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REVISED SSI RULES FOR JUDGES TO CONSIDER
SNew Medical Opinion Rules
The SSA revised "the Social Security and Supplemental Security Income (SSI) regulations concerning the evaluation of medical opinions to clarify how administrative law judges and the Appeals Council are to consider opinion evidence from State agency medical and psychological consultants, other program physicians and psychologists, and medical experts". The new rules are contained in the Federal Register (Volume 65, Number 45) and became final March 7th, 2000.
W[Federal Register: March 7, 2000 (Volume 65, Number 45)]
[Rules and Regulations]
[Page 11866-11881]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07mr00-4]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Regulations Nos. 4 and 16]
RIN 0960-AE56
Federal Old-Age, Survivors, and Disability Insurance and
Supplemental Security Income for the Aged, Blind, and Disabled;
Evaluating Opinion Evidence
AGENCY: Social Security Administration.
ACTION: Final rules.
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SUMMARY: We are revising the Social Security and Supplemental Security
Income (SSI) regulations concerning the evaluation of medical opinions
to clarify how administrative law judges and the Appeals Council are to
consider opinion evidence from State agency medical and psychological
consultants, other program physicians and psychologists, and medical
experts we consult in claims for disability benefits under titles II
and XVI of the Social Security Act (the Act). We are also defining and
clarifying several terms used in our regulations and deleting other
terms.
EFFECTIVE DATE: These rules are effective April 6, 2000.
FOR FURTHER INFORMATION CONTACT: Georgia E. Myers, Acting Regulations
Officer, Social Security Administration, 6401 Security Boulevard,
Baltimore, MD 21235-6401, 1-410-965-3632, or TTY 1-800-966-5609. For
information on eligibility or filing for benefits, call our national
toll-free number, 1-800-772-1213, or TTY 1-800-325-0778.
SUPPLEMENTARY INFORMATION: The Act provides, in title II, for the
payment of
[[Page 11867]]
disability benefits to persons insured under the Act. Title II also
provides, under certain circumstances, for the payment of child's
insurance benefits based on disability and widow's and widower's
insurance benefits for disabled widows, widowers, and surviving
divorced spouses of insured persons. In addition, the Act provides, in
title XVI, for SSI payments to persons who are aged, blind, or disabled
and who have limited income and resources.
For adults under both the title II and title XVI programs
(including persons claiming child's insurance benefits based on
disability under title II), ``disability'' means the inability to
engage in any substantial gainful activity. For an individual under age
18 claiming SSI benefits based on disability, ``disability'' means that
an impairment(s) causes ``marked and severe functional limitations.''
(Our regulations explain at Sec. 416.902 that ``Marked and severe
functional limitations, when used as a phrase, * * * is a level of
severity that meets or medically or functionally equals the severity of
a listing in the Listing of Impairments in appendix 1 of subpart P of
part 404 * * *.'') Under both title II and title XVI, disability must
be the result of a medically determinable physical or mental
impairment(s) that can be expected to result in death or that has
lasted or can be expected to last for a continuous period of at least
12 months.
Explanation of Revisions
Simplification and Clarification of Terms
These final regulations define and clarify several terms that have
been used in our regulations, and delete other terms. Our prior
regulations used several terms to refer to sources of medical evidence.
Regulations Secs. 404.1502 and 416.902, ``General definitions and terms
for this subpart,'' defined the terms ``source of record,'' ``medical
sources'' (which included ``consultative examiners''), and ``treating
source.'' These terms were used in various sections of the regulations
in subpart P of part 404 and subpart I of part 416, chiefly
Secs. 404.1527 and 416.927, ``Evaluating medical opinions about your
impairment(s) or disability.'' In addition, Secs. 404.1519 and 416.919
used the phrase ``a treating physician or psychologist, another source
of record, or an independent source.'' Regulations Secs. 404.1527 and
416.927 also employed the terms ``nontreating source'' and
``nonexamining source.''
In paragraph (a) of Secs. 404.1513 and 416.913 of our regulations,
we say that we need reports about the individual's impairments from
``acceptable medical sources'' and we identify the sources that are
acceptable medical sources. We need various terms for types of
acceptable medical sources in only three, specific instances: (1) When
we explain the preference we give to obtaining evidence from treating
sources; (2) when we explain the preference we give to treating sources
to perform consultative examinations; and (3) in our rules for weighing
opinions from acceptable medical sources. In the first two cases, the
only definition that is needed is the definition of a ``treating
source.'' In the last case, relevant distinctions are needed between
treating sources, nontreating sources (i.e., acceptable medical
sources, such as some consultative examiners, who have examined an
individual but not provided treatment), and nonexamining sources (i.e.,
acceptable medical sources who have provided evidence but who have not
treated or examined the individual).
Therefore, while the term ``medical source'' includes the term
``acceptable medical source,'' we are simplifying and clarifying the
specific terms we use to describe various acceptable medical sources of
evidence, including medical opinion evidence (i.e., opinions on the
nature and severity of an individual's impairment(s)--see
Secs. 404.1527(a)(2) and 416.927(a)(2)) and other opinions (e.g.,
opinions on issues reserved to the Commissioner of Social Security (the
Commissioner)--see Secs. 404.1527(e) and 416.927(e))--by using only
four terms: ``Treating source,'' ``nontreating source,'' ``nonexamining
source,'' and an overall term, ``acceptable medical source,'' which
includes all three types of sources. These clarifications do not change
our current policy, but are only intended to clarify our intent.
To do this, we now define the term ``acceptable medical source'' in
Secs. 404.1502 and 416.902. This is a term we have used for many years
in Secs. 404.1513(a) and 416.913(a). We are also redefining the term
``medical sources'' to mean acceptable medical sources or other health
care providers who are not ``acceptable medical sources,'' to clarify
our intent in certain regulations sections. For instance, under the
rules in Secs. 404.1519, 404.1519g, 416.919, and 416.919g, we may
select a qualified medical source who is not an ``acceptable medical
source'' to perform a consultative examination; e.g., an audiologist.
We are deleting speech and language pathologist from this example,
which appeared in the Notice of Proposed Rulemaking (NPRM), published
in the Federal Register on September 25, 1997 (62 FR 50271), because an
NPRM published October 9, 1998 (63 FR 54417) proposes to add qualified
speech and language pathologists as acceptable medical sources.
In addition, a distinction between ``medical source'' and
``acceptable medical source'' is necessary because ``an acceptable
medical source'' is required to establish the existence of a medically
determinable impairment. See Secs. 404.1513(a) and 416.913(a). Also,
only an ``acceptable medical source'' can be considered to be a
``treating source'' for purposes of giving controlling weight to
treating source medical opinion. See Sec. 404.1527(d)(2) and
416.927(d)(2). The distinction between ``acceptable medical source''
and ``medical source'' is simply to facilitate application of the two
longstanding rules noted above and is in no way intended to imply
anything derogatory about medical sources that are not ``acceptable
medical sources.''
We are also adding definitions for the terms ``nonexamining
source'' and ``nontreating source,'' which have been used in
Secs. 404.1527 and 416.927, but which previously were not defined in
our regulations. We are clarifying the definition of ``treating
source'' to include the other acceptable medical sources identified in
Secs. 404.1513(a) and 416.913(a) in addition to licensed physicians and
licensed or certified psychologists, and, consistent with the use of
the word ``evaluation'' in the first sentence of the definition in
Secs. 404.1502 and 416.902, to clarify that a source who only examines
and evaluates an individual on an ongoing basis, but who does not
provide any treatment, may also be a ``treating source.''
We are deleting the term ``source of record'' because sources
previously included in the definition of that term are now included in
the definition of the terms ``acceptable medical source'' or ``medical
sources,'' and the term ``source of record'' is not needed.
Clarification of Secs. 404.1527 and 416.927
Consistent with our original intent, we are clarifying paragraph
(f) of Secs. 404.1527 and 416.927. As we explained in the preamble to
the rules published in the Federal Register on August 1, 1991 (56 FR
36932, 36937), the purpose of paragraph (f) is to: (1) Explain how we
consider evidence from various kinds of nonexamining sources (e.g.,
State agency medical and psychological consultants, other program
physicians and psychologists, and medical advisors--now called
``medical experts''--at the administrative law judge and Appeals
[[Page 11868]]
Council levels of administrative review); (2) clarify the role of the
State agency medical and psychological consultant at the various levels
of the administrative review process; and (3) codify in regulations our
longstanding policy that, because State agency medical and
psychological consultants are highly qualified physicians and
psychologists who are also experts in Social Security disability
evaluation, administrative law judges will consider their findings with
regard to the nature and severity of an individual's impairment as
opinions of nonexamining physicians and psychologists.
Sections 404.1527(f) and 416.927(f) of the regulations have stated
since 1991 that administrative law judges and the Appeals Council are
required to consider State agency medical and psychological consultant
findings about the existence and severity of an individual's
impairment(s), the existence and severity of an individual's symptoms,
whether an individual's impairment(s) meets or equals the requirements
for any impairment listed in appendix 1 to subpart P of part 404, and
an individual's residual functional capacity. We restated and clarified
these provisions of the regulations in Social Security Ruling 96-6p,
``Titles II and XVI: Consideration of Administrative Findings of Fact
by State Agency Medical and Psychological Consultants and Other Program
Physicians and Psychologists at the Administrative Law Judge and
Appeals Council Levels of Administrative Review; Medical Equivalence.''
(61 FR 34466, July 2, 1996.)
Consistent with our statements in the preamble to the regulations
published in 1991 and in Social Security Ruling 96-6p, we are making
the following revisions to paragraph (f) of Secs. 404.1527 and 416.927.
We are also making conforming revisions to paragraphs (d)(6) and (e).
None of these revisions changes our current policies.
Because paragraph (f) refers to the rules in paragraphs (a) through
(e) of Secs. 404.1527 and 416.927, which collectively address both
medical opinions (as described in paragraph (a)(2) of Secs. 404.1527
and 416.927) and opinions on issues reserved to the Commissioner, it is
inaccurate to refer in paragraph (f) solely to opinions on the ``nature
and severity of a person's impairment(s).'' Therefore, we are deleting
the phrase ``on the nature and severity of your impairments'' from the
introductory text of paragraph (f). We are also revising paragraph
(f)(2) to provide more detail on how administrative law judges are to
consider the opinions of State agency medical and psychological
consultants, other program physicians and psychologists, and medical
experts we consult. We have divided paragraph (f)(2) into an
introductory paragraph and new paragraphs (f)(2)(i) through
(f)(2)(iii), which provide a more detailed explanation of how opinions
from these sources are to be evaluated. The introductory text of
paragraph (f)(2) and, when appropriate, paragraphs (f)(2)(i) through
(f)(2)(iii), now include reference to ``other program physicians and
psychologists'' and the term ``medical expert'' for consistency with
the language in paragraph (b)(6) of Secs. 404.1512 and 416.912.
We are clarifying in new paragraph (f)(2)(i) of Secs. 404.1527 and
416.927 that, because State agency medical and psychological
consultants and other program physicians and psychologists are highly
qualified physicians and psychologists who are also experts in Social
Security disability evaluation, administrative law judges must consider
findings of these experts, except for the ultimate determination of
disability, when administrative law judges make their decisions. We now
state in new paragraph (f)(2)(ii) that when administrative law judges
evaluate the findings of these experts, they will use the relevant
factors set forth in paragraphs (a) through (e) of Secs. 404.1527 and
416.927.
In paragraph (f)(2)(ii) of Secs. 404.1527 and 416.927 we are also
providing examples of the kinds of factors that an administrative law
judge must consider when evaluating the findings of State agency
medical and psychological consultants or other program physicians and
psychologists. We are also clarifying that administrative law judges
are required to explain in their decisions the weight given to any
opinion of a State agency medical or psychological consultant or other
program physician or psychologist, as they must do for any opinions
from treating sources, nontreating sources, and nonexamining sources
who do not work for us. We have added language that did not appear in
the NPRM (see 62 FR 50272, September 25, 1997) to clarify that when
treating source opinion is given controlling weight, it is not
necessary for the administrative law judge to provide an explanation of
the weight given to the opinion of a State agency medical or
psychological consultant. For purposes of clarity, we have also made a
revision to the first sentence of paragraph (f)(2)(ii) to refer to
administrative law judges in the singular, rather than the plural.
In new paragraph (f)(2)(iii) of Secs. 404.1527 and 416.927, we are
substituting the term ``medical expert'' for ``medical advisor'' for
the reason explained below in the discussion of Secs. 404.1512 and
416.912. We are also making it clear in new paragraph (f)(2)(iii) of
Secs. 404.1527 and 416.927 that, when administrative law judges
consider opinions from medical experts they consult, they will use the
rules in paragraphs (a) through (e) of Secs. 404.1527 and 416.927.
We are also amending paragraph (d)(6) of Secs. 404.1527 and 416.927
by adding two examples of other factors that can affect the weight we
give to a medical opinion. One example of a relevant factor that we
proposed in the proposed rules to add to Secs. 404.1527(d)(6) and
416.927(d)(6) was the amount of Social Security disability program
expertise an acceptable medical source has. However, as a result of
public comments received on this proposed example, we are revising the
example to give consideration to the amount of understanding that an
acceptable medical source has of our disability programs and their
evidentiary requirements, regardless of the source of that
understanding, as a relevant factor that is consistent with the
examples in final paragraph (f)(2)(ii). This includes acceptable
medical sources that are current or former State agency medical or
psychological consultants and other program physicians and
psychologists. This also includes those acceptable medical sources that
have gained their understanding of our disability programs and their
evidentiary requirements in other ways (e.g., through continuing
medical education or experience in conducting consultative examinations
for us).
Another example of a relevant factor that we proposed to add was
whether an acceptable medical source reviewed the individual's entire
case record. However, based on the public comments received on this
proposed example, we are revising the example to provide that the
extent to which an acceptable medical source is familiar with the other
information in the individual's case record is a relevant factor. Both
of these are examples of relevant factors that we will consider in
deciding the weight to give to a medical opinion from any acceptable
medical source.
We are also amending paragraph (e) of Secs. 404.1527 and 416.927 by
adding an introductory paragraph to distinguish opinions on issues
reserved to the Commissioner from medical opinions, and by designating
the last sentence of paragraph (e)(2) as new final paragraph (e)(3) to
make it clear that the rule in new final paragraph (e)(3) applies to an
[[Page 11869]]
opinion about disability described in paragraph (e)(1) as well as to an
opinion on any issue reserved to the Commissioner described in
paragraph (e)(2).
Other Changes
Sections 404.1502 and 416.902 General Definitions and Terms for This
Subpart
In Secs. 404.1502 and 416.902, we are clarifying, consistent with
Secs. 404.602 and 416.302, the definition of the term ``you'' to more
accurately indicate that the definition includes the person for whom an
application is filed, because the person who files an application may
be filing it on behalf of another person.
We are deleting reference to the ``Secretary'' from Sec. 416.902 to
reflect Sec. 702(a)(5) of the Social Security Act as amended by
Sec. 102 of the Social Security Independence and Program Improvements
Act of 1994, Public Law 103-296, enacted on August 15, 1994, which
transferred from the Secretary of Health and Human Services to the
Commissioner of Social Security the authority to issue regulations. We
are revising the language from how it appeared in the NPRM (62 FR
50272, September 25, 1997) to clarify the change in authority from the
Secretary of Health and Human Services to the Commissioner.
Sections 404.1512 and 416.912 Evidence of Your Impairment
We are amending Secs. 404.1512 and 416.912 by revising paragraph
(b)(6) to delete the word ``certain'' to clarify that every finding
made by State agency medical or psychological consultants and other
program physicians or psychologists and the opinions of medical
experts, other than the ultimate determination of whether an individual
is disabled, is evidence that an administrative law judge and the
Appeals Council must consider at the administrative law judge and
Appeals Council levels of review. We are also changing the term
``medical advisor'' to ``medical expert'' because the latter is the
term we currently use to describe these nonexamining sources we consult
at the administrative law judge and Appeals Council levels.
Sections 404.1513 and 416.913 Medical Evidence of Your Impairment
We are revising paragraph (c) of Secs. 404.1513 and 416.913 to
codify our policy interpretation that, at the administrative law judge
and Appeals Council levels of review, ``statements about what you can
still do,'' which we also call ``medical source statements,'' include
residual functional capacity assessments made by State agency medical
and psychological consultants and other program physicians and
psychologists. This is because they become opinion evidence of
nonexamining physicians and psychologists at the hearings and appeals
levels. (See Social Security Ruling 96-6p, 61 FR 34466, 34468.)
The regulations describe two distinct kinds of assessments of what
an individual can do despite the presence of a severe impairment(s).
The first is described in Secs. 404.1513(b) and (c) as a ``statement
about what you can still do despite your impairment(s)'' made by an
individual's medical source and based on that source's own medical
findings. This ``medical source statement'' is an opinion submitted by
a medical source as part of a medical report. The second category of
assessments is the residual functional capacity assessment described in
Secs. 404.1545, 404.1546, 416.945, and 416.946 which is the
adjudicator's ultimate finding of ``what you can still do despite your
limitations.'' Even though the adjudicator's residual functional
capacity assessment may adopt the opinions in a medical source
statement, they are not the same thing. A medical source statement is
evidence that is submitted to the Social Security Administration (SSA)
by an individual medical source reflecting the source's opinion based
on his or her own knowledge, while a residual functional capacity
assessment is the adjudicator's ultimate finding based on a
consideration of this opinion and all the other evidence in the case
record about what an individual can do despite his or her
impairment(s). (See Social Security Ruling SSR 96-5p).
Because paragraphs (b) and (c) relate to the reports about an
individual's impairment(s) needed from acceptable medical sources
described in paragraph (a), we are clarifying paragraphs (b)(6), (c)(1)
and (c)(2) of Sec. 404.1513 and paragraphs (b)(6), (c)(1), (c)(2), and
(c)(3) of Sec. 416.913 to refer to findings and opinions of the
``acceptable medical source,'' rather than findings and opinions of the
``medical source.'' We are also clarifying paragraphs (c)(1) and (c)(2)
of Sec. 416.913 by indicating that they pertain only to adults, to make
the construction of these paragraphs parallel to that of paragraph
(c)(3), which pertains only to children.
Sections 404.1519 and 416.919 The Consultative Examination
For the reasons explained above about the definition of the term
``treating source,'' we are revising the first sentence of
Secs. 404.1519 and 416.919 to substitute the terms ``treating source''
and ``medical source'' for the terms ``treating physician or
psychologist,'' ``source of record,'' and ``independent source.''
Sections 404.1519g and 416.919g Who We Will Select To Perform a
Consultative Examination
We are revising paragraph (a) of these sections to refer in the
last sentence to Secs. 404.1513 and 416.913, rather than
Secs. 404.1513(a) and 416.913(a), for the reasons explained above about
the revised definition of ``medical source'' in Secs. 404.1502 and
416.902. For the same reason, we are also changing the phrase
``physician or psychologist'' in the first sentence of paragraph (c) to
``medical source.''
Sections 404.1519h and 416.919h Your Treating Source
We are revising the heading and text of these sections to
substitute the term ``treating source'' for the term ``treating
physician or psychologist.''
Sections 404.1519i and 416.919i Other Sources for Consultative
Examinations
We are revising the heading and text of these sections to
substitute the term ``medical source'' for the term ``source'' and the
term ``treating source'' for the term ``treating physician or
psychologist.''
Sections 404.1519j and 416.919j Objections to the Medical Source
Designated To Perform the Consultative Examination.
We are revising the heading and text of these sections to use the
term ``medical source,'' rather than the phrase ``physician or
psychologist,'' for the reasons explained above.
Sections 404.1519k and 416.919k Purchase of Medical Examinations,
Laboratory Tests, and Other Services.
We are revising the introductory paragraph of these sections to use
the term ``medical source,'' rather than the phrase ``licensed
physician or psychologist, hospital or clinic'' for the reasons
explained above.
Sections 404.1519m and 416.919m Diagnostic Tests or Procedures
We are revising the first sentence of these sections to substitute
the term ``treating source'' for the term ``treating physician or
psychologist.'' We are also revising the last sentence to use the term
``medical source designated to perform the consultative examination,''
rather than the phrase ``consultative examining
[[Page 11870]]
physician or psychologist,'' for the reasons explained above.
Sections 404.1519n and 416.919n Informing the Medical Source of
Examination Scheduling, Report Content, and Signature Requirements
We are revising the heading, introductory paragraph, and paragraphs
(a), (b), (c), and (e) of these sections to use the term ``medical
source,'' rather than the phrase ``physician or psychologist,'' for the
reasons explained above. We are deleting the word ``examining'' from
the previous regulations and NPRM because sources that examine or have
examined a claimant are included in the new definition of the term
``medical source.'' We are also adding a heading to paragraph (a) for
consistency with the other paragraphs in this section. In addition, we
are revising paragraph (c)(6) to insert language that we originally
intended to include in the 1991 regulations ``Standard for Consultative
Examinations and Existing Medical Evidence'', as explained in our
statements in the preamble to those regulations (56 FR 36932, 36934,
August 1, 1991), but inadvertently omitted, to ensure that although
medical source statements about what an individual can still do despite
his or her impairment(s) should ordinarily be requested as part of the
consultative examination process, the absence of such a statement in a
consultative examination report does not make the report incomplete.
Sections 404.1519o and 416.919o When a Properly Signed Consultative
Examination Report Has Not Been Received
We are revising paragraphs (a) and (b) of these sections to use the
term ``medical source,'' rather than the phrase ``physician or
psychologist,'' for the reasons explained above.
Sections 404.1519p and 416.919p Reviewing Reports of Consultative
Examinations
We are revising paragraph (b) of these sections to use the term
``medical source,'' rather than the phrase ``physician or
psychologist,'' for the reasons explained above. We are revising
paragraph (c) to correct the grammar in the first sentence by
substituting the word ``when'' for the word ``where.'' We are also
substituting the term ``treating source'' for the term ``treating
physician or psychologist.''
Sections 404.1519s and 416.919s Authorizing and Monitoring the
Consultative Examination
We are revising paragraph (e)(2) of these sections to refer to a
consultative examination provider's ``practice,'' rather than to a
``practice of medicine, osteopathy, or psychology,'' for the reasons
explained above about the definition of ``medical source.'' For the
same reasons, we now use the term ``medical sources'' in paragraph
(f)(6), rather than the phrase ``physicians and psychologists.''
Sections 404.1527 and 416.927 Evaluating Opinion Evidence
We are changing the heading of Secs. 404.1527 and 416.927 from
``Evaluating medical opinions about your impairment(s) or disability''
to ``Evaluating opinion evidence'' to more accurately identify the
content of these sections. Under Secs. 404.1527(a)(2) and
416.927(a)(2), the term ``medical opinion'' means statements from
acceptable medical sources that reflect judgments about the nature and
severity of an individual's impairments, but Secs. 404.1527 and 416.927
address other types of opinions too.
We are revising the third sentence of paragraph (d)(2) of
Secs. 404.1527 and 416.927 to clarify that the ``other factors''
referenced in paragraph (d)(6) will be considered along with the
factors in paragraphs (d)(2)(i) and (ii) and paragraphs (d)(3) through
(d)(5) of this section when we do not give a treating source's medical
opinion controlling weight. As indicated by the introductory text to
Secs. 404.1527(d) and 416.927(d), exclusion of reference to paragraph
(d)(6) was an inadvertent omission when the rule was published. (56 FR
36932, August 1, 1991.)
We are changing the heading of paragraph (e) in Secs. 404.1527 and
416.927 to reflect that the Commissioner, not the Secretary of Health
and Human Services, has the authority on these issues pursuant to
section 702(a)(5) of the Act as amended by section 102 of the Social
Security Independence and Program Improvements Act of 1994, Public Law
103-296, enacted on August 15, 1994. We are also changing the second
sentence of paragraph (e)(2) to substitute the term ``medical sources''
for the phrase ``treating and examining sources'' to be consistent with
the use of the term ``medical sources'' in the first sentence of
paragraph (e)(2) and to clarify that we consider opinions from all
medical sources on the issues described in the second sentence.
We are also shortening the heading of paragraph (f) of
Secs. 404.1527 and 416.927 to ``Opinions of nonexamining sources,''
consistent with the definitions in Secs. 404.1502 and 416.902. For the
same reason, we are substituting the term ``nonexamining sources'' for
``nonexamining physicians and psychologists'' in the first sentence of
paragraph (f).
Public Comments
We published these regulatory provisions in the Federal Register as
an NPRM on September 25, 1997 (62 FR 50270), and we provided the public
with a 60-day comment period. The comment period closed on November 24,
1997. We received comments in response to this notice from 126
individuals and organizations. The commenters included Government
agencies whose interests and responsibilities require them to have some
expertise in the evaluation of medical evidence used in making
disability determinations under titles II and XVI of the Act. They also
included individuals with disabilities, support groups for individuals
with disabilities, attorneys and non-attorney representatives, and
legal services organizations that represent the interests of
individuals with disabilities. In addition, we received comments from
one medical association, physicians, and other medical professionals.
Because many of the comments were detailed, we condensed,
summarized, or paraphrased them. We have tried to summarize the
commenters' views accurately and to respond to all of the significant
issues raised by the commenters that are within the scope of these
rules.
Comment: One commenter recommended that the deadline for submission
of comments on the proposed rules be extended, noting that the
evaluation of opinion evidence is central to the determination of
disability, and that the length and complexity of the proposed rules
made comments on the proposed changes extremely difficult.
Response: The NPRM provided the 60-day period that is generally
provided for public comments on a proposed rule. We considered the
recommendation to extend this period; however, we decided that this was
not necessary in view of the number of comments received within the 60-
day period displaying in-depth review and consideration of the proposed
rules. Moreover, we did not propose any revisions that would change our
policies on the evaluation of opinion evidence, and most of the
revisions in the
[[Page 11871]]
proposed rules merely improved the consistency of our terminology
throughout the regulations.
Comment: Many of the comments concerned the quality of consultative
examinations we purchase, including the qualifications of consultative
examiners and support staff, their equipment, treatment of claimants,
and the time spent in conducting some consultative examinations.
Response: Although these comments were outside the scope of the
proposed rules, the quality of the consultative examinations we
purchase is important to us, and we will consider the comments as we
work with the State agencies to ensure quality examinations. We take
very seriously our responsibility to do so, as outlined in
Secs. 404.1519 ff. and 416.919 ff. However, as we explain above, we are
revising the paragraphs in Secs. 404.1519 ff. and 416.919 ff. only to
substitute the term ``medical source'' for the phrase ``physician or
psychologist'' and to make minor technical revisions. We are not making
substantive changes to the rules stated in Secs. 404.1519 ff. and
416.919 ff. concerning the purchase of consultative examinations and
the review of consultative examination reports to ensure the quality
and appropriateness of the examinations.
Comment: Many commenters questioned our statement in
Secs. 404.1527(f)(2) and 416.927(f)(2) of the proposed rules that State
agency medical and psychological consultants are highly qualified
physicians and psychologists who are also experts in Social Security
disability evaluation, contending that this was an effort to introduce
a new criterion to give more weight to the opinions of the State agency
medical and psychological consultants. A number of other commenters
observed that the statement of findings by the State agency physicians
and psychologists are part of the disability determination at the
initial and reconsideration levels of administrative review, and they
questioned how findings made at one level by an agency adjudicator
become expert opinion evidence at another level on the same case. One
commenter also indicated that the use of the findings by an adjudicator
at one level of administrative review as expert witness evidence at
another level represents a conflict of interest.
Response: The statement in Secs. 404.1527(f)(2) and 416.927(f)(2)
of the proposed rules was taken from the preamble to the original
publication of these rules in 1991. (``Standard for Consultative
Examinations and Existing Medical Evidence'' (56 FR 36937, August 1,
1991)). Therefore, it is not a new criterion, only a clarification in
the regulations of our original intent. As noted in the 1991 preamble,
``* * * State agency medical and psychological consultants are highly
qualified physicians and psychologists who are also experts in Social
Security disability evaluation. Therefore, it has been our longstanding
policy that administrative law judges will consider the findings of
State agency medical and psychological consultants with regard to the
nature and severity of a claimant's impairment as opinions of
nonexamining physicians and psychologists.'' (56 FR 36937, August 1,
1991). We restated and clarified this policy in Social Security Ruling
96-6p, ``Titles II and XVI: Consideration of Administrative Findings of
Fact by State Agency Medical and Psychological Consultants and Other
Program Physicians and Psychologists at the Administrative Law Judge
and Appeals Council Levels of Administrative Review; Medical
Equivalence.'' (61 FR 34466, July 2, 1996.) However, and as is
discussed in more detail later in this preamble, when an administrative
law judge or the Appeals Council considers the opinion of a State
agency medical or psychological consultant, the weight that will be
given to the opinion will depend on the degree to which the medical or
psychological consultant provides a supporting explanation for the
opinion.
These revisions do not represent a change in policy. It has been
our longstanding policy that findings made by State agency medical and
psychological consultants are considered opinion evidence at the
hearing and Appeals Council levels. Since 1991, Secs. 404.1527(f) and
416.927(f) have required administrative law judges and the Appeals
Council to consider those findings of fact about the nature and
severity of an individual's impairment(s) as opinion evidence of
nonexamining physicians and psychologists. These requirements are based
on the medical or psychological consultants' experience as health care
professionals who are also experts in the evaluation of the medical
issues in disability claims under the Act and recognize that we weigh
medical opinions included in case records.
In response to the last commenter, the consideration of findings
made by a State agency medical or psychological consultant at the
initial or reconsideration level of administrative review as opinion
evidence at the hearing level does not represent a conflict of
interest. At the hearing level, administrative law judges consider the
issues before them de novo. Therefore, when administrative law judges
consider issues of disability, they are not bound by any findings made
at the State agency in connection with the initial and reconsidered
determinations.
Comment: Many of the commenters expressed a concern that the intent
of the proposed rules was to negate or moderate the rules for weighing
opinion evidence from treating sources that recognize the special
intrinsic value of a treating source's relationship with the
individual. In particular, concern was expressed about the revision to
Secs. 404.1527(d)(6) and 416.927(d)(6) that added two examples of other
factors that can affect the weight we give to a medical opinion from an
acceptable medical source. The two factors noted were the amount of
Social Security disability programs expertise the acceptable medical
source has, and whether the acceptable medical source reviewed the
individual's entire case record before providing a medical opinion.
Response: It was not and is not our intent to negate or moderate
the rules for weighing opinions from treating sources. We continue to
provide in Secs. 404.1527(d) and 416.927(d) that ``Generally we give
more weight to opinions from your treating sources, since these sources
are likely to be the medical professionals most able to provide a
detailed, longitudinal picture of your medical impairment(s) and may
bring a unique perspective to the medical evidence that cannot be
obtained from the objective medical findings alone or from reports of
individual examinations, such as consultative examinations or brief
hospitalizations.'' We also continue to provide that we will give
treating source medical opinions on the nature and severity of an
impairment ``controlling weight'' if we find that the opinion is well-
supported by medically acceptable clinical and laboratory diagnostic
techniques and is not inconsistent with the other substantial evidence
in the case record. As we explain above, the two examples being added
to paragraph (d)(6) of Secs. 404.1527 and 416.927 are simply examples
of factors that can affect the weight we give a medical opinion. We
believe that they are valid considerations along with all of the other
factors (including treatment relationship) we consider when we weigh
medical opinions. In response to public comments, however, we are
revising the two examples that appeared in the NPRM. We are revising
the first example to give consideration to the amount of understanding
that an acceptable medical source has of our
[[Page 11872]]
disability programs and their evidentiary requirements, regardless of
the source of that understanding. We are revising the second example to
provide that the extent to which an acceptable medical source is
familiar with the other information in the individual's case record is
a relevant factor that we will consider.
Comment: Many commenters questioned why we proposed to add a rule
to Secs. 404.1527(d) and 416.927(d) to consider the amount of Social
Security disability programs expertise an acceptable medical source
has. They expressed the opinion that, with few exceptions, State agency
medical and psychological consultants will be the only medical sources
with experience working with the disability program. Another commenter
argued that medical experts should be treated as experts because of
their knowledge of medicine, not their knowledge of the law. One
commenter asked what ``disability program expertise'' is and how it
would be measured. Another commenter stated that a medical source's
expertise on the subject of a particular individual's impairments or
limitations should be evaluated based on his or her knowledge of the
individual and the type of medical impairment experienced by the
individual, not by his or her knowledge of the Social Security law and
regulations.
Response: As we indicated in the preamble to the proposed rules on
September 25, 1997 (62 FR 50272), we proposed to list an acceptable
medical source's ``Social Security disability programs expertise'' as
an example of the ``other factors'' referenced in Secs. 404.1527(d)(6)
and 416.927(d)(6) that we will consider in weighing an acceptable
medical source's medical opinion. As indicated in the preamble,
exclusion of the reference to paragraph (d)(6) was an inadvertent
omission when the rules on consideration of medical evidence were
published in 1991. However, we did not intend that an employment or
contractual relationship with SSA or a State agency as a medical or
psychological consultant would be the sole means to obtain ``Social
Security disability programs expertise.'' We agree that there will be
acceptable medical sources that have never been in such a relationship
with SSA who will have developed expertise in Social Security
disability programs. For example, some medical sources will have
obtained such expertise through continuing medical education, or as a
result of conducting consultative examinations for us. (See
Secs. 404.1519n and 416.919n, which state that the ``medical sources
who perform consultative examinations will have a good understanding of
our disability programs and their evidentiary requirements.'')
Therefore, we are revising Secs. 404.1527(d)(6) and 416.927(d)(6)
further to delete ``Social Security disability programs expertise'' as
an example of the ``other factors'' reference in Secs. 404.1527(d)(6)
and 416.927(d)(6), and to add the amount an acceptable medical source's
``understanding of our disability programs and their evidentiary
requirements'' as an example of one of the factors we will consider in
weighing the acceptable medical source's medical opinion, regardless of
the source of that understanding.
Comment: A number of commenters expressed a concern that
nonexamining State agency medical and psychological consultants may not
have an understanding of ``emerging illnesses,'' such as Chronic
Fatigue Syndrome, fibromyalgia, multiple chemical sensitivities, or
lupus erythematosus. Several of these commenters indicated, as well,
that many regular treating sources do not have the understanding of
these illnesses that private researchers and specialists do, and that
more weight should be given to the opinions of those specialists who
are treating an individual for these illnesses.
Response: We believe that the regulations take this concern into
account. The regulations provide for a variety of factors to be applied
in evaluating medical opinions, depending on the facts of the
individual case. For example, Secs. 404.1527(d)(5) and 416.927(d)(5)
state that ``We generally give more weight to the opinion of a
specialist about medical issues related to his or her area of specialty
than to the opinion of a source who is not a specialist.'' Therefore,
when we do not give the treating source's opinion controlling weight
(for example if a specialist submits evidence that is inconsistent with
the treating source's opinion), we can give more weight in an
appropriate case to the opinion of a specialist on the individual's
particular medical impairment. As we have already noted, the weight to
which a medical or psychological consultant's opinion will be entitled
depends on these same factors.
Comment: One commenter noted that giving weight to Social Security
program expertise and review of the entire case file and requiring
administrative law judges to explain in the decision the weight given
to the opinions of a State agency medical or psychological consultant
reinforces the basic tenets of Process Unification. Another commenter
elaborated on this point, noting that the revision to Secs. 404.1527
and 416.927 clarifying our longstanding policy that administrative law
judges must consider State agency medical and psychological consultant
findings as opinion evidence is an important step in Social Security's
efforts to unify the disability process and to restore the program's
credibility with the public. The commenter noted that two different
processes are perceived now, the initial/reconsideration process in the
State agency and the administrative law judge hearing.
Response: As the commenters have observed, these revisions are part
of our current Process Unification initiative, which is intended to
achieve similar and correct results on similar cases at all stages of
the administrative review process for claims for disability benefits
under the Act, by ensuring that decisionmakers at each stage are
following consistent policies in deciding these claims. This is
expected to result in the allowance of claims that should be allowed at
the earliest possible level of administrative review, potentially
providing favorable decisions at an earlier point for disabled
claimants, as well as reducing both the rate of appeal and the rate of
allowance on appeal for these claims.
Comment: A number of commenters believed that expertise in Social
Security's rules is not something that can be presumed; the expertise
of the individual nonexamining doctor would need to be proven in every
case in which this factor is an issue. These comments noted that, at
the very least, claimants and their representatives must be provided
with documentation of the qualifications, training, and expertise of
the State agency medical sources.
Response: The Act and regulations recognize State agency medical
and psychological consultants as experts in Social Security disability
programs. The rules in Secs. 404.1527(f) and 416.927(f) require
administrative law judges and the Appeals Council to consider the State
agency consultants' findings of fact about the nature and severity of
an individual's impairment(s) as opinions of nonexamining physicians
and psychologists. When an administrative law judge admits a medical
opinion into the case record as an exhibit for consideration, including
a medical opinion from a State agency medical or psychological
consultant that was considered a finding at any earlier level in the
administrative review process, the administrative law judge will also
admit into the record a statement of the medical source's professional
[[Page 11873]]
qualifications as required by our operating instructions.
Comment: A number of commenters questioned why we proposed to add
an example to Secs. 404.1527(d) and 416.927(d) indicating that whether
an acceptable medical source reviewed the entire case before providing
a medical opinion is a relevant factor to be considered in evaluating
the source's medical opinion. They also questioned whether medical
sources other than State agency medical and psychological consultants
will have an opportunity to review the individual's entire case record
before they provide a medical opinion.
One State agency commenter fully supported the value of a complete
file review when assigning weight to medical opinions, noting that
medical opinions are too often given adjudicative weight that may be
countered by objective evidence or other expert opinion evidence
elsewhere in the file.
Response: As with the example of an acceptable medical source's
``understanding of our disability programs and their evidentiary
requirements,'' we are revising this proposed example and listing
whether the acceptable medical source is familiar with the other
information in the individual's case record as another example of the
``other factors'' referenced in Secs. 404.1527(d)(6) and 416.927(d)(6)
that we will consider in weighing an acceptable medical source's
medical opinion. We believe that it is appropriate for the adjudicator
to consider whether an acceptable medical source is familiar with the
other information in the individual's case record because this is a
relevant factor that can properly affect the weight we give to a
medical opinion. An individual and his or her representative have a
right to review and obtain copies of the materials in the individual's
case record, e.g., for review by the individual's treating or other
medical source, if this should be desired.
Comment: One commenter noted that it is the practice for
administrative law judges to require ``fresh'' evidence, and thus
current evidence will be submitted just weeks prior to the hearing. The
commenter noted that whatever evidence was available to the State
agency medical or psychological consultant would not be current and
that the administrative law judge would consider the additional
evidence.
Response: We agree that the record before the administrative law
judge will often include additional evidence beyond what the State
agency medical or psychological consultant considered in his or her
medical opinion. As the example in paragraph (d)(6) of Secs. 404.1527
and 416.927 indicates, concerning whether an acceptable medical source
is familiar with the other information in the individual's case record,
this factor will be considered when the administrative law judge or
Appeals Council weighs medical opinions from a State agency medical or
psychological consultant or other acceptable medical source. This may
limit the weight that can be given to a medical opinion from a State
agency medical or psychological consultant and the period to which the
opinion applies.
Comment: A number of commenters indicated their concern with the
manner in which a State agency medical or psychological consultant's
medical opinion may be provided in the record. Some of the commenters
noted that these opinions frequently are expressed as boxes checked on
a form, with little or no rationale, or as a statement of medical
findings from records in the file with no other explanation for why the
residual functional capacity assessment provided would flow from these
findings, or why these opinions from State agency medical or
psychological consultants are in conflict with the opinions of treating
or examining physicians. They noted that there is no reasonable basis
for giving further weight to such a cursory report lacking a
substantive rationale.
Response: The revisions we are making do not represent a change in
our longstanding policy that the adjudicator should give little weight
to an opinion from any source, including a State agency medical or
psychological consultant, that is poorly explained and not supported by
the evidence in the record. Sections 404.1527(d)(3) and 416.927(d)(3)
have stated and continue to state: ``The better an explanation a source
provides for an opinion, the more weight we will give that opinion.
Furthermore, because nonexamining sources have no examining or treating
relationship with you, the weight we give their opinions will depend on
the degree to which they provide supporting explanations for their
opinions.'' We will evaluate the degree to which these opinions
consider all of the pertinent evidence in your claim, including
opinions of treating and other medical sources.
Comment: A number of commenters believed that the claimant has a
right to cross-examine the State agency medical or psychological
consultant when his or her opinions become evidence to be considered by
an administrative law judge. Some of the commenters noted that
administrative law judges have been reluctant to issue subpoenas for
State agency medical or psychological consultants to testify,
presumably because this would interfere with the State agency's ability
to process disability claims in a timely and efficient manner. Some of
the attorneys and other claimants' representatives who commented stated
their belief that they would have to increase their requests for
subpoenas if administrative law judges consider State agency medical
and psychological consultant opinions in their decisions.
Response: The revisions we are making do not represent a change in
policy. Sections 404.1527(f) and 416.927(f) of the regulations have
stated since 1991 that medical opinions from State agency medical and
psychological consultants are considered by administrative law judges
and the Appeals Council, and we restated and clarified these provisions
of the regulations in Social Security Ruling 96-6p in 1996. We do not
anticipate that these final rules will increase the instances in which
a claimant would wish to compel a State agency medical or psychological
consultant to appear and testify (or to amplify his or her opinion
through a voluntary appearance or responses to interrogatories.) These
final rules also do not change the standards in our regulations under
which administrative law judges determine whether to issue subpoenas.
Paragraph (d)(1) of Secs. 404.950 and 416.1450 states that
administrative law judges may issue subpoenas in those situations
``[w]hen it is reasonably necessary for the full presentation of a
case.'' Paragraph (d)(2) provides that parties to a hearing may request
a subpoena to compel testimony or documents, providing they file a
written request with the administrative law judge at least 5 days
before the hearing date. This request must justify the need for a
subpoena by stating the ``important facts that the witness or document
is expected to prove'' and by indicating ``why these facts could not be
proven without issuing a subpoena.''
Comment: Two commenters expressed concern regarding our
clarification in Secs. 404.1502 and 416.902 of the term ``medical
source'' and the concept of a ``qualified medical source,'' when these
terms are used in Secs. 404.1519g and 416.919g in discussing the
purchase of consultative examinations. They agreed that in many
situations an audiologist may be the appropriate source to perform a
consultative examination, but questioned whether the proposed rules are
clear on whether other sources such as chiropractors or social workers
are
[[Page 11874]]
also appropriate sources to perform these examinations.
Response: As we explain above, and as we explained in the preamble
to the NPRM in discussing the amendments to Secs. 404.1502 and 416.902
(62 FR 50270), under the rules in Secs. 404.1519, 404.1519g, 416.919,
and 416.919g, we may select a qualified medical source who is not an
``acceptable medical source'' to perform a consultative examination;
e.g., an audiologist. As Secs. 404.1519g(b) and 416.919g(b) provide, by
``qualified'' we mean that the medical source must be currently
licensed in the State and have the training and experience to perform
the type of examination or test we will request; the medical source
must not be barred from participation in our program under the
provisions of Secs. 404.1503a and 416.903a; and the medical source must
also have the equipment required to provide an adequate assessment and
record of the existence and level of severity of the claimant's alleged
impairments. Any medical source, which can include a chiropractor or
social worker, that meets the requirements for being ``qualified''
under Secs. 404.1519g and 416.919g may be an appropriate source to
conduct a consultative examination.
Comment: One commenter questioned our inclusion of psychologists as
``acceptable medical sources.'' The commenter noted that psychologists
do not have medical training, they are not licensed to practice
medicine, and they do not provide medical treatment. The commenter
proposed that we use the term ``medical and psychological sources''
whenever we refer to physicians and psychologists under the same
heading, as we use the phrase ``medical and psychological consultants''
in these regulations. The commenter also questioned our use of the term
``medical expert'' to include physicians and psychologists, and
proposed that we substitute the terminology ``medical experts or
psychologists'' for all references to ``medical experts.''
Response: ``Licensed or certified psychologists'' have been
included in the list of ``acceptable medical sources'' in
Secs. 404.1513(a) and 416.913(a) since 1980, and their continuing
inclusion does not represent a change in policy. (45 FR 55567, 55587,
55623, August 20, 1980.) In addition, the Act [42 U.S.C. 421], as well
as Secs. 404.1503(e) and 416.903(e) of the regulations, require that in
initial determinations that the claimant is not disabled, and there is
evidence that indicates the existence of a mental impairment, every
reasonable effort should be made to ensure that a qualified
psychiatrist or psychologist has completed the medical portion of the
case review and any applicable residual functional capacity assessment.
Also, as we explain above, we are now changing the term ``medical
advisor'' to ``medical expert'' in Secs. 404.1512(b)(6) and
416.912(b)(6) and elsewhere, because the latter is the term we
currently use to describe these nonexamining sources we consult at the
administrative law judge and Appeals Council levels. We previously used
the term ``medical advisor'' for many years in Secs. 404.1512(b)(6) and
416.912(b)(6). This change in terminology does not represent a change
in policy.
Comment: A number of commenters expressed concern that the proposed
clarification in the definition of ``medical source'' in Secs. 404.1502
and 416.902 to include ``acceptable medical sources or other health
care providers who are not acceptable medical sources,'' would
prejudice the weighing of evidence from medical sources who are not
``acceptable medical sources.'' These commenters note that many
claimants do not, or cannot, receive their primary treatment from
``acceptable medical sources,'' and the nature and frequency of their
treatment or evaluation is more a function of staff or time
availability, rather than the need for treatment. For example, many
claimants receive their primary mental health treatment from therapists
or social workers with only monthly visits with a physician for
medication control. They note that the existing and the proposed rules
exclude such sources from consideration as ``treating sources.''
Response: As the commenters note, we have now provided a definition
of the term ``acceptable medical source'' in Secs. 404.1502 and 416.902
by reference to Secs. 404.1513(a) and 416.913(a), where the sources who
are ``acceptable medical sources'' have been identified for many years.
These sources have the training and experience necessary to provide the
medical evidence that is required by the Act and these regulations to
establish the existence of a medically determinable impairment or
impairments. We recognize, however, that some individuals receive
treatment from other sources, and our longstanding policy stated in
Secs. 404.1513(e) and 416.913(e) is to use information from these other
sources, such as social welfare agencies, to help us to understand how
an individual's impairment may affect his or her ability to work, once
the existence of a medically determinable impairment has been
established.
Comment: One commenter agreed with the clarification in
Secs. 404.1502 and 416.902 that a source that only examines and
evaluates an individual on an ongoing basis, but who does not provide
any treatment, may also be a ``treating source.'' The commenter noted
that many of the individuals making a claim for disability benefits do
not have private insurance or resources to pay for medical care and
must rely on the local public health care system, and many times the
only ``treatment'' the public health care services provide for people
with chronic physical or mental ailments are periodic examinations and
evaluations.
Response: As the commenter has noted, we are clarifying the
definition of ``treating source'' in Secs. 404.1502 and 416.903 to be
consistent with our longstanding use of the word ``evaluation'' in the
definition of a ``treating source'' as a source ``who has provided you
with medical treatment or evaluation * * *.''
Regulatory Procedures
Executive Order 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these final rules do not meet the criteria for a
significant regulatory action under Executive Order 12866. Therefore,
they were not subject to OMB review. We have also determined that these
rules meet the plain language requirement of Executive Order 12866 and
the President's memorandum of June 1, 1998.
Regulatory Flexibility Act
We certify that these regulations will not have a significant
economic impact on a substantial number of small entities because they
affect only individuals. Therefore, a regulatory flexibility analysis
as provided in the Regulatory Flexibility Act, as amended, is not
required.
Paperwork Reduction Act
These regulations impose no additional reporting or recordkeeping
requirements 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; 96.006,
Supplemental Security Income.)
List of Subjects
20 CFR Part 404
Administrative practice and procedure, Blind, Disability benefits,
Old-age, Survivors, and Disability
[[Page 11875]]
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: February 14, 2000.
Kenneth S. Apfel,
Commissioner of Social Security.
For the reasons set out in the preamble, subpart P of part 404 and
subpart I of part 416 of 20 CFR chapter III are amended 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 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.
2. Section 404.1502 is amended by republishing the introductory
text, removing the terms ``Source of record'' and ``you,'' revising the
definitions of ``Medical sources'' and ``Treating source,'' and adding
definitions in the appropriate alphabetical order for the terms
``Acceptable medical source,'' ``Nonexamining source,'' ``Nontreating
source,'' and ``you or your'' to read as follows:
Sec. 404.1502 General definitions and terms for this subpart.
As used in the subpart--
Acceptable medical source refers to one of the sources described in
Sec. 404.1513(a) who provides evidence about your impairments. It
includes treating sources, nontreating sources, and nonexamining
sources.
* * * * *
Medical sources refers to acceptable medical sources, or other
health care providers who are not acceptable medical sources.
Nonexamining source means a physician, psychologist, or other
acceptable medical source who has not examined you but provides a
medical or other opinion in your case. At the administrative law judge
hearing and Appeals Council levels of the administrative review
process, it includes State agency medical and psychological
consultants, other program physicians and psychologists, and medical
experts we consult. See Sec. 404.1527.
Nontreating source means a physician, psychologist, or other
acceptable medical source who has examined you but does not have, or
did not have, an ongoing treatment relationship with you. The term
includes an acceptable medical source who is a consultative examiner
for us, when the consultative examiner is not your treating source. See
Sec. 404.1527.
* * * * *
Treating source means your own physician, psychologist, or other
acceptable medical source who provides you, or has provided you, with
medical treatment or evaluation and who has, or has had, an ongoing
treatment relationship with you. Generally, we will consider that you
have an ongoing treatment relationship with an acceptable medical
source when the medical evidence establishes that you see, or have
seen, the source with a frequency consistent with accepted medical
practice for the type of treatment and/or evaluation required for your
medical condition(s). We may consider an acceptable medical source who
has treated or evaluated you only a few times or only after long
intervals (e.g., twice a year) to be your treating source if the nature
and frequency of the treatment or evaluation is typical for your
condition(s). We will not consider an acceptable medical source to be
your treating source if your relationship with the source is not based
on your medical need for treatment or evaluation, but solely on your
need to obtain a report in support of your claim for disability. In
such a case, we will consider the acceptable medical source to be a
nontreating source.
* * * * *
You or your means, as appropriate, the person who applies for
benefits or for a period of disability, the person for whom an
application is filed, or the person who is receiving benefits based on
disability or blindness.
3. Section 404.1512 is amended by revising paragraph (b)(6) to read
as follows:
Sec. 404.1512 Evidence of your impairment.
* * * * *
(b) * * *
* * * * *
(6) At the administrative law judge and Appeals Council levels,
findings, other than the ultimate determination about whether you are
disabled, made by State agency medical or psychological consultants and
other program physicians or psychologists, and opinions expressed by
medical experts we consult based on their review of the evidence in
your case record. See Secs. 404.1527(f)(2) and (f)(3).
* * * * *
4. Section 404.1513 is amended by revising the first sentence of
paragraph (b)(6) and paragraph (c) to read as follows:
Sec. 404.1513 Medical evidence of your impairment.
* * * * *
(b) * * *
* * * * *
(6) A statement about what you can still do despite your
impairment(s) based on the acceptable medical source's findings on the
factors under paragraphs (b)(1) through (b)(5) of this section (except
in statutory blindness claims). * * *
(c) Statements about what you can still do. At the administrative
law judge and Appeals Council levels, we will consider residual
functional capacity assessments made by State agency medical and
psychological consultants and other program physicians and
psychologists to be ``statements about what you can still do'' made by
nonexamining physicians and psychologists based on their review of the
evidence in the case record. Statements about what you can still do
(based on the acceptable medical source's findings on the factors under
paragraphs (b)(1) through (b)(5) of this section) should describe, but
are not limited to, the kinds of physical and mental capabilities
listed as follows (See Secs. 404.1527 and 404.1545(c)):
(1) The acceptable medical source's opinion about your ability,
despite your impairment(s), to do work-related activities such as
sitting, standing, walking, lifting, carrying, handling objects,
hearing, speaking, and traveling; and
(2) In cases of mental impairment(s), the acceptable medical
source's opinion about your ability to understand, to carry out and
remember instructions, and to respond appropriately to supervision,
coworkers, and work pressures in a work setting.
* * * * *
5. Section 404.1519 is amended by revising the first sentence to
read as follows:
Sec. 404.1519 The consultative examination.
A consultative examination is a physical or mental examination or
test purchased for you at our request and expense from a treating
source or another medical source, including a pediatrician when
appropriate. * * *
[[Page 11876]]
6. Section 404.1519g is amended by revising the last sentence of
paragraph (a) and the first sentence of paragraph (c) to read as
follows:
Sec. 404.1519g Who we will select to perform a consultative
examination.
(a) * * * For a more complete list of medical sources, see
Sec. 404.1513.
* * * * *
(c) The medical source we choose may use support staff to help
perform the consultative examination. * * *
7. Section 404.1519h is revised to read as follows:
Sec. 404.1519h Your treating source.
When in our judgment your treating source is qualified, equipped,
and willing to perform the additional examination or tests for the fee
schedule payment, and generally furnishes complete and timely reports,
your treating source will be the preferred source to do the purchased
examination. Even if only a supplemental test is required, your
treating source is ordinarily the preferred source.
8. Section 404.1519i is revised to read as follows:
Sec. 404.1519i Other sources for consultative examinations.
We will use a medical source other than your treating source for a
purchased examination or test in situations including, but not limited
to, the following situations:
(a) Your treating source prefers not to perform such an examination
or does not have the equipment to provide the specific data needed;
(b) There are conflicts or inconsistencies in your file that cannot
be resolved by going back to your treating source;
(c) You prefer a source other than your treating source and have a
good reason for your preference;
(d) We know from prior experience that your treating source may not
be a productive source, e.g., he or she has consistently failed to
provide complete or timely reports.
9. Section 404.1519j is revised to read as follows:
Sec. 404.1519j Objections to the medical source designated to perform
the consultative examination.
You or your representative may object to your being examined by a
medical source we have designated to perform a consultative
examination. If there is a good reason for the objection, we will
schedule the examination with another medical source. A good reason may
be that the medical source we designated had previously represented an
interest adverse to you. For example, the medical source may have
represented your employer in a workers' compensation case or may have
been involved in an insurance claim or legal action adverse to you.
Other things we will consider include: The presence of a language
barrier, the medical source's office location (e.g., 2nd floor, no
elevator), travel restrictions, and whether the medical source had
examined you in connection with a previous disability determination or
decision that was unfavorable to you. If your objection is that a
medical source allegedly ``lacks objectivity'' in general, but not in
relation to you personally, we will review the allegations. See
Sec. 404.1519s. To avoid a delay in processing your claim, the
consultative examination in your case will be changed to another
medical source while a review is being conducted. We will handle any
objection to use of the substitute medical source in the same manner.
However, if we had previously conducted such a review and found that
the reports of the medical source in question conformed to our
guidelines, we will not change your examination.
10. Section 404.1519k is amended by revising the introductory text
to read as follows:
Sec. 404.1519k Purchase of medical examinations, laboratory tests, and
other services.
We may purchase medical examinations, including psychiatric and
psychological examinations, X-rays and laboratory tests (including
specialized tests, such as pulmonary function studies,
electrocardiograms, and stress tests) from a medical source.
* * * * *
11. Section 404.1519m is amended by revising the first and last
sentences to read as follows:
Sec. 404.1519m Diagnostic tests or procedures.
We will request the results of any diagnostic tests or procedures
that have been performed as part of a workup by your treating source or
other medical source and will use the results to help us evaluate
impairment severity or prognosis. * * * The responsibility for deciding
whether to perform the examination rests with the medical source
designated to perform the consultative examination.
12. Section 404.1519n is amended by revising the section heading
and the first and last sentences of the introductory text, adding a
heading to paragraph (a), revising the first sentence of paragraph (a)
introductory text, revising the last two sentences of paragraph (b),
revising the second sentence of and adding two sentences at the end of
paragraph (c)(6), and revising paragraphs (c)(7) and (e) to read as
follows:
Sec. 404.1519n Informing the medical source of examination scheduling,
report content, and signature requirements.
The medical sources who perform consultative examinations will have
a good understanding of our disability programs and their evidentiary
requirements. * * * We will fully inform medical sources who perform
consultative examinations at the time we first contact them, and at
subsequent appropriate intervals, of the following obligations:
(a) Scheduling. In scheduling full consultative examinations,
sufficient time should be allowed to permit the medical source to take
a case history and perform the examination, including any needed tests.
* * *
* * * * *
(b) Report content. * * * The report should reflect your statement
of your symptoms, not simply the medical source's statements or
conclusions. The medical source's report of the consultative
examination should include the objective medical facts as well as
observations and opinions.
(c) * * *
* * * * *
(6) * * * This statement should describe the opinion of the medical
source about your ability, despite your impairment(s), to do work-
related activities, such as sitting, standing, walking, lifting,
carrying, handling objects, hearing, speaking, and traveling; and, in
cases of mental impairment(s), the opinion of the medical source about
your ability to understand, to carry out and remember instructions, and
to respond appropriately to supervision, coworkers and work pressures
in a work setting. Although we will ordinarily request, as part of the
consultative examination process, a medical source statement about what
you can still do despite your impairment(s), the absence of such a
statement in a consultative examination report will not make the report
incomplete. See Sec. 404.1527; and
(7) In addition, the medical source will consider, and provide some
explanation or comment on, your major complaint(s) and any other
abnormalities found during the history and examination or reported from
the laboratory tests. The history, examination, evaluation of
laboratory test results, and the conclusions will represent the
information provided by the medical source who signs the report.
* * * * *
[[Page 11877]]
(e) Signature requirements. All consultative examination reports
will be personally reviewed and signed by the medical source who
actually performed the examination. This attests to the fact that the
medical source doing the examination or testing is solely responsible
for the report contents and for the conclusions, explanations or
comments provided with respect to the history, examination and
evaluation of laboratory test results. The signature of the medical
source on a report annotated ``not proofed'' or ``dictated but not
read'' is not acceptable. A rubber stamp signature of a medical source
or the medical source's signature entered by any other person is not
acceptable.
13. Section 404.1519o is amended by revising the last sentence of
paragraph (a) introductory text and the last sentence of paragraph (b)
introductory text to read as follows:
Sec. 404.1519o When a properly signed consultative examination report
has not been received.
* * * * *
(a) When we will make determinations and decisions without a
properly signed report. * * * After we have made the determination or
decision, we will obtain a properly signed report and include it in the
file unless the medical source who performed the original consultative
examination has died:
* * * * *
(b) When we will not make determinations and decisions without a
properly signed report. * * * If the signature of the medical source
who performed the original examination cannot be obtained because the
medical source is out of the country for an extended period of time, or
on an extended vacation, seriously ill, deceased, or for any other
reason, the consultative examination will be rescheduled with another
medical source:
* * * * *
14. Section 404.1519p is amended by revising paragraphs (b) and (c)
to read as follows:
Sec. 404.1519p Reviewing reports of consultative examinations.
* * * * *
(b) If the report is inadequate or incomplete, we will contact the
medical source who performed the consultative examination, give an
explanation of our evidentiary needs, and ask that the medical source
furnish the missing information or prepare a revised report.
(c) With your permission, or when the examination discloses new
diagnostic information or test results that reveal a potentially life-
threatening situation, we will refer the consultative examination
report to your treating source. When we refer the consultative
examination report to your treating source without your permission, we
will notify you that we have done so.
* * * * *
15. Section 404.1519s is amended by revising paragraph (e)(2) and
the first sentence of paragraph (f)(6) to read as follows:
Sec. 404.1519s Authorizing and monitoring the consultative
examination.
* * * * *
(e) * * *
(2) Any consultative examination provider with a practice directed
primarily towards evaluation examinations rather than the treatment of
patients; or
* * * * *
(f) * * *
(6) Procedures for providing medical or supervisory approval for
the authorization or purchase of consultative examinations and for
additional tests or studies requested by consulting medical sources. *
* *
* * * * *
16. Section 404.1527 is amended by revising the section heading,
the third sentence of paragraph (d)(2), the heading of paragraph (e),
paragraph (e)(2), the heading and introductory text of paragraph (f),
and paragraph (f)(2), by adding a sentence to the end of paragraph
(d)(6), by adding introductory text to paragraph (e), and by adding
paragraph (e)(3) to read as follows:
Sec. 404.1527 Evaluating opinion evidence.
* * * * *
(d) * * *
(2) Treatment relationship. * * * When we do not give the treating
source's opinion controlling weight, we apply the factors listed in
paragraphs (d)(2)(i) and (d)(2)(ii) of this section, as well as the
factors in paragraphs (d)(3) through (d)(6) of this section in
determining the weight to give the opinion. * * *
* * * * *
(6) Other factors. * * * For example, the amount of understanding
of our disability programs and their evidentiary requirements that an
acceptable medical source has, regardless of the source of that
understanding, and the extent to which an acceptable medical source is
familiar with the other information in your case record are relevant
factors that we will consider in deciding the weight to give to a
medical opinion.
(e) Medical source opinions on issues reserved to the Commissioner.
Opinions on some issues, such as the examples that follow, are not
medical opinions, as described in paragraph (a)(2) of this section, but
are, instead, opinions on issues reserved to the Commissioner because
they are administrative findings that are dispositive of a case; i.e.,
that would direct the determination or decision of disability.
* * * * *
(2) Other opinions on issues reserved to the Commissioner. We use
medical sources, including your treating source, to provide evidence,
including opinions, on the nature and severity of your impairment(s).
Although we consider opinions from medical sources on issues such as
whether your impairment(s) meets or equals the requirements of any
impairment(s) in the Listing of Impairments in appendix 1 to this
subpart, your residual functional capacity (see Secs. 404.1545 and
404.1546), or the application of vocational factors, the final
responsibility for deciding these issues is reserved to the
Commissioner.
(3) We will not give any special significance to the source of an
opinion on issues reserved to the Commissioner described in paragraphs
(e)(1) and (e)(2) of this section.
(f) Opinions of nonexamining sources. We consider all evidence from
nonexamining sources to be opinion evidence. When we consider the
opinions of nonexamining sources, we apply the rules in paragraphs (a)
through (e) of this section. In addition, the following rules apply to
State agency medical and psychological consultants, other program
physicians and psychologists, and medical experts we consult in
connection with administrative law judge hearings and Appeals Council
review:
* * * * *
(2) Administrative law judges are responsible for reviewing the
evidence and making findings of fact and conclusions of law. They will
consider opinions of State agency medical or psychological consultants,
other program physicians and psychologists, and medical experts as
follows:
(i) Administrative law judges are not bound by any findings made by
State agency medical or psychological consultants, or other program
physicians or psychologists. However, State agency medical and
psychological consultants and other program physicians and
psychologists are highly qualified physicians and psychologists
[[Page 11878]]
who are also experts in Social Security disability evaluation.
Therefore, administrative law judges must consider findings of State
agency medical and psychological consultants or other program
physicians or psychologists as opinion evidence, except for the
ultimate determination about whether you are disabled. See
Sec. 404.1512(b)(6).
(ii) When an administrative law judge considers findings of a State
agency medical or psychological consultant or other program physician
or psychologist, the administrative law judge will evaluate the
findings using relevant factors in paragraphs (a) through (e) of this
section, such as the physician's or psychologist's medical specialty
and expertise in our rules, the supporting evidence in the case record,
supporting explanations provided by the physician or psychologist, and
any other factors relevant to the weighing of the opinions. Unless the
treating source's opinion is given controlling weight, the
administrative law judge must explain in the decision the weight given
to the opinions of a State agency medical or psychological consultant
or other program physician or psychologist, as the administrative law
judge must do for any opinions from treating sources, nontreating
sources, and other nonexamining sources who do not work for us.
(iii) Administrative law judges may also ask for and consider
opinions from medical experts on the nature and severity of your
impairment(s) and on whether your impairment(s) equals the requirements
of any impairment listed in appendix 1 to this subpart. When
administrative law judges consider these opinions, they will evaluate
them using the rules in paragraphs (a) through (e) of this section.
* * * * *
PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND
DISABLED
Subpart I--[Amended]
17. The authority citation for subpart I of part 416 continues to
read as follows:
Authority: Secs. 702(a)(5), 1611, 1614, 1619, 1631(a), (c), and
(d)(1), and 1633 of the Social Security Act (42 U.S.C. 902(a)(5),
1382, 1382c, 1382h, 1383(a), (c), and (d)(1), 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, 1382h note).
18. Section 416.902 is amended by republishing the introductory
text, removing the terms ``Secretary,'' ``Source of record,'' and
``You,'' revising the definitions of ``Medical sources'' and ``Treating
source,'' and adding definitions in the appropriate alphabetical order
for the terms ``Acceptable medical source,'' ``Nonexamining source,''
``Nontreating source,'' and ``You or your'' to read as follows:
Sec. 416.902 General definitions and terms for this subpart.
As used in the subpart--
Acceptable medical source refers to one of the sources described in
Sec. 416.913(a) who provides evidence about your impairments. It
includes treating sources, nontreating sources, and nonexamining
sources.
* * * * *
Medical sources refers to acceptable medical sources, or other
health care providers who are not acceptable medical sources.
Nonexamining source means a physician, psychologist, or other
acceptable medical source who has not examined you but provides a
medical or other opinion in your case. At the administrative law judge
hearing and Appeals Council levels of the administrative review
process, it includes State agency medical and psychological
consultants, other program physicians and psychologists, and medical
experts we consult. See Sec. 416.927.
Nontreating source means a physician, psychologist, or other
acceptable medical source who has examined you but does not have, or
did not have, an ongoing treatment relationship with you. The term
includes an acceptable medical source who is a consultative examiner
for us, when the consultative examiner is not your treating source. See
Sec. 416.927.
* * * * *
Treating source means your own physician, psychologist, or other
acceptable medical source who provides you, or has provided you, with
medical treatment or evaluation and who has, or has had, an ongoing
treatment relationship with you. Generally, we will consider that you
have an ongoing treatment relationship with an acceptable medical
source when the medical evidence establishes that you see, or have
seen, the source with a frequency consistent with accepted medical
practice for the type of treatment and/or evaluation required for your
medical condition(s). We may consider an acceptable medical source who
has treated or evaluated you only a few times or only after long
intervals (e.g., twice a year) to be your treating source if the nature
and frequency of the treatment or evaluation is typical for your
condition(s). We will not consider an acceptable medical source to be
your treating source if your relationship with the source is not based
on your medical need for treatment or evaluation, but solely on your
need to obtain a report in support of your claim for disability. In
such a case, we will consider the acceptable medical source to be a
nontreating source.
* * * * *
You or your means, as appropriate, the person who applies for
benefits, the person for whom an application is filed, or the person
who is receiving benefits based on disability or blindness.
19. Section 416.912 is amended by revising paragraph (b)(6) to read
as follows:
Sec. 416.912 Evidence of your impairment.
* * * * *
(b) * * *
(6) At the administrative law judge and Appeals Council levels,
findings, other than the ultimate determination about whether you are
disabled, made by State agency medical or psychological consultants and
other program physicians or psychologists, and opinions expressed by
medical experts we consult based on their review of the evidence in
your case record. See Secs. 416.927(f)(2) and (f)(3).
* * * * *
20. Section 416.913 is amended by revising the first sentence of
paragraph (b)(6) and paragraph (c) to read as follows:
Sec. 416.913 Medical evidence of your impairment.
* * * * *
(b) * * *
(6) A statement about what you can still do despite your
impairment(s) based on the acceptable medical source's findings on the
factors under paragraphs (b)(1) through (b)(5) of this section (except
in statutory blindness claims). * * *
(c) Statements about what you can still do. At the administrative
law judge and Appeals Council levels, we will consider residual
functional capacity assessments made by State agency medical and
psychological consultants and other program physicians and
psychologists to be ``statements about what you can still do'' made by
nonexamining physicians and psychologists based on their review of the
evidence in the case record. Statements about what you can still do
(based on the acceptable medical source's findings on the factors under
paragraphs (b)(1) through (b)(5) of this
[[Page 11879]]
section) should describe, but are not limited to, the kinds of physical
and mental capabilities listed as follows (See Secs. 416.927 and
416.945(c)):
(1) If you are an adult, the acceptable medical source's opinion
about your ability, despite your impairment(s), to do work-related
activities such as sitting, standing, walking, lifting, carrying,
handling objects, hearing, speaking, and traveling;
(2) If you are an adult, in cases of mental impairment(s), the
acceptable medical source's opinion about your ability to understand,
to carry out and remember instructions, and to respond appropriately to
supervision, coworkers, and work pressures in a work setting; and
(3) If you are a child, the acceptable medical source's opinion
about your functional limitations in learning, motor functioning,
performing self-care activities, communicating, socializing, and
completing tasks (and, if you are a newborn or young infant from birth
to age 1, responsiveness to stimuli).
* * * * *
21. Section 416.919 is amended by revising the first sentence to
read as follows:
Sec. 416.919 The consultative examination.
A consultative examination is a physical or mental examination or
test purchased for you at our request and expense from a treating
source or another medical source, including a pediatrician when
appropriate. * * *
22. Section 416.919g is amended by revising the last sentence of
paragraph (a) and the first sentence of paragraph (c) to read as
follows:
Sec. 416.919g Who we will select to perform a consultative
examination.
(a) * * * For a more complete list of medical sources, see
Sec. 416.913.
* * * * *
(c) The medical source we choose may use support staff to help
perform the consultative examination. * * *
23. Section 416.919h is revised to read as follows:
Sec. 416.919h Your treating source.
When in our judgment your treating source is qualified, equipped,
and willing to perform the additional examination or tests for the fee
schedule payment, and generally furnishes complete and timely reports,
your treating source will be the preferred source to do the purchased
examination. Even if only a supplemental test is required, your
treating source is ordinarily the preferred source.
24. Section 416.919i is revised to read as follows:
Sec. 416.919i Other sources for consultative examinations.
We will use a medical source other than your treating source for a
purchased examination or test in situations including, but not limited
to, the following situations:
(a) Your treating source prefers not to perform such an examination
or does not have the equipment to provide the specific data needed;
(b) There are conflicts or inconsistencies in your file that cannot
be resolved by going back to your treating source;
(c) You prefer a source other than your treating source and have a
good reason for your preference;
(d) We know from prior experience that your treating source may not
be a productive source, e.g., he or she has consistently failed to
provide complete or timely reports.
25. Section 416.919j is revised to read as follows:
Sec. 416.919j Objections to the medical source designated to perform
the consultative examination.
You or your representative may object to your being examined by a
medical source we have designated to perform a consultative
examination. If there is a good reason for the objection, we will
schedule the examination with another medical source. A good reason may
be that the medical source we designated had previously represented an
interest adverse to you. For example, the medical source may have
represented your employer in a workers' compensation case or may have
been involved in an insurance claim or legal action adverse to you.
Other things we will consider include: The presence of a language
barrier, the medical source's office location (e.g., 2nd floor, no
elevator), travel restrictions, and whether the medical source had
examined you in connection with a previous disability determination or
decision that was unfavorable to you. If your objection is that a
medical source allegedly ``lacks objectivity'' in general, but not in
relation to you personally, we will review the allegations. See
Sec. 416.919s. To avoid a delay in processing your claim, the
consultative examination in your case will be changed to another
medical source while a review is being conducted. We will handle any
objection to use of the substitute medical source in the same manner.
However, if we had previously conducted such a review and found that
the reports of the medical source in question conformed to our
guidelines, we will not change your examination.
26. Section 416.919k is amended by revising the introductory text
to read as follows:
Sec. 416.919k Purchase of medical examinations, laboratory tests, and
other services.
We may purchase medical examinations, including psychiatric and
psychological examinations, X-rays and laboratory tests (including
specialized tests, such as pulmonary function studies,
electrocardiograms, and stress tests) from a medical source.
* * * * *
27. Section 416.919m is amended by revising the first and last
sentences to read as follows:
Sec. 416.919m Diagnostic tests or procedures.
We will request the results of any diagnostic tests or procedures
that have been performed as part of a workup by your treating source or
other medical source and will use the results to help us evaluate
impairment severity or prognosis. * * * The responsibility for deciding
whether to perform the examination rests with the medical source
designated to perform the consultative examination.
28. Section 416.919n is amended by revising the section heading and
the first and last sentences of the introductory text, adding a heading
to paragraph (a), revising the first sentence of paragraph (a)
introductory text, revising the last two sentences of paragraph (b),
revising the second and third sentences of and adding two sentences at
the end of paragraph (c)(6), and revising paragraphs (c)(7) and (e) to
read as follows:
Sec. 416.919n Informing the medical source of examination scheduling,
report content, and signature requirements.
The medical sources who perform consultative examinations will have
a good understanding of our disability programs and their evidentiary
requirements. * * * We will fully inform medical sources who perform
consultative examinations at the time we first contact them, and at
subsequent appropriate intervals, of the following obligations:
(a) Scheduling. In scheduling full consultative examinations,
sufficient time should be allowed to permit the medical source to take
a case history and perform the examination, including any needed tests.
* * *
* * * * *
(b) Report content. * * * The report should reflect your statement
of your symptoms, not simply the medical source's statements or
conclusions. The
[[Page 11880]]
medical source's report of the consultative examination should include
the objective medical facts as well as observations and opinions.
(c) * * *
(6) * * * If you are an adult, this statement should describe the
opinion of the medical source about your ability, despite your
impairment(s), to do work-related activities, such as sitting,
standing, walking, lifting, carrying, handling objects, hearing,
speaking, and traveling; and, in cases of mental impairment(s), the
opinion of the medical source about your ability to understand, to
carry out and remember instructions, and to respond appropriately to
supervision, coworkers and work pressures in a work setting. If you are
a child, this statement should describe the opinion of the medical
source about your functional limitations in learning, motor
functioning, performing self-care activities, communicating,
socializing, and completing tasks (and, if you are a newborn or young
infant from birth to age 1, responsiveness to stimuli). Although we
will ordinarily request, as part of the consultative examination
process, a medical source statement about what you can still do despite
your impairment(s), the absence of such a statement in a consultative
examination report will not make the report incomplete. See
Sec. 416.927; and
(7) In addition, the medical source will consider, and provide some
explanation or comment on, your major complaint(s) and any other
abnormalities found during the history and examination or reported from
the laboratory tests. The history, examination, evaluation of
laboratory test results, and the conclusions will represent the
information provided by the medical source who signs the report.
* * * * *
(e) Signature requirements. All consultative examination reports
will be personally reviewed and signed by the medical source who
actually performed the examination. This attests to the fact that the
medical source doing the examination or testing is solely responsible
for the report contents and for the conclusions, explanations or
comments provided with respect to the history, examination and
evaluation of laboratory test results. The signature of the medical
source on a report annotated ``not proofed'' or ``dictated but not
read'' is not acceptable. A rubber stamp signature of a medical source
or the medical source's signature entered by any other person is not
acceptable.
29. Section 416.919o is amended by revising the last sentence of
paragraph (a) introductory text and the last sentence of paragraph (b)
introductory text to read as follows:
Sec. 416.919o When a properly signed consultative examination report
has not been received.
* * * * *
(a) When we will make determinations and decisions without a
properly signed report. * * * After we have made the determination or
decision, we will obtain a properly signed report and include it in the
file unless the medical source who performed the original consultative
examination has died:
* * * * *
(b) When we will not make determinations and decisions without a
properly signed report. * * * If the signature of the medical source
who performed the original examination cannot be obtained because the
medical source is out of the country for an extended period of time, or
on an extended vacation, seriously ill, deceased, or for any other
reason, the consultative examination will be rescheduled with another
medical source:
* * * * *
30. Section 416.919p is amended by revising paragraphs (b) and (c)
to read as follows:
Sec. 416.919p Reviewing reports of consultative examinations.
* * * * *
(b) If the report is inadequate or incomplete, we will contact the
medical source who performed the consultative examination, give an
explanation of our evidentiary needs, and ask that the medical source
furnish the missing information or prepare a revised report.
(c) With your permission, or when the examination discloses new
diagnostic information or test results that reveal a potentially life-
threatening situation, we will refer the consultative examination
report to your treating source. When we refer the consultative
examination report to your treating source without your permission, we
will notify you that we have done so.
* * * * *
31. Section 416.919s is amended by revising paragraph (e)(2) and
the first sentence of paragraph (f)(6) to read as follows:
Sec. 416.919s Authorizing and monitoring the consultative examination.
* * * * *
(e) * * *
(2) Any consultative examination provider with a practice directed
primarily towards evaluation examinations rather than the treatment of
patients; or
* * * * *
(f) * * *
(6) Procedures for providing medical or supervisory approval for
the authorization or purchase of consultative examinations and for
additional tests or studies requested by consulting medical sources. *
* *
* * * * *
32. Section 416.927 is amended by revising the section heading, the
third sentence of paragraph (d)(2), the heading of paragraph (e),
paragraph (e)(2), the heading and introductory text of paragraph (f),
and paragraph (f)(2), by adding a sentence to the end of paragraph
(d)(6), by adding introductory text to paragraph (e), and by adding
paragraph (e)(3) to read as follows:
Sec. 416.927 Evaluating opinion evidence.
* * * * *
(d) * * *
(2) Treatment relationship. * * * When we do not give the treating
source's opinion controlling weight, we apply the factors listed in
paragraphs (d)(2)(i) and (d)(2)(ii) of this section, as well as the
factors in paragraphs (d)(3) through (d)(6) of this section in
determining the weight to give the opinion. * * *
* * * * *
(6) Other factors. * * * For example, the amount of understanding
of our disability programs and their evidentiary requirements that an
acceptable medical source has, regardless of the source of that
understanding, and the extent to which an acceptable medical source is
familiar with the other information in your case record are relevant
factors that we will consider in deciding the weight to give to a
medical opinion.
(e) Medical source opinions on issues reserved to the Commissioner.
Opinions on some issues, such as the examples that follow, are not
medical opinions, as described in paragraph (a)(2) of this section, but
are, instead, opinions on issues reserved to the Commissioner because
they are administrative findings that are dispositive of a case; i.e.,
that would direct the determination or decision of disability.
* * * * *
(2) Other opinions on issues reserved to the Commissioner. We use
medical sources, including your treating source,
[[Page 11881]]
to provide evidence, including opinions, on the nature and severity of
your impairment(s). Although we consider opinions from medical sources
on issues such as whether your impairment(s) meets or equals the
requirements of any impairment(s) in the Listing of Impairments in
appendix 1 to subpart P of part 404 of this chapter, your residual
functional capacity (see Secs. 416.945 and 416.946), or the application
of vocational factors, the final responsibility for deciding these
issues is reserved to the Commissioner.
(3) We will not give any special significance to the source of an
opinion on issues reserved to the Commissioner described in paragraphs
(e)(1) and (e)(2) of this section.
(f) Opinions of nonexamining sources. We consider all evidence from
nonexamining sources to be opinion evidence. When we consider the
opinions of nonexamining sources, we apply the rules in paragraphs (a)
through (e) of this section. In addition, the following rules apply to
State agency medical and psychological consultants, other program
physicians and psychologists, and medical experts we consult in
connection with administrative law judge hearings and Appeals Council
review:
* * * * *
(2) Administrative law judges are responsible for reviewing the
evidence and making findings of fact and conclusions of law. They will
consider opinions of State agency medical or psychological consultants,
other program physicians and psychologists, and medical experts as
follows:
(i) Administrative law judges are not bound by any findings made by
State agency medical or psychological consultants, or other program
physicians or psychologists. However, State agency medical and
psychological consultants and other program physicians and
psychologists are highly qualified physicians and psychologists who are
also experts in Social Security disability evaluation. Therefore,
administrative law judges must consider findings of State agency
medical and psychological consultants or other program physicians or
psychologists as opinion evidence, except for the ultimate
determination about whether you are disabled. See Sec. 416.912(b)(6).
(ii) When an administrative law judge considers findings of a State
agency medical or psychological consultant or other program physician
or psychologist, the administrative law judge will evaluate the
findings using relevant factors in paragraphs (a) through (e) of this
section, such as the physician's or psychologist's medical specialty
and expertise in our rules, the supporting evidence in the case record,
supporting explanations provided by the physician or psychologist, and
any other factors relevant to the weighing of the opinions. Unless the
treating source's opinion is given controlling weight, the
administrative law judge must explain in the decision the weight given
to the opinions of a State agency medical or psychological consultant
or other program physician or psychologist, as the administrative law
judge must do for any opinions from treating sources, nontreating
sources, and other nonexamining sources who do not work for us.
(iii) Administrative law judges may also ask for and consider
opinions from medical experts on the nature and severity of your
impairment(s) and on whether your impairment(s) equals the requirements
of any impairment listed in appendix 1 to subpart P of part 404 of this
chapter. When administrative law judges consider these opinions, they
will evaluate them using the rules in paragraphs (a) through (e) of
this section.
* * * * *
[FR Doc. 00-5035 Filed 3-6-00; 8:45 am]
BILLING CODE 4191-02-U
T
wo areas of concern are
paramount in such tension. The
first is legal and the second is job
conditions. On the legal side, the
ALJs have four problems to
address.
F
irst, are they covered by the
Administrative Procedure Act
(APA)? A good argument can be
made that the granting of statutory
benefits to a person is not any
bigger a deal than a claims adjuster
at Allstate OKing payments for an
insured motorist. As Secretary of
HEW, Elliot Richardson issued a
regulation accepting APA rules as
the governing principles for the
ALJs. Such "acceptance" could be
withdrawn by Commissioner Apfel
in a heartbeat and the current ALJs
be replaced by the non-Civil
Service protected AJs. Or better
yet, why not "privatize" the ALJ
position out to private attorneys or
retired Circuit Court Judges, or
Industrial Commission arbitrators
on a $1,000.00/Case basis. Or
even better, "privatize" the whole
disability system to Unum
Insurance or some other private
carrier much like Medicare and
Blue Cross/Blue Shield?
S
econd, ALJs are sworn to uphold
the Law (as interpreted by Social
Security) which created some
tension dating back to Marbury v.
Madison. When SSA fails to
appeal a Circuit decision to the
Supreme Court, then SSA is
bound by that decision in that
Circuit. Yet SSA is a "national"
program and wants to have
uniformity of policy matters
throughout the "system". They
seem to ignore the fact that the
IRS has the same problem and
deals with it. The Circuits may
differ on the definition of a "child"
or on procedural matters, or
remedial options to plaintiffs. So if
Judge Posner writes an opinion in
the 7th Circuit about fibromyalgia
that is well reasoned and medically
current, should ALJ Drucker
follow that opinion or differing
medical rules promulgated by
SSA? Which "Law" is Judge
Drucker to follow?
T
hird, ALJs are presently
protected by the Civil Service Act,
as well as the APA. How much of
that is reality and how much
illusion in practice? The American
Bar Association has continuously
supported Judicial Independence
of the Courts and Judges to insure
that persons sitting on the bench
have the guts to make unpopular
decisions and not get hung out to
dry. Yet when legislation
establishing Social Security as an
independent agency passed in
Congress, the provision requiring
the head of the ALJs to report
directly to the Commissioner was
stricken and ALJs were buried in
the bureaucracy. Where was the
ABA then? The ALJs were then
told to cut down on outside
activities (such as membership in
the ABA and contact with counsel
that appear before them). Only
through the persistence of ALJ
Yoder and others willing to speak
out, were some modifications
made. To insure their own
independence, the ALJs have been
forced to rely on themselves and
not other organizations such as the
ABA.
F
ourth, SSA has a long record of
attempts to "control" the "Quality"
of ALJ decisions within Social
Security. This is probably more of
a perceived threat than an actual
one. But failed actions in MSPRB
attempts to remove ALJs, actions
by ALJs against their own boss in
Bono and court opposition to
Bellmon Reviews have definitely
contributed to an air of hostility
between labor and management.
Why was ALJ O'Byrne the only
HOCALJ without an office?
A
side from the legal issues that
have culminated in the Union vote,
workplace environment is also a
sticking point.
A
LJs took a lesson from another
Union close to home. The
Attorney Advisors to the ALJs had
unionized with NTEU back in the
80s. Reportedly, the NTEU
blocked the move of the Peoria
ALJs to new offices since the new
quarters didn't provide adequate
space for the AAs. The lesson?
Unions can get it done.
W
hen ALJ Lillios initiates a
Region V policy of sending ALJs
to Detroit when a backlog exists in
the Chicago area, should the Union
be consulted? When bad people
get hired by SSA and staffing is
miserable, yet ALJs have no
control whatsoever over the
people that prepare a file, take
phone calls, relay messages,
schedule cases. follow up on post
Hearing matters, prepare a draft
decision, research a legal issue,
open the mail, who will remedy the
complaint if any of these tasks are
not done right? The Hearing Office
Manager?
N
aturally, issues of pay, sick leave,
professional leave, promotion,
discipline and other traditional
Union negotiating points will be on
the table.
T
he ultimate question for me
becomes one of "What is the best
interest of my client?" GO
UNION. What's your opinion?
Obesity Listing Eliminated
Effective October 25th, 1999, SSA
is deleting listing 9.09, "Obesity,"
from appendix 1, subpart P of part
404, the "Listing of Impairments"
(the listings). SSA states,
"Although many individuals with
obesity are appropriately found
"disabled" within the meaning of
the Social Security Act (the Act),
we have determined that the
criteria in listing 9.09 were not
appropriate indicators of
listing-level severity because they
did not represent a degree of
functional limitation that would
prevent an individual from
engaging in any gainful activity."
Ruling Clarifies Evaluation
and Adjudication of
Chronic Fatigue Syndrome
Disability Claims
As of April 30th, 1999,
helps claimants and their
representatives to show a
disability based on Chronic
Fatigue Syndrome (CFS).
SUMMARY: In accordance with 20 CFR
402.35(b)(1), the Commissioner of
Social Security gives notice of Social
Security Ruling, SSR 99-2p. This Ruling
clarifies disability policy for the
evaluation and adjudication of disability
claims invo1ving Cronic Fatigue
Syndrome, this ruling explains that,
when it is accompanied appropriate
medical signs or laboratory findings,
CFS is a medically determinally
impairment, that can be the basis for the
finding of “disability.” This ruling
ensures that all adjudicators will use the
same policies and procedures in
evaluating disability claims involving
CFS, and provides a consolidated
statement of these policies and
procedures.
Who is LHSS?
LHSS Services is a company with
the customer at heart. We
understand that along with your
physical problems you are
probably experiencing money and
other financial hardships as well.
Located in Wichita Kansas, LHSS
Services is able to assist anywhere
in the United States.
W
e have learned that a very high
percentage of cases that are
submitted to the Social Security
office are turned down the first
time. Many become depressed and
feel that there is no hope. Just
because the SS office tells you that
you are not qualified does not
always mean this is true. Give us a
chance to review your case and let
us help you determine if in fact you
are qualified to receive Disability!
We will fight for your rights.
W
e are not in this business for
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a vested interest in helping others
that are going through what we
have been through as well. Dawn
is a kidney transplant patient and
also a Medical Assistant. Patrick is
a Paralegal in the practice of Social
Security Disability Law.
W
hen you hire LHSS Services,
you will know that someone cares
about your ailments in a cold and
uncaring system. You will gain
someone that has the education
and the resources to help. Having
someone on your side who
understands the Social Security
System can be crucial in a case.
Y
ou won't have to be the one
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back your self-esteem knowing
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Office. The Social Security
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not to pay out for benefits if they
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such things as, "work another job"
or do "past work" and you do not
appeal it, then they have done their
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Let a business with experience
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Lighthouse Social Security Services
2201 E. MacArthur F9 Wichita Kansas
Office: 316-522-5728
Fax: 419-828-8501