82_FR_15320 82 FR 15263 - Social Security Ruling (SSR) 17-2p: Titles II and XVI: Evidence Needed by Adjudicators at the Hearings and Appeals Council Levels of the Administrative Review Process To Make Findings About Medical Equivalence

82 FR 15263 - Social Security Ruling (SSR) 17-2p: Titles II and XVI: Evidence Needed by Adjudicators at the Hearings and Appeals Council Levels of the Administrative Review Process To Make Findings About Medical Equivalence

SOCIAL SECURITY ADMINISTRATION

Federal Register Volume 82, Issue 57 (March 27, 2017)

Page Range15263-15265
FR Document2017-05959

We are providing notice of SSR 17-2p. This SSR provides guidance about how adjudicators at the hearings and Appeals Council (AC) levels of the administrative review process make findings about medical equivalence in disability claims under titles II and XVI of the Social Security Act.

Federal Register, Volume 82 Issue 57 (Monday, March 27, 2017)
[Federal Register Volume 82, Number 57 (Monday, March 27, 2017)]
[Notices]
[Pages 15263-15265]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-05959]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2012-0035]


Social Security Ruling (SSR) 17-2p: Titles II and XVI: Evidence 
Needed by Adjudicators at the Hearings and Appeals Council Levels of 
the Administrative Review Process To Make Findings About Medical 
Equivalence

AGENCY: Social Security Administration.

ACTION: Notice of Social Security Ruling (SSR).

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

SUMMARY: We are providing notice of SSR 17-2p. This SSR provides 
guidance about how adjudicators at the hearings and Appeals Council 
(AC) levels of the administrative review process make findings about 
medical equivalence in disability claims under titles II and XVI of the 
Social Security Act.

DATES: Effective Date: March 27, 2017.

FOR FURTHER INFORMATION CONTACT: Joshua Silverman, Office of Disability 
Policy, Social Security Administration, 6401 Security Boulevard, 
Baltimore, MD 21235-6401, (410) 594-2128. 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: Although 5 U.S.C. 552(a)(1) and (a)(2) do 
not require us to publish this SSR, we are doing so in accordance with 
20 CFR 402.35(b)(1).
    Through SSRs, we make available to the public precedential 
decisions relating to the Federal old-age, survivors, disability, 
supplemental security income, and special veterans benefits programs. 
We may base SSRs on determinations or decisions made at

[[Page 15264]]

all levels of administrative adjudication, Federal court decisions, 
Commissioner's decisions, opinions of the Office of the General 
Counsel, or other interpretations of the law and regulations.
    Although SSRs do not have the same force and effect as statutes or 
regulations, they are binding on all components of the Social Security 
Administration. 20 CFR 402.35(b)(1).
    This SSR will remain in effect until we publish a notice in the 
Federal Register that rescinds it, or we publish a new SSR that 
replaces or modifies it.

(Catalog of Federal Domestic Assistance, Programs Nos. 96.001, 
Social Security--Disability Insurance; 96.002, Social Security--
Retirement Insurance; 96.004, Social Security--Survivors Insurance; 
96.006--Supplemental Security Income.)

Nancy A. Berryhill,
Acting Commissioner of Social Security.
POLICY INTERPRETATION RULING
Social Security Ruling, SSR 17-2p: Titles II and XVI: Evidence Needed 
by Adjudicators at the Hearings and Appeals Council Levels of the 
Administrative Review Process to Make Findings about Medical 
Equivalence.
    This Social Security Ruling (SSR) rescinds and replaces SSR 96-6p: 
``Titles II and XVI: Consideration of Administrative Findings of Fact 
by State Agency Medical and Psychological Consultants and Other Program 
Physicians and Psychologists at the Administrative Law Judge and 
Appeals Council Levels of Administrative Review; Medical Equivalence.''
    PURPOSE: This SSR provides guidance on how adjudicators at the 
hearings and Appeals Council (AC) levels of our administrative review 
process make findings about medical equivalence in disability claims 
under titles II and XVI of the Social Security Act (Act).
    CITATIONS: Sections 216(i), 223(d), and 1614(a) of the Act, as 
amended; 20 CFR 404.1526 and 416.926.
    BACKGROUND:

The Sequential Evaluation Process

    We use a five-step sequential evaluation process to determine 
whether an adult is disabled under titles II or XVI of the Act.\1\ We 
use a different process to decide whether a child is disabled under 
title XVI of the Act.\2\ In both situations, if we can find an 
individual is disabled at a step, we make a determination or decision 
at that step and do not go on to the next step.\3\
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    \1\ See 20 CFR 404.1520 and 416.920.
    \2\ See 20 CFR 416.924.
    \3\ See 20 CFR 404.1520(a)(4) and 416.920(a)(4).
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    At step 3 of the sequential evaluation process for determining 
disability in adult and child claims, we make a medical assessment to 
determine whether an individual's impairment(s) meets a listing in the 
Listing of Impairments (listings).\4\ If an individual's impairment(s) 
meets all the criteria of any listed impairment in the listings, we 
will find that the individual is disabled. If an individual has an 
impairment(s) that does not meet all of the requirements of a listing, 
we then determine whether the individual's impairment(s) medically 
equals a listed impairment. An impairment is medically equivalent to a 
listed impairment if it is at least equal in severity and duration to 
the criteria of any listed impairment. We can find medical equivalence 
in three ways:
---------------------------------------------------------------------------

    \4\ 20 CFR part 404, subpart P, Appendix 1.
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    1. If an individual has an impairment that is described in the 
listings, but either:
    a. the individual does not exhibit one or more of the findings 
specified in the particular listing, or
    b. the individual exhibits all of the findings, but one or more of 
the findings is not as severe as specified in the particular listing,
    then we will find that his or her impairment is medically 
equivalent to that listing if there are other findings related to the 
impairment that are at least of equal medical significance to the 
required criteria.
    2. If an individual has an impairment(s) that is not described in 
the listings, we will compare the findings with those for closely 
analogous listed impairments. If the findings related to the 
impairment(s) are at least of equal medical significance to those of a 
listed impairment, we will find that the impairment(s) is medically 
equivalent to the analogous listing.
    3. If an individual has a combination of impairments, no one of 
which meets a listing, we will compare the findings with those for 
closely analogous listed impairments. If the findings related to the 
impairments are at least of equal medical significance to those of a 
listed impairment, we will find that the combination of impairments is 
medically equivalent to that listing.\5\
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    \5\ See 20 CFR 404.1526 and 416.926.
---------------------------------------------------------------------------

    If we determine an individual's impairment(s) does not meet or 
medically equal a listed impairment, we continue evaluating the claim 
using the sequential evaluation process.\6\
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    \6\ In adult claims, we will determine the individual's residual 
functional capacity and then go to step 4 of the sequential 
evaluation process. See 20 CFR 404.1520 and 416.920. In a child's 
claim under Title XVI, we will determine whether the child's 
impairment(s) functionally equals the Listings at step 3. See 20 CFR 
416.926a.
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Who decides whether an individual's impairment medically equals a 
listing?

    At the initial and reconsideration levels of the administrative 
review process, Federal or State agency Medical Consultants (MC) or 
Psychological Consultants (PC) consider the evidence and make 
administrative medical findings about medical issues, including whether 
an individual's impairment(s) meets or medically equals a listing.\7\ 
MCs and PCs are highly qualified medical sources who are also experts 
in the evaluation of medical issues in disability claims under the Act. 
In most situations,\8\ we require adjudicators at the initial and 
reconsideration levels to obtain MC or PC administrative medical 
findings about medical equivalence.
---------------------------------------------------------------------------

    \7\ In some States, we are testing modifications to the 
disability determination procedures that allow disability examiners 
to decide whether an individual's impairment(s) medically equals a 
listing without requiring consultation with an MC or PC, although 
such consultation is permissible. One modification authorizes 
specialized State agency disability examiners called ``single 
decisionmakers'' (SDM) to make initial and reconsideration 
determinations without consulting an MC or PC in some types of 
claims. See 20 CFR 404.906(b)(2) and 416.1406(b)(2). The other 
modification being tested allows disability examiners to make fully 
favorable determinations in quick disability determinations (QDD) 
and compassionate allowance (CAL) claims without requiring 
consultation with an MC or PC because those types of claims involve 
the most obviously disabling impairments. See 20 CFR 404.1615(c)(3) 
and 416.1015(c)(3). In those States using the testing modifications, 
there may not be an MC or PC medical assessment in the file. Both of 
these testing modifications are scheduled to end by the end of 
calendar year 2018. See 81 FR 73027 (2016) and 81 FR 58544 (2016).
    \8\ As stated in the prior footnote, disability examiners are 
not required to obtain MC or PC input about medical equivalence in 
certain SDM claims and in QDD and CAL claims. In those States using 
the testing modifications, there may not be a MC or PC medical 
assessment in the file.
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    At the hearings level of the administrative review process, 
administrative law judges (ALJ) and some attorney advisors \9\ 
determine whether an individual's impairment(s) meets or medically 
equals a listing at step 3 of the sequential evaluation process. To 
assist in evaluating this issue, adjudicators at the hearings level may 
ask for and consider evidence from medical experts (ME) about the 
individual's impairment(s), such as the nature and severity of the 
impairment(s).
---------------------------------------------------------------------------

    \9\ See 20 CFR 404.942 and 416.1442.
---------------------------------------------------------------------------

    At the AC level of the administrative review process, when the AC 
exercises its authority to issue a decision,\10\ it

[[Page 15265]]

determines whether an individual's impairment(s) meets or medically 
equals a listing. The AC may ask its medical support staff to help 
decide whether an individual's impairment(s) medically equals a 
listing.
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    \10\ The Appeals Council issues decisions in cases after it 
grants a request for review or takes own motion review of a hearing 
decision. See 20 CFR 404.969-970 and 416.1469-1470. The Appeals 
Council may also make a decision after a Federal court remands a 
case. See 20 CFR 404.983 and 416.1483.
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POLICY INTERPRETATION

Evidentiary requirements

    At the hearings level or at the AC level when the AC issues its own 
decision, the adjudicator is responsible for the finding of medical 
equivalence. The adjudicator must base his or her decision about 
whether the individual's impairment(s) medically equals a listing on 
the preponderance of the evidence in the record. To demonstrate the 
required support of a finding that an individual is disabled based on 
medical equivalence at step 3, the record must contain one of the 
following:
    1. A prior administrative medical finding from an MC or PC from the 
initial or reconsideration adjudication levels supporting the medical 
equivalence finding, or
    2. ME evidence, which may include testimony or written responses to 
interrogatories, obtained at the hearings level supporting the medical 
equivalence finding, or
    3. A report from the AC's medical support staff supporting the 
medical equivalence finding.
    When an MC or PC makes administrative medical findings at the 
initial or reconsideration levels, the findings are part of the 
Commissioner's determination; therefore, they are not evidence at that 
level of adjudication.\11\ At subsequent levels of the administrative 
review process, the MCs' or PCs' administrative medical findings made 
at the initial or reconsideration levels are prior administrative 
medical findings, which are evidence.\12\ Although adjudicators at the 
hearings and AC levels are not required to adopt prior administrative 
medical findings when issuing decisions, adjudicators must consider 
them and articulate how they considered them in the decision.\13\
---------------------------------------------------------------------------

    \11\ See 20 CFR 404.1513a(a)(1) and 416.913a(a)(1).
    \12\ See 20 CFR 404.1513a(b)-(c) and 416.913a(b)-(c). It is 
possible for an MC or PC to have found that an individual's 
impairment(s) medically equal(s) the requirements of a listed 
impairment(s), but we would still not make a favorable 
determination. For example, we could find that the individual does 
not meet nonmedical requirements for eligibility.
    \13\ See 20 CFR 404.1513a(b)-(c), 404.1520c, 416.913a(b)-(c), 
and 416.920c. In States using the two testing modifications 
discussed in footnote 7, the record may not contain any MC or PC 
prior administrative medical finding about medical equivalence that 
an adjudicator is able to consider. In these situations, the 
adjudicator may find that an individual's impairment(s) medically 
equals a listed impairment using the second or third method, but not 
the first method. In these situations, the adjudicator is not 
required to obtain ME evidence or medical support staff input before 
making a finding that the claimant's impairment(s) do not medically 
equal a listing.
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    When an adjudicator at the hearings level obtains ME testimony or 
written responses to interrogatories about whether an individual's 
impairment(s) medically equals a listing, the adjudicator cannot rely 
on an ME's conclusory statement that an individual's impairment(s) 
medically equals a listed impairment(s). Whether an impairment(s) 
medically equals the requirements of a listed impairment is an issue 
reserved to the Commissioner. If the ME states that the individual's 
impairment(s) medically equals a listed impairment, the adjudicator 
must ask the ME to identify medical evidence in the record that 
supports the ME's statements. Adjudicators will consider ME testimony 
and interrogatories using our rules for considering evidence. The 
adjudicator will then consider whether an individual's impairment(s) 
medically equals a listing using one of the three methods specified in 
20 CFR 404.1526 and 416.926.
    Similarly, when the AC obtains a report from its medical support 
staff to evaluate medical equivalence, the AC retains final 
responsibility for determining whether an individual's impairment(s) 
medically equals a listed impairment. The AC will consider the medical 
support staff's report and all other supporting medical evidence using 
our rules for considering evidence. The AC will then consider whether 
an individual's impairment(s) medically equals a listing using one of 
the three methods specified in 20 CFR 404.1526 and 416.926.
    If an adjudicator at the hearings or AC level believes that the 
evidence does not reasonably support a finding that the individual's 
impairment(s) medically equals a listed impairment, we do not require 
the adjudicator to obtain ME evidence or medical support staff input 
prior to making a step 3 finding that the individual's impairment(s) 
does not medically equal a listed impairment.

Articulation requirements

    An adjudicator at the hearings or AC level must consider all 
evidence in making a finding that an individual's impairment(s) 
medically equals a listing. To make a finding of medical equivalence, 
the adjudicator must articulate how the record establishes medical 
equivalency using one of the three methods specified in 20 CFR 404.1526 
and 416.926. An adjudicator must provide a rationale for a finding of 
medical equivalence in a decision that is sufficient for a subsequent 
reviewer or court to understand the decision. Generally, this will 
entail the adjudicator identifying the specific listing section 
involved, articulating how the record does not meet the requirements of 
the listed impairment(s), and how the record, including ME or medical 
support staff evidence, establishes an impairment of equivalent 
severity.
    Similarly, an adjudicator at the hearings or AC level must consider 
all evidence in making a finding that an individual's impairment(s) 
does not medically equal a listing. If an adjudicator at the hearings 
or AC level believes that the evidence already received in the record 
does not reasonably support a finding that the individual's 
impairment(s) medically equals a listed impairment, the adjudicator is 
not required to articulate specific evidence supporting his or her 
finding that the individual's impairment(s) does not medically equal a 
listed impairment. Generally, a statement that the individual's 
impairment(s) does not medically equal a listed impairment constitutes 
sufficient articulation for this finding. An adjudicator's articulation 
of the reason(s) why the individual is or is not disabled at a later 
step in the sequential evaluation process will provide rationale that 
is sufficient for a subsequent reviewer or court to determine the basis 
for the finding about medical equivalence at step 3.
    EFFECTIVE DATE: This SSR is effective on March 27, 2017.
    CROSS-REFERENCES: 20 CFR 404.1526 and 416.926.

[FR Doc. 2017-05959 Filed 3-24-17; 8:45 am]
 BILLING CODE 4191-02-P



                                                                                     Federal Register / Vol. 82, No. 57 / Monday, March 27, 2017 / Notices                                                  15263

                                                    inspection and copying at the principal                   interpretations of the law and                        claims filed on or after March 27, 2017,
                                                    office of the Exchange. All comments                      regulations.                                          the final rules state that adjudicators
                                                    received will be posted without change;                      We are rescinding the following SSRs:              will not provide any articulation about
                                                    the Commission does not edit personal                        • SSR 96–2p: Titles II and XVI:                    their consideration of decisions from
                                                    identifying information from                              Giving Controlling Weight to Treating                 other governmental agencies and
                                                    submissions. You should submit only                       Source Medical Opinions.                              nongovernmental entities because this
                                                    information that you wish to make                            • SSR 96–5p: Titles II and XVI:                    evidence is inherently neither valuable
                                                    available publicly. All submissions                       Medical Source Opinions on Issues                     nor persuasive to us. Therefore, this SSR
                                                    should refer to File Number SR–BX–                        Reserved to the Commissioner.                         is inconsistent with the final rules.
                                                    2017–013, and should be submitted on                         • SSR 06–03p: Titles II and XVI:
                                                                                                              Considering Opinions and Other                        (Catalog of Federal Domestic Assistance,
                                                    or before April 17, 2017.                                                                                       Programs Nos. 96.001, Social Security—
                                                                                                              Evidence from Sources Who Are Not                     Disability Insurance; 96.002, Social
                                                      For the Commission, by the Division of                  ‘‘Acceptable Medical Sources’’ in
                                                    Trading and Markets, pursuant to delegated                                                                      Security—Retirement Insurance; 96.004,
                                                                                                              Disability Claims; Considering                        Social Security—Survivors Insurance;
                                                    authority.34
                                                                                                              Decisions on Disability by Other                      96.006—Supplemental Security Income.)
                                                    Eduardo A. Aleman,                                        Governmental and Nongovernmental
                                                    Assistant Secretary.                                      Agencies.                                             Nancy A. Berryhill,
                                                    [FR Doc. 2017–05919 Filed 3–24–17; 8:45 am]                  These three SSRs are inconsistent or               Acting Commissioner of Social Security.
                                                    BILLING CODE 8011–01–P                                    unnecessarily duplicative with our                    [FR Doc. 2017–05958 Filed 3–24–17; 8:45 am]
                                                                                                              recent final rules, Revisions to Rules                BILLING CODE 4191–02–P
                                                                                                              Regarding the Evaluation of Medical
                                                    SOCIAL SECURITY ADMINISTRATION                            Evidence, published in the Federal
                                                                                                              Register on January 18, 2017 (82 FR                   SOCIAL SECURITY ADMINISTRATION
                                                    [Docket No. SSA–2012–0035]                                5844).                                                [Docket No. SSA–2012–0035]
                                                                                                                 SSR 96–2p explained how
                                                    Rescission of Social Security Rulings                     adjudicators should evaluate medical                  Social Security Ruling (SSR) 17–2p:
                                                    96–2p, 96–5p, and 06–3p                                   opinions from treating sources,                       Titles II and XVI: Evidence Needed by
                                                    AGENCY:  Social Security Administration.                  including when it is appropriate to give              Adjudicators at the Hearings and
                                                    ACTION: Notice of rescission of Social                    controlling weight to medical opinions                Appeals Council Levels of the
                                                    Security Rulings.                                         from treating sources. The final rules                Administrative Review Process To
                                                                                                              revised these policies for claims filed on            Make Findings About Medical
                                                    SUMMARY:   In accordance with 20 CFR                      or after March 27, 2017, in several ways.             Equivalence
                                                    402.35(b)(1), the Acting Commissioner                     For example, adjudicators will not
                                                                                                              assign a weight, including controlling                AGENCY:   Social Security Administration.
                                                    of Social Security gives notice of the
                                                    rescission of Social Security Rulings                     weight, to any medical opinion for                    ACTION:   Notice of Social Security Ruling
                                                    (SSR) 96–2p, 96–5p, and 06–03p.                           claims filed on or after March 27, 2017.              (SSR).
                                                    DATES: Effective Date: This rescission                    Therefore, this SSR is inconsistent with              SUMMARY:   We are providing notice of
                                                    will be effective for claims filed on or                  the final rules.                                      SSR 17–2p. This SSR provides guidance
                                                    after March 27, 2017.                                        SSR 96–5p explained how                            about how adjudicators at the hearings
                                                                                                              adjudicators should consider and                      and Appeals Council (AC) levels of the
                                                    FOR FURTHER INFORMATION CONTACT:
                                                                                                              articulate their consideration of medical             administrative review process make
                                                    Joshua Silverman, Office of Disability                    source opinions on issues reserved to
                                                    Policy, Social Security Administration,                                                                         findings about medical equivalence in
                                                                                                              the Commissioner in the notice of the                 disability claims under titles II and XVI
                                                    6401 Security Boulevard, Baltimore, MD                    determination or decision. The final
                                                    21235–6401, (410) 594–2128. For                                                                                 of the Social Security Act.
                                                                                                              rules revised these policies for claims
                                                    information on eligibility or filing for                                                                        DATES: Effective Date: March 27, 2017.
                                                                                                              filed on or after March 27, 2017, in
                                                    benefits, call our national toll-free                     several ways. For example, in claims                  FOR FURTHER INFORMATION CONTACT:
                                                    number 1–800–772, 1213, or TTY 1–                         filed on or after March 27, 2017,                     Joshua Silverman, Office of Disability
                                                    800–325–0778, or visit our Internet site,                 adjudicators will not provide any                     Policy, Social Security Administration,
                                                    Social Security Online, at http://                        articulation about their consideration of             6401 Security Boulevard, Baltimore, MD
                                                    www.socialsecurity.gov.                                   this evidence because it is inherently                21235–6401, (410) 594–2128. For
                                                    SUPPLEMENTARY INFORMATION:     Although                   neither valuable nor persuasive to us.                information on eligibility or filing for
                                                    5 U.S.C. 552(a)(1) and (a)(2) do not                      Therefore, this SSR is inconsistent with              benefits, call our national toll-free
                                                    require us to publish this notice, we are                 the final rules.                                      number 1–800–772, 1213, or TTY 1–
                                                    doing so in accordance with 20 CFR                           SSR 06–03p explained how we                        800–325–0778, or visit our Internet site,
                                                    402.35(b)(1).                                             consider opinions and other evidence                  Social Security Online, at http://
                                                       Through SSRs, we make available to                     from sources who are not acceptable                   www.socialsecurity.gov.
                                                    the public precedential decisions                         medical sources and how we consider                   SUPPLEMENTARY INFORMATION: Although
                                                    relating to the Federal old-age,                          decisions by other governmental and                   5 U.S.C. 552(a)(1) and (a)(2) do not
                                                    survivors, disability, supplemental                       nongovernmental agencies on the issue                 require us to publish this SSR, we are
                                                    security income, and special veterans                     of disability or blindness. The final                 doing so in accordance with 20 CFR
asabaliauskas on DSK3SPTVN1PROD with NOTICES




                                                    benefits programs. We may base SSRs                       rules revised these policies for claims               402.35(b)(1).
                                                    on determinations or decisions made at                    filed on or after March 27, 2017, in                     Through SSRs, we make available to
                                                    all levels of administrative adjudication,                several ways. For example, in claims                  the public precedential decisions
                                                    Federal court decisions, Commissioner’s                   filed on or after March 27, 2017, the                 relating to the Federal old-age,
                                                    decisions, opinions of the Office of the                  final rules state that all medical sources,           survivors, disability, supplemental
                                                    General Counsel, or other                                 not just acceptable medical sources, can              security income, and special veterans
                                                                                                              make evidence that we categorize and                  benefits programs. We may base SSRs
                                                      34 17   CFR 200.30–3(a)(12).                            consider as medical opinions. Also, in                on determinations or decisions made at


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                                                    15264                         Federal Register / Vol. 82, No. 57 / Monday, March 27, 2017 / Notices

                                                    all levels of administrative adjudication,                 At step 3 of the sequential evaluation             Who decides whether an individual’s
                                                    Federal court decisions, Commissioner’s                 process for determining disability in                 impairment medically equals a listing?
                                                    decisions, opinions of the Office of the                adult and child claims, we make a                        At the initial and reconsideration
                                                    General Counsel, or other                               medical assessment to determine                       levels of the administrative review
                                                    interpretations of the law and                          whether an individual’s impairment(s)                 process, Federal or State agency Medical
                                                    regulations.                                            meets a listing in the Listing of                     Consultants (MC) or Psychological
                                                       Although SSRs do not have the same                   Impairments (listings).4 If an                        Consultants (PC) consider the evidence
                                                    force and effect as statutes or                         individual’s impairment(s) meets all the              and make administrative medical
                                                    regulations, they are binding on all                    criteria of any listed impairment in the              findings about medical issues, including
                                                    components of the Social Security                       listings, we will find that the individual            whether an individual’s impairment(s)
                                                    Administration. 20 CFR 402.35(b)(1).                    is disabled. If an individual has an
                                                                                                                                                                  meets or medically equals a listing.7
                                                       This SSR will remain in effect until                 impairment(s) that does not meet all of
                                                                                                                                                                  MCs and PCs are highly qualified
                                                    we publish a notice in the Federal                      the requirements of a listing, we then
                                                                                                                                                                  medical sources who are also experts in
                                                    Register that rescinds it, or we publish                determine whether the individual’s
                                                                                                                                                                  the evaluation of medical issues in
                                                    a new SSR that replaces or modifies it.                 impairment(s) medically equals a listed
                                                                                                                                                                  disability claims under the Act. In most
                                                    (Catalog of Federal Domestic Assistance,                impairment. An impairment is
                                                                                                                                                                  situations,8 we require adjudicators at
                                                    Programs Nos. 96.001, Social Security—                  medically equivalent to a listed
                                                                                                                                                                  the initial and reconsideration levels to
                                                    Disability Insurance; 96.002, Social                    impairment if it is at least equal in
                                                                                                                                                                  obtain MC or PC administrative medical
                                                    Security—Retirement Insurance; 96.004,                  severity and duration to the criteria of
                                                    Social Security—Survivors Insurance;                                                                          findings about medical equivalence.
                                                                                                            any listed impairment. We can find
                                                    96.006—Supplemental Security Income.)                                                                            At the hearings level of the
                                                                                                            medical equivalence in three ways:
                                                                                                               1. If an individual has an impairment              administrative review process,
                                                    Nancy A. Berryhill,                                                                                           administrative law judges (ALJ) and
                                                    Acting Commissioner of Social Security.                 that is described in the listings, but
                                                                                                            either:                                               some attorney advisors 9 determine
                                                    POLICY INTERPRETATION RULING                               a. the individual does not exhibit one             whether an individual’s impairment(s)
                                                                                                            or more of the findings specified in the              meets or medically equals a listing at
                                                    Social Security Ruling, SSR 17–2p:                                                                            step 3 of the sequential evaluation
                                                    Titles II and XVI: Evidence Needed by                   particular listing, or
                                                                                                               b. the individual exhibits all of the              process. To assist in evaluating this
                                                    Adjudicators at the Hearings and                                                                              issue, adjudicators at the hearings level
                                                    Appeals Council Levels of the                           findings, but one or more of the findings
                                                                                                            is not as severe as specified in the                  may ask for and consider evidence from
                                                    Administrative Review Process to Make                                                                         medical experts (ME) about the
                                                    Findings about Medical Equivalence.                     particular listing,
                                                                                                               then we will find that his or her                  individual’s impairment(s), such as the
                                                       This Social Security Ruling (SSR)                                                                          nature and severity of the
                                                    rescinds and replaces SSR 96–6p:                        impairment is medically equivalent to
                                                                                                            that listing if there are other findings              impairment(s).
                                                    ‘‘Titles II and XVI: Consideration of                                                                            At the AC level of the administrative
                                                    Administrative Findings of Fact by State                related to the impairment that are at
                                                                                                            least of equal medical significance to the            review process, when the AC exercises
                                                    Agency Medical and Psychological                                                                              its authority to issue a decision,10 it
                                                    Consultants and Other Program                           required criteria.
                                                    Physicians and Psychologists at the                        2. If an individual has an
                                                                                                            impairment(s) that is not described in                the child’s impairment(s) functionally equals the
                                                    Administrative Law Judge and Appeals                                                                          Listings at step 3. See 20 CFR 416.926a.
                                                    Council Levels of Administrative                        the listings, we will compare the                        7 In some States, we are testing modifications to

                                                    Review; Medical Equivalence.’’                          findings with those for closely                       the disability determination procedures that allow
                                                       PURPOSE: This SSR provides                           analogous listed impairments. If the                  disability examiners to decide whether an
                                                                                                            findings related to the impairment(s) are             individual’s impairment(s) medically equals a
                                                    guidance on how adjudicators at the                                                                           listing without requiring consultation with an MC
                                                    hearings and Appeals Council (AC)                       at least of equal medical significance to             or PC, although such consultation is permissible.
                                                    levels of our administrative review                     those of a listed impairment, we will                 One modification authorizes specialized State
                                                    process make findings about medical                     find that the impairment(s) is medically              agency disability examiners called ‘‘single
                                                                                                            equivalent to the analogous listing.                  decisionmakers’’ (SDM) to make initial and
                                                    equivalence in disability claims under                                                                        reconsideration determinations without consulting
                                                    titles II and XVI of the Social Security                   3. If an individual has a combination
                                                                                                                                                                  an MC or PC in some types of claims. See 20 CFR
                                                    Act (Act).                                              of impairments, no one of which meets                 404.906(b)(2) and 416.1406(b)(2). The other
                                                       CITATIONS: Sections 216(i), 223(d),                  a listing, we will compare the findings               modification being tested allows disability
                                                    and 1614(a) of the Act, as amended; 20                  with those for closely analogous listed               examiners to make fully favorable determinations in
                                                                                                            impairments. If the findings related to               quick disability determinations (QDD) and
                                                    CFR 404.1526 and 416.926.                                                                                     compassionate allowance (CAL) claims without
                                                       BACKGROUND:                                          the impairments are at least of equal                 requiring consultation with an MC or PC because
                                                                                                            medical significance to those of a listed             those types of claims involve the most obviously
                                                    The Sequential Evaluation Process                       impairment, we will find that the                     disabling impairments. See 20 CFR 404.1615(c)(3)
                                                                                                            combination of impairments is                         and 416.1015(c)(3). In those States using the testing
                                                       We use a five-step sequential                                                                              modifications, there may not be an MC or PC
                                                    evaluation process to determine                         medically equivalent to that listing.5                medical assessment in the file. Both of these testing
                                                    whether an adult is disabled under titles                  If we determine an individual’s                    modifications are scheduled to end by the end of
                                                    II or XVI of the Act.1 We use a different               impairment(s) does not meet or                        calendar year 2018. See 81 FR 73027 (2016) and 81
                                                                                                            medically equal a listed impairment, we               FR 58544 (2016).
                                                    process to decide whether a child is                                                                             8 As stated in the prior footnote, disability
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                                                    disabled under title XVI of the Act.2 In                continue evaluating the claim using the
                                                                                                                                                                  examiners are not required to obtain MC or PC
                                                    both situations, if we can find an                      sequential evaluation process.6                       input about medical equivalence in certain SDM
                                                    individual is disabled at a step, we                                                                          claims and in QDD and CAL claims. In those States
                                                                                                              4 20 CFR part 404, subpart P, Appendix 1.           using the testing modifications, there may not be a
                                                    make a determination or decision at that
                                                                                                              5 See 20 CFR 404.1526 and 416.926.                  MC or PC medical assessment in the file.
                                                    step and do not go on to the next step.3                  6 In adult claims, we will determine the               9 See 20 CFR 404.942 and 416.1442.

                                                                                                            individual’s residual functional capacity and then       10 The Appeals Council issues decisions in cases
                                                      1 See 20 CFR 404.1520 and 416.920.                    go to step 4 of the sequential evaluation process.    after it grants a request for review or takes own
                                                      2 See 20 CFR 416.924.                                 See 20 CFR 404.1520 and 416.920. In a child’s         motion review of a hearing decision. See 20 CFR
                                                      3 See 20 CFR 404.1520(a)(4) and 416.920(a)(4).        claim under Title XVI, we will determine whether      404.969–970 and 416.1469–1470. The Appeals



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                                                                                   Federal Register / Vol. 82, No. 57 / Monday, March 27, 2017 / Notices                                                    15265

                                                    determines whether an individual’s                         When an adjudicator at the hearings                  three methods specified in 20 CFR
                                                    impairment(s) meets or medically                        level obtains ME testimony or written                   404.1526 and 416.926. An adjudicator
                                                    equals a listing. The AC may ask its                    responses to interrogatories about                      must provide a rationale for a finding of
                                                    medical support staff to help decide                    whether an individual’s impairment(s)                   medical equivalence in a decision that
                                                    whether an individual’s impairment(s)                   medically equals a listing, the                         is sufficient for a subsequent reviewer or
                                                    medically equals a listing.                             adjudicator cannot rely on an ME’s                      court to understand the decision.
                                                                                                            conclusory statement that an                            Generally, this will entail the
                                                    POLICY INTERPRETATION
                                                                                                            individual’s impairment(s) medically                    adjudicator identifying the specific
                                                    Evidentiary requirements                                equals a listed impairment(s). Whether                  listing section involved, articulating
                                                       At the hearings level or at the AC                   an impairment(s) medically equals the                   how the record does not meet the
                                                    level when the AC issues its own                        requirements of a listed impairment is                  requirements of the listed
                                                    decision, the adjudicator is responsible                an issue reserved to the Commissioner.                  impairment(s), and how the record,
                                                    for the finding of medical equivalence.                 If the ME states that the individual’s                  including ME or medical support staff
                                                    The adjudicator must base his or her                    impairment(s) medically equals a listed                 evidence, establishes an impairment of
                                                    decision about whether the individual’s                 impairment, the adjudicator must ask                    equivalent severity.
                                                    impairment(s) medically equals a listing                the ME to identify medical evidence in                     Similarly, an adjudicator at the
                                                    on the preponderance of the evidence in                 the record that supports the ME’s                       hearings or AC level must consider all
                                                    the record. To demonstrate the required                 statements. Adjudicators will consider                  evidence in making a finding that an
                                                    support of a finding that an individual                 ME testimony and interrogatories using                  individual’s impairment(s) does not
                                                    is disabled based on medical                            our rules for considering evidence. The                 medically equal a listing. If an
                                                    equivalence at step 3, the record must                  adjudicator will then consider whether                  adjudicator at the hearings or AC level
                                                    contain one of the following:                           an individual’s impairment(s) medically                 believes that the evidence already
                                                       1. A prior administrative medical                    equals a listing using one of the three                 received in the record does not
                                                    finding from an MC or PC from the                       methods specified in 20 CFR 404.1526                    reasonably support a finding that the
                                                    initial or reconsideration adjudication                 and 416.926.                                            individual’s impairment(s) medically
                                                    levels supporting the medical                              Similarly, when the AC obtains a                     equals a listed impairment, the
                                                    equivalence finding, or                                 report from its medical support staff to                adjudicator is not required to articulate
                                                       2. ME evidence, which may include                    evaluate medical equivalence, the AC                    specific evidence supporting his or her
                                                    testimony or written responses to                       retains final responsibility for                        finding that the individual’s
                                                    interrogatories, obtained at the hearings               determining whether an individual’s                     impairment(s) does not medically equal
                                                    level supporting the medical                            impairment(s) medically equals a listed                 a listed impairment. Generally, a
                                                    equivalence finding, or                                 impairment. The AC will consider the                    statement that the individual’s
                                                       3. A report from the AC’s medical                    medical support staff’s report and all                  impairment(s) does not medically equal
                                                    support staff supporting the medical                    other supporting medical evidence                       a listed impairment constitutes
                                                    equivalence finding.                                    using our rules for considering                         sufficient articulation for this finding.
                                                       When an MC or PC makes                               evidence. The AC will then consider                     An adjudicator’s articulation of the
                                                    administrative medical findings at the                  whether an individual’s impairment(s)                   reason(s) why the individual is or is not
                                                    initial or reconsideration levels, the                  medically equals a listing using one of                 disabled at a later step in the sequential
                                                    findings are part of the Commissioner’s                 the three methods specified in 20 CFR                   evaluation process will provide
                                                    determination; therefore, they are not                  404.1526 and 416.926.                                   rationale that is sufficient for a
                                                    evidence at that level of adjudication.11                  If an adjudicator at the hearings or AC              subsequent reviewer or court to
                                                    At subsequent levels of the                             level believes that the evidence does not               determine the basis for the finding about
                                                    administrative review process, the MCs’                 reasonably support a finding that the                   medical equivalence at step 3.
                                                    or PCs’ administrative medical findings                 individual’s impairment(s) medically                       EFFECTIVE DATE: This SSR is
                                                    made at the initial or reconsideration                  equals a listed impairment, we do not                   effective on March 27, 2017.
                                                    levels are prior administrative medical                 require the adjudicator to obtain ME                       CROSS-REFERENCES: 20 CFR
                                                    findings, which are evidence.12                         evidence or medical support staff input                 404.1526 and 416.926.
                                                    Although adjudicators at the hearings                   prior to making a step 3 finding that the               [FR Doc. 2017–05959 Filed 3–24–17; 8:45 am]
                                                    and AC levels are not required to adopt                 individual’s impairment(s) does not                     BILLING CODE 4191–02–P
                                                    prior administrative medical findings                   medically equal a listed impairment.
                                                    when issuing decisions, adjudicators                    Articulation requirements
                                                    must consider them and articulate how                                                                           DEPARTMENT OF STATE
                                                    they considered them in the decision.13                    An adjudicator at the hearings or AC
                                                                                                            level must consider all evidence in                     [Public Notice: 9929]
                                                    Council may also make a decision after a Federal        making a finding that an individual’s
                                                    court remands a case. See 20 CFR 404.983 and            impairment(s) medically equals a                        Notice of Stakeholder Consultations
                                                    416.1483.                                               listing. To make a finding of medical                   on Responsible Conflict Mineral
                                                       11 See 20 CFR 404.1513a(a)(1) and 416.913a(a)(1).
                                                                                                            equivalence, the adjudicator must                       Sourcing
                                                       12 See 20 CFR 404.1513a(b)–(c) and 416.913a(b)–

                                                    (c). It is possible for an MC or PC to have found
                                                                                                            articulate how the record establishes                         Department of State.
                                                                                                                                                                    AGENCY:
                                                    that an individual’s impairment(s) medically            medical equivalency using one of the
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                                                    equal(s) the requirements of a listed impairment(s),
                                                                                                                                                                          Notice; solicitation of
                                                                                                                                                                    ACTION:
                                                    but we would still not make a favorable                 equivalence that an adjudicator is able to consider.    comments.
                                                    determination. For example, we could find that the      In these situations, the adjudicator may find that an
                                                    individual does not meet nonmedical requirements        individual’s impairment(s) medically equals a listed    SUMMARY:   The United States announces
                                                    for eligibility.                                        impairment using the second or third method, but        that the United States remains
                                                       13 See 20 CFR 404.1513a(b)–(c), 404.1520c,           not the first method. In these situations, the          committed to working with our partners
                                                    416.913a(b)–(c), and 416.920c. In States using the      adjudicator is not required to obtain ME evidence
                                                    two testing modifications discussed in footnote 7,      or medical support staff input before making a
                                                                                                                                                                    to break the links between armed groups
                                                    the record may not contain any MC or PC prior           finding that the claimant’s impairment(s) do not        and the minerals trade in the
                                                    administrative medical finding about medical            medically equal a listing.                              Democratic Republic of Congo and other


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Document Created: 2017-03-25 00:22:08
Document Modified: 2017-03-25 00:22:08
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 Ruling (SSR).
DatesEffective Date: March 27, 2017.
ContactJoshua Silverman, Office of Disability Policy, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235-6401, (410) 594-2128. 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 Citation82 FR 15263 

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