Contents
Preface
Author's Preface
Format And Purpose Of This Handbook
Process Unification Overview
A Sequential Analysis Outline
Introduction
SSR 96-1p Application by the Social
Security Administration (SSA) of Federal Circuit Court and District Court Decisions
SSR 96-2p Titles II and XVI: Giving
Controlling Weight To Treating Source Medical Opinions
SSR 96-3p Titles II and XVI:
Considering Allegations of Pain and Other Symptoms in Determining Whether a Medically
Determining Impairment is Severe
SSR 96-4p Titles II and XVI: Symptoms,
Medically Determinable Physical and Mental Impairments, and Exertional and Nonexertional
Limitations
SSR 96-5p Titles II and XVI: Medical
Source Opinions on Issues Reserved to the Commissioner
SSR 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
SSR 96-7p Titles II and XVI: Evaluation
of Symptoms in Disability Claims: Assessing the Credibility of am Individual's Statements
SSR 96-8p Titles II and XVI: Assessing
Residual Functional Capacity in Initial Claims
SSR 96-9p Titles II and XVI:
Determining Capability To Do Other Work--Implications of a Residual Functional Capacity
for Less Than a Full Range of Sedentary Work
SSR 97-2p Titles II and XVI: Prehearing
Case Review By Disability Determination Services
Conclusion
Lester -- Lester v. Chater, 81 F.3d 821 (9th
Cir. 1995)
Smolen -- Smolen v. Chater, 80 f.3d 1273 (9th Cir.
1996)
Appendix A
Regulations Interpreted By The Process Unification
Rulings
Appendix B
Social Security Rulings Cross-referenced In The Process
Unification Rulings
Appendix C
Process Unification Commands
Appendix D
Process Unification Rulings Glossary
Appendix E
Sample Letters To DDS Objecting To Scheduling A
Consultative Examination With Non-treating Physician:
April 10, 1997 letter
April 13, 1997 letter
April 20, 1997 letter
Appendix F
Short Form Sample: Medical Source Statement Concerning
the Nature and Severity of an Individual's Physical Impairment
Long Form Sample: Medical Source Statement Concerning the
Nature and Severity of an Individual's Physical Impairment
Medical Source Statement Concerning the Nature and
Severity of an Individual's Physical Impairment (This form contains four
rating terms by which to rate impairment severity)
Medical Source Statement Concerning the Nature and
Severity of an Individual's Physical Impairment (This form contains five
rating terms by which to rate impairment severity)
(Caution, the form using five
rating terms has been tested locally and appears to confuse medical sources who
are used the the four rating terms. Accordingly, its use may be
less effective for establishing disability than the form beginning at page F-13)
(At the end of Appendix F, for the convenience of
claimants' representatives who wish to use these forms, I have included blank samples of
the above four forms without headers or footers.)
Appendix G
Appendix 2, Sections 200.00, 201.00, 202.00, 203.00,
& 204.00
Grids -- Sedentary Rules
Grids -- Light Rules
Grids -- Medium Rules
Appendix H (RESERVED)
Appendix I
Sample Interrogatories to State Agency Program Physicians
and/or Psychologists
Appendix J
The Thirteen Federal Judicial Circuits
Appendix K (RESERVED)
Appendix L
20 C.F.R. § 404, Subpart P, Appendix 1, § 12.00 Mental
Disorders
Appendix M (RESERVED)
Appendix N (RESERVED)
Appendix O (RESERVED)
Appendix P
POMS Basic 1-86 DI 24510.085 (MRFC Form Instructions)
POMS And Form SSA-4734-f4-SUP (14 Critical Work-Related
Basic Mental Abilities And Aptitudes Required To Perform Unskilled Jobs)
POMS And Form SSA-4734-F4-SUP (3 Work-Related Mental
Abilities Needed To Perform Semiskilled And Skilled Work)
Appendix Q (RESERVED)
Appendix R
Selected Title II Social Security Regulations
Selected Title XVI (SSI) Social Security Regulations
Appendix S
Chief ALJ Boyer's Letter Regarding Issuance of Subpoenas
Attorney Ron Green's Sample Letter Requesting Issuance Of
A Subpoena (Examining Physician)
Attorney Ralph Wilborn's Sample Letter Requesting
Issuance Of A Subpoena Duces Tecum (Nonexamining Physician)
HALLEX I-2-578 (Use of Subpoenas - General)
Appendix T (RESERVED)
Appendix U (RESERVED)
Appendix V
Components of the DOT Definition Trailer
Selected Characteristics Of Occupations Defined in the
Revised Dictionary of Occupational Titles
Physical Demand Factors and Environmental Condition
Factors
Machines, Tools, Equipment and Work Aids
Aptitudes & Temperaments
Appendix W (RESERVED)
Appendix X (RESERVED)
Appendix Y (RESERVED)
Appendix Z (RESERVED)
Notes
Index
Volume 2
EDITOR'S INTRODUCTION
Legal Effect of Social Security Rulings
Nomenclature of Social Security Rulings
A SEQUENTIAL ANALYSIS OUTLINE
(SELECTED SOCIAL SECURITY RULINGS KEYED TO
THE SEQUENTIAL EVALUATION OF DISABILITY)
SELECTED SOCIAL SECURITY RULINGS
Social Security Ruling 61-60
COMPUTING TIME PERIOD FOR REOPENING
DETERMINATION
Social Security Ruling 71-52
APPLICATIONS -- FILING FOR ALL
BENEFITS -- WIDOW'S INSURANCE BENEFITS
Social Security Ruling 71-53c
SECTION 205(g). -- DISABILITY INSURANCE
BENEFITS -- HEARSAY MEDICAL EVIDENCE AS "SUBSTANTIAL EVIDENCE" -- USE OF MEDICAL
ADVISERS. Richardson v. Perales, 402 U.S. 389 (1971)
Social Security Ruling 76-4a
DISABILITY INSURANCE BENEFITS -- SUBSTANTIAL
GAINFUL ACTIVITY -- REBUTTAL OF PRESUMPTION OF ABILITY TO ENGAGE IN SUBSTANTIAL GAINFUL
ACTIVITY
Social Security Ruling 79-19
WAIVER OF PERSONAL APPEARANCE AT A HEARING
Social Security Ruling 82-40
TITLES II AND XVI: THE VOCATIONAL RELEVANCE
OF THE PAST WORK PERFORMED IN A FOREIGN COUNTRY
Social Security Ruling 82-41
TITLES II AND XVI: WORK SKILLS AND THEIR
TRANSFERABILITY AS INTENDED BY THE EXPANDED VOCATIONAL FACTORS REGULATIONS EFFECTIVE
FEBRUARY 26,1979
Social Security Ruling 82-46c
SECTIONS 223(d) and 1614(a)(3) (42 U.S.C.
423(d) and 1382c(a)(3)) DISABILITY -- AGE CRITERION OF THE VOCATIONAL FACTORS REGULATIONS
-- USE OF CHRONOLOGICAL AGE -- CONSTITUTIONALITY. Fogg v. Schweiker, 1st
Circuit, Civ. No. 81-1232 (10/13/81)
Social Security Ruling 82-52
TITLES II AND XVI: DURATION OF THE IMPAIRMENT
Social Security Ruling 82-53
TITLES II AND XVI: BASIC DISABILITY EVALUATION GUIDES
Social Security Ruling 82-54
(RESCINDED) TITLES II AND XVI: MENTAL DEFICIENCY –
INTELLIGENCE TESTING
Social Security Ruling 82-57
TITLES II AND XVI: LOSS OF SPEECH
Social Security Ruling 82-59
TITLES II AND XVI: FAILURE TO FOLLOW PRESCRIBED TREATMENT
Social Security Ruling 82-60
TITLES II AND XVI: EVALUATION OF DRUG ADDICTION AND ALCOHOLISM
Social Security Ruling 82-61
TITLES II AND XVI: PAST RELEVANT WORK – THE PARTICULAR JOB
OR THE OCCUPATION AS GENERALLY PERFORMED
Social Security Ruling 82-62
TITLES II AND XVI: A DISABILITY CLAIMANT’S CAPACITY TO DO
PAST RELEVANT WORK, IN GENERAL
Social Security Ruling 82-63
TITLES II AND XVI: MEDICAL-VOCATIONAL PROFILES SHOWING AN
INABILITY TO MAKE AN ADJUSTMENT TO OTHER WORK
Social Security Ruling 82-66
ESTABLISHING THE CESSAT10N DATE IN A CONTINUING DISABILITY CASE
Social Security Ruling 82-67
(RESCINDED) EXTENSION OF ELIGIBILITY FOR BENEFITS BASED ON
DISABILITY
Social Security Ruling 83-4c
DISABILITY INSURANCE BENEFITS-BEGINNING OF WAITING PERIOD. Sanchez
v. Schweiker. 656 F2d 966 (1981), cert. denied,-- U.S. -- 102 S.Ct. 2008 (1982)
Social Security Ruling 83-5a
DISABILITY-MEDICAL-VOCATIONAL GUIDELINES CONCLUSIVENESS OF RULES
Social Security Ruling 83-10
TITLES 11 AND XVI: DETERMINING CAPABILITY TO DO OTHER WORK-THE
MEDICAL-VOCATIONAL RULES OF APPENDIX 2
Social Security Ruling 83-11
TITLES 11 AND XVI: CAPABILITY TO DO OTHER WORK -- THE
EXERTIONALLY BASED MEDICAL -- VOCATIONAL RULES MET
Social Security Ruling 83-12
TITLES 11 AND XVI: CAPABILITY TO DO OTHER WORK-THE
MEDICAL-VOCATIONAL RULES AS A FRAMEWORK FOR EVALUATING EXERTIONAL LIMITATIONS WITHIN A
RANGE OF
WORK OR BETWEEN RANGES OF WORK
Social Security Ruling 83-14
TITLES 11 AND XVI: CAPABILITY TO DO OTHER WORK-THE
MEDICAL-VOCATIONAL RULES AS A FRAMEWORK FOR EVALUATING A COMBINATION OF EXERTIONAL AND
NONEXERTIONAL IMPAIRMENTS
Social Security Ruling 83-20
TITLES 11 AND XVI: ONSET OF DISABILITY
Social Security Ruling 83-21
TITLE 11: PERSON CONVICTED OF A FELONY
Social Security Ruling 83-33
TITLES 11 AND XVI: DETERMINING WHETHER WORK IS
SUBSTANTIAL GAINFUL ACTIVITY-EMPLOYEES
Social Security Ruling 83-34
TITLES II AND XVI: DETERMINING WHETHER WORK IS SUBSTANTIAL
GAINFUL ACTIVITY-SELF-EMPLOYED PERSONS
Social Security Ruling 83-35
TITLES 11 AND XVI: AVERAGING OF EARNINGS IN DETERMINING WHETHER
WORK IS SUBSTANTIAL GAINFUL ACTIVITY
Social Security Ruling 83-46c
DISABILITY INSURANCE BENEFITS'&-INABILITY TO PERFORM
PREVIOUS WORK-ADMINISTRATIVE NOTICE UNDER THE MEDICAL-VOCATIONAL GUIDE11NES OF THE
EXISTENCE OF OTHER WORK. Heckler v. Campbell -- U.S. -, 103 S.Ct. 1952.(1983)
Social Security Ruling 84-24
TITLES 11 AND XVI: DETERMINATION OF SUBSTANTIAL GAINFUL ACTIVITY
FOR PERSONS WORKING IN SPECIAL CIRCUMSTANCES-WORK THERAPY PROGRAMS IN MILITARY
SERVICE-WORK ACTIVITY IN CERTAIN GOVERNMENT-SPONSORED PROGRAMS
Social Security Ruling 84-25
TITLES II AND XVI: DETERMINATION OF SUBSTANTIAL GAINFUL
WORK ACTIVITY IS DISCONTINUED OR ACTIVITY IF SUBSTANTIAL REDUCED-UNSUCCESSFUL WORK ATTEMPT
Social Security Ruling 84-26
TITLES II AND XVI: DEDUCTING IMPAIRMENT-RELATED WORK EXPENSES
FROM EARNINGS IN DETERMINATIONS AS TO SUBSTANTIAL GAINFUL ACTIVITY UNDER TITLES 11 AND XVI
AND AS TO COUNTABLE EARNED INCOME UNDER TITLE XVI
Social Security Ruling 85-15
TITLES II AND XVI: CAPABILITY TO DO OTHER WORK-THE
MEDICAL-VOCATIONAL RULES AS A FRAMEWORK FOR EVALUATING SOLELY NONEXERTIONAL IMPAIRMENTS
Social Security Ruling 85-16
TITLES 11 AND XVI: RESIDUAL FUNCTIONAL CAPACITY FOR MENTAL
IMPAIRMENTS
Social Security Ruling 85-20c
DISABILITY INSURANCE BENEFITS-FIVE-MONTH WAITING
PERIOD-CONSTITUTIONALITY. Price v. Heckler, 733 E2d 699 (9th Cir. 1984)
Social Security Ruling 85-28
TITLES 11 AND XVI: MEDICAL IMPAIRMENTS THAT ARE NOT SEVERE
Acquiescence Ruling 86-5(9)
ISSUE: Whether a disability benefits recipient, who was expected
to recover and despite evidence that his/her medical condition was no longer disabling, is
entitled to a determination under Sections 225(b)and/or 1631 (a) (6) of the Social
Security Act prior to cessation of his/her benefits, when the recipient is engaged in an
approved vocational rehabilitation program. Leschniok v. Heckler, 713 E2d 520 (9th
Cir. 1983)
Social Security Ruling 86-8
TITLES 11 AND XVI: THE SEQUENTIAL EVALUATION PROCESS
Social Security Ruling 87-6
TITLES II AND XVI: THE ROLE OF PRESCRIBED TREATMENT IN THE
EVALUATION OF EPILEPSY
Social Security Ruling 87-11c
DISABILITY-LOSS OF USE OF LIMB PREVENTS PERFORMANCE OF PAST
WORK-"EMPLOYABILrTY" IMMATERIAL IN DETERMINING ABILITY TO DO OTHER WORK. Odle
v. Secretary of Health andHuman Services, 788 E2d 1158 (6th Cir. 1985)
Social Security Ruling 88-3c
DISABILITY-VALIDITY OF THE SEVERITY OF IMPAIRMENT REGULATION Bowen
v. Yuckert -- U.S. --, 107 S.Ct. 2287 (1987)
Social Security Ruling 88-13
(SUPERSEDED) TITLES 11 AND XVI: EVALUATION OF PAIN AND OTHER
SYMPTOMS
Social Security Ruling 90-5c
DISABILITY INSURANCE BENEFITS-INTERPRETING THE STATUTORY
BLINDNESS PROVISION. Adams v. Bowen 872 E2d 926 (9th Cir. 1989), cert. denied,
-- U.S. --, 110 S.Ct. 151 (1989)
Acquiescence Ruling 90-7(9)
(RESCINDED) Contains language useful in construing regulations
which require a claimant's combined impairments to be considered in determining whether
those impairments are medically equivalent to any listed impairment. Ruff
v. Sullivan 907 E2d 915 (9th Cir. 1990)
Social Security Ruling 91-3p
TITLE II: DETERMINING ENTITLEMENT TO DISABILITY BENEFITS FOR
MONTHS PRIOR TO JANUARY 1991 FOR WIDOWS,WIDOWERS AND SURVIVING DIVORCED SPOUSES CLAIMS
Social Security Ruling 91-5p
TITLES II AND XVI: MENTAL INCAPACITY AND GOOD CAUSE FOR,MISSING
THE DEADLINE TO REQUEST REVIEW
Social Security Ruling 91-7c
SECT1ON 1614(a)(3) (A) OF THE SOCIAL SECURITY ACT ('42
U.S.C.1382c(a)(3)(A)) SUPPLEMENTAL SECURITY INCOME-DISABILITY STANDARDS FOR CHILDREN. Sullivan
v. Zebley 110 S.Ct. 885 (1990)
Acquiescence Ruling 92-7(9)
Effect of Initial Determination Notice Language on the
Application of Administrative Finality-Titles II and XVI of the Social Security Act
Acquiescence Ruling 93-1(4)
What constitutes an additional and significant work-related
limitation of function-Titles II and XVI of the Social Security Act. Branham
v.Heckle 775 R2d 1271 (4th Cir. 1985);Flowers v. U.S. Department of Health and
Human Services 904 R2d 211 (4th Cir. 1990)
Social Security Ruling 93-2p
TITLES 11 AND XVI: EVALUATION OF HUMAN IMMUNODEFICIENCY VIRUS
INFECTION
Social Security Ruling 94-1c
SUPPLEMENTAL SECURITY INCOME-DISABILITY-ILLEGAL ACTIVITY AS
SUBSTANTIAL GAINFUL ACTIVITY Dotson v. Shalala, 1 F.3d
571 (7th Cir. 1993)
Social Security Ruling 95-1 P
TITLES II and TITLE XVI: FINDING GOOD CAUSE FOR MISSING THE
DEADLINE TO REQUEST ADMINISTRATIVE REVIEW DUE TO STATEMENTS IN THE NOTICE OF INITIAL OR
RECONSIDERATION DETERMINATION CONCERNING THE RIGHT TO REQUEST ADMINISTRATIVE REVIEW AND
THE OPTION TO FILE A NEW APPLICATION
Social Security Ruling 95-SP
(SUPERSEDED) TITLES II AND XVI:
CONSIDERING ALLEGATIONS OF PAIN AND OTHER SYMPTOMS IN RESIDUAL FUNCTIONAL CAPACITY AND
INDIVIDUALIZED FUNCTIONAL ASSESSMENTS AND EXPLAINING CONCLUSIONS REACHED
