81_FR_78974 81 FR 78757 - Providing Evidence of Disability

81 FR 78757 - Providing Evidence of Disability

RAILROAD RETIREMENT BOARD

Federal Register Volume 81, Issue 217 (November 9, 2016)

Page Range78757-78759
FR Document2016-27060

We propose to amend our regulations regarding the submission of evidence in disability claims to require you to inform us or submit all evidence known to you that ``relates to'' your disability claims with exceptions for privileged communications and duplicates. This requirement would include the duty to submit all evidence obtained from any source in its entirety, subject to one of these exceptions. These modifications to our regulations would better describe your duty to submit all evidence that relates to your disability claim and will enable us to have a more complete case record which will allow us to make more accurate determinations of your disability status.

Federal Register, Volume 81 Issue 217 (Wednesday, November 9, 2016)
[Federal Register Volume 81, Number 217 (Wednesday, November 9, 2016)]
[Proposed Rules]
[Pages 78757-78759]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-27060]


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RAILROAD RETIREMENT BOARD

20 CFR Part 220

RIN 3220-AB68


Providing Evidence of Disability

AGENCY: Railroad Retirement Board.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to amend our regulations regarding the submission 
of evidence in disability claims to require you to inform us or submit 
all evidence known to you that ``relates to'' your disability claims 
with exceptions for privileged communications and duplicates. This 
requirement would include the duty to submit all evidence obtained from 
any source in its entirety, subject to one of these exceptions. These 
modifications to our regulations would better describe your duty to 
submit all evidence that relates to your disability claim and will 
enable us to have a more complete case record which will allow us to 
make more accurate determinations of your disability status.

DATES: Submit comments on or before January 9, 2017.

ADDRESSES: You may submit comments, identified by [3220-AB68], by any 
of the following three methods--Internet, fax, or mail. Do not submit 
the same comments multiple times or by more than one method. Regardless 
of which method you choose, please state that your comments refer to 
RIN number 3220-AB68.
    Caution: You should be careful to include in your comments only 
information that you wish to make publicly available as comments are 
posted without change, with any personal information provided. We

[[Page 78758]]

strongly urge you not to include in your comments any personal 
information, such as Social Security numbers or medical information.
    1. Internet: Email comments to the Secretary to the Board at 
[email protected].
    2. Fax: Fax comments to (312) 751-7102.
    3. Mail: Address your comments to the Secretary to the Board, 
Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-
2092.
    Comments are available for public viewing on the Federal 
eRulemaking portal at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Marguerite P. Dadabo, Assistant 
General Counsel, Railroad Retirement Board, 844 North Rush Street, 
Chicago, IL 60611-2092, (312) 751-4945, TTD (312) 751-4701.

SUPPLEMENTARY INFORMATION: 

Background

    The Railroad Retirement Act (Act) gives the Railroad Retirement 
three member Board (Board) the authority to issue regulations governing 
the production of evidence used to adjudicate both occupational 
disability and total and permanent disability claims under the Act.\1\
---------------------------------------------------------------------------

    \1\ See 45 U.S.C. 231a(a)(2) and (3).
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    There has been recent interest by members of Congress in ensuring 
that Railroad Retirement disability benefits are reserved for only 
those who are truly disabled under either the standards of the 
occupational disability or total and permanent disability programs.\2\ 
Additionally, the Social Security Administration (SSA) has recently 
published new regulations requiring the comprehensive submission of all 
evidence known to the claimant that `relates to' the claimant's 
disability claims with exceptions for privileged communications and 
duplicates. Previously, Social Security disability claimants were 
required to submit evidence that was `material' to the disability 
determination. The effect of the SSA's new regulations is to require 
that claimants submit evidence that is both favorable and unfavorable 
to their claims.\3\
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    \2\ See, e.g., Is the Railroad Retirement Board Doing Enough to 
Protect Against Fraud? Hearing Before the H. Comm. on Oversight and 
Government Reform: Subcommittee on Government Operations, 114th 
Cong. (2015), https://www.congress.gov/congressional-record/2015/5/1/daily-digest.
    \3\ Submission of Evidence in Disability Claims, 80 FR 14828, 
March 20, 2015.
---------------------------------------------------------------------------

    The analogy between total and permanent disability under the 
Railroad Retirement Act and the Social Security Act (SS Act) is well-
established. See, e.g. Webb v. Railroad Retirement Board, 358 F. 2d 451 
(6th Cir. 1966); Peppers v. Railroad Retirement Board, 728 F. 2d 404 
(7th Cir. 1984); Goodwin v. Railroad Retirement Board, 546 F. 2d 1169 
(5th Cir. 1977).
    Additionally, the Railroad Retirement Board's (RRB) occupational 
disability program incorporates the records requirements of the total 
and permanent disability program.\4\ The SSA's regulations specify a 
broader scope for claimants when providing records in support of his or 
her disability claim than the RRB's current regulations. Revising the 
RRB's regulations would allow the RRB to similarly obtain more complete 
case records and adjudicate disability claims more precisely.
---------------------------------------------------------------------------

    \4\ See 20 CFR 222.12.
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Proposed Changes

Providing Evidence of Disability

    We propose to revise Sec.  220.45(a) to require you to inform the 
Board about or submit all evidence known to you that relates to your 
claimed disability.\5\ The RRB's current regulations require that the 
``[t]he claimant for a disability annuity is responsible for providing 
evidence of the claimed disability and the effect of the disability on 
the ability to do work.'' 20 CFR 220.45(a). Additionally, RRB's 
regulations require that ``[t]he claimant must provide medical evidence 
showing that he or she has an impairment(s) and how severe it is during 
the time the claimant claims to be disabled.'' 20 CFR 220.45(b).
---------------------------------------------------------------------------

    \5\ Under the Act, a claimant will be considered to be 
occupationally disabled if he or she has a current connection to the 
railroad industry and a permanent physical and mental condition such 
as to be disabling for work in his or her regular occupation. 45 
U.S.C. 231a(a)(1)(iv). A claimant will be considered to be totally 
and permanently disabled if his or her permanent physical or mental 
condition is such that he or she is unable to engage in any regular 
employment. 45 U.S.C. 231a(a)(1)(v).
---------------------------------------------------------------------------

    The RRB's regulations further state that the Board may ask the 
claimant to provide evidence about his or her- (1) Age; (2) Education 
and training; (3) Work experience; (4) Daily activities both before and 
after the date the claimant says that he or she became disabled; (5) 
Efforts to work; and (6) Any other evidence showing how the claimant's 
impairment(s) affects his or her ability to work.'' 20 CFR 220.45(b)(1) 
through (6).
    The proposed rule would amend Sec.  220.45(a) by adding ``you must 
inform the Board about or submit all evidence known to you that relates 
to the claimed disability. This duty is ongoing and requires you to 
disclose any additional related evidence about which you become aware. 
This duty applies at each level of the administrative review process, 
including the appeals level, if the evidence relates to the period on 
or before the date of the hearings officer's decision.''
    The proposed rule would also amend Sec.  220.45(b) by expanding the 
explanation of the kinds of evidence to be submitted and excluding 
certain information protected by attorney-client privilege or by the 
attorney work product doctrine.

Clarity of This Proposed Rule

    Executive Order 12866, as supplemented by Executive Order 13563, 
requires each agency to write all rules in plain language. In addition 
to your substantive comments on this proposed rule, we invite your 
comments on how to make it easier to understand.
    For example:
     Are the requirements for the rule clearly stated?
     Have we organized the material to meet your needs?
     What else could we do to make the rule easier to 
understand?
     Does the rule contain technical language or jargon that is 
not clear?
     Would a different format make the rule easier to 
understand?

When will we start to use this rule?

    We will not use this proposed rule until we evaluate public 
comments and publish a final rule in the Federal Register. All final 
rules we issue include an effective date. We will continue to use our 
current rules until that date. If we publish a final rule, we will 
include a summary of relevant comments we received, if any, and 
responses to them. We will also include an explanation of how we will 
apply the new rule.

Regulatory Procedures

Executive Order 12866, as Supplemented by Executive Order 13563

    The Board, with the concurrence of the Office of Management and 
Budget, has determined that this is not a significant regulatory action 
under Executive Order 12866, as supplemented by Executive Order 13563. 
Therefore, no regulatory impact analysis is required.

Regulatory Flexibility Act

    We certify that this proposed rule would not have a significant 
economic impact on a substantial number of small entities because it 
affects individuals only. Therefore, a regulatory flexibility analysis 
is not required under the Regulatory Flexibility Act, as amended.

[[Page 78759]]

Paperwork Reduction Act

    This NPRM imposes no reporting or recordkeeping requirements 
subject to OMB clearance.

List of Subjects in 20 CFR Part 220

    Disability benefits, Railroad retirement.

    The Railroad Retirement Board proposes to amend title 20, chapter 
II, subchapter F, part 220 of the Code of Federal Regulations as 
follows:

PART 220 DETERMINING DISABILITY

0
1. The authority citation for part 220 continues to read as follows:

    Authority: 45 U.S.C. 231a(1); 45 U.S.C. 231f.

0
2. Revise Sec.  220.45 to read as follows:


Sec.  220.45   Providing evidence of disability.

    (a) General. You are responsible for providing all evidence of the 
claimed disability and the effect of the disability on your ability to 
work. You must inform the Board about or submit all evidence known to 
you that relates to the claimed disability. This duty is ongoing and 
requires you to disclose any additional related evidence about which 
you become aware. This duty applies at each level of the administrative 
review process, including the appeals level, if the evidence relates to 
the period on or before the date of the hearings officer's decision. 
The Board will assist you, when necessary, in obtaining the required 
evidence. At its discretion, the Board will arrange for an examination 
by a consultant at the expense of the Board as explained in Sec. Sec.  
220.50 and 220.51.
    (b) Kind of evidence. (1) You must provide medical evidence proving 
that you have an impairment(s) and how severe it is during the time you 
claim to be disabled. The Board will consider only impairment(s) you 
claim to have or about which the Board receives evidence. Before 
deciding your disability status, the Board will develop a complete 
medical history (i.e., evidence from the records of the your medical 
sources) covering at least the preceding 12 months, unless you say that 
your disability began less than 12 months before you filed an 
application. The Board will make every reasonable effort to help you in 
getting medical reports from your own medical sources when you give the 
Board permission to request them. Every reasonable effort means that 
the Board will make an initial request and, after 20 days, one follow-
up request to your medical source to obtain the medical evidence 
necessary to make a determination before the Board evaluates medical 
evidence obtained from another source on a consultative basis. The 
medical source will have 10 days from the follow-up request to reply 
(unless experience indicates that a longer period is advisable in a 
particular case). In order to expedite processing, the Board may order 
a consultative exam from a non-treating source while awaiting receipt 
of medical source evidence. If the Board asks you to do so, you must 
contact the medical sources to help us get the medical reports.
    (2) Exceptions. Notwithstanding paragraph (a) of this section, 
evidence does not include:
    (i) Oral or written communications between you and your 
representative that are subject to the attorney-client privilege, 
unless you voluntarily disclose the communication to us; or
    (ii) Your representative's analysis of your claim, unless he or she 
voluntarily discloses it to us. Your representative's ``analysis of 
your claim,'' means information that is subject to the attorney work 
product doctrine, but it does not include medical evidence, medical 
source opinions, or any other factual matter that we may consider in 
determining whether or not you are entitled to benefits (See paragraph 
(b)(2)(iv) of this section).
    (iii) The provisions of paragraph (b)(2)(i) of this section apply 
to communications between you and your non-attorney representative only 
if the communications would be subject to the attorney-client 
privilege, if your non-attorney representative were an attorney. The 
provisions of paragraph (b)(2)(ii) of this section apply to the 
analysis of your claim by your non-attorney representative only if the 
analysis of your claim would be subject to the attorney work product 
doctrine, if your non-attorney representative were an attorney.
    (iv) The attorney-client privilege generally protects confidential 
communications between an attorney and his or her client that are 
related to providing or obtaining legal advice. The attorney work 
product doctrine generally protects an attorney's analysis, theories, 
mental impressions, and notes. In the context of your disability claim, 
neither the attorney-client privilege nor the attorney work product 
doctrine allows you to withhold factual information, medical source 
opinions, or other medical evidence that we may consider in determining 
whether or not you are entitled to benefits. For example, if you tell 
your representative about the medical sources you have seen, your 
representative cannot refuse to disclose the identity of those medical 
sources to us based on the attorney-client privilege. As another 
example, if your representative asks a medical source to complete an 
opinion form related to your impairment(s), symptoms, or limitations, 
your representative cannot withhold the completed opinion form from us 
based on the attorney work product doctrine. The attorney work product 
doctrine would not protect the source's opinions on the completed form, 
regardless of whether or not your representative used the form in his 
or her analysis of your claim or made handwritten notes on the face of 
the report.
    (c) Your responsibility. You must inform us about or submit all 
evidence known to you that relates to whether or not you are blind or 
disabled. When you submit evidence received from another source, you 
must submit that evidence in its entirety, unless you previously 
submitted the same evidence to us or we instruct you otherwise. The 
Board may also ask you to provide evidence about:
    (1) Your age;
    (2) Your education and training;
    (3) Your work experience;
    (4) Your daily activities both before and after the date you say 
that you became disabled;
    (5) Your efforts to work; and
    (6) Any other evidence showing how your impairment(s) affects your 
ability to work. (In Sec. Sec.  220.125 through 220.134, we discuss in 
more detail the evidence the Board needs when it considers vocational 
factors.)

    Dated: November 3, 2016.

    By Authority of the Board.
Martha P. Rico,
Secretary to the Board.
[FR Doc. 2016-27060 Filed 11-8-16; 8:45 am]
 BILLING CODE P



                                                                       Federal Register / Vol. 81, No. 217 / Wednesday, November 9, 2016 / Proposed Rules                                                   78757

                                                    specifically requested that, where an                   which is of utmost importance to this                   NOPR. As previously indicated, the
                                                    investor directly or indirectly acquires                Commission.4                                            comments submitted raised concerns
                                                    10 percent or more but less than 20                        5. With these concerns in mind, the                  regarding the scope and implementation
                                                    percent of a public utility’s outstanding               Commission provided an alternative                      of the proposal. Having considered
                                                    voting securities and is eligible to file a             proposal in the NOPR. The Commission                    these comments, we are persuaded to
                                                    statement of beneficial ownership with                  first proposed to amend part 33 of its                  not seek to adopt the Affirmation and
                                                    the Securities and Exchange                             regulations to grant a blanket                          blanket authorization that the
                                                    Commission (SEC) on SEC Schedule                        authorization under section 203(a)(2) of                Commission originally proposed.
                                                    13G,3 such investment would not be                      the FPA, as well as a parallel blanket                    9. As a result, we withdraw the NOPR
                                                    deemed to result in a disposition of the                authorization under section 203(a)(1),                  and terminate this rulemaking
                                                    public utility’s jurisdictional facilities              for acquisitions of 10 percent or more,                 proceeding. We also terminate the
                                                    under FPA section 203(a)(1) or to result                but less than 20 percent of the                         proceeding on EPSA’s Petition
                                                    in affiliation with the public utility for              outstanding voting securities of a public               requesting guidance in Docket No.
                                                    purposes of the Commission’s market-                    utility or holding company, where the                   PL09–3–000.
                                                    based rate requirements under FPA                       acquiring company files a statement                       By the Commission.
                                                    section 205.                                            certifying that such securities were not                  Issued: October 28, 2016.
                                                       3. Commission staff held a workshop                  acquired and not held for the purpose
                                                                                                                                                                    Nathaniel J. Davis, Sr.,
                                                    to address the issues raised by EPSA in                 or with the effect of changing or
                                                                                                                                                                    Deputy Secretary.
                                                    its request. Comments were submitted                    influencing the control of the public
                                                                                                            utility and such acquiring company                      [FR Doc. 2016–26540 Filed 11–8–16; 8:45 am]
                                                    in response to the workshop. In the
                                                    course of considering the comments                      complies with certain conditions                        BILLING CODE 6717–01–P

                                                    submitted and the discussions at the                    designed to limit its ability to exercise
                                                    workshop, the Commission determined                     control (Affirmation). Under the
                                                                                                            proposed amendment to part 33, a                        RAILROAD RETIREMENT BOARD
                                                    that the issues may call for more formal
                                                    treatment and issued the NOPR in light                  public utility whose voting securities
                                                                                                            are acquired, directly or indirectly, in                20 CFR Part 220
                                                    of the comments and discussions.
                                                                                                            any such transaction would be exempt                    RIN 3220–AB68
                                                       4. In the NOPR, in connection with
                                                                                                            from the requirements of an ‘‘affiliate’’
                                                    EPSA’s proposal to rely on the filing of
                                                                                                            in part 35. The Commission also                         Providing Evidence of Disability
                                                    SEC Schedule 13G to demonstrate                         proposed to amend subpart H and
                                                    conclusively that an investor will not                  subpart I of part 35 of the Commission’s                AGENCY: Railroad Retirement Board.
                                                    control the public utility in which it has              regulations to define an ‘‘affiliate’’ of a                   Notice of proposed rulemaking
                                                                                                                                                                    ACTION:
                                                    invested, the Commission stated that                    specified company as any person that                    (NPRM).
                                                    while it has relied on these filings, in                controls, is controlled by, or is under
                                                    conjunction with other conditions and                                                                           SUMMARY:   We propose to amend our
                                                                                                            common control with such specified                      regulations regarding the submission of
                                                    reporting requirements in the past for                  company.
                                                    various purposes, it believed the                                                                               evidence in disability claims to require
                                                                                                               6. The Commission received several
                                                    Commission could better fulfill its                                                                             you to inform us or submit all evidence
                                                                                                            comments in response to the proposal in
                                                    statutory responsibilities if it did not                                                                        known to you that ‘‘relates to’’ your
                                                                                                            the NOPR. A number of commenters
                                                    rely exclusively on the Schedule 13G.                                                                           disability claims with exceptions for
                                                                                                            raised concerns about the scope of the
                                                    The Commission stated that the primary                                                                          privileged communications and
                                                                                                            proposal, including the content of the
                                                    regulatory purpose behind the beneficial                                                                        duplicates. This requirement would
                                                                                                            proposed Affirmation and the
                                                    ownership disclosure requirements                                                                               include the duty to submit all evidence
                                                                                                            commitments that the Commission
                                                    under section 13(d) of the 1934 Act is                                                                          obtained from any source in its entirety,
                                                                                                            proposed an acquiring company would
                                                    to provide companies and their                                                                                  subject to one of these exceptions. These
                                                                                                            need to agree to. Commenters also
                                                    shareholders with information about                                                                             modifications to our regulations would
                                                                                                            raised concerns regarding
                                                    large accumulations of a company’s                                                                              better describe your duty to submit all
                                                                                                            implementation of the proposal.
                                                    stock and that the requirements of                                                                              evidence that relates to your disability
                                                    section 13(d) do not bar an investor                    II. Discussion                                          claim and will enable us to have a more
                                                    from acquiring control of a company,                       7. Upon further consideration and                    complete case record which will allow
                                                                                                            after review of the comments received                   us to make more accurate
                                                    Docket No. EL08–87–000 (filed Sept. 2, 2008)            in response to the NOPR, we will                        determinations of your disability status.
                                                    (Petition). The petition was originally docketed in     withdraw the NOPR and terminate this                    DATES: Submit comments on or before
                                                    Docket. No. EL08–87–000 but was subsequently                                                                    January 9, 2017.
                                                    redocketed in Docket No. PL09–3–000. Elec. Power
                                                                                                            proceeding. We also terminate the
                                                    Supply Ass’n, Notice Redocketing Proceeding,            proceeding on EPSA’s Petition                           ADDRESSES: You may submit comments,
                                                    Docket Nos. EL08–87–000 and PL09–3–000 (Nov. 5,         requesting guidance in Docket No.                       identified by [3220–AB68], by any of the
                                                    2008).                                                  PL09–3–000.                                             following three methods—Internet, fax,
                                                      3 Schedule 13G is filed with the SEC pursuant to
                                                                                                               8. As noted above, in the course of                  or mail. Do not submit the same
                                                    section 13(d) of the Securities Exchange Act of
                                                    1934, 15 U.S.C. 78a et seq. (1934 Act), and the         considering the discussions at the                      comments multiple times or by more
                                                    SEC’s rules thereunder, by any person when such         workshop to address the issues raised                   than one method. Regardless of which
                                                    person has acquired beneficial ownership of more        by EPSA in its Petition and the                         method you choose, please state that
jstallworth on DSK7TPTVN1PROD with PROPOSALS




                                                    than five percent but less than 20 percent of the       comments received following the                         your comments refer to RIN number
                                                    outstanding voting equity securities of a company
                                                    that are registered under section 12 of and the 1934    workshop, the Commission determined                     3220–AB68.
                                                    Act and such person certifies that it has not           that the issues may call for more formal                  Caution: You should be careful to
                                                    acquired, and does not hold, such securities for the    treatment and issued the NOPR. We                       include in your comments only
                                                    purpose of or with the effect of changing or            appreciate the feedback that the                        information that you wish to make
                                                    influencing the control of the issuer. Amendments
                                                    to Beneficial Ownership Reporting Requirements,         Commission received in response to the                  publicly available as comments are
                                                    File No. S7–16–96, 1998 SEC LEXIS 63, at * 17 n.                                                                posted without change, with any
                                                    20 (Jan. 12, 1998).                                       4 See   NOPR, FERC Stats. & Regs. ¶ 32,650 at P 35.   personal information provided. We


                                               VerDate Sep<11>2014   14:36 Nov 08, 2016   Jkt 241001   PO 00000   Frm 00026    Fmt 4702   Sfmt 4702   E:\FR\FM\09NOP1.SGM   09NOP1


                                                    78758               Federal Register / Vol. 81, No. 217 / Wednesday, November 9, 2016 / Proposed Rules

                                                    strongly urge you not to include in your                e.g. Webb v. Railroad Retirement Board,                 become aware. This duty applies at each
                                                    comments any personal information,                      358 F. 2d 451 (6th Cir. 1966); Peppers                  level of the administrative review
                                                    such as Social Security numbers or                      v. Railroad Retirement Board, 728 F. 2d                 process, including the appeals level, if
                                                    medical information.                                    404 (7th Cir. 1984); Goodwin v. Railroad                the evidence relates to the period on or
                                                       1. Internet: Email comments to the                   Retirement Board, 546 F. 2d 1169 (5th                   before the date of the hearings officer’s
                                                    Secretary to the Board at                               Cir. 1977).                                             decision.’’
                                                    SecretarytotheBoard@rrb.gov.                               Additionally, the Railroad Retirement                  The proposed rule would also amend
                                                       2. Fax: Fax comments to (312) 751–                   Board’s (RRB) occupational disability                   § 220.45(b) by expanding the
                                                    7102.                                                   program incorporates the records                        explanation of the kinds of evidence to
                                                       3. Mail: Address your comments to                    requirements of the total and permanent                 be submitted and excluding certain
                                                    the Secretary to the Board, Railroad                    disability program.4 The SSA’s                          information protected by attorney-client
                                                    Retirement Board, 844 N. Rush Street,                   regulations specify a broader scope for                 privilege or by the attorney work
                                                    Chicago, Illinois 60611–2092.                           claimants when providing records in                     product doctrine.
                                                       Comments are available for public                    support of his or her disability claim
                                                    viewing on the Federal eRulemaking                                                                              Clarity of This Proposed Rule
                                                                                                            than the RRB’s current regulations.
                                                    portal at http://www.regulations.gov.                   Revising the RRB’s regulations would                      Executive Order 12866, as
                                                    FOR FURTHER INFORMATION CONTACT:                        allow the RRB to similarly obtain more                  supplemented by Executive Order
                                                    Marguerite P. Dadabo, Assistant General                 complete case records and adjudicate                    13563, requires each agency to write all
                                                    Counsel, Railroad Retirement Board,                     disability claims more precisely.                       rules in plain language. In addition to
                                                    844 North Rush Street, Chicago, IL                                                                              your substantive comments on this
                                                    60611–2092, (312) 751–4945, TTD (312)                   Proposed Changes                                        proposed rule, we invite your comments
                                                    751–4701.                                               Providing Evidence of Disability                        on how to make it easier to understand.
                                                    SUPPLEMENTARY INFORMATION:                                                                                        For example:
                                                                                                              We propose to revise § 220.45(a) to                     • Are the requirements for the rule
                                                    Background                                              require you to inform the Board about                   clearly stated?
                                                       The Railroad Retirement Act (Act)
                                                                                                            or submit all evidence known to you                       • Have we organized the material to
                                                                                                            that relates to your claimed disability.5               meet your needs?
                                                    gives the Railroad Retirement three
                                                    member Board (Board) the authority to
                                                                                                            The RRB’s current regulations require                     • What else could we do to make the
                                                                                                            that the ‘‘[t]he claimant for a disability              rule easier to understand?
                                                    issue regulations governing the
                                                                                                            annuity is responsible for providing                      • Does the rule contain technical
                                                    production of evidence used to
                                                                                                            evidence of the claimed disability and                  language or jargon that is not clear?
                                                    adjudicate both occupational disability
                                                                                                            the effect of the disability on the ability               • Would a different format make the
                                                    and total and permanent disability
                                                                                                            to do work.’’ 20 CFR 220.45(a).                         rule easier to understand?
                                                    claims under the Act.1
                                                                                                            Additionally, RRB’s regulations require
                                                       There has been recent interest by                                                                            When will we start to use this rule?
                                                                                                            that ‘‘[t]he claimant must provide
                                                    members of Congress in ensuring that                                                                              We will not use this proposed rule
                                                                                                            medical evidence showing that he or
                                                    Railroad Retirement disability benefits                                                                         until we evaluate public comments and
                                                                                                            she has an impairment(s) and how
                                                    are reserved for only those who are truly                                                                       publish a final rule in the Federal
                                                                                                            severe it is during the time the claimant
                                                    disabled under either the standards of                                                                          Register. All final rules we issue
                                                                                                            claims to be disabled.’’ 20 CFR
                                                    the occupational disability or total and                                                                        include an effective date. We will
                                                                                                            220.45(b).
                                                    permanent disability programs.2                                                                                 continue to use our current rules until
                                                                                                              The RRB’s regulations further state
                                                    Additionally, the Social Security                                                                               that date. If we publish a final rule, we
                                                                                                            that the Board may ask the claimant to
                                                    Administration (SSA) has recently                                                                               will include a summary of relevant
                                                                                                            provide evidence about his or her- (1)
                                                    published new regulations requiring the                                                                         comments we received, if any, and
                                                                                                            Age; (2) Education and training; (3)
                                                    comprehensive submission of all                                                                                 responses to them. We will also include
                                                                                                            Work experience; (4) Daily activities
                                                    evidence known to the claimant that                                                                             an explanation of how we will apply the
                                                                                                            both before and after the date the
                                                    ‘relates to’ the claimant’s disability                                                                          new rule.
                                                                                                            claimant says that he or she became
                                                    claims with exceptions for privileged
                                                                                                            disabled; (5) Efforts to work; and (6)                  Regulatory Procedures
                                                    communications and duplicates.
                                                                                                            Any other evidence showing how the
                                                    Previously, Social Security disability                                                                          Executive Order 12866, as
                                                                                                            claimant’s impairment(s) affects his or
                                                    claimants were required to submit                                                                               Supplemented by Executive Order
                                                                                                            her ability to work.’’ 20 CFR
                                                    evidence that was ‘material’ to the                                                                             13563
                                                                                                            220.45(b)(1) through (6).
                                                    disability determination. The effect of                   The proposed rule would amend
                                                    the SSA’s new regulations is to require                                                                           The Board, with the concurrence of
                                                                                                            § 220.45(a) by adding ‘‘you must inform                 the Office of Management and Budget,
                                                    that claimants submit evidence that is                  the Board about or submit all evidence
                                                    both favorable and unfavorable to their                                                                         has determined that this is not a
                                                                                                            known to you that relates to the claimed                significant regulatory action under
                                                    claims.3                                                disability. This duty is ongoing and
                                                       The analogy between total and                                                                                Executive Order 12866, as
                                                                                                            requires you to disclose any additional                 supplemented by Executive Order
                                                    permanent disability under the Railroad
                                                                                                            related evidence about which you                        13563. Therefore, no regulatory impact
                                                    Retirement Act and the Social Security
                                                    Act (SS Act) is well-established. See,                                                                          analysis is required.
                                                                                                              4 See 20 CFR 222.12.
jstallworth on DSK7TPTVN1PROD with PROPOSALS




                                                                                                              5 Under  the Act, a claimant will be considered to    Regulatory Flexibility Act
                                                      1 See 45 U.S.C. 231a(a)(2) and (3).                   be occupationally disabled if he or she has a current
                                                      2 See, e.g., Is the Railroad Retirement Board Doing
                                                                                                            connection to the railroad industry and a
                                                                                                                                                                      We certify that this proposed rule
                                                    Enough to Protect Against Fraud? Hearing Before         permanent physical and mental condition such as         would not have a significant economic
                                                    the H. Comm. on Oversight and Government                to be disabling for work in his or her regular          impact on a substantial number of small
                                                    Reform: Subcommittee on Government Operations,          occupation. 45 U.S.C. 231a(a)(1)(iv). A claimant        entities because it affects individuals
                                                    114th Cong. (2015), https://www.congress.gov/           will be considered to be totally and permanently
                                                    congressional-record/2015/5/1/daily-digest.             disabled if his or her permanent physical or mental
                                                                                                                                                                    only. Therefore, a regulatory flexibility
                                                      3 Submission of Evidence in Disability Claims, 80     condition is such that he or she is unable to engage    analysis is not required under the
                                                    FR 14828, March 20, 2015.                               in any regular employment. 45 U.S.C. 231a(a)(1)(v).     Regulatory Flexibility Act, as amended.


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                                                                       Federal Register / Vol. 81, No. 217 / Wednesday, November 9, 2016 / Proposed Rules                                                 78759

                                                    Paperwork Reduction Act                                 necessary to make a determination                     to disclose the identity of those medical
                                                      This NPRM imposes no reporting or                     before the Board evaluates medical                    sources to us based on the attorney-
                                                    recordkeeping requirements subject to                   evidence obtained from another source                 client privilege. As another example, if
                                                    OMB clearance.                                          on a consultative basis. The medical                  your representative asks a medical
                                                                                                            source will have 10 days from the                     source to complete an opinion form
                                                    List of Subjects in 20 CFR Part 220                     follow-up request to reply (unless                    related to your impairment(s),
                                                      Disability benefits, Railroad                         experience indicates that a longer                    symptoms, or limitations, your
                                                    retirement.                                             period is advisable in a particular case).            representative cannot withhold the
                                                      The Railroad Retirement Board                         In order to expedite processing, the                  completed opinion form from us based
                                                                                                            Board may order a consultative exam                   on the attorney work product doctrine.
                                                    proposes to amend title 20, chapter II,
                                                                                                            from a non-treating source while                      The attorney work product doctrine
                                                    subchapter F, part 220 of the Code of
                                                                                                            awaiting receipt of medical source                    would not protect the source’s opinions
                                                    Federal Regulations as follows:
                                                                                                            evidence. If the Board asks you to do so,             on the completed form, regardless of
                                                    PART 220 DETERMINING DISABILITY                         you must contact the medical sources to               whether or not your representative used
                                                                                                            help us get the medical reports.                      the form in his or her analysis of your
                                                    ■ 1. The authority citation for part 220                   (2) Exceptions. Notwithstanding                    claim or made handwritten notes on the
                                                    continues to read as follows:                           paragraph (a) of this section, evidence               face of the report.
                                                                                                            does not include:                                        (c) Your responsibility. You must
                                                      Authority: 45 U.S.C. 231a(1); 45 U.S.C.
                                                    231f.
                                                                                                               (i) Oral or written communications                 inform us about or submit all evidence
                                                                                                            between you and your representative                   known to you that relates to whether or
                                                    ■   2. Revise § 220.45 to read as follows:              that are subject to the attorney-client               not you are blind or disabled. When you
                                                    § 220.45   Providing evidence of disability.
                                                                                                            privilege, unless you voluntarily                     submit evidence received from another
                                                                                                            disclose the communication to us; or                  source, you must submit that evidence
                                                      (a) General. You are responsible for                     (ii) Your representative’s analysis of
                                                    providing all evidence of the claimed                                                                         in its entirety, unless you previously
                                                                                                            your claim, unless he or she voluntarily              submitted the same evidence to us or we
                                                    disability and the effect of the disability             discloses it to us. Your representative’s
                                                    on your ability to work. You must                                                                             instruct you otherwise. The Board may
                                                                                                            ‘‘analysis of your claim,’’ means
                                                    inform the Board about or submit all                                                                          also ask you to provide evidence about:
                                                                                                            information that is subject to the
                                                    evidence known to you that relates to                                                                            (1) Your age;
                                                                                                            attorney work product doctrine, but it
                                                    the claimed disability. This duty is                                                                             (2) Your education and training;
                                                                                                            does not include medical evidence,
                                                    ongoing and requires you to disclose                                                                             (3) Your work experience;
                                                                                                            medical source opinions, or any other
                                                    any additional related evidence about                                                                            (4) Your daily activities both before
                                                                                                            factual matter that we may consider in
                                                    which you become aware. This duty                                                                             and after the date you say that you
                                                                                                            determining whether or not you are
                                                    applies at each level of the                                                                                  became disabled;
                                                                                                            entitled to benefits (See paragraph
                                                    administrative review process,                                                                                   (5) Your efforts to work; and
                                                                                                            (b)(2)(iv) of this section).
                                                    including the appeals level, if the                        (iii) The provisions of paragraph                     (6) Any other evidence showing how
                                                    evidence relates to the period on or                    (b)(2)(i) of this section apply to                    your impairment(s) affects your ability
                                                    before the date of the hearings officer’s               communications between you and your                   to work. (In §§ 220.125 through 220.134,
                                                    decision. The Board will assist you,                    non-attorney representative only if the               we discuss in more detail the evidence
                                                    when necessary, in obtaining the                        communications would be subject to the                the Board needs when it considers
                                                    required evidence. At its discretion, the               attorney-client privilege, if your non-               vocational factors.)
                                                    Board will arrange for an examination                   attorney representative were an                         Dated: November 3, 2016.
                                                    by a consultant at the expense of the                   attorney. The provisions of paragraph                   By Authority of the Board.
                                                    Board as explained in §§ 220.50 and                     (b)(2)(ii) of this section apply to the               Martha P. Rico,
                                                    220.51.                                                 analysis of your claim by your non-                   Secretary to the Board.
                                                      (b) Kind of evidence. (1) You must                    attorney representative only if the                   [FR Doc. 2016–27060 Filed 11–8–16; 8:45 am]
                                                    provide medical evidence proving that                   analysis of your claim would be subject
                                                                                                                                                                  BILLING CODE P
                                                    you have an impairment(s) and how                       to the attorney work product doctrine, if
                                                    severe it is during the time you claim to               your non-attorney representative were
                                                    be disabled. The Board will consider                    an attorney.
                                                    only impairment(s) you claim to have or                    (iv) The attorney-client privilege                 DEPARTMENT OF HOMELAND
                                                    about which the Board receives                          generally protects confidential                       SECURITY
                                                    evidence. Before deciding your                          communications between an attorney
                                                    disability status, the Board will develop               and his or her client that are related to             Coast Guard
                                                    a complete medical history (i.e.,                       providing or obtaining legal advice. The
                                                    evidence from the records of the your                   attorney work product doctrine                        33 CFR Part 165
                                                    medical sources) covering at least the                  generally protects an attorney’s analysis,            [Docket Number USCG–2016–0799]
                                                    preceding 12 months, unless you say                     theories, mental impressions, and notes.
                                                    that your disability began less than 12                 In the context of your disability claim,              RIN 1625–AA87
                                                    months before you filed an application.                 neither the attorney-client privilege nor
                                                                                                                                                                  Safety and Security Zones; New York
                                                    The Board will make every reasonable                    the attorney work product doctrine
jstallworth on DSK7TPTVN1PROD with PROPOSALS




                                                                                                                                                                  Marine Inspection and Captain of the
                                                    effort to help you in getting medical                   allows you to withhold factual
                                                                                                                                                                  Port Zone
                                                    reports from your own medical sources                   information, medical source opinions,
                                                    when you give the Board permission to                   or other medical evidence that we may                 AGENCY:    Coast Guard, DHS.
                                                    request them. Every reasonable effort                   consider in determining whether or not                ACTION:   Technical correction.
                                                    means that the Board will make an                       you are entitled to benefits. For
                                                    initial request and, after 20 days, one                 example, if you tell your representative              SUMMARY:   The Coast Guard is publishing
                                                    follow-up request to your medical                       about the medical sources you have                    this notice to correct a misstatement and
                                                    source to obtain the medical evidence                   seen, your representative cannot refuse               typographical error in a previous


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Document Created: 2016-11-09 01:39:56
Document Modified: 2016-11-09 01:39:56
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionNotice of proposed rulemaking (NPRM).
DatesSubmit comments on or before January 9, 2017.
ContactMarguerite P. Dadabo, Assistant General Counsel, Railroad Retirement Board, 844 North Rush Street, Chicago, IL 60611-2092, (312) 751-4945, TTD (312) 751-4701.
FR Citation81 FR 78757 
RIN Number3220-AB68
CFR AssociatedDisability Benefits and Railroad Retirement

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