80_FR_57602 80 FR 57418 - Social Security Acquiescence Ruling (AR) 15-1(4), Radford v. Colvin: Standard for Meeting the Listing for Disorders of the Spine With Evidence of Nerve Root Compression

80 FR 57418 - Social Security Acquiescence Ruling (AR) 15-1(4), Radford v. Colvin: Standard for Meeting the Listing for Disorders of the Spine With Evidence of Nerve Root Compression

SOCIAL SECURITY ADMINISTRATION

Federal Register Volume 80, Issue 184 (September 23, 2015)

Page Range57418-57420
FR Document2015-24204

This Social Security AR explains how we will apply a holding in a decision of the United States Court of Appeals for the Fourth Circuit that we determined conflicts with our interpretation of the section in the Listing of Impairments (the Listings) that addresses disorders of the spine with evidence of nerve root compression.

Federal Register, Volume 80 Issue 184 (Wednesday, September 23, 2015)
[Federal Register Volume 80, Number 184 (Wednesday, September 23, 2015)]
[Notices]
[Pages 57418-57420]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-24204]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2014-0080]


Social Security Acquiescence Ruling (AR) 15-1(4), Radford v. 
Colvin: Standard for Meeting the Listing for Disorders of the Spine 
With Evidence of Nerve Root Compression

AGENCY: Social Security Administration.

ACTION: Notice of Social Security Acquiescence Ruling (AR).

-----------------------------------------------------------------------

SUMMARY: This Social Security AR explains how we will apply a holding 
in a decision of the United States Court of Appeals for the Fourth 
Circuit that we determined conflicts with our interpretation of the 
section in the Listing of Impairments (the Listings) that addresses 
disorders of the spine with evidence of nerve root compression.

DATES: Effective: September 23, 2015.

FOR FURTHER INFORMATION CONTACT: Gabriel Deadwyler, Office of the 
General Counsel, Office of Program Law, Social Security Administration, 
6401 Security Boulevard, Baltimore, MD 21235-6401, (410) 965-8775, or 
TTY 410-966-5609, for information about this notice. For information on 
eligibility or filing for benefits, call our national toll-free number, 
1-800-772-1213 or TTY 1-800-325-0778, or visit our Internet site, 
Social Security Online, at http://www.socialsecurity.gov.

SUPPLEMENTARY INFORMATION: We are publishing this Social Security AR in 
accordance with 20 CFR 402.35(b)(2), 404.985(a), (b), and 416.1485(a), 
(b) to explain how we will apply a holding in Radford v. Colvin, 734 
F.3d 288 (4th Cir. 2013), regarding the standard for meeting section 
1.04A of the Listings, which addresses disorders of the spine with 
evidence of nerve root compression.
    An AR explains how we will apply a holding in a decision of a 
United States Court of Appeals that we determine conflicts with our 
interpretation of a provision of the Social Security Act (Act) or 
regulations when the Government has decided not to seek further review 
of that decision or is unsuccessful on further review.
    We will apply the holding of the court of appeals' decision as 
explained in this AR to claims at all levels of administrative review 
within the Fourth Circuit. We will apply this AR to all determinations 
or decisions made on or after September 23, 2015. If we made a 
determination or decision on an application for benefits between 
October 29, 2013, the date of the court of appeals' decision, and 
September 23,

[[Page 57419]]

2015, the effective date of this AR, the claimant may request that we 
apply the AR to the prior determination or decision. The claimant must 
show, pursuant to 20 CFR 404.985(b)(2) or 416.1485(b)(2), that applying 
the AR could change our prior determination or decision in his or her 
case.
    When we received this precedential court of appeals' decision and 
determined that an AR might be required, we began to identify those 
claims that were pending before the agency within the circuit that 
might be subject to readjudication if we subsequently issued an AR. 
Because we have determined that an AR is required and are publishing 
this AR, we will send a notice to those individuals whose claims we 
have identified. In the notice, we will provide information about the 
AR and the right to request readjudication under the AR. However, a 
claimant does not need to receive a notice in order to request that we 
apply this AR to our prior determination or decision on his or her 
claim, as provided in 20 CFR 404.985(b)(2) and 416.1485(b)(2).
    If we later rescind this AR as obsolete, we will publish a notice 
in the Federal Register to that effect, as provided in 20 CFR 
404.985(e) and 416.1485(e). If we decide to relitigate the issue 
covered by this AR, as provided by 20 CFR 404.985(c)and 416.1485(c), we 
will publish a notice in the Federal Register stating that we will 
apply our interpretation of the Act or regulations involved and 
explaining why we have decided to relitigate the issue.

(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)

    Dated: April 9, 2015.
Carolyn W. Colvin,
Acting Commissioner of Social Security.

ACQUIESCENCE RULING 15-1(4)

Radford v. Colvin, 734 F.3d 288 (4th Cir. 2013): Standard for Meeting 
Section 1.04A of the Listing of Impairments--Disorders of the Spine 
with Evidence of Nerve Root Compression--Titles II and XVI of the 
Social Security Act.

    ISSUE: Must all of the medical criteria in section 1.04A of the 
Listing of Impairments be simultaneously present on examination and 
continue, or be expected to continue, to be simultaneously present for 
at least 12 months for a disorder of the spine to meet the listing?
    STATUTE/REGULATION/RULING CITATION: Sections 205(b), 223(d)(1)(A); 
223(d)(2)(A); 223(d)(5)(A); 1614(a)(3)(A); 1614(a)(3)(B); 
1614(a)(3)(H)(i) of the Social Security Act (42 U.S.C. 423(d)(1)(A); 
423(d)(2)(A); 423(d)(5)(A); 1382c(a)(3)(A); 1382c(a)(3)(B); 
1382c(a)(3)(H)(i)); 20 CFR 404.1509, 404.1520(a)(4)(iii), 404.1520(d), 
404.1525, 416.909, 416.920(a)(4)(iii), 416.920(d); 416.925; 20 CFR part 
404, subpart P, Appendix 1, 1.04A.
    CIRCUIT: Fourth (Maryland, North Carolina, South Carolina, 
Virginia, and West Virginia).
    APPLICABILITY OF RULING: This ruling applies to determinations or 
decisions made in the Fourth Circuit at all levels of administrative 
review.
    DESCRIPTION OF CASE: Jimmy Radford injured his back at work in 
December 2002 and underwent decompression and fusion surgery in August 
2007. The administrative record included reports of examinations by 
various physicians and other medical sources. These reports over a 
five-year period showed the presence of all the medical criteria listed 
in listing 1.04A (20 CFR part 404, subpart P, Appendix 1, 1.04A), but 
did not show them simultaneously for a 12-month period. Mr. Radford 
applied for disability insurance benefits in June 2007. After a 
hearing, an administrative law judge (ALJ) found that Mr. Radford's 
impairments did not meet or medically equal any listed impairment, 
including listing 1.04. The ALJ noted that the State agency physicians 
who evaluated Mr. Radford's claim initially and on reconsideration had 
also concluded that Mr. Radford's impairments did not meet or equal the 
requirements of a listing. The ALJ found that Mr. Radford was not 
disabled at the fifth step of our sequential evaluation process at any 
time from his alleged onset date in December 2002 through his date last 
insured of December 31, 2007.
    Mr. Radford sought judicial review in the United States District 
Court for the Eastern District of North Carolina. The district court 
found that listing 1.04A required only that his spinal stenosis be 
``characterized by'' certain clinical signs and symptoms and held that 
the listing did not require that all of the clinical signs or symptoms 
be documented as present simultaneously. The district court found that 
Mr. Radford had shown evidence of each of the required criteria and 
that the ALJ did not correctly apply the regulations. The district 
court further held that the evidence compelled the conclusion that Mr. 
Radford's impairment met listing 1.04A and ordered an award of 
benefits.
    The Commissioner appealed the district court's decision to the 
United States Court of Appeals for the Fourth Circuit. The court of 
appeals held that the district court did not err in interpreting 
listing 1.04A, but it vacated the district court's judgment because the 
decision to direct an award of benefits was an abuse of discretion. The 
court found that the text of listing 1.04A required evidence of nerve 
root compression ``characterized by'' the listed medical criteria and 
that the use of the word ``and'' to connect them meant that they all 
must be present in the claimant. The court stated that the text of the 
regulation did not specify when the medical criteria must be present 
and did not say that they must be present at the same time or that they 
must be present within a certain proximity of one another. Thus, the 
court held that the regulatory structure did not require the 
simultaneous presence of all of the listed criteria over a 12-month 
period. Rather, the listing required a ``more free-form, contextual 
inquiry that makes 12 months the relevant metric for assessment of the 
claimant's duration of disability.'' 734 F.3d at 293. Accordingly, the 
court of appeals held that ``Listing 1.04A requires a claimant to show 
only . . . that each of the symptoms are present, and that the claimant 
has suffered or can be expected to suffer from nerve root compression 
continuously for at least 12 months.'' Id. at 294. The court further 
held that a ``claimant need not show that each symptom was present at 
precisely the same time--i.e., simultaneously--in order to establish 
the chronic nature of his condition. Nor need a claimant show that the 
symptoms were present in the claimant in particularly close 
proximity.'' Id.
    Although the court of appeals held that the Commissioner's 
interpretation of listing 1.04A was not correct, the court nevertheless 
vacated the district court's judgment because the court should have 
remanded the case with instructions for the ALJ to clarify why Mr. 
Radford's impairment did not satisfy listing 1.04A.
    STATEMENT AS TO HOW RADFORD DIFFERS FROM THE AGENCY'S POLICY: At 
step three of the sequential evaluation process, we will find a 
claimant disabled if the claimant has an impairment that meets or 
equals one of the listed impairments and meets the duration 
requirement. 20 CFR 404.1520(a)(4)(iii), 404.1525(c)(3), 
416.920(a)(4)(iii), 416.925(c)(3). Thus, in considering whether an 
impairment meets or equals a listed impairment, we consider both the 
severity of the impairment, in light of the set of medical criteria in 
the listing, and the duration requirement.

[[Page 57420]]

    Claimants found disabled under the listings at step three of the 
sequential evaluation process have impairments that we consider severe 
enough to prevent any gainful activity, regardless of the claimant's 
age, education, or work experience. Our policy is that listing 1.04A 
specifies a level of severity that is only met when all of the medical 
criteria listed in paragraph A are simultaneously present: (1) Neuro-
anatomic distribution of pain, (2) limitation of motion of the spine, 
(3) motor loss (atrophy with associated muscle weakness or muscle 
weakness) accompanied by sensory or reflex loss, and, (4) if there is 
involvement of the lower back, positive straight-leg raising test 
(sitting and supine). Listing 1.04A uses the conjunction ``and'' when 
enumerating the medical criteria in order to establish that the entire 
set of criteria must be present at the same time on examination. When 
this set of criteria is present on examination, the individual has the 
clinical presentation we expect from a person who suffers from nerve 
root compression that is so severe that it would preclude any gainful 
activity. 20 CFR 404.1525(a), 416.925(a).
    On the other hand, when the listing criteria are scattered over 
time, wax and wane, or are present on one examination but absent on 
another, the individual's nerve root compression would not rise to the 
level of severity required by listing 1.04A. An individual who shows 
only some of the criteria on examination presents a different, less 
severe clinical picture than someone with the full set of criteria 
present simultaneously. To meet the severity required by the listing, 
our policy requires the simultaneous presence of all of the medical 
criteria in listing 1.04A.
    In addition to meeting the severity requirement, in order to meet 
the duration requirement, the simultaneous presence of all of the 
medical criteria in paragraph A must continue, or be expected to 
continue, for a continuous period of at least 12 months. 20 CFR 
404.1525(c)(4), 416.925(c)(4). The ``duration'' requirement follows 
from two provisions in the Social Security Act. First, sections 
223(d)(1)(A) and 1614(a)(3)(A) of the Act define ``disability'' as an 
inability ``to engage in any substantial gainful activity by reason of 
any medically determinable physical or mental impairment which can be 
expected to result in death or which has lasted or can be expected to 
last for a continuous period of not less than 12 months.'' Second, 
sections 223(d)(2)(A) and 1614(a)(3)(B) of the Act state that ``[a]n 
individual shall be determined to be under a disability only if his 
physical or mental impairment or impairments are of such severity that 
he is not only unable to do his previous work but cannot, considering 
his age, education, and work experience, engage in any other kind of 
substantial gainful work which exists in the national economy. . . .'' 
Thus, an impairment that lasts or is expected to last 12 months is not 
sufficient to establish disability. The impairment must also be severe 
enough to prevent the claimant from engaging in substantial gainful 
work. As the Supreme Court of the United States explained in Barnhart 
v. Walton, 535 U.S. 212, 218 (2002): ``In other words, the statute, in 
the two provisions, specifies that the `impairment' must last 12 months 
and also be severe enough to prevent the claimant from engaging in any 
`substantial gainful work.' ''
    Accordingly, our policy requires that for a disorder of the spine 
to meet listing 1.04A at step three in the sequential evaluation 
process, the claimant must establish the simultaneous presence of all 
the medical criteria in paragraph A. Once this level of severity is 
established, the claimant must also show that this level of severity 
continued, or is expected to continue, for a continuous period of at 
least 12 months.
    The court of appeals' decision differs from our policy because it 
held that listing 1.04A required a claimant to show only ``that each of 
the symptoms are present, and that the claimant has suffered or can be 
expected to suffer from nerve root compression continuously for at 
least 12 months.'' 734 F.3d at 294. Contrary to our policy that the 
requisite level of severity requires the simultaneous presence of all 
the medical criteria in paragraph A, the court of appeals held that a 
claimant need not show that each criterion was present simultaneously 
or in particularly close proximity. Accordingly, this holding is 
inconsistent with our interpretation of listing 1.04A and of the 
severity and durational requirements at step three of the sequential 
evaluation process.
    EXPLANATION OF HOW WE WILL APPLY RADFORD WITHIN THE CIRCUIT: This 
Ruling applies only to claims in which the claimant resides in 
Maryland, North Carolina, South Carolina, Virginia, or West Virginia at 
the time of the determination or decision at any level of 
administrative review.
    In these States, in deciding whether a claimant's severe medically 
determinable disorder of the spine meets listing 1.04A, adjudicators 
will not require that all of the medical criteria in paragraph A appear 
simultaneously or in particularly close proximity. Rather, adjudicators 
will engage in what the court of appeals described as ``a more free-
form, contextual inquiry that makes 12 months the relevant metric for 
the assessment of the claimant's duration of disability.''
    Adjudicators will decide whether the evidence shows that all of the 
medical criteria in paragraph A are present within a continuous 12-
month period (or, if there is less than 12 months of evidence in the 
record, that all the medical criteria are present and are expected to 
continue to be present). If all of the medical criteria are not present 
within a continuous 12-month period, adjudicators will determine that 
the disorder of the spine did not meet the listing.
    If all of the medical criteria in paragraph A are present within a 
continuous 12-month period (or are expected to be present), 
adjudicators will then determine whether the evidence shows--as a 
whole--that the claimant's disorder of the spine caused, or is expected 
to cause, nerve root compression continuously for at least 12 months. 
In considering the severity of the nerve root compression, the medical 
criteria in paragraph A need not all be present simultaneously, nor in 
particularly close proximity. The nerve root compression must be severe 
enough, however, that the adjudicator can fairly conclude that it is 
still characterized by all of the medical criteria in paragraph A.

[FR Doc. 2015-24204 Filed 9-22-15; 8:45 am]
 BILLING CODE 4191-02-P



                                                  57418                    Federal Register / Vol. 80, No. 184 / Wednesday, September 23, 2015 / Notices

                                                  Sessions when an updated Intraday                          (12) A minimum of 100,000 Shares                    SOCIAL SECURITY ADMINISTRATION
                                                  Indicative Value will not be calculated                  will be outstanding at the
                                                                                                                                                                 [Docket No. SSA–2014–0080]
                                                  or publicly disseminated; (v) the                        commencement of trading on the
                                                  requirement that members purchasing                      Exchange.                                             Social Security Acquiescence Ruling
                                                  Shares from the Fund for resale to                                                                             (AR) 15–1(4), Radford v. Colvin:
                                                  investors deliver a prospectus to                        This approval order is based on all of
                                                                                                           the Exchange’s representations,                       Standard for Meeting the Listing for
                                                  investors purchasing newly issued                                                                              Disorders of the Spine With Evidence
                                                  Shares prior to or concurrently with the                 including those set forth above and in
                                                                                                           the Notice, and the Exchange’s                        of Nerve Root Compression
                                                  confirmation of a transaction; and (vi)
                                                  trading information. In addition, the                    description of the Fund.                              AGENCY: Social Security Administration.
                                                  Information Circular will advise                           For the foregoing reasons, the                      ACTION:Notice of Social Security
                                                  members, prior to the commencement of                    Commission finds that the proposed                    Acquiescence Ruling (AR).
                                                  trading, of the prospectus delivery                      rule change is consistent with Section
                                                  requirements applicable to the Fund.                                                                           SUMMARY:   This Social Security AR
                                                                                                           6(b)(5) of the Act 24 and the rules and               explains how we will apply a holding
                                                  Members purchasing Shares from the                       regulations thereunder applicable to a
                                                  Fund for resale to investors will deliver                                                                      in a decision of the United States Court
                                                                                                           national securities exchange.                         of Appeals for the Fourth Circuit that
                                                  a prospectus to those investors. The
                                                  Information Circular will also discuss                   IV. Conclusion                                        we determined conflicts with our
                                                  any exemptive, no-action, or                                                                                   interpretation of the section in the
                                                  interpretive relief granted by the                          It is therefore ordered, pursuant to               Listing of Impairments (the Listings)
                                                  Commission from any rules under the                      Section 19(b)(2) of the Exchange Act,25               that addresses disorders of the spine
                                                  Exchange Act; will reference that the                    that the proposed rule change (SR–                    with evidence of nerve root
                                                  Fund is subject to various fees and                      NASDAQ–2015–085), be, and it hereby                   compression.
                                                  expenses; and will disclose the trading                  is, approved.                                         DATES: Effective: September 23, 2015.
                                                  hours of the Shares of the Fund and the                    For the Commission, by the Division of              FOR FURTHER INFORMATION CONTACT:
                                                  applicable NAV calculation time for the                  Trading and Markets, pursuant to delegated            Gabriel Deadwyler, Office of the General
                                                  Shares.                                                  authority.26                                          Counsel, Office of Program Law, Social
                                                     (6) For initial and continued listing,                Brent J. Fields,                                      Security Administration, 6401 Security
                                                  the Fund will be in compliance with                                                                            Boulevard, Baltimore, MD 21235–6401,
                                                                                                           Secretary.
                                                  Rule 10A–3 23 under the Exchange Act.                                                                          (410) 965–8775, or TTY 410–966–5609,
                                                                                                           [FR Doc. 2015–24060 Filed 9–22–15; 8:45 am]
                                                     (7) The Fund may not concentrate its                                                                        for information about this notice. For
                                                  investments (i.e., invest more than 25%                  BILLING CODE 8011–01–P                                information on eligibility or filing for
                                                  of the value of its net assets) in                                                                             benefits, call our national toll-free
                                                  securities of issuers in any one industry                                                                      number, 1–800–772–1213 or TTY 1–
                                                  or group of industries. This restriction                                                                       800–325–0778, or visit our Internet site,
                                                  will not apply to obligations issued or                  SMALL BUSINESS ADMINISTRATION                         Social Security Online, at http://
                                                  guaranteed by the U.S. government or                                                                           www.socialsecurity.gov.
                                                  its agencies or instrumentalities.                       Revocation of License of Small
                                                                                                           Business Investment Company                           SUPPLEMENTARY INFORMATION: We are
                                                     (8) The Fund may hold up to an                                                                              publishing this Social Security AR in
                                                  aggregate amount of 15% of its net                                                                             accordance with 20 CFR 402.35(b)(2),
                                                                                                             Pursuant to the authority granted to
                                                  assets in illiquid securities or other                                                                         404.985(a), (b), and 416.1485(a), (b) to
                                                  illiquid assets (calculated at the time of               the United States Small Business
                                                                                                           Administration by the Final Order of the              explain how we will apply a holding in
                                                  investment), including Rule 144A                                                                               Radford v. Colvin, 734 F.3d 288 (4th Cir.
                                                  securities. The Fund will not use futures                United States District Court for the
                                                                                                           Southern District of New York, entered                2013), regarding the standard for
                                                  for speculative purposes, nor will the                                                                         meeting section 1.04A of the Listings,
                                                  Fund invest in OTC equities or enter                     February 2, 2015, the United States
                                                                                                                                                                 which addresses disorders of the spine
                                                  into futures contracts that are not traded               Small Business Administration hereby
                                                                                                                                                                 with evidence of nerve root
                                                  on a U.S. exchange.                                      revokes the license of WAV, L.P., a
                                                                                                                                                                 compression.
                                                     (9) The Fund’s investments will be                    Delaware Limited Partnership, to                         An AR explains how we will apply a
                                                  consistent with the Fund’s investment                    function as a small business investment               holding in a decision of a United States
                                                  objective.                                               company under the Small Business                      Court of Appeals that we determine
                                                     (10) The Fund may utilize                             Investment Company License No.                        conflicts with our interpretation of a
                                                  instruments or investment techniques                     02720569 issued to WAV, L.P., on                      provision of the Social Security Act
                                                  that have a leveraging effect on the                     November 1, 1996, and said license is                 (Act) or regulations when the
                                                  Fund. Any instance of effective leverage                 hereby declared null and void as of                   Government has decided not to seek
                                                  will be covered in accordance with                       February 2, 2015.                                     further review of that decision or is
                                                  guidance promulgated by the                              United States Small Business                          unsuccessful on further review.
                                                  Commission and its staff.                                Administration.                                          We will apply the holding of the court
                                                     (11) The Fund does not presently                                                                            of appeals’ decision as explained in this
                                                                                                             Dated: September 17, 2015.
                                                  intend to engage in any form of                                                                                AR to claims at all levels of
                                                  borrowing for investment purposes, and                   Javier E. Saade,
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                                                                                                                                 administrative review within the Fourth
                                                  it will not be operated as a ‘‘leveraged                 Associate Administrator for Investment.               Circuit. We will apply this AR to all
                                                  ETF’’—i.e., it will not be operated in a                 [FR Doc. 2015–24112 Filed 9–22–15; 8:45 am]           determinations or decisions made on or
                                                  manner designed to seek a multiple of                    BILLING CODE 8025–01–P                                after September 23, 2015. If we made a
                                                  the performance of an underlying                                                                               determination or decision on an
                                                  reference index.                                           24 15 U.S.C. 78f(b)(5).                             application for benefits between October
                                                                                                             25 15 U.S.C. 78s(b)(2).                             29, 2013, the date of the court of
                                                    23 See   17 CFR 240.10A–3.                               26 17 CFR 200.30–3(a)(12).                          appeals’ decision, and September 23,


                                             VerDate Sep<11>2014    18:00 Sep 22, 2015   Jkt 235001   PO 00000   Frm 00087   Fmt 4703   Sfmt 4703   E:\FR\FM\23SEN1.SGM   23SEN1


                                                                          Federal Register / Vol. 80, No. 184 / Wednesday, September 23, 2015 / Notices                                            57419

                                                  2015, the effective date of this AR, the                1614(a)(3)(A); 1614(a)(3)(B);                         Circuit. The court of appeals held that
                                                  claimant may request that we apply the                  1614(a)(3)(H)(i) of the Social Security               the district court did not err in
                                                  AR to the prior determination or                        Act (42 U.S.C. 423(d)(1)(A);                          interpreting listing 1.04A, but it vacated
                                                  decision. The claimant must show,                       423(d)(2)(A); 423(d)(5)(A);                           the district court’s judgment because the
                                                  pursuant to 20 CFR 404.985(b)(2) or                     1382c(a)(3)(A); 1382c(a)(3)(B);                       decision to direct an award of benefits
                                                  416.1485(b)(2), that applying the AR                    1382c(a)(3)(H)(i)); 20 CFR 404.1509,                  was an abuse of discretion. The court
                                                  could change our prior determination or                 404.1520(a)(4)(iii), 404.1520(d),                     found that the text of listing 1.04A
                                                  decision in his or her case.                            404.1525, 416.909, 416.920(a)(4)(iii),                required evidence of nerve root
                                                    When we received this precedential                    416.920(d); 416.925; 20 CFR part 404,                 compression ‘‘characterized by’’ the
                                                  court of appeals’ decision and                          subpart P, Appendix 1, 1.04A.                         listed medical criteria and that the use
                                                  determined that an AR might be                             CIRCUIT: Fourth (Maryland, North                   of the word ‘‘and’’ to connect them
                                                  required, we began to identify those                    Carolina, South Carolina, Virginia, and               meant that they all must be present in
                                                  claims that were pending before the                     West Virginia).                                       the claimant. The court stated that the
                                                  agency within the circuit that might be                    APPLICABILITY OF RULING: This                      text of the regulation did not specify
                                                  subject to readjudication if we                         ruling applies to determinations or                   when the medical criteria must be
                                                  subsequently issued an AR. Because we                   decisions made in the Fourth Circuit at               present and did not say that they must
                                                  have determined that an AR is required                  all levels of administrative review.                  be present at the same time or that they
                                                  and are publishing this AR, we will                        DESCRIPTION OF CASE: Jimmy                         must be present within a certain
                                                  send a notice to those individuals                      Radford injured his back at work in                   proximity of one another. Thus, the
                                                  whose claims we have identified. In the                 December 2002 and underwent                           court held that the regulatory structure
                                                  notice, we will provide information                     decompression and fusion surgery in                   did not require the simultaneous
                                                  about the AR and the right to request                   August 2007. The administrative record                presence of all of the listed criteria over
                                                  readjudication under the AR. However,                   included reports of examinations by                   a 12-month period. Rather, the listing
                                                  a claimant does not need to receive a                   various physicians and other medical                  required a ‘‘more free-form, contextual
                                                  notice in order to request that we apply                sources. These reports over a five-year               inquiry that makes 12 months the
                                                  this AR to our prior determination or                   period showed the presence of all the
                                                                                                                                                                relevant metric for assessment of the
                                                  decision on his or her claim, as                        medical criteria listed in listing 1.04A
                                                                                                                                                                claimant’s duration of disability.’’ 734
                                                  provided in 20 CFR 404.985(b)(2) and                    (20 CFR part 404, subpart P, Appendix
                                                                                                                                                                F.3d at 293. Accordingly, the court of
                                                  416.1485(b)(2).                                         1, 1.04A), but did not show them
                                                                                                                                                                appeals held that ‘‘Listing 1.04A
                                                    If we later rescind this AR as obsolete,              simultaneously for a 12-month period.
                                                                                                                                                                requires a claimant to show only . . .
                                                  we will publish a notice in the Federal                 Mr. Radford applied for disability
                                                                                                                                                                that each of the symptoms are present,
                                                  Register to that effect, as provided in 20              insurance benefits in June 2007. After a
                                                                                                                                                                and that the claimant has suffered or
                                                  CFR 404.985(e) and 416.1485(e). If we                   hearing, an administrative law judge
                                                                                                                                                                can be expected to suffer from nerve
                                                  decide to relitigate the issue covered by               (ALJ) found that Mr. Radford’s
                                                                                                                                                                root compression continuously for at
                                                  this AR, as provided by 20 CFR                          impairments did not meet or medically
                                                                                                          equal any listed impairment, including                least 12 months.’’ Id. at 294. The court
                                                  404.985(c)and 416.1485(c), we will                                                                            further held that a ‘‘claimant need not
                                                  publish a notice in the Federal Register                listing 1.04. The ALJ noted that the State
                                                                                                          agency physicians who evaluated Mr.                   show that each symptom was present at
                                                  stating that we will apply our                                                                                precisely the same time—i.e.,
                                                  interpretation of the Act or regulations                Radford’s claim initially and on
                                                                                                          reconsideration had also concluded that               simultaneously—in order to establish
                                                  involved and explaining why we have                                                                           the chronic nature of his condition. Nor
                                                  decided to relitigate the issue.                        Mr. Radford’s impairments did not meet
                                                                                                          or equal the requirements of a listing.               need a claimant show that the
                                                  (Catalog of Federal Domestic Assistance,                The ALJ found that Mr. Radford was not                symptoms were present in the claimant
                                                  Program Nos. 96.001 Social Security—
                                                                                                          disabled at the fifth step of our                     in particularly close proximity.’’ Id.
                                                  Disability Insurance; 96.002 Social                                                                              Although the court of appeals held
                                                  Security—Retirement Insurance; 96.004                   sequential evaluation process at any
                                                                                                          time from his alleged onset date in                   that the Commissioner’s interpretation
                                                  Social Security—Survivors Insurance)
                                                                                                          December 2002 through his date last                   of listing 1.04A was not correct, the
                                                    Dated: April 9, 2015.                                                                                       court nevertheless vacated the district
                                                                                                          insured of December 31, 2007.
                                                  Carolyn W. Colvin,                                         Mr. Radford sought judicial review in              court’s judgment because the court
                                                  Acting Commissioner of Social Security.                 the United States District Court for the              should have remanded the case with
                                                  ACQUIESCENCE RULING 15–1(4)                             Eastern District of North Carolina. The               instructions for the ALJ to clarify why
                                                                                                          district court found that listing 1.04A               Mr. Radford’s impairment did not
                                                  Radford v. Colvin, 734 F.3d 288 (4th Cir.               required only that his spinal stenosis be             satisfy listing 1.04A.
                                                  2013): Standard for Meeting Section                     ‘‘characterized by’’ certain clinical signs              STATEMENT AS TO HOW
                                                  1.04A of the Listing of Impairments—                    and symptoms and held that the listing                RADFORD DIFFERS FROM THE
                                                  Disorders of the Spine with Evidence of                 did not require that all of the clinical              AGENCY’S POLICY: At step three of the
                                                  Nerve Root Compression—Titles II and                    signs or symptoms be documented as                    sequential evaluation process, we will
                                                  XVI of the Social Security Act.                         present simultaneously. The district                  find a claimant disabled if the claimant
                                                    ISSUE: Must all of the medical criteria               court found that Mr. Radford had shown                has an impairment that meets or equals
                                                  in section 1.04A of the Listing of                      evidence of each of the required criteria             one of the listed impairments and meets
                                                  Impairments be simultaneously present                   and that the ALJ did not correctly apply              the duration requirement. 20 CFR
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                                                  on examination and continue, or be                      the regulations. The district court                   404.1520(a)(4)(iii), 404.1525(c)(3),
                                                  expected to continue, to be                             further held that the evidence                        416.920(a)(4)(iii), 416.925(c)(3). Thus, in
                                                  simultaneously present for at least 12                  compelled the conclusion that Mr.                     considering whether an impairment
                                                  months for a disorder of the spine to                   Radford’s impairment met listing 1.04A                meets or equals a listed impairment, we
                                                  meet the listing?                                       and ordered an award of benefits.                     consider both the severity of the
                                                    STATUTE/REGULATION/RULING                                The Commissioner appealed the                      impairment, in light of the set of
                                                  CITATION: Sections 205(b),                              district court’s decision to the United               medical criteria in the listing, and the
                                                  223(d)(1)(A); 223(d)(2)(A); 223(d)(5)(A);               States Court of Appeals for the Fourth                duration requirement.


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                                                  57420                   Federal Register / Vol. 80, No. 184 / Wednesday, September 23, 2015 / Notices

                                                     Claimants found disabled under the                   if his physical or mental impairment or               criteria in paragraph A appear
                                                  listings at step three of the sequential                impairments are of such severity that he              simultaneously or in particularly close
                                                  evaluation process have impairments                     is not only unable to do his previous                 proximity. Rather, adjudicators will
                                                  that we consider severe enough to                       work but cannot, considering his age,                 engage in what the court of appeals
                                                  prevent any gainful activity, regardless                education, and work experience, engage                described as ‘‘a more free-form,
                                                  of the claimant’s age, education, or work               in any other kind of substantial gainful              contextual inquiry that makes 12
                                                  experience. Our policy is that listing                  work which exists in the national                     months the relevant metric for the
                                                  1.04A specifies a level of severity that                economy. . . .’’ Thus, an impairment                  assessment of the claimant’s duration of
                                                  is only met when all of the medical                     that lasts or is expected to last 12                  disability.’’
                                                  criteria listed in paragraph A are                      months is not sufficient to establish                    Adjudicators will decide whether the
                                                  simultaneously present: (1) Neuro-                      disability. The impairment must also be               evidence shows that all of the medical
                                                  anatomic distribution of pain, (2)                      severe enough to prevent the claimant                 criteria in paragraph A are present
                                                  limitation of motion of the spine, (3)                  from engaging in substantial gainful                  within a continuous 12-month period
                                                  motor loss (atrophy with associated                     work. As the Supreme Court of the                     (or, if there is less than 12 months of
                                                  muscle weakness or muscle weakness)                     United States explained in Barnhart v.                evidence in the record, that all the
                                                  accompanied by sensory or reflex loss,                  Walton, 535 U.S. 212, 218 (2002): ‘‘In                medical criteria are present and are
                                                  and, (4) if there is involvement of the                 other words, the statute, in the two                  expected to continue to be present). If
                                                  lower back, positive straight-leg raising               provisions, specifies that the                        all of the medical criteria are not present
                                                  test (sitting and supine). Listing 1.04A                ‘impairment’ must last 12 months and                  within a continuous 12-month period,
                                                  uses the conjunction ‘‘and’’ when                       also be severe enough to prevent the                  adjudicators will determine that the
                                                  enumerating the medical criteria in                     claimant from engaging in any                         disorder of the spine did not meet the
                                                  order to establish that the entire set of               ‘substantial gainful work.’ ’’                        listing.
                                                  criteria must be present at the same time                  Accordingly, our policy requires that                 If all of the medical criteria in
                                                  on examination. When this set of                        for a disorder of the spine to meet listing           paragraph A are present within a
                                                  criteria is present on examination, the                 1.04A at step three in the sequential                 continuous 12-month period (or are
                                                  individual has the clinical presentation                evaluation process, the claimant must                 expected to be present), adjudicators
                                                  we expect from a person who suffers                     establish the simultaneous presence of                will then determine whether the
                                                  from nerve root compression that is so                  all the medical criteria in paragraph A.              evidence shows—as a whole—that the
                                                  severe that it would preclude any                       Once this level of severity is                        claimant’s disorder of the spine caused,
                                                  gainful activity. 20 CFR 404.1525(a),                   established, the claimant must also                   or is expected to cause, nerve root
                                                  416.925(a).                                             show that this level of severity                      compression continuously for at least 12
                                                     On the other hand, when the listing                  continued, or is expected to continue,                months. In considering the severity of
                                                  criteria are scattered over time, wax and               for a continuous period of at least 12                the nerve root compression, the medical
                                                  wane, or are present on one examination                 months.                                               criteria in paragraph A need not all be
                                                  but absent on another, the individual’s                    The court of appeals’ decision differs
                                                                                                                                                                present simultaneously, nor in
                                                  nerve root compression would not rise                   from our policy because it held that
                                                                                                                                                                particularly close proximity. The nerve
                                                  to the level of severity required by                    listing 1.04A required a claimant to
                                                                                                                                                                root compression must be severe
                                                  listing 1.04A. An individual who shows                  show only ‘‘that each of the symptoms
                                                                                                                                                                enough, however, that the adjudicator
                                                  only some of the criteria on examination                are present, and that the claimant has
                                                                                                                                                                can fairly conclude that it is still
                                                  presents a different, less severe clinical              suffered or can be expected to suffer
                                                                                                                                                                characterized by all of the medical
                                                  picture than someone with the full set                  from nerve root compression
                                                                                                                                                                criteria in paragraph A.
                                                  of criteria present simultaneously. To                  continuously for at least 12 months.’’
                                                  meet the severity required by the listing,              734 F.3d at 294. Contrary to our policy               [FR Doc. 2015–24204 Filed 9–22–15; 8:45 am]
                                                  our policy requires the simultaneous                    that the requisite level of severity                  BILLING CODE 4191–02–P
                                                  presence of all of the medical criteria in              requires the simultaneous presence of
                                                  listing 1.04A.                                          all the medical criteria in paragraph A,
                                                     In addition to meeting the severity                  the court of appeals held that a claimant
                                                                                                                                                                DEPARTMENT OF STATE
                                                  requirement, in order to meet the                       need not show that each criterion was
                                                  duration requirement, the simultaneous                  present simultaneously or in                          [Public Notice: 9281]
                                                  presence of all of the medical criteria in              particularly close proximity.
                                                  paragraph A must continue, or be                        Accordingly, this holding is                          Defense Trade Advisory Group; Notice
                                                  expected to continue, for a continuous                  inconsistent with our interpretation of               of Open Meeting
                                                  period of at least 12 months. 20 CFR                    listing 1.04A and of the severity and
                                                  404.1525(c)(4), 416.925(c)(4). The                      durational requirements at step three of              SUMMARY:   The Defense Trade Advisory
                                                  ‘‘duration’’ requirement follows from                   the sequential evaluation process.                    Group (DTAG) will meet in open
                                                  two provisions in the Social Security                      EXPLANATION OF HOW WE WILL                         session from 1 p.m. until 5 p.m. on
                                                  Act. First, sections 223(d)(1)(A) and                   APPLY RADFORD WITHIN THE                              Thursday, October 29, 2015 at 1777 F
                                                  1614(a)(3)(A) of the Act define                         CIRCUIT: This Ruling applies only to                  Street, NW., Washington, DC Entry and
                                                  ‘‘disability’’ as an inability ‘‘to engage in           claims in which the claimant resides in               registration will begin at 12:30 p.m. The
                                                  any substantial gainful activity by                     Maryland, North Carolina, South                       membership of this advisory committee
                                                  reason of any medically determinable                    Carolina, Virginia, or West Virginia at               consists of private sector defense trade
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                                                  physical or mental impairment which                     the time of the determination or                      representatives, appointed by the
                                                  can be expected to result in death or                   decision at any level of administrative               Assistant Secretary of State for Political-
                                                  which has lasted or can be expected to                  review.                                               Military Affairs, who advise the
                                                  last for a continuous period of not less                   In these States, in deciding whether a             Department on policies, regulations, and
                                                  than 12 months.’’ Second, sections                      claimant’s severe medically                           technical issues affecting defense trade.
                                                  223(d)(2)(A) and 1614(a)(3)(B) of the Act               determinable disorder of the spine                    The purpose of the meeting will be to
                                                  state that ‘‘[a]n individual shall be                   meets listing 1.04A, adjudicators will                discuss current defense trade issues and
                                                  determined to be under a disability only                not require that all of the medical                   topics for further study.


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Document Created: 2015-12-15 09:45:05
Document Modified: 2015-12-15 09:45:05
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice of Social Security Acquiescence Ruling (AR).
DatesEffective: September 23, 2015.
ContactGabriel Deadwyler, Office of the General Counsel, Office of Program Law, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235-6401, (410) 965-8775, or TTY 410-966-5609, for information about this notice. For information on eligibility or filing for benefits, call our national toll-free number, 1-800-772-1213 or TTY 1-800-325-0778, or visit our Internet site, Social Security Online, at http://www.socialsecurity.gov.
FR Citation80 FR 57418 

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