profiles,
which show an inability to adjust to
other work.23 If those profiles do not
apply, we use the Medical-Vocational
Guidelines (Guidelines) either directly
or as a framework 24 to consider whether
the claimant can perform any other
work that exists in significant numbers
in the national economy.25 If a
claimant’s RFC and vocational factors
do not coincide with any of the
20 20
CFR 404.1565(b) and 416.965(b).
CFR 404.1560(b)(2), 404.1566(e),
416.960(b)(2), and 416.966(e).
22 20 CFR 404.1560(c)(1) and 416.960(c)(1).
23 See 20 CFR 404.1562 and 416.962, Social
Security Ruling 82–63, and POMS DI 25010.001,
available at https://policynet.ba.ssa.gov/poms.nsf/
lnx/0425010001. However, the special medicalvocational profile in 20 CFR 404.1562(b) and
416.962(b) applies when a claimant does not have
past relevant work experience.
24 We use the Guidelines as a framework to
evaluate a disability claim when a claimant has
additional limitations that erode the available
occupational base. 20 CFR 404.1569a and 416.969a.
25 20 CFR 404.1569a, 416.969a, and 20 CFR part
404, subpart P, appendix 2.
21 20
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Guidelines, we use vocational experts,
other vocational specialists, or other
sources of reliable job information to
obtain information to help us determine
whether the claimant’s RFC and
vocational factors allow the claimant to
perform other work that exists in
significant numbers in the national
economy.26 If we find that a claimant
cannot adjust to other work that exists
in significant numbers in the economy,
we find the claimant disabled. If we find
that a claimant can adjust to other work
that exists in significant numbers in the
economy, we find the claimant not
disabled.
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Why We Propose To Change the
Current Process
Gathering and evaluating a claimant’s
work history can be a time-consuming
and labor-intensive process, particularly
when the claimant has performed
multiple jobs during the relevant
15-year period. The time we spend
obtaining the work history needed to
make step 4 findings frequently delays
the processing of claims and requires us
to divert our limited administrative
resources from processing other claims.
This delay can occur at all levels of the
administrative review process.
Proposed Changes
We propose to give disability
adjudicators at all levels of the disability
determination process the discretion to
evaluate a claim at step 5 before making
a step 4 finding if there is insufficient
evidence to make a finding at step 4. If
there is insufficient information,27 the
adjudicator would have the discretion to
either develop the work history at step
4 or go to step 5. If the adjudicator
proceeds to step 5, the adjudicator
would consider whether the claimant
may be disabled based on: (1) The
special medical-vocational profiles, (2)
the Guidelines, whether directly or as a
framework, or (3) an inability to meet
the mental demands of unskilled
work.28 If any of these rules would
indicate that the claimant may be
disabled or if the adjudicator has any
doubt whether the claimant can perform
other work existing in significant
numbers in the economy, the
adjudicator must return to step 4 to
further develop the claimant’s
vocational information and determine
whether the claimant can perform his or
her past relevant work. The adjudicator
26 20
CFR 404.1566(e) and 416.966(e).
includes when an adjudicator first
receives a claim to process it. We would not require
an adjudicator to make a reasonable effort to collect
additional evidence if he or she could use this
expedited process.
28 See 20 CFR 404.1569a(c) and 416.969a(c).
27 This
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must return to step 4 in this situation
because the Act requires us to make a
finding about a claimant’s ability to do
his or her past relevant work before we
determine that he or she is disabled at
step 5.29
However, the Act does not require us
to make such a specific finding before
we determine that a claimant is not
disabled.30 Therefore, if the adjudicator
can determine at step 5 that the
claimant is not disabled based solely on
age, education, and RFC, regardless of
the claimant’s skill level and
transferability of those skills, the
adjudicator would find the claimant is
not disabled without returning to step 4.
In some cases, we will be able to make
a finding without developing a complete
work history.31 This proposed
expedited process would not
disadvantage any claimant or change
our ultimate conclusion about whether
a claimant is disabled.
The proposed process would also
shorten processing times in some cases
because we would not need to collect
unnecessary work history at step 4 for
claims that we can appropriately deny
at step 5 based solely on the claimant’s
age, education, and RFC. For the same
reason, this expedited process also
would help us allocate our resources
more efficiently and assist in reducing
the disability backlog.
We have been using an expedited
process similar to the one we propose
for almost 12 years in our ten
‘‘prototype’’ States.32 Adjudicators in
the prototype States have been able to
evaluate and deny a claim at step 5 in
certain cases where there is insufficient
information to make a finding at step
29 42 U.S.C. 423(d)(2)(A) and 1382c(a)(3)(B)
provide that ‘‘an individual shall be determined to
be under a disability only if his physical or mental
impairment or impairments are of such severity that
he is not only unable to do his previous work but
cannot, considering his age, education, and work
experience, engage in any other kind of substantial
gainful work which exists in the national economy
* * *.’’ Therefore, in order for a claimant to be
found disabled, he or she must be both ‘‘unable to
do his [or her] previous work’’ and unable to do
‘‘any other kind of substantial gainful work * * *.’’
30 Id.
31 The proposed expedited process would also
apply when a claimant’s mental RFC allows him or
her to meet the mental demands of unskilled work.
32 The ten prototype States are: Alabama, Alaska,
California (Los Angeles North and Los Angles West
Branches), Colorado, Louisiana, Michigan,
Missouri, New Hampshire, New York, and
Pennsylvania. The prototype combines the use of a
single decisionmaker at the initial level of our
administrative review process (a disability
examiner who may make the initial disability
determination in most cases without obtaining the
signature of a medical or psychological consultant)
with the elimination of the reconsideration level of
our administrative review process. 20 CFR 404.906,
416.1406; 74 FR 48797 (2009).
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4.33 Our experience in the prototype
states supports the conclusion that the
process does not change our ultimate
decision as to whether or not a claimant
is disabled.
We would apply this expedited
process to adult disability and disabled
adult child claims under titles II and
XVI and to age 18 redeterminations
under title XVI. We would also apply
this process when we decide whether a
current adult beneficiary’s disability
continues.34 We would not use the
proposed process to evaluate title XVI
childhood disability claims because
those claims do not use vocational
criteria.35
We propose to add this new
procedure in new paragraphs
404.1520(h), 404.1594(f)(9), 416.920(h),
and 416.994(b)(5)(viii). We also propose
to make a number of conforming
changes and plain language changes in
other sections.
Clarity of These Proposed Rules
Executive Order 12866 requires each
agency to write all rules in plain
language. In addition to your
substantive comments on this NPRM,
we invite your comments on how to
make them easier to understand.
For example:
• Would more, but shorter, sections
be better?
• Are the requirements in the rules
clearly stated?
• Have we organized the material to
suit your needs?
• Could we improve clarity by adding
tables, lists, or diagrams?
• What else could we do to make the
rules easier to understand?
• Do the rules contain technical
language or jargon that is not clear?
• Would a different format make the
rules easier to understand, e.g., grouping
and order of sections, use of headings,
paragraphing?
When will we start to use these rules?
We will not use these rules until we
evaluate public comments and publish
final rules in the Federal Register. All
final rules we issue include an effective
date. If we publish final rules, we will
include a summary of relevant
comments we received, responses to
them, and an explanation of how we
will apply the new rules.
33 The procedures for processing claims in
‘‘prototype’’ States, including the instructions for
expedited vocational development and
documentation, are in the Prototype Operating
Instructions Manual available at https://
www.ssa.gov/disability/Documents/
Prototype_Operating_Instructions.doc.
34 See 20 CFR 404.1594 and 416.994.
35 See 20 CFR 416.924.
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Regulatory Procedures
Executive Order 12866, as
Supplemented by Executive Order
13563
We consulted with the Office of
Management and Budget (OMB) and
determined that this NPRM meets the
criteria for a significant regulatory
action under Executive Order 12866, as
supplemented by Executive Order
13563. Thus, OMB reviewed it.
Regulatory Flexibility Act
We certify that this NPRM will not
have a significant economic impact on
a substantial number of small entities
because it only affects individuals.
Therefore, the Regulatory Flexibility
Act, as amended, does not require us to
prepare a regulatory flexibility analysis.
Paperwork Reduction Act
This NPRM does not impose new
reporting or recordkeeping requirements
and is not subject to OMB clearance.
List of Subjects
20 CFR Part 404
Administrative practice and
procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability
Insurance, Reporting and recordkeeping
requirements, Social Security.
20 CFR Part 416
Administrative practice and
procedure, Aged, Blind, Disability
benefits, Public assistance programs,
Reporting and recordkeeping
requirements, Supplemental Security
Income (SSI).
Dated: September 7, 2011.
Michael J. Astrue,
Commissioner of Social Security.
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For the reasons set out in the
preamble, we propose to amend title 20
of the Code of Federal Regulations part
404 subpart P and part 416 subpart I as
set forth below:
PART 404—FEDERAL OLD AGE,
SURVIVORS AND DISABILITY
INSURANCE (1950–)
Subpart P—[Amended]
1. The authority citation for subpart P
of part 404 is revised to read as follows:
Authority: Secs. 202, 205(a)–(b) and (d)–
(h), 216(i), 221(a), (i), and (j), 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),
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2. Amend § 404.1505 by revising the
sixth sentence of paragraph (a) to read
as follows:
§ 404.1505
Basic definition of disability.
(a) * * * If we find that you cannot
do your past relevant work, we will use
the same residual functional capacity
assessment and your vocational factors
of age, education, and work experience
to determine if you can do other work
(see § 404.1520(h) for an exception to
this rule.).
*
*
*
*
*
3. Amend § 404.1520 by adding a new
second sentence to paragraph (a)(4), by
revising the last sentence of paragraph
(a)(4)(iv), the last sentence of paragraph
(a)(4)(v), the second sentence of
paragraph (f), and by adding a new
paragraph (h), to read as follows:
§ 404.1520
general.
(Catalog of Federal Domestic Assistance
Program Nos. 96.001, Social Security—
Disability Insurance; 96.002, Social
Security—Retirement Insurance; 96.004,
Social Security—Survivors Insurance; and
96.006, Supplemental Security Income)
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421(a), (i), and (j), 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).
Evaluation of disability in
(a) * * *
(4) * * * See paragraph (h) of this
section for an exception to this rule.
* * *
(iv) * * * (See paragraphs (f) and (h)
of this section and § 404.1560(b)).
(v) * * * (See paragraphs (g) and (h)
of this section and § 404.1560(c)).
*
*
*
*
*
(f) * * * (See paragraph (h) of this
section and § 404.1560(b)). * * *
*
*
*
*
*
(h) Expedited process. If we do not
find you disabled at the third step, and
we do not have sufficient evidence
about your past relevant work to make
a finding at the fourth step, we may
proceed to the fifth step of the
sequential evaluation process. If we find
that you can adjust to other work based
solely on your age, education, and the
same residual functional capacity
assessment we made under paragraph
(e), we will find that you are not
disabled and will not make a finding
about whether you can do your past
relevant work at the fourth step. If we
find that you may be unable to adjust to
other work, we will assess your claim at
the fourth step and make a finding about
whether you can perform your past
relevant work. (See paragraph (g) of this
section and § 404.1560(c)).
4. Amend § 404.1545 by revising the
first sentence of paragraph (a)(5)(ii) to
read as follows:
§ 404.1545
capacity.
Your residual functional
Frm 00031
§ 404.1560 When we will consider your
vocational background.
*
*
*
*
*
(b) * * * See § 404.1520(h) for an
exception to this rule.
(c) Other work. (1) If we find that your
residual functional capacity does not
enable you to do any of your past
relevant work or if we use the
procedures in § 404.1520(h), we will use
the same residual functional capacity
assessment when we decide if you can
adjust to any other work. We will look
at your ability to adjust to other work by
considering your residual functional
capacity and the vocational factors of
age, education, and work experience, as
appropriate in your case (see
§ 404.1520(h) for an exception to this
rule).
*
*
*
*
*
6. Amend § 404.1565 by revising the
second sentence of paragraph (b) to read
as follows:
§ 404.1565 Your work experience as a
vocational factor.
*
*
*
*
*
(b) * * * If you cannot give us all of
the information we need, we may try,
with your permission, to get it from
your employer or other person who
knows about your work, such as a
member of your family or a co-worker.
* * *
7. Amend § 404.1569 by revising the
third sentence to read as follows:
§ 404.1569 Listing of Medical-Vocational
Guidelines in appendix 2.
* * * We apply these rules in cases
where a person is not doing substantial
gainful activity and is prevented by a
severe medically determinable
impairment from doing vocationally
relevant past work (see § 404.1520(h) for
an exception to this rule). * * *
8. Amend § 404.1594 by revising
paragraph (f)(8) and adding a new
paragraph (f)(9) to read as follows:
§ 404.1594 How we will determine whether
your disability continues or ends.
(a) * * *
(5) * * *
PO 00000
(ii) If we find that you cannot do your
past relevant work, you do not have any
past relevant work, or if we use the
procedures in § 404.1520(h), we will use
the same assessment of your residual
functional capacity at step five of the
sequential evaluation process to decide
if you can adjust to any other work that
exists in the national economy.
*
*
*
*
*
5. Amend § 404.1560 by adding a
second sentence to paragraph (b) and
revising the first two sentences of
paragraph (c)(1) to read as follows:
*
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*
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*
Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Proposed Rules
(f) * * *
(8) If you are not able to do work you
have done in the past, we will consider
whether you can do other work given
the residual functional capacity
assessment made under paragraph (f)(7)
of this section and your age, education,
and past work experience. (See
§ 404.1594(f)(9) for an exception to this
rule.) If you can, we will find that your
disability has ended. If you cannot, we
will find that your disability continues.
(9) We may proceed to the final step,
described in paragraph (f)(8) of this
section, if the evidence in your file
about your past relevant work is not
sufficient for us to make a finding under
paragraph (f)(7) of this section about
whether you can perform your past
relevant work. If we find that you can
adjust to other work based solely on
your age, education, and residual
functional capacity, we will find that
you are no longer disabled, and we will
not make a finding about whether you
can do your past relevant work under
paragraph (f)(7) of this section. If we
find that you may be unable to adjust to
other work, we will assess your claim
under paragraph (f)(7) of this section
and make a finding about whether you
can perform your past relevant work.
*
*
*
*
*
PART 416—SUPPLEMENTAL
SECURITY INCOME FOR THE AGED,
BLIND, AND DISABLED
Subpart I—[Amended]
9. The authority citation for subpart I
of part 416 continues to read as follows:
Authority: Secs. 221(m), 702(a)(5), 1611,
1614, 1619, 1631(a), (c), (d)(1), and (p), and
1633 of the Social Security Act (42 U.S.C.
421(m), 902(a)(5), 1382, 1382c, 1382h,
1383(a), (c), (d)(1), and (p), and 1383b); secs.
4(c) and 5, 6(c)–(e), 14(a), and 15, Pub. L. 98–
460, 98 Stat. 1794, 1801, 1802, and 1808 (42
U.S.C. 421 note, 423 note, and 1382h note).
10. Amend § 416.905 by revising the
last sentence of paragraph (a) to read as
follows:
emcdonald on DSK5VPTVN1PROD with PROPOSALS
§ 416.905
Basic definition of disability.
(a)* * * If we find that you cannot do
your past relevant work, we will use the
same residual functional capacity
assessment and your vocational factors
of age, education, and work experience
to determine if you can do other work
(see § 416.920(h) for an exception to this
rule.).
*
*
*
*
*
11. Amend § 416.920 by adding a new
second sentence to paragraph (a)(4), by
revising the last sentence of paragraph
(a)(4)(iv), the last sentence of paragraph
(a)(4)(v), the second sentence of
VerDate Mar<15>2010
16:23 Sep 12, 2011
Jkt 223001
paragraph (f), and by adding a new
paragraph (h), to read as follows:
§ 416.920
general.
Evaluation of disability in
(a) * * *
(4) * * * See paragraph (h) of this
section for an exception to this rule.
* * *
(iv) * * * (See paragraphs (f) and (h)
of this section and § 416.960(b)).
(v) * * * (See paragraphs (g) and (h)
of this section and § 416.960(c)).
*
*
*
*
*
(f) * * * (See paragraph (h) of this
section and § 416.960(b)). * * *
*
*
*
*
*
(h) Expedited process. If we do not
find you disabled at the third step, and
we do not have sufficient evidence
about your past relevant work to make
a finding at the fourth step, we may
proceed to the fifth step of the
sequential evaluation process. If we find
that you can adjust to other work based
solely on your age, education, and the
same residual functional capacity
assessment we made under paragraph
(e), we will find that you are not
disabled and will not make a finding
about whether you can do your past
relevant work at the fourth step. If we
find that you may be unable to adjust to
other work, we will assess your claim at
the fourth step and make a finding about
whether you can perform your past
relevant work. (See paragraph (g) of this
section and § 416.960(c)).
12. Amend § 416.945 by revising the
first sentence of paragraph (a)(5)(ii) to
read as follows:
§ 416.945
capacity.
Your residual functional
(a) * * *
(5) * * *
(ii) If we find that you cannot do your
past relevant work, you do not have any
past relevant work, or if we use the
procedures in § 416.920(h), and
§ 416.962 does not apply, we will use
the same assessment of your residual
functional capacity at step five of the
sequential evaluation process to decide
if you can adjust to any other work that
exists in the national economy.
*
*
*
*
*
13. Amend § 416.960 by adding a
second sentence to paragraph (b) and
revising the first two sentences of
paragraph (c)(1) to read as follows:
§ 416.960 When we will consider your
vocational background.
*
*
*
*
*
(b) * * * See § 416.920(h) for an
exception to this rule.
(c) Other work. (1) If we find that your
residual functional capacity does not
PO 00000
Frm 00032
Fmt 4702
Sfmt 4702
56361
enable you to do any of your past
relevant work or if we use the
procedures in § 416.920(h), we will use
the same residual functional capacity
assessment when we decide if you can
adjust to any other work. We will look
at your ability to adjust to other work by
considering your residual functional
capacity and the vocational factors of
age, education, and work experience, as
appropriate in your case (see
§ 416.920(h) for an exception to this
rule).
*
*
*
*
*
14. Amend § 416.965 by revising the
second sentence of paragraph (b) to read
as follows:
§ 416.965 Your work experience as a
vocational factor.
*
*
*
*
*
(b) * * * If you cannot give us all of
the information we need, we may try,
with your permission, to get it from
your employer or other person who
knows about your work, such as a
member of your family or a co-worker.
* * *
15. Amend § 416.969 by revising the
third sentence to read as follows:
§ 416.969 Listing of Medical-Vocational
Guidelines in appendix 2 of subpart P of
part 404 of this chapter.
* * * We apply these rules in cases
where a person is not doing substantial
gainful activity and is prevented by a
severe medically determinable
impairment from doing vocationally
relevant past work (see § 416.920(h) for
an exception to this rule). * * *
16. Amend § 416.987 by revising the
first sentence of paragraph (b) to read as
follows:
§ 416.987 Disability redeterminations for
individuals who attain age 18.
*
*
*
*
*
(b) * * * When we redetermine your
eligibility, we will use the rules for
adults (individuals age 18 or older) who
file new applications explained in
§§ 416.920(c) through (h). * * *
*
*
*
*
*
17. Amend § 416.994 by revising
paragraph (b)(5)(vii) and adding a new
paragraph (b)(5)(viii) to read as follows:
§ 416.994 How we will determine whether
your disability continues or ends, disabled
adults.
*
*
*
*
*
(b) * * *
(5) * * *
(vii) If you are not able to do work you
have done in the past, we will consider
whether you can do other work given
the residual functional capacity
assessment made under paragraph
(b)(5)(vi) of this section and your age,
E:\FR\FM\13SEP1.SGM
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Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Proposed Rules
education, and past work experience.
(See § 416.994(b)(5)(viii) for an
exception to this rule.) If you can, we
will find that your disability has ended.
If you cannot, we will find that your
disability continues.
(viii) We may proceed to the final
step, described in paragraph (b)(5)(vii)
of this section, if the evidence in your
file about your past relevant work is not
sufficient for us to make a finding under
paragraph (b)(5)(vi) of this section about
whether you can perform your past
relevant work. If we find that you can
adjust to other work based solely on
your age, education, and residual
functional capacity, we will find that
you are no longer disabled, and we will
not make a finding about whether you
can do your past relevant work under
paragraph (b)(5)(vi) of this section. If we
find that you may be unable to adjust to
other work, we will assess your claim
under paragraph (b)(5)(vi) of this section
and make a finding about whether you
can perform your past relevant work.
*
*
*
*
*
[FR Doc. 2011–23396 Filed 9–12–11; 8:45 am]
BILLING CODE 4191–02–P
ADDRESSES:
Information Repositories:
Comprehensive information on the Site,
as well as the comments that we
received during the comment period,
are available in docket EPA–R4–
SFUND–0574, accessed through the
https://www.regulations.gov Web site.
Although listed in the docket index,
some information is not publicly
available, e.g., CBI or other information
whose disclosure is restricted by statue.
Certain other material, such as
copyrighted material, will be publicly
available only in hard copy. Publicly
available docket materials are available
either electronically in https://
www.regulations.gov or in hard copy at:
EPA Record Center, 61 Forsyth Street,
SW., Atlanta, GA 30303. Hours: 8 a.m.
to 4 p.m., Monday through Friday.
Jacksonville Public Library, 6886 103rd
Street, Jacksonville, FL 32210.
Monday–Thursday: 10 a.m.–9 p.m.,
Friday & Saturday: 10 a.m.–6 p.m.
Sunday: 1 p.m.–6 p.m.
FOR FURTHER INFORMATION CONTACT:
40 CFR Part 300
Scott Miller, Remedial Project Manager,
U.S. Environmental Protection Agency,
Region 4, 61 Forsyth Street, SW.,
Atlanta, GA 30303, (404–562–9120), email: miller.scott@epa.gov.
[EPA–R4–SFUND–2011–0574; FRL–9463–7]
SUPPLEMENTARY INFORMATION:
National Oil and Hazardous
Substances Pollution Contingency
Plan National Priorities List
List of Subjects in 40 CFR Part 300
ENVIRONMENTAL PROTECTION
AGENCY
Environmental Protection
Agency.
ACTION: Withdrawal of proposed rule.
AGENCY:
On July 15, 2011, EPA
published a Notice of Intent to Delete
and a direct final Notice of Deletion for
the Hipps Road Landfill from the
National Priorities List. The EPA is
withdrawing the Notice of Intent to
Delete due to an administrative error in
processing the deletion notice. The
online Federal Document Management
System (FDMS) did not include
required documents including the State
of Florida’s concurrence letter and the
Final Closeout Report as required. The
FDMS will be updated to include these
documents.
After the administrative error is
corrected on the intent to delete the
Hipps Road Landfill Superfund Site
from the National Priority List, EPA will
re-publish a Notice of Intent to Delete in
the Federal Register.
DATES: The proposed rule published on
July 15, 2011 (76 FR 41751) is
withdrawn as of September 13, 2011.
emcdonald on DSK5VPTVN1PROD with PROPOSALS
SUMMARY:
VerDate Mar<15>2010
18:39 Sep 12, 2011
Jkt 223001
Environmental protection, Air
pollution control, Chemicals, Hazardous
Waste, Hazardous substances,
Intergovernmental relations, Penalties,
Reporting and recordkeeping
requirements, Superfund, Water
pollution control, Water Supply.
Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C.
9601–9657; E.O. 12777, 56 FR 54757, 3 CFR,
1991 Comp., p. 351; E.O. 12580, 52 FR 2923;
3 CFR, 1987 Comp., p. 193.
Dated: August 30, 2011.
Gwendolyn Keyes Fleming,
Regional Administrator, Region 4.
Accordingly, the amendment to Table
1 of Appendix B to Part 300 to remove
the entry ‘‘Hipps Road Landfill’’, ‘‘Duval
County, FL’’ is withdrawn as of
September 13, 2011.
[FR Doc. 2011–23522 Filed 9–12–11; 8:45 am]
BILLING CODE 6560–50–P
PO 00000
Frm 00033
Fmt 4702
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FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Part 63
[IB Docket No. 07–23; DA 11–1151]
Removal of Approved Non-U.S.Licensed Space Stations From the
Section 214 Exclusion List
Federal Communications
Commission.
ACTION: Interpretation.
AGENCY:
In this document, the Federal
Communications Commission’s
(Commission’s) International Bureau
(Bureau) adopts its proposal to remove
from the Section 214 Exclusion List
those non-U.S.-licensed space stations
that have been allowed to enter the U.S.
market for satellite services pursuant to
the procedures adopted in the DISCO II
Order.
DATES: Effective September 13, 2011.
FOR FURTHER INFORMATION CONTACT:
Jennifer Balatan or Howard Griboff,
Policy Division, International Bureau,
(202) 418–1460.
SUPPLEMENTARY INFORMATION: This is a
summary of the Bureau’s Order, adopted
and released on June 30, 2011 (DA 11–
1151). The full text of this document is
available for inspection and copying
during normal business hours in the
Commission Reference Center, 445 12th
Street, SW., Washington, DC 20554. The
document is also available for download
over the Internet at https://transition.fcc.
gov/Daily_Releases/Daily_Business/
2011/db0630/DA-11-1151A1.pdf. The
complete text may also be purchased
from the Commission’s copy contractor,
Best Copy and Printing, in person at 445
12th Street, SW., Room CY–B402,
Washington, DC 20554, via telephone at
(202) 488–5300, via facsimile at (202)
488–5563, or via e-mail at Commission@
bcpiweb.com.
SUMMARY:
Summary of the Order
On January 18, 2007, the Bureau
released a Public Notice in IB Docket
No. 07–23 (72 FR 9333–02, March 1,
2007), seeking comment on its proposal
to further streamline the Section 214
authorization process by removing from
the Section 214 Exclusion List those
non-U.S.-licensed space stations that
have been allowed to enter the U.S.
market for satellite services pursuant to
the procedures (DISCO II procedures)
adopted in the DISCO II Order (62 FR
64167–01, December 4, 1997; as
amended at 63 FR 6496–02, February 9,
1998). On June 30, 2011, the Bureau
released this Order which adopts the
proposal to remove from the Section 214
E:\FR\FM\13SEP1.SGM
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]]>Agencies
[Federal Register Volume 76, Number 177 (Tuesday, September 13, 2011)]
[Proposed Rules]
[Pages 56357-56362]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23396]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA-2010-0060]
RIN 0960-AH26
Expedited Vocational Assessment Under the Sequential Evaluation
Process
AGENCY: Social Security Administration.
ACTION: Notice of proposed rulemaking (NPRM).
-----------------------------------------------------------------------
SUMMARY: We propose to give adjudicators the discretion to proceed to
the fifth step of the sequential evaluation process for assessing
disability when we have insufficient information about a claimant's
past relevant work history to make the findings required for step 4. If
an adjudicator finds at step 5 that a claimant may be unable to adjust
to other work existing in the national economy, the adjudicator would
return to the fourth step to develop the claimant's work history and
make a finding about whether the claimant can perform his or her past
relevant work. This proposed new process would not disadvantage any
claimant or change the ultimate conclusion about whether a claimant is
disabled, but it would promote administrative efficiency and help us
make more timely disability determinations and decisions.
DATES: To ensure that your comments are considered, we must receive
them no later than November 14, 2011.
ADDRESSES: You may submit comments by any one of three methods--
Internet, fax, or mail. Do not submit the same comments multiple times
or by more than one method. Regardless of which method you choose,
please state that your comments refer to Docket No. SSA-2010-0060 so
that we may associate your comments with the correct regulation.
Caution: You should be careful to include in your comments only
information that you wish to make publicly available. We strongly urge
you not to include in your comments any personal information, such as
Social Security numbers or medical information.
1. Internet: We strongly recommend this method for submitting your
comments. Visit the Federal eRulemaking portal at https://www.regulations.gov. Use the Search function of the webpage to find
docket number SSA-2010-0060 and then submit your comment. Once you
submit your comment, the system will issue you a tracking number to
confirm your submission. You will not be able to view your comment
immediately as we must manually post each comment. It may take up to a
week for your comment to be viewable.
2. Fax: Fax comments to (410) 966-2830.
3. Mail: Address your comments to the Office of Regulations, Social
Security Administration, 107 Altmeyer Building, 6401 Security
Boulevard, Baltimore, Maryland 21235-6401.
Comments are available for public viewing on the Federal
eRulemaking portal at https://www.regulations.gov or in person, during
regular business hours, by arranging with the contact person identified
below.
FOR FURTHER INFORMATION CONTACT: Janet Truhe, Office of Disability
Programs, Social Security Administration, 6401 Security Boulevard,
Baltimore, Maryland 21235-6401, (410) 966-7203. 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 site,
Social Security Online, at https://www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Background
The Current Sequential Evaluation Process
We use a five-step ``sequential evaluation process'' \1\ to decide
whether a claimant is disabled \2\ when he or she applies for
disability benefits under title II of the Social Security Act (Act) or
Supplemental Security Income payments based on disability under title
XVI of the Act. We follow each step in a set order. If we can find that
a claimant is disabled or not disabled at a step, we do not go on to
the next step.\3\ If we cannot find that a claimant is disabled or not
disabled at a step, we evaluate the claim at the next step in the
sequential evaluation process.\4\ The following is a general overview
of the five steps.
---------------------------------------------------------------------------
\1\ 20 CFR 404.1520 and 416.920.
\2\ A claimant is disabled if he or she is unable to do any
substantial gainful activity because he or she has a medically
determinable physical or mental impairment that can be expected to
result in death or can be expected to last for a period of at least
12 continuous months. See 42 USC 423(d)(1)(A) and 1382c(a)(3)(A); 20
CFR 404.1505 and 416.905.
\3\ 20 CFR 404.1520(a)(4) and 416.920(a)(4).
\4\ Id.
---------------------------------------------------------------------------
At step 1, we consider whether a claimant is working and whether
the work qualifies as ``substantial gainful
[[Page 56358]]
activity.'' \5\ If the claimant is doing substantial gainful activity,
we will find that the claimant is not disabled, regardless of his or
her medical condition, age, education, and work experience. If the
claimant is not performing substantial gainful activity, we go to the
second step of the sequential evaluation process.
---------------------------------------------------------------------------
\5\ 20 CFR 404.1520(a)(4)(i) and 416.920(a)(4)(i). We explain
substantial gainful activity at 20 CFR 404.1510, 404.1572, 416.910,
and 416.972.
---------------------------------------------------------------------------
At step 2, we consider whether a claimant has any ``severe''
impairment(s), which significantly limits his or her physical or mental
ability to do basic work activities \6\ and whether the impairment(s)
meets the statutory duration requirement.\7\ If the claimant's
impairment(s) is not severe or if it does not meet the duration
requirement, we will find that the claimant is not disabled.\8\ If the
claimant has a severe impairment(s) that meets the duration
requirement, we go to the third step of the sequential evaluation
process.
---------------------------------------------------------------------------
\6\ See 20 CFR 404.1520(a)(4)(ii), 404.1520(c),
416.920(a)(4)(ii) and 416.920(c). We explain what we mean by an
impairment that is not severe in 20 CFR 404.1521 and 416.921. We use
the term ``impairment(s)'' to mean an ``impairment or combination of
impairments'' in this NPRM.
\7\ 20 CFR 404.1520(a)(4)(ii) and 416.920(a)(4)(ii). We explain
the duration requirement at 20 CFR 404.1509 and 416.909.
\8\ 20 CFR 404.1520(a)(4)(ii), 404.1520(c), 416.920(a)(4)(ii),
and 416.920(c).
---------------------------------------------------------------------------
At step 3, we consider whether a claimant's impairment(s) meets or
medically equals in severity an impairment(s) in the Listing of
Impairments.\9\ If the claimant's impairment(s) meets or medically
equals in severity a listed impairment, we will find that the claimant
is disabled. If the claimant does not have an impairment(s) that meets
or medically equals in severity a listed impairment, we determine the
claimant's residual functional capacity (RFC)\10\ before we go to the
fourth step of the sequential evaluation process.
---------------------------------------------------------------------------
\9\ 20 CFR 404.1520(a)(4)(iii) and 416.920(a)(4)(iii). The
Listing of Impairments are found at 20 CFR part 404 subpart P,
appendix 1, and they apply to title XVI under 20 CFR 416.925.
\10\ See 20 CFR 404.1545 and 416.945. The RFC includes an
assessment of both a claimant's physical and mental capacities.
---------------------------------------------------------------------------
At step 4, we consider whether a claimant can perform any of his or
her past relevant work (either as the claimant actually performed it or
as the work is generally performed in the national economy) given his
or her RFC.\11\ Past relevant work is work that a claimant did within
the past 15 years, that qualifies as ``substantial gainful activity,''
and that lasted long enough for the claimant to learn to do it.\12\ If
we find that the claimant can perform any of his or her past relevant
work, we will find that the claimant is not disabled. If the claimant
cannot perform any of his or her past relevant work, we go to the fifth
step of the sequential evaluation process because we do not allow
claims at step 4.
---------------------------------------------------------------------------
\11\ 20 CFR 404.1520(a)(4)(iv), 404.1560(b)(2),
416.920(a)(4)(iv), and 416.960(b)(2).
\12\ See 20 CFR 404.1560(b)(1) and 416.960(b)(1).
---------------------------------------------------------------------------
At step 5, we consider whether a claimant's impairment(s) prevents
him or her from doing any other work that exists in significant numbers
in the national economy, considering his or her RFC and vocational
factors (age,\13\ education,\14\ and work experience \15\).\16\ If we
find that the claimant cannot perform other work, we will find that the
claimant is disabled. If we find that the claimant can perform other
work, we will find that the claimant is not disabled.
---------------------------------------------------------------------------
\13\ See 20 CFR 404.1563 and 416.963.
\14\ See 20 CFR 404.1564 and 416.964.
\15\ See 20 CFR 404.1565 and 416.965.
\16\ 20 CFR 404.1520(a)(4)(v) and 404.920(a)(4)(v).
---------------------------------------------------------------------------
How We Currently Obtain Evidence and Consider Disability at Step 4 of
the Sequential Evaluation Process
At step 4, we determine whether a claimant can perform his or her
past relevant work given his or her RFC. We require claimants to
provide us with evidence about the work they performed during the
relevant 15-year period. This evidence constitutes the claimant's work
history.
We need information about each of the claimant's jobs, including
but not limited to: (1) The claimant's job duties; (2) any tools,
machinery or equipment he or she used; (3) the amount of walking,
standing, sitting, lifting, and carrying the claimant did during the
workday; (4) how long the claimant worked at each job; and (5) the
physical and mental demands required of the job (either as the claimant
actually performed it or as it is generally performed in the national
economy).\17\
---------------------------------------------------------------------------
\17\ 20 CFR 404.1560(b)(2), 404.1565, 416.960(b)(2), and
416.965.
---------------------------------------------------------------------------
A claimant provides us with work history information on the Form
SSA-3368 ``Disability Report--Adult'' (or the Internet version of this
form \18\) and, when necessary, the Form SSA-3369 ``Work History
Report.'' \19\ Sometimes a claimant does not provide enough information
on these forms for us to make a step 4 finding. If we do not have
sufficient information, we will try to contact the claimant and
possibly the claimant's former employer or other person who knows about
the work, such as a family member or co-worker.\20\
---------------------------------------------------------------------------
\18\ Currently available at https://secure.ssa.gov/apps6z/radr/radr-fi.
\19\ Currently available at https://www.socialsecurity.gov/online/ssa-3369.pdf.
\20\ 20 CFR 404.1565(b) and 416.965(b).
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Once we have obtained all the information we need, we then compare
the claimant's RFC to the physical and mental demands of these past
relevant jobs to determine whether the claimant can still perform any
of them. To make this comparison, we may use the services of vocational
experts, vocational specialists, or other resources, such as the
Dictionary of Occupational Titles, its companions, and supplements
(published by the Department of Labor).\21\ If we find that a claimant
can perform any of his or her past relevant work, either as actually
performed or as generally performed in the national economy, we will
find that the claimant is not disabled. If the claimant cannot perform
any of his or her past relevant work, we go to step 5 to determine
whether he or she can perform other work that exists in significant
numbers in the national economy.
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\21\ 20 CFR 404.1560(b)(2), 404.1566(e), 416.960(b)(2), and
416.966(e).
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How We Currently Obtain Evidence and Consider Disability at Step 5 of
the Sequential Evaluation Process
At step 5, we determine whether a claimant's impairment(s) prevents
him or her from doing any other work that exists in significant numbers
in the national economy, considering his or her RFC (physical and
mental) and vocational factors (age, education, and work
experience).\22\ We use several methods to help us make this finding.
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\22\ 20 CFR 404.1560(c)(1) and 416.960(c)(1).
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First, we determine whether the claimant's impairment(s) and his or
her vocational factors match one of the special medical-vocational
profiles, which show an inability to adjust to other work.\23\ If those
profiles do not apply, we use the Medical-Vocational Guidelines
(Guidelines) either directly or as a framework \24\ to consider whether
the claimant can perform any other work that exists in significant
numbers in the national economy.\25\ If a claimant's RFC and vocational
factors do not coincide with any of the
[[Page 56359]]
Guidelines, we use vocational experts, other vocational specialists, or
other sources of reliable job information to obtain information to help
us determine whether the claimant's RFC and vocational factors allow
the claimant to perform other work that exists in significant numbers
in the national economy.\26\ If we find that a claimant cannot adjust
to other work that exists in significant numbers in the economy, we
find the claimant disabled. If we find that a claimant can adjust to
other work that exists in significant numbers in the economy, we find
the claimant not disabled.
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\23\ See 20 CFR 404.1562 and 416.962, Social Security Ruling 82-
63, and POMS DI 25010.001, available at https://policynet.ba.ssa.gov/poms.nsf/lnx/0425010001. However, the special medical-vocational
profile in 20 CFR 404.1562(b) and 416.962(b) applies when a claimant
does not have past relevant work experience.
\24\ We use the Guidelines as a framework to evaluate a
disability claim when a claimant has additional limitations that
erode the available occupational base. 20 CFR 404.1569a and
416.969a.
\25\ 20 CFR 404.1569a, 416.969a, and 20 CFR part 404, subpart P,
appendix 2.
\26\ 20 CFR 404.1566(e) and 416.966(e).
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Why We Propose To Change the Current Process
Gathering and evaluating a claimant's work history can be a time-
consuming and labor-intensive process, particularly when the claimant
has performed multiple jobs during the relevant 15-year period. The
time we spend obtaining the work history needed to make step 4 findings
frequently delays the processing of claims and requires us to divert
our limited administrative resources from processing other claims. This
delay can occur at all levels of the administrative review process.
Proposed Changes
We propose to give disability adjudicators at all levels of the
disability determination process the discretion to evaluate a claim at
step 5 before making a step 4 finding if there is insufficient evidence
to make a finding at step 4. If there is insufficient information,\27\
the adjudicator would have the discretion to either develop the work
history at step 4 or go to step 5. If the adjudicator proceeds to step
5, the adjudicator would consider whether the claimant may be disabled
based on: (1) The special medical-vocational profiles, (2) the
Guidelines, whether directly or as a framework, or (3) an inability to
meet the mental demands of unskilled work.\28\ If any of these rules
would indicate that the claimant may be disabled or if the adjudicator
has any doubt whether the claimant can perform other work existing in
significant numbers in the economy, the adjudicator must return to step
4 to further develop the claimant's vocational information and
determine whether the claimant can perform his or her past relevant
work. The adjudicator must return to step 4 in this situation because
the Act requires us to make a finding about a claimant's ability to do
his or her past relevant work before we determine that he or she is
disabled at step 5.\29\
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\27\ This includes when an adjudicator first receives a claim to
process it. We would not require an adjudicator to make a reasonable
effort to collect additional evidence if he or she could use this
expedited process.
\28\ See 20 CFR 404.1569a(c) and 416.969a(c).
\29\ 42 U.S.C. 423(d)(2)(A) and 1382c(a)(3)(B) provide that ``an
individual shall be determined to be under a disability only if his
physical or mental impairment or impairments are of such severity
that he is not only unable to do his previous work but cannot,
considering his age, education, and work experience, engage in any
other kind of substantial gainful work which exists in the national
economy * * *.'' Therefore, in order for a claimant to be found
disabled, he or she must be both ``unable to do his [or her]
previous work'' and unable to do ``any other kind of substantial
gainful work * * *.''
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However, the Act does not require us to make such a specific
finding before we determine that a claimant is not disabled.\30\
Therefore, if the adjudicator can determine at step 5 that the claimant
is not disabled based solely on age, education, and RFC, regardless of
the claimant's skill level and transferability of those skills, the
adjudicator would find the claimant is not disabled without returning
to step 4. In some cases, we will be able to make a finding without
developing a complete work history.\31\ This proposed expedited process
would not disadvantage any claimant or change our ultimate conclusion
about whether a claimant is disabled.
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\30\ Id.
\31\ The proposed expedited process would also apply when a
claimant's mental RFC allows him or her to meet the mental demands
of unskilled work.
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The proposed process would also shorten processing times in some
cases because we would not need to collect unnecessary work history at
step 4 for claims that we can appropriately deny at step 5 based solely
on the claimant's age, education, and RFC. For the same reason, this
expedited process also would help us allocate our resources more
efficiently and assist in reducing the disability backlog.
We have been using an expedited process similar to the one we
propose for almost 12 years in our ten ``prototype'' States.\32\
Adjudicators in the prototype States have been able to evaluate and
deny a claim at step 5 in certain cases where there is insufficient
information to make a finding at step 4.\33\ Our experience in the
prototype states supports the conclusion that the process does not
change our ultimate decision as to whether or not a claimant is
disabled.
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\32\ The ten prototype States are: Alabama, Alaska, California
(Los Angeles North and Los Angles West Branches), Colorado,
Louisiana, Michigan, Missouri, New Hampshire, New York, and
Pennsylvania. The prototype combines the use of a single
decisionmaker at the initial level of our administrative review
process (a disability examiner who may make the initial disability
determination in most cases without obtaining the signature of a
medical or psychological consultant) with the elimination of the
reconsideration level of our administrative review process. 20 CFR
404.906, 416.1406; 74 FR 48797 (2009).
\33\ The procedures for processing claims in ``prototype''
States, including the instructions for expedited vocational
development and documentation, are in the Prototype Operating
Instructions Manual available at https://www.ssa.gov/disability/Documents/Prototype_Operating_Instructions.doc.
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We would apply this expedited process to adult disability and
disabled adult child claims under titles II and XVI and to age 18
redeterminations under title XVI. We would also apply this process when
we decide whether a current adult beneficiary's disability
continues.\34\ We would not use the proposed process to evaluate title
XVI childhood disability claims because those claims do not use
vocational criteria.\35\
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\34\ See 20 CFR 404.1594 and 416.994.
\35\ See 20 CFR 416.924.
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We propose to add this new procedure in new paragraphs 404.1520(h),
404.1594(f)(9), 416.920(h), and 416.994(b)(5)(viii). We also propose to
make a number of conforming changes and plain language changes in other
sections.
Clarity of These Proposed Rules
Executive Order 12866 requires each agency to write all rules in
plain language. In addition to your substantive comments on this NPRM,
we invite your comments on how to make them easier to understand.
For example:
Would more, but shorter, sections be better?
Are the requirements in the rules clearly stated?
Have we organized the material to suit your needs?
Could we improve clarity by adding tables, lists, or
diagrams?
What else could we do to make the rules easier to
understand?
Do the rules contain technical language or jargon that is
not clear?
Would a different format make the rules easier to
understand, e.g., grouping and order of sections, use of headings,
paragraphing?
When will we start to use these rules?
We will not use these rules until we evaluate public comments and
publish final rules in the Federal Register. All final rules we issue
include an effective date. If we publish final rules, we will include a
summary of relevant comments we received, responses to them, and an
explanation of how we will apply the new rules.
[[Page 56360]]
Regulatory Procedures
Executive Order 12866, as Supplemented by Executive Order 13563
We consulted with the Office of Management and Budget (OMB) and
determined that this NPRM meets the criteria for a significant
regulatory action under Executive Order 12866, as supplemented by
Executive Order 13563. Thus, OMB reviewed it.
Regulatory Flexibility Act
We certify that this NPRM will not have a significant economic
impact on a substantial number of small entities because it only
affects individuals. Therefore, the Regulatory Flexibility Act, as
amended, does not require us to prepare a regulatory flexibility
analysis.
Paperwork Reduction Act
This NPRM does not impose new reporting or recordkeeping
requirements and is not subject to OMB clearance.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social
Security--Disability Insurance; 96.002, Social Security--Retirement
Insurance; 96.004, Social Security--Survivors Insurance; and 96.006,
Supplemental Security Income)
List of Subjects
20 CFR Part 404
Administrative practice and procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability Insurance, Reporting and
recordkeeping requirements, Social Security.
20 CFR Part 416
Administrative practice and procedure, Aged, Blind, Disability
benefits, Public assistance programs, Reporting and recordkeeping
requirements, Supplemental Security Income (SSI).
Dated: September 7, 2011.
Michael J. Astrue,
Commissioner of Social Security.
For the reasons set out in the preamble, we propose to amend title
20 of the Code of Federal Regulations part 404 subpart P and part 416
subpart I as set forth below:
PART 404--FEDERAL OLD AGE, SURVIVORS AND DISABILITY INSURANCE
(1950-)
Subpart P--[Amended]
1. The authority citation for subpart P of part 404 is revised to
read as follows:
Authority: Secs. 202, 205(a)-(b) and (d)-(h), 216(i), 221(a),
(i), and (j), 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), (i), and
(j), 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).
2. Amend Sec. 404.1505 by revising the sixth sentence of paragraph
(a) to read as follows:
Sec. 404.1505 Basic definition of disability.
(a) * * * If we find that you cannot do your past relevant work, we
will use the same residual functional capacity assessment and your
vocational factors of age, education, and work experience to determine
if you can do other work (see Sec. 404.1520(h) for an exception to
this rule.).
* * * * *
3. Amend Sec. 404.1520 by adding a new second sentence to
paragraph (a)(4), by revising the last sentence of paragraph
(a)(4)(iv), the last sentence of paragraph (a)(4)(v), the second
sentence of paragraph (f), and by adding a new paragraph (h), to read
as follows:
Sec. 404.1520 Evaluation of disability in general.
(a) * * *
(4) * * * See paragraph (h) of this section for an exception to
this rule. * * *
(iv) * * * (See paragraphs (f) and (h) of this section and Sec.
404.1560(b)).
(v) * * * (See paragraphs (g) and (h) of this section and Sec.
404.1560(c)).
* * * * *
(f) * * * (See paragraph (h) of this section and Sec.
404.1560(b)). * * *
* * * * *
(h) Expedited process. If we do not find you disabled at the third
step, and we do not have sufficient evidence about your past relevant
work to make a finding at the fourth step, we may proceed to the fifth
step of the sequential evaluation process. If we find that you can
adjust to other work based solely on your age, education, and the same
residual functional capacity assessment we made under paragraph (e), we
will find that you are not disabled and will not make a finding about
whether you can do your past relevant work at the fourth step. If we
find that you may be unable to adjust to other work, we will assess
your claim at the fourth step and make a finding about whether you can
perform your past relevant work. (See paragraph (g) of this section and
Sec. 404.1560(c)).
4. Amend Sec. 404.1545 by revising the first sentence of paragraph
(a)(5)(ii) to read as follows:
Sec. 404.1545 Your residual functional capacity.
(a) * * *
(5) * * *
(ii) If we find that you cannot do your past relevant work, you do
not have any past relevant work, or if we use the procedures in Sec.
404.1520(h), we will use the same assessment of your residual
functional capacity at step five of the sequential evaluation process
to decide if you can adjust to any other work that exists in the
national economy.
* * * * *
5. Amend Sec. 404.1560 by adding a second sentence to paragraph
(b) and revising the first two sentences of paragraph (c)(1) to read as
follows:
Sec. 404.1560 When we will consider your vocational background.
* * * * *
(b) * * * See Sec. 404.1520(h) for an exception to this rule.
(c) Other work. (1) If we find that your residual functional
capacity does not enable you to do any of your past relevant work or if
we use the procedures in Sec. 404.1520(h), we will use the same
residual functional capacity assessment when we decide if you can
adjust to any other work. We will look at your ability to adjust to
other work by considering your residual functional capacity and the
vocational factors of age, education, and work experience, as
appropriate in your case (see Sec. 404.1520(h) for an exception to
this rule).
* * * * *
6. Amend Sec. 404.1565 by revising the second sentence of
paragraph (b) to read as follows:
Sec. 404.1565 Your work experience as a vocational factor.
* * * * *
(b) * * * If you cannot give us all of the information we need, we
may try, with your permission, to get it from your employer or other
person who knows about your work, such as a member of your family or a
co-worker. * * *
7. Amend Sec. 404.1569 by revising the third sentence to read as
follows:
Sec. 404.1569 Listing of Medical-Vocational Guidelines in appendix 2.
* * * We apply these rules in cases where a person is not doing
substantial gainful activity and is prevented by a severe medically
determinable impairment from doing vocationally relevant past work (see
Sec. 404.1520(h) for an exception to this rule). * * *
8. Amend Sec. 404.1594 by revising paragraph (f)(8) and adding a
new paragraph (f)(9) to read as follows:
Sec. 404.1594 How we will determine whether your disability continues
or ends.
* * * * *
[[Page 56361]]
(f) * * *
(8) If you are not able to do work you have done in the past, we
will consider whether you can do other work given the residual
functional capacity assessment made under paragraph (f)(7) of this
section and your age, education, and past work experience. (See Sec.
404.1594(f)(9) for an exception to this rule.) If you can, we will find
that your disability has ended. If you cannot, we will find that your
disability continues.
(9) We may proceed to the final step, described in paragraph (f)(8)
of this section, if the evidence in your file about your past relevant
work is not sufficient for us to make a finding under paragraph (f)(7)
of this section about whether you can perform your past relevant work.
If we find that you can adjust to other work based solely on your age,
education, and residual functional capacity, we will find that you are
no longer disabled, and we will not make a finding about whether you
can do your past relevant work under paragraph (f)(7) of this section.
If we find that you may be unable to adjust to other work, we will
assess your claim under paragraph (f)(7) of this section and make a
finding about whether you can perform your past relevant work.
* * * * *
PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND
DISABLED
Subpart I--[Amended]
9. The authority citation for subpart I of part 416 continues to
read as follows:
Authority: Secs. 221(m), 702(a)(5), 1611, 1614, 1619, 1631(a),
(c), (d)(1), and (p), and 1633 of the Social Security Act (42 U.S.C.
421(m), 902(a)(5), 1382, 1382c, 1382h, 1383(a), (c), (d)(1), and
(p), and 1383b); secs. 4(c) and 5, 6(c)-(e), 14(a), and 15, Pub. L.
98-460, 98 Stat. 1794, 1801, 1802, and 1808 (42 U.S.C. 421 note, 423
note, and 1382h note).
10. Amend Sec. 416.905 by revising the last sentence of paragraph
(a) to read as follows:
Sec. 416.905 Basic definition of disability.
(a)* * * If we find that you cannot do your past relevant work, we
will use the same residual functional capacity assessment and your
vocational factors of age, education, and work experience to determine
if you can do other work (see Sec. 416.920(h) for an exception to this
rule.).
* * * * *
11. Amend Sec. 416.920 by adding a new second sentence to
paragraph (a)(4), by revising the last sentence of paragraph
(a)(4)(iv), the last sentence of paragraph (a)(4)(v), the second
sentence of paragraph (f), and by adding a new paragraph (h), to read
as follows:
Sec. 416.920 Evaluation of disability in general.
(a) * * *
(4) * * * See paragraph (h) of this section for an exception to
this rule. * * *
(iv) * * * (See paragraphs (f) and (h) of this section and Sec.
416.960(b)).
(v) * * * (See paragraphs (g) and (h) of this section and Sec.
416.960(c)).
* * * * *
(f) * * * (See paragraph (h) of this section and Sec. 416.960(b)).
* * *
* * * * *
(h) Expedited process. If we do not find you disabled at the third
step, and we do not have sufficient evidence about your past relevant
work to make a finding at the fourth step, we may proceed to the fifth
step of the sequential evaluation process. If we find that you can
adjust to other work based solely on your age, education, and the same
residual functional capacity assessment we made under paragraph (e), we
will find that you are not disabled and will not make a finding about
whether you can do your past relevant work at the fourth step. If we
find that you may be unable to adjust to other work, we will assess
your claim at the fourth step and make a finding about whether you can
perform your past relevant work. (See paragraph (g) of this section and
Sec. 416.960(c)).
12. Amend Sec. 416.945 by revising the first sentence of paragraph
(a)(5)(ii) to read as follows:
Sec. 416.945 Your residual functional capacity.
(a) * * *
(5) * * *
(ii) If we find that you cannot do your past relevant work, you do
not have any past relevant work, or if we use the procedures in Sec.
416.920(h), and Sec. 416.962 does not apply, we will use the same
assessment of your residual functional capacity at step five of the
sequential evaluation process to decide if you can adjust to any other
work that exists in the national economy.
* * * * *
13. Amend Sec. 416.960 by adding a second sentence to paragraph
(b) and revising the first two sentences of paragraph (c)(1) to read as
follows:
Sec. 416.960 When we will consider your vocational background.
* * * * *
(b) * * * See Sec. 416.920(h) for an exception to this rule.
(c) Other work. (1) If we find that your residual functional
capacity does not enable you to do any of your past relevant work or if
we use the procedures in Sec. 416.920(h), we will use the same
residual functional capacity assessment when we decide if you can
adjust to any other work. We will look at your ability to adjust to
other work by considering your residual functional capacity and the
vocational factors of age, education, and work experience, as
appropriate in your case (see Sec. 416.920(h) for an exception to this
rule).
* * * * *
14. Amend Sec. 416.965 by revising the second sentence of
paragraph (b) to read as follows:
Sec. 416.965 Your work experience as a vocational factor.
* * * * *
(b) * * * If you cannot give us all of the information we need, we
may try, with your permission, to get it from your employer or other
person who knows about your work, such as a member of your family or a
co-worker. * * *
15. Amend Sec. 416.969 by revising the third sentence to read as
follows:
Sec. 416.969 Listing of Medical-Vocational Guidelines in appendix 2
of subpart P of part 404 of this chapter.
* * * We apply these rules in cases where a person is not doing
substantial gainful activity and is prevented by a severe medically
determinable impairment from doing vocationally relevant past work (see
Sec. 416.920(h) for an exception to this rule). * * *
16. Amend Sec. 416.987 by revising the first sentence of paragraph
(b) to read as follows:
Sec. 416.987 Disability redeterminations for individuals who attain
age 18.
* * * * *
(b) * * * When we redetermine your eligibility, we will use the
rules for adults (individuals age 18 or older) who file new
applications explained in Sec. Sec. 416.920(c) through (h). * * *
* * * * *
17. Amend Sec. 416.994 by revising paragraph (b)(5)(vii) and
adding a new paragraph (b)(5)(viii) to read as follows:
Sec. 416.994 How we will determine whether your disability continues
or ends, disabled adults.
* * * * *
(b) * * *
(5) * * *
(vii) If you are not able to do work you have done in the past, we
will consider whether you can do other work given the residual
functional capacity assessment made under paragraph (b)(5)(vi) of this
section and your age,
[[Page 56362]]
education, and past work experience. (See Sec. 416.994(b)(5)(viii) for
an exception to this rule.) If you can, we will find that your
disability has ended. If you cannot, we will find that your disability
continues.
(viii) We may proceed to the final step, described in paragraph
(b)(5)(vii) of this section, if the evidence in your file about your
past relevant work is not sufficient for us to make a finding under
paragraph (b)(5)(vi) of this section about whether you can perform your
past relevant work. If we find that you can adjust to other work based
solely on your age, education, and residual functional capacity, we
will find that you are no longer disabled, and we will not make a
finding about whether you can do your past relevant work under
paragraph (b)(5)(vi) of this section. If we find that you may be unable
to adjust to other work, we will assess your claim under paragraph
(b)(5)(vi) of this section and make a finding about whether you can
perform your past relevant work.
* * * * *
[FR Doc. 2011-23396 Filed 9-12-11; 8:45 am]
BILLING CODE 4191-02-P
