82 FR 46339 - Social Security Ruling, SSR 17-4p; Titles II and XVI: Responsibility for Developing Written Evidence
SOCIAL SECURITY ADMINISTRATION Federal Register Volume 82, Issue 191 (October 4, 2017)
Federal Register Volume 82, Issue 191 (October 4, 2017)
| Page Range | 46339-46341 | |
| FR Document | 2017-21252 |
[Federal Register Volume 82, Number 191 (Wednesday, October 4, 2017)] [Notices] [Pages 46339-46341] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-21252] ======================================================================= ----------------------------------------------------------------------- SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2017-0048] Social Security Ruling, SSR 17-4p; Titles II and XVI: Responsibility for Developing Written Evidence AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR). ----------------------------------------------------------------------- SUMMARY: We are providing notice of SSR 17-4p. This SSR clarifies our responsibilities and the responsibilities of a claimant and a claimant's representative to develop evidence and other information in disability and blindness claims. FOR FURTHER INFORMATION CONTACT: Patrick McGuire, Office of Appellate Operations, Social Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041, (703) 605-7100. 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 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 until 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 SSR 17-4p: Titles II and XVI: Responsibility for Developing Written Evidence Purpose This Ruling clarifies our responsibilities and those of the claimant and the claimant's representative to develop evidence and other information in disability and blindness claims under titles II and XVI of the Social Security Act (Act). This Ruling applies at all levels of our administrative review process, as described below. Citations (Authority) Sections 206(a), 223(d), and 1614(a) of the Social Security Act, as amended; 20 CFR 404.935, 404.970, 404.1512, 404.1513, 404.1593, 404.1594, 404.1614, 404.1740, 404.1745, 416.912, 416.913, 416.993, 416.994, 416.1014, 416.1435, 416.1470, 416.1540, and 416.1545. Introduction We need complete evidentiary records to make accurate, consistent disability determinations and decisions at each level of our administrative review process. Although we take a role in developing the evidentiary record in disability claims, claimants and their appointed representatives have the primary responsibility under the Act to provide evidence in support of their disability or blindness claims. Consequently, we expect claimants and their representatives to make good faith efforts to ensure that we receive complete evidence. Under the Act, we cannot find that an individual is disabled ``unless [he or she] furnishes such medical and other evidence of the existence thereof as the Commissioner of Social Security may require.'' \1\ This statutory provision places primary responsibility for the development of evidence on the claimant. Consistent with the claimant's statutory obligation to provide us with evidence regarding his or her disability or blindness claim, our regulations require a claimant to submit or inform us about all evidence known to him or her that relates to whether or not he or she is disabled or blind.\2\ At the hearings level, a claimant generally must submit or inform us about written evidence at least 5 business days before the date of his or her scheduled hearing.\3\ We adopted this 5-day requirement in December 2016 and implemented it in May 2017, to address unprecedented workload challenges.\4\ As we explained in the preamble to our notice of proposed rulemaking, ``[w]e cannot afford to continue postponing hearing proceedings because the record is not complete at the time of the hearing.'' \5\ --------------------------------------------------------------------------- \1\ Sections 223(d)(5)(A) and 1614(a)(3)(H)(i) of the Act, 42 USC 423(d)(5)(A) and 1382c(a)(3)(H)(i). \2\ 20 CFR 404.1512(a) and 416.912(a). \3\ 20 CFR 404.935(a) and 416.1435(a). \4\ 81 FR 90987. \5\ 81 FR 45079, 45080 (2016). --------------------------------------------------------------------------- A representative's duty to submit evidence is derivative of the claimant's; \6\ however, representatives must also follow our rules of conduct and standards of responsibility for representatives.\7\ Those rules impose an affirmative duty on a representative to act with reasonable promptness to help obtain the information or evidence that the claimant must submit and forward the information or evidence to us as soon as practicable.\8\ A representative also has an affirmative duty to assist a claimant in complying, as soon as practicable, with our requests for information or evidence.\9\ --------------------------------------------------------------------------- \6\ 20 CFR 404.1710(a) and 416.1510(a). \7\ 20 CFR 404.1740 and 416.1540. \8\ 20 CFR 404.1740(b)(1) and 416.1540(b)(1). \9\ 20 CFR 404.1740(b)(2) and 416.1540(b)(2). --------------------------------------------------------------------------- This Ruling explains the requirement to submit or inform us about evidence and clarifies who has the final [[Page 46340]] responsibility to obtain written evidence. Policy Interpretation 1. Statutory Provisions In general, an individual has a statutory obligation to provide us with evidence to prove to us that he or she is disabled or blind. The Act also precludes us from finding that an individual is disabled or blind unless he or she submits such evidence to us.\10\ --------------------------------------------------------------------------- \10\ See sections 223(d)(5)(A) and 1614(a)(3)(H)(i) of the Act, 42 USC 423(d)(5)(A) and 1382c(a)(3)(H)(i); 20 CFR 404.1512(a)(1) and 416.912(a)(1). --------------------------------------------------------------------------- The Act also provides that we ``shall consider all evidence available in [an] individual's case record, and shall develop a complete medical history of at least the preceding twelve months for any case in which a determination is made that the individual is not under a disability.'' \11\ In addition, when we make any determination, the Act requires us to ``make every reasonable effort to obtain from the individual's treating physician (or other treating health care provider) all medical evidence, including diagnostic tests, necessary in order to properly make such determination, prior to evaluating medical evidence obtained from any other source on a consultative basis.'' \12\ --------------------------------------------------------------------------- \11\ Sections 223(d)(5)(B) and 1614(a)(3)(H)(i) of the Act, 42 USC 423(d)(5)(B) and 1382c(a)(3)(H)(i). \12\ Id. --------------------------------------------------------------------------- Thus, although a claimant has the primary responsibility to submit evidence related to his or her disability or blindness claim, the Act also gives us a role in developing evidence. Our statutory responsibilities to ensure that we develop a complete 12-month medical history when we make a determination about whether an individual is under a disability, and to make every reasonable effort to obtain from a claimant's treating source all medical evidence that we need to make a determination before we evaluate medical evidence from a consultative examiner, does not, however, reduce the claimant's responsibilities in any way. 2. An Individual's Affirmative Duty To Provide Written Evidence Our regulations require an individual to submit or inform us about all evidence known to him or her that relates to whether or not he or she is disabled or blind.\13\ This duty is ongoing and requires an individual to disclose any additional evidence about which he or she becomes aware. This duty applies at each level of the administrative review process, including the Appeals Council level if the evidence relates to the period on or before the date of the administrative law judge (ALJ) hearing decision.\14\ --------------------------------------------------------------------------- \13\ 20 CFR 404.1512(a)(1) and 416.912(a)(1). \14\ 20 CFR 404.1512(a)(1) and 416.912(a)(1). --------------------------------------------------------------------------- Generally, individuals must submit or inform us about any written evidence no later than 5 business days prior to the date of the scheduled hearing before an ALJ.\15\ The ALJ may decline to consider or obtain any evidence if disclosure takes place after this date, unless certain circumstances outlined in the regulations apply.\16\ --------------------------------------------------------------------------- \15\ 20 CFR 404.935 and 416.1435. \16\ 20 CFR 404.935(b) and 416.1425(b). However, for age-18 redetermination and continuing-disability review cases under title XVI of the Act, the requirement to submit or inform us about evidence no later than 5 business days before a scheduled hearing does not apply if our other rules allow the claimant to submit evidence after the date of an ALJ decision. See 20 CFR 416.1435(c) and 416.1470(b). --------------------------------------------------------------------------- We expect individuals to exercise their reasonable good faith judgment about what evidence ``relates'' to their disability claims.\17\ Evidence that may relate to whether or not a claimant is blind or disabled includes objective medical evidence, medical opinion evidence, other medical evidence, and evidence from nonmedical sources.\18\ --------------------------------------------------------------------------- \17\ 80 FR 14828, 14829 (March 20, 2015). \18\ 20 CFR 404.1513(a) and 416.913(a). However, evidence generally does not include confidential communications between the individual and his or her representative about providing or obtaining legal advice, and it does not include a representative's written analyses of the claim. 20 CFR 404.1513(b) and 416.913(b). --------------------------------------------------------------------------- To satisfy the claimant's obligation under the regulations to ``inform'' us about written evidence, he or she must provide information specific enough to identify the evidence (source, location, and dates of treatment) and show that the evidence relates to the individual's medical condition, work activity, job history, medical treatment, or other issues relevant to whether or not the individual is disabled or blind. If the individual does not provide us with information specific enough to allow us to identify the written evidence and understand how it relates to whether or not the individual is disabled or blind, the individual has not informed us about evidence within the meaning of 20 CFR 404.935, 404.1512, 416.912 or 416.1435, and we will not request that evidence. 3. A Representative's Affirmative Duty To Assist in Developing Written Evidence Our regulations require appointed representatives to assist claimants in complying fully with their responsibilities under the Act and our regulations. All representatives must faithfully execute their duties as agents and fiduciaries of claimants. In that regard, representatives must assist claimants in satisfying the claimants' duties regarding the submission of evidence and in complying with our requests for information or evidence as outlined in the prior section.\19\ --------------------------------------------------------------------------- \19\ See 20 CFR 404.1740(b)(1), (b)(2) and 416.1540(b)(1), (b)(2). --------------------------------------------------------------------------- In addition to these responsibilities, a representative has an affirmative duty to provide competent assistance to the claimant, including acting with reasonable promptness to help obtain information or evidence the claimant must submit.\20\ To fulfill his or her affirmative duties under our rules, the representative must forward this information or evidence to us and must assist the claimant in complying with our requests for information or evidence as soon as practicable.\21\ In addition, under our rules of conduct, the representative is prohibited from, through his or her own actions or omissions, unreasonably delaying or causing to be delayed, without good cause, the processing of a claim at any stage of the administrative decisionmaking process.\22\ Representatives are also prohibited from engaging in actions or behavior prejudicial to the fair and orderly conduct of administrative proceedings.\23\ A representative's failure to comply with his or her affirmative duties (or his or her engagement in prohibited actions) could result in disciplinary action. --------------------------------------------------------------------------- \20\ See 20 CFR 404.1740(b)(3) and 416.1540(b)(3). \21\ 20 CFR 404.1740(b)(1), (b)(2) and 416.1540(b)(1), (b)(2). \22\ 20 CFR 404.1740(c)(4) and 416.1540(c)(4). \23\ 20 CFR 404.1740(c)(7) and 416.1540(c)(7). --------------------------------------------------------------------------- While our regulations state that a claimant must submit or inform us of all written evidence at least 5 business days prior to a hearing, our rules of conduct place additional requirements on representatives. As discussed above, under the rules of conduct, representatives are: (1) Required to act with reasonable promptness to help obtain information or evidence the claimant must submit; (2) required to assist the claimant in complying with our requests for information or evidence as soon as practicable; (3) prohibited from unreasonably delaying or causing a delay of the processing of a claim without good cause; and (4) prohibited from actions or behavior prejudicial to the fair and orderly conduct of administrative proceedings. Therefore, we expect representatives to submit or inform us about written evidence as soon as they obtain or become aware of it. Representatives should not wait until 5 business days before the hearing to [[Page 46341]] submit or inform us about written evidence unless they have compelling reasons for the delay (e.g., it was impractical to submit the evidence earlier because it was difficult to obtain or the representative was not aware of the evidence at an earlier date). In addition, it is only acceptable for a representative to inform us about evidence without submitting it if the representative shows that, despite good faith efforts, he or she could not obtain the evidence. Simply informing us of the existence of evidence without providing it or waiting until 5 days before a hearing to inform us about or provide evidence when it was otherwise available, may cause unreasonable delay to the processing of the claim, without good cause, and may be prejudicial to the fair and orderly conduct of our administrative proceedings. As such, this behavior could be found to violate our rules of conduct and could lead to sanction proceedings against the representative. Pursuant to the Act, we may, after due notice and opportunity for hearing, suspend or prohibit from further practice before the Commissioner a representative who refuses to comply with our rules and regulations or who violates any provision for which a penalty is prescribed.\24\ --------------------------------------------------------------------------- \24\ 42 USC 406(a)(1). See also 20 CFR 404.1745 and 416.1545 (``When we have evidence that a representative . . . has violated the rules governing dealings with us, we may begin proceedings to suspend or disqualify that individual from acting in a representational capacity before us.'') --------------------------------------------------------------------------- We will evaluate each circumstance on a case-by-case basis to determine whether to refer a possible violation of our rules to our Office of the General Counsel (OGC). For example, in accordance with the regulatory interpretation discussed above, we may refer a possible violation of rules to OGC when:A representative informs us about written evidence but refuses, without good cause, to make good faith efforts to obtain and timely submit the evidence; a representative informs us about evidence that relates to a claim instead of acting with reasonable promptness to help obtain and timely submit the evidence to us; the representative waits until 5 days before a hearing to provide or inform us of evidence when the evidence was known to the representative or available to provide to us at an earlier date; the clients of a particular representative have a pattern of informing us about written evidence instead of making good-faith efforts to obtain and timely submit the evidence; or any other occasion when a representative's actions with regard to the submission of evidence may violate our rules for representatives. When we refer a possible violation to OGC, it does not change our duties with respect to the development of the evidence.\25\ --------------------------------------------------------------------------- \25\ See 20 CFR 404.935 and 416.1435. --------------------------------------------------------------------------- 4. Our Duty To Assist Claimants in Developing Written Evidence Before we make a determination that an individual is not disabled, we must develop the individual's complete medical history, generally for at least 12 months preceding the month in which he or she applied for benefits.\26\ We will make every reasonable effort to help individuals obtain medical evidence from their own medical sources and entities that maintain medical evidence when the individual gives us permission to request the information.\27\ Every reasonable effort means that we will make an initial request for evidence from the medical source or entity that maintains the medical evidence, and, at any time between 10 and 20 calendar days after the initial request, if the evidence has not been received, we will make a follow-up request to obtain the medical evidence necessary to make a determination.\28\ --------------------------------------------------------------------------- \26\ Sections 223(d)(5)(B) and 1614(a)(3)(H)(i) of the Act, 42 USC 423(d)(5)(B) and 1382c(a)(3)(H)(i); 20 CFR 404.1512(b) and 416.912(b). \27\ 20 CFR 404.1512(b)(1) and 416.912(b)(1). \28\ 20 CFR 404.1512(b)(1)(i), 404.1593(b), 416.912(b)(1)(i), and 416.993(b). --------------------------------------------------------------------------- We will assist with developing the record and may request existing evidence directly from a medical source or entity that maintains the evidence if: We were informed about the evidence (in the manner explained above) no later than 5 business days before the date of the scheduled hearing; or we were not informed about the evidence at least 5 business days before the date of the scheduled hearing, but one of the circumstances listed in 20 CFR 404.935(b) or 416.1535(b) applies. We will first ask the individual or representative to submit the evidence. However, if the individual or representative shows that he or she is unable to obtain the evidence despite good faith efforts or for reasons beyond his or her control, we may request the evidence directly from the medical source or entity that maintains the evidence. At the Appeals Council level of review, development of evidence is more limited. The Appeals Council will not obtain or evaluate additional evidence when deciding whether to grant review unless: One of the circumstances listed in 20 CFR 404.970(b) or 416.1470(b) applies and the individual or his or her representative shows that the evidence is related to the period on or before the date of the hearing level decision; or the claim is a title XVI claim that is not based on an application for benefits (e.g., an age-18 redetermination). [FR Doc. 2017-21252 Filed 10-3-17; 8:45 am] BILLING CODE 4191-02-P
![Federal Register / Vol. 82, No. 191 / Wednesday, October 4, 2017 / Notices 46339
On September 27, 2017, the Exchange SUPPLEMENTARY INFORMATION: Although developing the evidentiary record in
withdrew the proposed rule change 5 U.S.C. 552(a)(1) and (a)(2) do not disability claims, claimants and their
(SR–NYSEArca–2017–06), as modified require us to publish this SSR, we are appointed representatives have the
by Amendment No. 2. doing so in accordance with 20 CFR primary responsibility under the Act to
For the Commission, by the Division of 402.35(b)(1). provide evidence in support of their
Trading and Markets, pursuant to delegated Through SSRs, we make available to disability or blindness claims.
authority.10 the public precedential decisions Consequently, we expect claimants and
Eduardo A. Aleman, relating to the Federal old-age, their representatives to make good faith
Assistant Secretary. survivors, disability, supplemental efforts to ensure that we receive
[FR Doc. 2017–21275 Filed 10–3–17; 8:45 am]
security income, and special veterans’ complete evidence.
BILLING CODE 8011–01–P
benefits programs. We may base SSRs Under the Act, we cannot find that an
on determinations or decisions made at individual is disabled ‘‘unless [he or
all levels of administrative adjudication, she] furnishes such medical and other
Federal court decisions, Commissioner’s evidence of the existence thereof as the
SOCIAL SECURITY ADMINISTRATION
decisions, opinions of the Office of the Commissioner of Social Security may
[Docket No. SSA–2017–0048] General Counsel, or other require.’’ 1 This statutory provision
interpretations of the law and places primary responsibility for the
Social Security Ruling, SSR 17–4p; regulations. development of evidence on the
Titles II and XVI: Responsibility for Although SSRs do not have the same claimant. Consistent with the claimant’s
Developing Written Evidence force and effect as statutes or statutory obligation to provide us with
AGENCY: Social Security Administration. regulations, they are binding on all evidence regarding his or her disability
ACTION: Notice of Social Security Ruling components of the Social Security or blindness claim, our regulations
(SSR). Administration. 20 CFR 402.35(b)(1). require a claimant to submit or inform
This SSR will remain in effect until us about all evidence known to him or
SUMMARY: We are providing notice of we publish a notice in the Federal her that relates to whether or not he or
SSR 17–4p. This SSR clarifies our Register that rescinds it, or until we she is disabled or blind.2 At the hearings
responsibilities and the responsibilities publish a new SSR that replaces or level, a claimant generally must submit
of a claimant and a claimant’s modifies it. or inform us about written evidence at
representative to develop evidence and (Catalog of Federal Domestic Assistance, least 5 business days before the date of
other information in disability and Programs Nos. 96.001, Social Security— his or her scheduled hearing.3 We
blindness claims. Disability Insurance; 96.002, Social adopted this 5-day requirement in
FOR FURTHER INFORMATION CONTACT: Security—Retirement Insurance; 96.004, December 2016 and implemented it in
Patrick McGuire, Office of Appellate Social Security—Survivors Insurance;
96.006—Supplemental Security Income.)
May 2017, to address unprecedented
Operations, Social Security workload challenges.4 As we explained
Administration, 5107 Leesburg Pike, Nancy A. Berryhill, in the preamble to our notice of
Falls Church, VA 22041, (703) 605– Acting Commissioner of Social Security. proposed rulemaking, ‘‘[w]e cannot
7100. For information on eligibility or afford to continue postponing hearing
filing for benefits, call our national toll- POLICY INTERPRETATION RULING
proceedings because the record is not
free number, 1–800–772–1213 or TTY SSR 17–4p: Titles II and XVI: complete at the time of the hearing.’’ 5
1–800–325–0778, or visit our Internet Responsibility for Developing Written A representative’s duty to submit
site, Social Security Online, at http:// Evidence evidence is derivative of the
www.socialsecurity.gov. Purpose claimant’s; 6 however, representatives
must also follow our rules of conduct
Jeffrey Wilcke, Ethereum Foundation); Mark T. This Ruling clarifies our
and standards of responsibility for
Williams, Finance Professor, Boston University responsibilities and those of the
(Mar. 13, 2017); Clark Haley (Apr. 15, 2017); Daniel representatives.7 Those rules impose an
claimant and the claimant’s
Warsh, Managing Member, Warberg Asset affirmative duty on a representative to
Management (Jun. 8, 2017); Murray Stahl, representative to develop evidence and
act with reasonable promptness to help
Chairman, CEO, CIO, and Hugh Ross, COO, Horizon other information in disability and
obtain the information or evidence that
Kinetics LLC (Jun. 12, 2017); Tim Lewkow, blindness claims under titles II and XVI
Founder, Wealth Manager (Jun. 14, 2017); Jerry the claimant must submit and forward
of the Social Security Act (Act). This
Brito, Executive Director, Coin Center (Jun. 20, the information or evidence to us as
2017); Sheri Kaiserman, Managing Director, Ruling applies at all levels of our
soon as practicable.8 A representative
Wedbush Securities (Jun. 20, 2017); Douglas M. administrative review process, as
Yones, Head of Exchange Traded Products, New also has an affirmative duty to assist a
described below.
York Stock Exchange, and Elizabeth King, General claimant in complying, as soon as
Counsel, New York Stock Exchange (Jun. 28, 2017); Citations (Authority) practicable, with our requests for
Arthur Levitt (Jul. 5, 2017); Jeffrey McCarthy, CEO,
Exchange Traded Funds, The Bank of New York Sections 206(a), 223(d), and 1614(a) of information or evidence.9
Mellon (Jul. 7, 2017); Ari Paul, CIO and Managing the Social Security Act, as amended; 20 This Ruling explains the requirement
Partner, Block Tower Capital (Jul. 9, 2017); Dr.
CFR 404.935, 404.970, 404.1512, to submit or inform us about evidence
James Smith, CEO, Elliptic (Jul. 18, 2017); Prof. and clarifies who has the final
Campbell R. Harvey, Fuqua School of Business, 404.1513, 404.1593, 404.1594, 404.1614,
Duke University, et al. (Aug. 28, 2017); James J. 404.1740, 404.1745, 416.912, 416.913,
Angel, Associate Professor of Finance, McDonough 416.993, 416.994, 416.1014, 416.1435, 1 Sections 223(d)(5)(A) and 1614(a)(3)(H)(i) of the
School of Business, Georgetown University (Sept. Act, 42 USC 423(d)(5)(A) and 1382c(a)(3)(H)(i).
sradovich on DSK3GMQ082PROD with NOTICES
11, 2017); Matt Corallo (Sept. 11, 2017); Joseph A.
416.1470, 416.1540, and 416.1545. 2 20 CFR 404.1512(a) and 416.912(a).
Hall, Davis Polk & Wardwell LLP. All comments on Introduction 3 20 CFR 404.935(a) and 416.1435(a).
the proposed rule change, as well as a copy of the 4 81 FR 90987.
presentation submitted in a meeting with the We need complete evidentiary records 5 81 FR 45079, 45080 (2016).
Commission’s staff on July 7, 2017, are available on to make accurate, consistent disability 6 20 CFR 404.1710(a) and 416.1510(a).
the Commission’s Web site at: https://www.sec.gov/
comments/sr-nysearca-2017-06/ determinations and decisions at each 7 20 CFR 404.1740 and 416.1540.
nysearca201706.htm. level of our administrative review 8 20 CFR 404.1740(b)(1) and 416.1540(b)(1).
10 17 CFR 200.30–3(a)(12). process. Although we take a role in 9 20 CFR 404.1740(b)(2) and 416.1540(b)(2).
VerDate Sep<11>2014 20:18 Oct 03, 2017 Jkt 244001 PO 00000 Frm 00129 Fmt 4703 Sfmt 4703 E:\FR\FM\04OCN1.SGM 04OCN1](https://thefederalregister.org/doc/82_FR_46530/page/1.svg)
![46340 Federal Register / Vol. 82, No. 191 / Wednesday, October 4, 2017 / Notices
responsibility to obtain written the period on or before the date of the and fiduciaries of claimants. In that
evidence. administrative law judge (ALJ) hearing regard, representatives must assist
decision.14 claimants in satisfying the claimants’
Policy Interpretation Generally, individuals must submit or duties regarding the submission of
1. Statutory Provisions inform us about any written evidence no evidence and in complying with our
In general, an individual has a later than 5 business days prior to the requests for information or evidence as
statutory obligation to provide us with date of the scheduled hearing before an outlined in the prior section.19
evidence to prove to us that he or she ALJ.15 The ALJ may decline to consider In addition to these responsibilities, a
is disabled or blind. The Act also or obtain any evidence if disclosure representative has an affirmative duty to
precludes us from finding that an takes place after this date, unless certain provide competent assistance to the
individual is disabled or blind unless he circumstances outlined in the claimant, including acting with
or she submits such evidence to us.10 regulations apply.16 reasonable promptness to help obtain
The Act also provides that we ‘‘shall We expect individuals to exercise information or evidence the claimant
consider all evidence available in [an] their reasonable good faith judgment must submit.20 To fulfill his or her
individual’s case record, and shall about what evidence ‘‘relates’’ to their affirmative duties under our rules, the
develop a complete medical history of at disability claims.17 Evidence that may representative must forward this
least the preceding twelve months for relate to whether or not a claimant is information or evidence to us and must
any case in which a determination is blind or disabled includes objective assist the claimant in complying with
made that the individual is not under a medical evidence, medical opinion our requests for information or evidence
disability.’’ 11 In addition, when we evidence, other medical evidence, and as soon as practicable.21 In addition,
make any determination, the Act evidence from nonmedical sources.18 under our rules of conduct, the
requires us to ‘‘make every reasonable To satisfy the claimant’s obligation representative is prohibited from,
effort to obtain from the individual’s under the regulations to ‘‘inform’’ us through his or her own actions or
treating physician (or other treating about written evidence, he or she must omissions, unreasonably delaying or
health care provider) all medical provide information specific enough to causing to be delayed, without good
evidence, including diagnostic tests, identify the evidence (source, location, cause, the processing of a claim at any
necessary in order to properly make and dates of treatment) and show that stage of the administrative
such determination, prior to evaluating the evidence relates to the individual’s decisionmaking process.22
medical evidence obtained from any medical condition, work activity, job Representatives are also prohibited from
other source on a consultative basis.’’ 12 history, medical treatment, or other engaging in actions or behavior
Thus, although a claimant has the issues relevant to whether or not the prejudicial to the fair and orderly
primary responsibility to submit individual is disabled or blind. If the conduct of administrative
evidence related to his or her disability individual does not provide us with proceedings.23 A representative’s failure
or blindness claim, the Act also gives us information specific enough to allow us to comply with his or her affirmative
a role in developing evidence. Our to identify the written evidence and duties (or his or her engagement in
statutory responsibilities to ensure that understand how it relates to whether or prohibited actions) could result in
we develop a complete 12-month not the individual is disabled or blind, disciplinary action.
medical history when we make a the individual has not informed us While our regulations state that a
determination about whether an about evidence within the meaning of claimant must submit or inform us of all
individual is under a disability, and to 20 CFR 404.935, 404.1512, 416.912 or written evidence at least 5 business days
make every reasonable effort to obtain 416.1435, and we will not request that prior to a hearing, our rules of conduct
from a claimant’s treating source all evidence. place additional requirements on
medical evidence that we need to make representatives. As discussed above,
3. A Representative’s Affirmative Duty under the rules of conduct,
a determination before we evaluate
To Assist in Developing Written representatives are: (1) Required to act
medical evidence from a consultative
Evidence with reasonable promptness to help
examiner, does not, however, reduce the
claimant’s responsibilities in any way. Our regulations require appointed obtain information or evidence the
representatives to assist claimants in claimant must submit; (2) required to
2. An Individual’s Affirmative Duty To complying fully with their assist the claimant in complying with
Provide Written Evidence responsibilities under the Act and our our requests for information or evidence
Our regulations require an individual regulations. All representatives must as soon as practicable; (3) prohibited
to submit or inform us about all faithfully execute their duties as agents from unreasonably delaying or causing
evidence known to him or her that a delay of the processing of a claim
relates to whether or not he or she is 14 20 CFR 404.1512(a)(1) and 416.912(a)(1). without good cause; and (4) prohibited
disabled or blind.13 This duty is ongoing 15 20 CFR 404.935 and 416.1435. from actions or behavior prejudicial to
and requires an individual to disclose 16 20 CFR 404.935(b) and 416.1425(b). However,
the fair and orderly conduct of
for age-18 redetermination and continuing- administrative proceedings. Therefore,
any additional evidence about which he disability review cases under title XVI of the Act,
or she becomes aware. This duty applies the requirement to submit or inform us about we expect representatives to submit or
at each level of the administrative evidence no later than 5 business days before a inform us about written evidence as
review process, including the Appeals scheduled hearing does not apply if our other rules soon as they obtain or become aware of
allow the claimant to submit evidence after the date it. Representatives should not wait until
Council level if the evidence relates to of an ALJ decision. See 20 CFR 416.1435(c) and
sradovich on DSK3GMQ082PROD with NOTICES
416.1470(b). 5 business days before the hearing to
10 See sections 223(d)(5)(A) and 1614(a)(3)(H)(i) 17 80 FR 14828, 14829 (March 20, 2015).
of the Act, 42 USC 423(d)(5)(A) and 18 20 CFR 404.1513(a) and 416.913(a). However,
19 See 20 CFR 404.1740(b)(1), (b)(2) and
1382c(a)(3)(H)(i); 20 CFR 404.1512(a)(1) and evidence generally does not include confidential 416.1540(b)(1), (b)(2).
416.912(a)(1). communications between the individual and his or
20 See 20 CFR 404.1740(b)(3) and 416.1540(b)(3).
11 Sections 223(d)(5)(B) and 1614(a)(3)(H)(i) of the 21 20 CFR 404.1740(b)(1), (b)(2) and
her representative about providing or obtaining
Act, 42 USC 423(d)(5)(B) and 1382c(a)(3)(H)(i). legal advice, and it does not include a 416.1540(b)(1), (b)(2).
12 Id. 22 20 CFR 404.1740(c)(4) and 416.1540(c)(4).
representative’s written analyses of the claim. 20
13 20 CFR 404.1512(a)(1) and 416.912(a)(1). CFR 404.1513(b) and 416.913(b). 23 20 CFR 404.1740(c)(7) and 416.1540(c)(7).
VerDate Sep<11>2014 20:18 Oct 03, 2017 Jkt 244001 PO 00000 Frm 00130 Fmt 4703 Sfmt 4703 E:\FR\FM\04OCN1.SGM 04OCN1](https://thefederalregister.org/doc/82_FR_46530/page/2.svg)
![Federal Register / Vol. 82, No. 191 / Wednesday, October 4, 2017 / Notices 46341
submit or inform us about written • any other occasion when a evidence when deciding whether to
evidence unless they have compelling representative’s actions with regard to grant review unless:
reasons for the delay (e.g., it was the submission of evidence may violate • One of the circumstances listed in
impractical to submit the evidence our rules for representatives. 20 CFR 404.970(b) or 416.1470(b)
earlier because it was difficult to obtain When we refer a possible violation to applies and the individual or his or her
or the representative was not aware of OGC, it does not change our duties with representative shows that the evidence
the evidence at an earlier date). In respect to the development of the is related to the period on or before the
addition, it is only acceptable for a evidence.25 date of the hearing level decision; or
representative to inform us about • the claim is a title XVI claim that
evidence without submitting it if the 4. Our Duty To Assist Claimants in is not based on an application for
representative shows that, despite good Developing Written Evidence benefits (e.g., an age-18
faith efforts, he or she could not obtain Before we make a determination that redetermination).
the evidence. Simply informing us of an individual is not disabled, we must [FR Doc. 2017–21252 Filed 10–3–17; 8:45 am]
the existence of evidence without develop the individual’s complete BILLING CODE 4191–02–P
providing it or waiting until 5 days medical history, generally for at least 12
before a hearing to inform us about or months preceding the month in which
provide evidence when it was otherwise he or she applied for benefits.26 We will DEPARTMENT OF STATE
available, may cause unreasonable delay make every reasonable effort to help
to the processing of the claim, without individuals obtain medical evidence [Public Notice 10152]
good cause, and may be prejudicial to from their own medical sources and
the fair and orderly conduct of our Notice of Determinations; Culturally
entities that maintain medical evidence
administrative proceedings. As such, Significant Objects Imported for
when the individual gives us
this behavior could be found to violate Exhibition Determinations: Exhibition
permission to request the information.27
our rules of conduct and could lead to of Paintings by Women Artists in Paris
Every reasonable effort means that we
sanction proceedings against the Between 1850 and 1900
will make an initial request for evidence
representative. from the medical source or entity that SUMMARY: Notice is hereby given of the
Pursuant to the Act, we may, after due maintains the medical evidence, and, at following determinations: I hereby
notice and opportunity for hearing, any time between 10 and 20 calendar determine that certain objects to be
suspend or prohibit from further days after the initial request, if the included in the traveling exhibition
practice before the Commissioner a evidence has not been received, we will identified under the titles below,
representative who refuses to comply make a follow-up request to obtain the imported from abroad for temporary
with our rules and regulations or who medical evidence necessary to make a exhibition within the United States, are
violates any provision for which a determination.28 of cultural significance. The objects are
penalty is prescribed.24 We will assist with developing the imported pursuant to loan agreements
We will evaluate each circumstance record and may request existing with the foreign owners or custodians.
on a case-by-case basis to determine evidence directly from a medical source I also determine that the exhibition or
whether to refer a possible violation of or entity that maintains the evidence if: display of the exhibit objects at the
our rules to our Office of the General • We were informed about the Denver Art Museum, Denver, Colorado,
Counsel (OGC). For example, in evidence (in the manner explained under the title ‘‘Her Paris: Women
accordance with the regulatory above) no later than 5 business days Artists in the Age of Impressionism,’’
interpretation discussed above, we may before the date of the scheduled hearing; from on or about October 22, 2017, until
refer a possible violation of rules to OGC or on or about January 14, 2018; at the
when: • we were not informed about the Speed Art Museum, Louisville,
• A representative informs us about
evidence at least 5 business days before Kentucky, under the title ‘‘Women
written evidence but refuses, without
the date of the scheduled hearing, but Artists in the Age of Impressionism,’’
good cause, to make good faith efforts to
one of the circumstances listed in 20 from on or about February 17, 2018,
obtain and timely submit the evidence;
CFR 404.935(b) or 416.1535(b) applies. until on or about May 13, 2018; at The
• a representative informs us about
We will first ask the individual or Sterling and Francine Clark Art
evidence that relates to a claim instead
representative to submit the evidence. Institute, Williamstown, Massachusetts,
of acting with reasonable promptness to
However, if the individual or under the title ‘‘Women Artists in Paris
help obtain and timely submit the
representative shows that he or she is 1850–1900,’’ from on or about June 9,
evidence to us;
• the representative waits until 5 days unable to obtain the evidence despite 2018, until on or about September 3,
before a hearing to provide or inform us good faith efforts or for reasons beyond 2018; and at possible additional
of evidence when the evidence was his or her control, we may request the exhibitions or venues yet to be
known to the representative or available evidence directly from the medical determined, is in the national interest.
to provide to us at an earlier date; source or entity that maintains the FOR FURTHER INFORMATION CONTACT: For
• the clients of a particular evidence. further information, including a list of
representative have a pattern of At the Appeals Council level of the imported objects, contact Elliot Chiu
informing us about written evidence review, development of evidence is in the Office of the Legal Adviser, U.S.
instead of making good-faith efforts to more limited. The Appeals Council will Department of State (telephone: 202–
not obtain or evaluate additional 632–6471; email: section2459@
sradovich on DSK3GMQ082PROD with NOTICES
obtain and timely submit the evidence;
or state.gov). The mailing address is U.S.
25 See 20 CFR 404.935 and 416.1435. Department of State, L/PD, SA–5, Suite
24 42 USC 406(a)(1). See also 20 CFR 404.1745
26 Sections223(d)(5)(B) and 1614(a)(3)(H)(i) of the 5H03, Washington, DC 20522–0505.
and 416.1545 (‘‘When we have evidence that a Act, 42 USC 423(d)(5)(B) and 1382c(a)(3)(H)(i); 20
SUPPLEMENTARY INFORMATION: The
representative . . . has violated the rules governing CFR 404.1512(b) and 416.912(b).
dealings with us, we may begin proceedings to 27 20 CFR 404.1512(b)(1) and 416.912(b)(1). foregoing determinations were made
suspend or disqualify that individual from acting in 28 20 CFR 404.1512(b)(1)(i), 404.1593(b), pursuant to the authority vested in me
a representational capacity before us.’’) 416.912(b)(1)(i), and 416.993(b). by the Act of October 19, 1965 (79 Stat.
VerDate Sep<11>2014 20:18 Oct 03, 2017 Jkt 244001 PO 00000 Frm 00131 Fmt 4703 Sfmt 4703 E:\FR\FM\04OCN1.SGM 04OCN1](https://thefederalregister.org/doc/82_FR_46530/page/3.svg)
Document Created: 2018-10-25 09:53:07
Document Modified: 2018-10-25 09:53:07
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice of Social Security Ruling (SSR). | |
| Contact | Patrick McGuire, Office of Appellate Operations, Social Security Administration, 5107 Leesburg Pike, Falls Church, VA 22041, (703) 605-7100. 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 Citation | 82 FR 46339 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR