Social Security Disability Advocate's Handbook

Abbreviated Table of Contents

Chapter One: Introduction

Chapter Two: Standards of Review and Federal Court Remedies

Chapter Three: Topical and Sequential Evaluation Outlines

Chapter Four: SSR 96-1p: Application by the Social Security Administration (SSA) of Federal Circuit Court and District Court Decisions

Chapter Five: SSR 96-2p: Giving Controlling Weight to Treating Source Medical Opinions

Chapter Six: SSR 96-3p: Considering Allegations of Pain and Other Symptoms in Determining Whether a Medically Determinable Impairment Is Severe

Chapter Seven: SSR 96-4p: Symptoms, Medically Determinable Physical and Mental Impairments, and Exertional and Nonexertional Limitations

Chapter Eight: SSR 96-5p: Medical Source Opinions on Issues Reserved to the Commissioner

Chapter Nine: SSR 96-6p: 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

Chapter Ten: SSR 96-7p: Evaluation of Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements

Chapter Eleven: SSR 96-8p: Assessing Residual Functional Capacity in Initial Claims

Chapter Twelve: SSR 96-9p: Determining Capability to Do Other Work—Implications of a Residual Functional Capacity for Less Than a Full Range of Sedentary Work

Chapter Thirteen: The Role of Reliable Vocational Information at the Social Security Administration

Chapter Fourteen: The Dictionary of Occupational Titles, Structure, History, Reliability, and Validity

Chapter Fifteen: Other Sources of Vocational Data

Chapter Sixteen: Vocational Information and Analysis at Step Four of the Sequential Evaluation Process

Chapter Seventeen: Vocational Evidence at Step Five of the Sequential Evaluation Process

Chapter Eighteen: Transferability of Skills Analysis

Chapter Nineteen: Attacking Vocational Expert Testimony

Chapter Twenty: Vocational Expert Testimony on the Number of Jobs Available at Step Five

Appendix

Index to Rulings

Index to Book

 

Expanded Table of Contents

VOLUME I

Chapter One: Introduction

§100     Format and Purpose of This Handbook

§100.1     Search Tip

§101     History of Process Unification

§101.1     Something That Worked

§102     The Rulings Set Forth Broad Areas of Policy

§103     Social Security Rulings Are Binding

§103.1     Regulations Enforce the Rulings

§103.2     Case Law, The Supreme Court Enforces the Rulings

§103.3     Case Law: Are the Rulings Really Binding? The Skidmore/Chevron Conundrum

§104     Process Unification Rulings Commandments

§104.1     Practice Tip: How to Cite a Hyperlink

§104.2     Process Unification Ruling Hyperlinks

§104.3     Commandments in SSR 96-2p

§104.4     Commandments in SSR 96-3p

§104.5     Commandments in SSR 96-4p

§104.6     Commandments in SSR 96-5p

§104.7     Commandments in SSR 96-6p

§104.8     Commandments in SSR 96-7p

§104.9     Commandments in SSR 96-8p

§104.10    Commandments in SSR 96-9p

§105     Duty to Research

 

Chapter Two: Standards of Review and Federal Court Remedies

§200     Introduction to the Weight of Evidence and Judicial Review

§201     Standards of Review

§201.1     Standards of Review at an ALJ Hearing

§201.1.1       Practice Tip

§201.2     Standards of Review at the Appeals Council

§201.3     Practice Tip

§201.4     Standards of Review in Federal Court

§201.5     Practice Tip

§202     Amount of Proof Required

§202.1     Preponderance of the Evidence

§202.2     Abuse of Discretion

§202.3     “Substantial Evidence”

§202.3.1      “Relevant Evidence”

§202.4     Federal Courts Are Not Rubber Stamps

§202.5     Guesses, Speculations, Common Sense and Ruminations Are Not Substantial Evidence

§203     “Legal Error”

§203.1     The “Harmless Error” Rule

§203.2     Practice Tip

§204     Sequential Evaluation and Burden of Proof

§204.1     Burden of Proof in Cessation Cases

§205     Which Law Controls the Case?

§205.1     When Circuit Precedent Construes the Underlying Social Security Act

§205.2     When Circuit Precedent Is Consistent with SSA’s Regulations and Rulings

§205.3     When Circuit Precedent Conflicts With the Regulations or Rulings

§205.4     SSR 06-03p and Conflicting Circuit Court Decisions Regarding Retroactive Application of the Ruling

§206     Post Hoc Rationalizations

§206.1     Practice Tip

§206.2     Practice Tip

§206.3     “New” Internal Agency Memoranda Related to Specific Litigation

§207     Nonadversarial Social Security Administrative Proceedings and the Commissioner’s Duty Fully and Fairly to Develop the Record

§207.1     Duty to Develop the Record for Unrepresented Claimants

§208     Concluding Remarks About Review

§209     Remedies

§209.1     Remedies From the Appeals Council

§209.2     Remedies From the Federal Courts

§209.3     The Varney II “Credit as True” Remedy

§209.4     Lay Evidence in the Varney II “Credit as True” Analysis

§209.4.1    Vasquez, the Ninth Circuit Credit-as-True Rule Under Fire

§209.5     The Non-Varney Remedy Analysis

§210     The Remedy of Equal Access to Justice Act—EAJA Fees and Costs

§210.1     The EAJA Standard

§210.2     “Substantial Justification” Under the EAJA

§210.3     When Is an Application Timely Filed Under the EAJA?

§210.3.1      Amending an EAJA Application

§210.4     When Does the Absence of a Judgment Become a Judgment?

§210.5     Who Is a Prevailing Party Under the EAJA?

§210.5.1       Practice Tip

§210.6     What Circumstances Make an Award “Unjust” Under the EAJA?

§210.7     “Bad Faith” EAJA Fees

§210.8     EAJA Fees and Special Factors

§210.9     Sample EAJA Motion—One Attorney—Work in District Court Only

§210.9.1       Sample EAJA Brief—One Attorney—Work in District Court Only

§210.9.2       Sample EAJA Affidavit—One Attorney—Work in District Court Only

§210.9.3       Sample EAJA Calculation

§210.10    EAJA Costs—Sample Motion and Brief Add-In

§210.11    Proof of Net Worth Below §2,000,000 and Assignment of the EAJA Fee

§210.12    Sample EAJA Motion—Two Attorneys—Work in District and Circuit Courts

§210.13    Non-EAJA Attorney’s Fees—42 U.S.C. §406(b)

§210.14    Sample Brief—406(b) and the Evolving Law Regarding Offset of Agency Fees

§211     EAJA Fees—Representative Registration for Debt Collection and Taxes

§212     SSA and IRS Collaboration Regarding EAJA Fees and Debt Collection

§212.1     Case on Point: Ratliff v. Astrue and the Offset of Fees

 

Chapter Three: Topical and Sequential Evaluation Outlines

§300     Introduction

§301     Policy and Procedural Considerations

§301.1     Americans With Disabilities Act

§301.2     Applications

§301.3     Attorney Fees

§301.4     Cessations/Terminations

§301.5     Dictionary of Occupational Titles

§301.6     Evidence

§301.7     Hearings

§301.8     Missed Deadlines and Reopenings

§301.9     Nonacquiescence

§301.10    Res Judicata  

§301.11    Subpoenas

§301.12    Fugitive Felon

§302     Disability and the Sequential Evaluation

§302.1     History of the Relevant CFR Sections

§302.2     Explanations of the Changes

§302.3     Special Profiles

§302.4     Different Sequential Evaluations for Children’s Cases

§302.4.1   Evaluation Standards for Children’s Cases

§302.5     General

§302.6     Onset and Duration

§302.7     Step One: Is the Claimant Performing Substantial Gainful Activity?

§302.8     Step Two: Is the Claimant’s Impairment “Severe”?

§302.9     Step Three: Does the Claimant’s Impairment(s) Meet or Equal an Impairment in the Listing of Impairments?—Step Three General Considerations

§302.10    Step Three: Does the Claimant’s Impairment(s) Meet or Equal an Impairment in the Listing of Impairments?—Medical Equivalence

§302.11    Step Three: Does the Claimant’s Impairment(s) Meet or Equal an Impairment in the Listing of Impairments?—Specific Impairments

§302.12    Step Four: Is the Claimant Capable of Performing Past Relevant Work?

§302.13    Determining Residual Functional Capacity (RFC)

§302.14    Past Relevant Work

§302.15    Elements of Past Relevant Work

§302.16    Step Five: Does the Claimant’s Impairment Prevent the Performance of Any Other Substantial Gainful Activity?

§302.17    Step Five: Before Using the Medical-Vocational Guidelines

§302.18    Step Five: General Considerations

§302.19    Step Five: Transferability of Work Skills

§302.20    Using the Medical-Vocational Guidelines (Grids)

 

Chapter Four: SSR 96-1p: Application by the Social Security Administration (SSA) of Federal Circuit Court and District Court Decisions

§400     Introduction

§401     Purpose of SSR 96-1p

§402     District Court Decisions

§403     Law of the Case

§404     Nonacquiescence in Circuit Court

§404.1     Who Says What the Law Is?—Non Issue if No Conflict

§404.2     Practice Tip

§404.3     Which Circuit’s Law Applies When the Claimant Moves?

§405     Equal Access to Justice Act Fees (EAJA) and the Petard

§406     Quick-List of Acquiescence Rulings

 

Chapter Five: SSR 96-2p: Giving Controlling Weight to Treating Source Medical Opinions

§500     Introduction

§500.1     How the Ruling Works

§500.2     Who Is a Medical Source?

§500.3     Practice Tip

§501     When the Weight Given to a Treating Source’s Medical Opinions Must Be Explained

§502     The “Controlling Weight” Rule of SSR 96-2p

§502.1     Medically Acceptable

§502.2     Not Inconsistent

§502.3     Practice Tip: “Not Inconsistent” Is Not the Same as “Consistent”

§502.4     Well-Supported

§503     Treating Sources and “Medical Opinions”

§503.1     Treating Sources

§503.2     Medical Opinions

§503.3     Medical Opinions Regarding Residual Functional Capacity (RFC)

§503.4     “Issues Reserved to the Commissioner” and Residual Functional Capacity (RFC)

§503.5     Multiple Limitations in a Treating Source Statement

§504     SSR 96-2p and Circuit Precedent

§504.1     Bursting Bubble Theory and the Seventh Circuit

§504.2     The ALJ Must Provide Legitimate Reasons for Discounting a Treating Source Opinion

§505     Remedies for Failure to Follow SSR 96-2p

§505.1     Accepting the Source’s Opinion as True

§505.2     Remanding for Evaluation of the Source’s Opinion

§505.3     Substantial Evidence

§505.4     Substantial Evidence Versus Procedural Due Process

§505.5     Substantial Evidence, Procedural Due Process and Harmless Error (See §203.1)

§506     Practical Applications of SSR 96-2p

§507     All That Differs Is Not Necessarily a Conflict

§508     Nonmedical Evidence

§509     Medical Experts

§510     Treating Sources

§511     Controlling Weight Versus Greatest Weight

§512     The Ever-Changing Chameleon: SSR 96-2p and Additional Development of the Record

§512.1     Controlling the Record

§512.2     Recontacting Medical Sources

§512.3     Controlling Consultative Examinations

§512.4     The Treating Source as Consultative Examiner

§513     Conflicts and Ambiguities Must Be Resolved by the Book

§514     The Agency’s Duty to Develop the Record

§515     Conclusion

 

Chapter Six: SSR 96-3p: Considering Allegations of Pain and Other Symptoms in Determining Whether a Medically Determinable Impairment Is Severe

§600     Introduction

§600.1     Quick Tip

§601     Non-Severe Impairments and Basic Work Activities

§602     Combined Impairments

§603     Three-Step Process at Step Two of the Sequential Evaluation Process

§604     Reasonable Doubts Go to the Claimant

§605     Skipping from Step-Two to Step-Four Is Sometimes Permitted

§606     Fibromyalgia, Chronic Fatigue Syndrome and Similar Impairments

§606.1     Fibromyalgia (FM) Defined

§606.2     Chronic Fatigue Syndrome (CFS) Defined

§606.3     Excerpt From an ALJ’s Improper Decision Denying FM and CFS Claims

§606.4     Signs and Symptoms of CFS and FM Demonstrate “Medically Determinable” Impairments

§606.5     Reflex Sympathetic Dystrophy Syndrome/Complex Regional Pain Syndrome as “Medically Determinable” Impairments

§606.6     Practice Tip

 

Chapter Seven: SSR 96-4p: Symptoms, Medically Determinable Physical and Mental Impairments, and Exertional and Nonexertional Limitations

§700     Introduction

§701     Few Cases Address SSR 96-4p

 

Chapter Eight: SSR 96-5p: Medical Source Opinions on Issues Reserved to the Commissioner

§800     Introduction

§800.1     Purposes of SSR 96-5p

§801     Who Are “Acceptable Medical Sources”?

§802     Who Are “Other Sources”?

§802.1     Practice Tip

§803     Importance to Representatives—Knowing the ALJ’s Duties

§803.1     Duty to Carefully Consider Medical Source Opinions About Any Issue and Duty to Recontact Sources

§803.2     Duty to Weigh Medical Source Statements and Provide Appropriate Explanations

§803.3     Duty to Never Ignore a Medical Opinion

§803.4     Duty to Apply Specific Factors

§803.5    Duty to Apply Specific Factors—Ruling 06-03p

§803.6    Duty to Apply Specific Factors—Ruling 06-03p and Decisions on Disability by Other Governmental and Nongovernmental Agencies

§804     Weighing Medical Source Statements

§805     Treating Source Statements May Include Multiple Discrete Options

§806     There Is No Presumption That Any Medical Sources Would Use SSA Definitions in Their Medical Opinions

§806.1     Application of 96-5p in Resolving Semantic Differences Between Medical Source Statements and SSA Jargon

§807     State Agency Medical and Psychological Consultants as Highly Qualified Experts

§807.1     State Agency Medical and Psychological Consultants Usurping Decision Power From ALJs Regarding Medical Equivalence

§807.2     Providing Medical Opinions Regarding Medical Equivalence

§807.3     Remedy—Improper Rejection of Opinions on the Issue of Disability

§808     The History of RFC Assessments

§809     Practice Tip: Cautions Regarding Sending Late Evidence to the Appeals Council

 

Chapter Nine: SSR 96-6p: 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

§900     Introduction

§900.0.1       Experts By Fiat?  Hardly

§900.1     Opinions by Non-Treating Sources

§900.1.1       Practice Tip: State Agency Reports as Noncompetent Bases for Evaluation

§900.2     Where Are These Non-Treating Medical Opinions?

§900.2.1       Practice Tip: Did the ALJ Actually Rely on the State Agency Opinions?

§901     The Role of State Agency Program Physicians and Psychologists in “Equivalence” Determinations

§901.1     Mandated Standards for Obtaining Medical Expert Opinion

§901.2     Case on Point: Consulting Agency Doctors for Medical Equivalence

§901.3     Once Obtained, Medical Expert Opinions Are Not Binding

§901.4     Practice Tip

§902     Using the Medical Expert Called by the Agency to Establish Equivalence

§902.1     Establishing Medical Equivalence

§902.2     Symptoms, Signs and Laboratory Findings

§903     The Tough Standard for Weighing Medical Opinions of Non-Treating Agency Program Physicians and Psychologists

§903.0.1       Case on Point: Specializations and the Quality of State Agency Review in a Fibromyalgia Claim

§903.1     These Standards May Not Be Inferred From the Decision

§903.2     The ALJ May Not Ignore State Agency Opinions

§903.3     Electronic Signatures on Consultative Reports

§904     Using a Treating Source Opinion to Prove Equivalence

§905     Practice Tip: Use SSR 96-6p to Show the ALJ Improperly Allocated Weight

§906     Nonexamining Source Opinions May Be Given Greater Weight Than Treating Source Opinions

§907     Requesting Subpoenas of State Agency Physicians and Psychologists

§907.1     Why Not to Subpoena State Agency Doctors

§907.2     Practice Tip

§907.3     Elements of a Request for Subpoena

§908     Conclusion

 

Chapter Ten: SSR 96-7p: Evaluation of Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements

§1000   Purpose of SSR 96-7p

§1000.1    The Convoluted History of SSR 96-7p

§1000.2    SSR 96-7p Compared to the Regulations

§1000.3    Practice Tip

§1001   What Is a Credibility Determination?

§1002   What Is Not a Credibility Determination?

§1002.1    Neither the Commissioner’s Attorneys nor the Court May Create or Infer a Credibility Determination for the Agency

§1002.1.1    Practice Tip

§1002.2    Post Hoc Rationalizations Are Not Credibility Determinations

§1002.3    Case on Point: Post Hoc Documents

§1003   SSR 96-7p Applies to Adult and Children’s Cases

§1003.1    SSR 96-7p Important Rulings Regarding Children’s Cases

§1004   Application of Credibility at Steps Two and Beyond in the Sequential Evaluation Process

§1004.1    Credibility in Functional Equivalence at Step Three

§1005   Symptoms and the Problem of Pain

§1005.1    Science Does Not Answer the Question of Pain—There Is No Pain-O-Meter

§1006   Claimants Do Not Have to Prove the Degree of Pain Alleged With Science, if...

§1007   The Adjudicator Must Evaluate Credibility and Make a Credibility Finding

§1007.0.1    Practice Tip:  Avoid Criticizing the ALJ in Credibility Determination Arguments

§1007.1    The Credibility Evaluation and Finding Come After Record Development

§1007.2    Developing the Record Regarding a Possible Mental Impairment

§1007.2.1     Practice Tip: Motivating the Commissioner to Order a Mental Consultative Examination

§1007.3    When Additional Information Is Needed to Assess Credibility, the Burden Is on the Adjudicator to Obtain It

§1007.4    The Seven Enumerated Credibility Factors

§1007.5    Considering the Claimant’s Lifestyle in Context

§1007.6    Eliciting Critical Facts

§1007.6.1     Practice Tip: State Agency Forms

§1007.6.2     Cases on Point

§1007.7    Using the VE to Put the Claimant’s Activities in Perspective

§1007.8    Possible VE Cross-Examination Questions

§1007.9    Practice Tip

§1008   Eliciting Critical Facts—Weekly and Monthly Diaries

§1008.1    Hepatitis Diary

§1008.2    Fever Diary

§1008.3    Fatigue Diary

§1008.4    Asthma Diary

§1008.5    Nebulizer Treatment Diary

§1008.6    Syncope Diary

§1008.7    Low Back Syndrome

§1008.8    Headache Diary

§1008.9    Hypoglycemic Event Diary

§1008.10  Sleep Diary

§1009   The Adjudicator Must Consider the Entire Case Record

§1010   What Is an Insufficient Credibility Determination?

§1010.1    Practice Tip: Defending Against “Sit and Squirm” Jurisprudence

§1011   Degrees of Credibility

§1012   Credibility or Lack Thereof Is Not Determinative of the Issue of Non-Disability

§1013   Adjudication Methodology—Two Step Process for Evaluating Symptoms

§1014   Additional Guidelines

§1014.1    Consistency

§1014.2    Medical Evidence

§1014.3    Medical Treatment History—or Lack Thereof

§1014.4    Practice Tip: Too Many Doctors?

§1014.5    Reasons for and Effects of Treatment

§1015   Credibility and Alleged Failure to Follow Treatment

§1015.1    Practice Tip

§1015.2    Case on Point: 96-7p and Alleged Failure to Lose Weight

§1015.3    Case on Point: Credibility, Objective Evidence, Explanations for Reliance Upon Over-the-Counter Medication

§1015.4    Blakeman and the Need to Develop the Record

§1016   Consideration of Findings by State Agency and Other Program Physicians and Psychologists at the Administrative Law Judge and Appeals Council Levels of Administrative Review

§1016.1    Applying the Notice Requirements of SSR 96-7p—the Assessment of Treating Source Statements

§1017   Remedies for Failure to Apply Correct Legal Standards in Making Credibility Determinations

§1017.1    The Varney and Non-Varney Remedies

§1017.2    EAJA Fees

§1018   Conclusion

 

Chapter Eleven: SSR 96-8p: Assessing Residual Functional Capacity in Initial Claims

§1100   Introduction

§1101   SSR 96-8p—Six Major Points

§1102   Point One—RFC “Ordinarily” Defined in Terms of a 40-Hour Workweek

§1102.1    History of RFC and Vagueness

§1102.2    RFC—Clarification of Full-Time Work by 96-8p

§1102.2.1     Practice Tip

§1102.3    RFC—“Regular and Continuing Basis” and Circuit Case Law

§1102.4    RFC—Vocational Experts, Labor Market Surveys and Part-Time or Temporary Jobs

§1102.5    The Adjudicator’s Duty to Develop the Record Before Assessing RFC

§1102.6    The Adjudicator’s Duty to Consider Combined Impairments in Assessing RFC

§1102.6.1     Case on Point

§1102.7    The RFC Assessment Must Be Based on the Entire Record

§1102.8    Duty to Consider Findings of the Psychiatric Review Technique as an Element in the Finding of Residual Functional Capacity

§1102.9    The ALJ’s Duty to Apply the Psychiatric Technique to the Assessment of Mental Impairments

§1103   Point Two—RFC Excludes Consideration of Age and Body Habitus

§1103.1    Obesity

§1104   Point Three—The Adjudicator’s Duty to Develop the Record, as Triggered by Specific Allegations and Evidence

§1104.1    Case on Point: Developing the Record

§1104.2    Using SSR 96-8p With 96-7p

§1104.2.1     Combining SSRs 96-8p and 96-7p—Illustrative Case

§1105   Point Four—The RFC Assessment Must First Access Work-Related Abilities on a Function-by-Function Basis

§1105.1    Case on Point

§1105.2    SCO Analysis

§1105.3    Mental Abilities Needed for Any Job

§1105.4    The Definition of “Substantial Loss” Is Intentionally Vague

§1105.5    Mental Abilities Needed to Perform Semi-Skilled and Skilled Work

§1105.6    Stress and Demands of Work

§1105.6.1     Case on Point

§1105.7    Using the Function-by-Function Assessment

§1106   Point Five—The Least a Person Can Do Is Not a Proper RFC

§1107   Point Six—The Nature of the Functional Limitations Caused by Medical Impairments and Related Symptoms Determines Their Classifications as Exertional or Nonexertional

§1108   Other Points—Narrative Discussion

§1108.1    “Material Inconsistencies”

 

Chapter Twelve: SSR 96-9p: Determining Capability to Do Other Work—Implications of a Residual Functional Capacity for Less Than a Full Range of Sedentary Work

§1200   Introduction

§1200.1    Purpose

§1200.2    Sedentary Work and the Grids

§1200.3    Grids as a Framework for Decisionmaking

§1200.3.1     Exertional and Nonexertional Limitations Under the Grids

§1200.3.2     Exertional Limitations for Less-Than-Sedentary

§1200.3.3     The Unskilled Sedentary Occupational Base

§1200.3.4     Erosion of the Unskilled Sedentary Occupational Base

§1200.3.5     Cases on Point

§1201   “Non-Disability” Rules

§1201.1    “Non-Disability” Rules (Rebuttable)

§1201.2    “Disability” Rules (Irrebuttable)

§1202   Mental Demands of Work and “Substantial Loss”

§1203   Eight Examples of the Type and Extent of Exertional and Nonexertional Restrictions Which Will Result in a Significant Erosion

§1204   Restrictions Which May Result in Significant Erosion

§1205   Examples That Have Been Removed by the Commissioner

§1206   ALJs as VEs?

§1206.1    Case on Point

§1207   Practical Application of the Policies Underlying SSR 96-9p

§1208   Use of the SSR 96-6p Policies With Medical Sources

§1208.1    Case on Point: Inability to Stoop Does Not Equal Disability Per Se

§1209   Use of the SSR 96-9p Policies in Eliciting the Claimant’s Testimony

§1209.1    Nonexertional Impairments—Mental

§1209.2    Nonexertional Impairments—Visual

§1209.3    Exertional Impairments

§1210   Use of the SSR 96-9p Policies in Eliciting Lay Witness Testimony

§1210.1    Nonexertional Impairments

§1210.2    Exertional Impairments

§1211   Use of the SSR 96-9p Policies in Cross-Examining Vocational Experts at a Disability Hearing

§1211.1    Disability by a Direct Comparison

§1211.2    Disability by Analogy

§1211.3    Use of the SSR 96-9p Policies When Obtaining Independent Vocational Expert Reports

 

Chapter Thirteen: The Role of Reliable Vocational Information at the Social Security Administration

§1300   Introduction

§1300.1    Practice Tip

§1301   Vocational Information Is Not for Use in Children’s Disability Cases

§1301.1    Use the Rulings — They Are a Boon to Litigators

§1302   Why Is There a Need for Reliable Vocational Evidence? Speculation Is Insufficient Evidence

§1303   The Role of Vocational Evidence in the Sequential Evaluation Process

§1303.1    Different Sequential Evaluation Process for Cessation Cases

 

Chapter Fourteen: The Dictionary of Occupational Titles, Structure, History, Reliability, and Validity

§1400   Introduction

§1400.1    Where Do I Find the DOT?

§1401   The DOT Is Not All Inclusive

§1402   Parts of the DOT Occupational Definition

§1402.1    Example DOT Definition

§1402.2    The Occupational Code Number

§1402.3    The Occupational Title

§1402.3.1     Master Titles

§1402.3.2     Term Titles

§1402.3.3     Industry Designation

§1402.3.4     Alternate Titles

§1402.3.5     The Body of the Definition

§1402.3.6     Undefined Related Titles

§1402.3.7     Definition Trailer

§1402.3.8     The GOE (Guide for Occupational Exploration) Code

§1402.3.9     The Strength Rating

§1402.3.10   Vocational Experts Versus the DOT Regarding Exertional Classifications

§1402.3.11   The GED Level

§1402.3.12   The SVP Level

§1402.3.13   Sources of Specific Vocational Preparation

§1402.3.14   The Date of Last Update

§1403   Understanding the Dictionary of Occupational Titles — History and Reliability

§1403.1    Summary: Sources of Error in the DOT

§1403.1.1     SSA’s Disability Adjudication Framework Rests Upon the Research, Theories and Publication of the DOT

§1403.1.2     The DOT and “Companion Volumes” Are Used by the SSA in Past-Work Adjudication

§1403.1.3     The Medical-Vocational Guidelines (Grids) Are Based Upon the Data of the DOT

§1403.1.4     The Grid Tables Were Derived From the DOT, DOT Data, and the DOT’s Underlying Assumptions

§1403.1.5     SSA’s Physical Exertion Requirement Definitions Come From the DOT

§1403.1.6     SSA’s Definitions of Non-Exertional Work Come From the DOT

§1403.1.7     SAA’s Definition and the Alleged Quantity of “Unskilled” Jobs Is Based Upon the DOT

§1403.2    The Dictionary of Occupational Titles — An Ancient and Abandoned Taxonomy

§1403.2.1     The Revised Fourth Edition of the DOT

§1403.2.2     Who Compiled the DOT?

§1403.3    The Unreliability of the Dictionary of Occupational Titles

§1403.3.1     The DOT Is No Longer Updated or Produced

§1403.3.2     The DOT Is a Dead Letter Because it Is Obsolete

§1403.3.3     The Production of the DOT Was Seriously Under-Documented and Under-Published

§1403.3.4     How the Methodology Used for the Creation of the DOT Was Flawed

§1403.3.5     How Were the Industries Selected for Analysis?

§1403.3.6     The DOT Never Differentiated Between Full-Time and Part-Time Work

§1403.3.7     The Analysis of “Procedures and Processes” Was Haphazard

§1403.3.8     Who Determined What Was a “Job” or “Occupation?”

§1403.3.9     Shortcuts Were Taken in Writing the Job Descriptions and Assigning the DOT Codes

§1403.3.10   Specific Vocational Preparation (SVP) Was Not Accurately Assessed

§1403.3.11   Aptitude Ratings Were Most Ambiguous

§1403.3.12   Environmental Conditions and Physical Demands Were Not Measured

§1403.3.13   Some Jobs in the DOT Were Never Reanalyzed after 1965

§1403.3.14   Definition Writing — the Funneling-Down Problem

§1403.3.15   Sampling Procedure Limitations

§1403.3.16   Source Data Limitations

§1403.4    Ratings of Worker Functions and Worker Traits — Validity and Reliability

§1403.4.1     Ratings of Worker Functions and Worker Traits — Validity

§1403.4.2     Ratings of Worker Functions and Worker Traits — Validity and Reliability

§1403.4.3     Ratings of Worker Functions and Worker Traits — the Factor Structure

§1403.5    Sex Bias in the Rating of Occupations

 

Chapter Fifteen: Other Sources of Vocational Data

§1500   Introduction to Other Sources of Vocational Data

§1501   What Are the “Companion Volumes” to the DOT?

§1501.1    The SSA May Not Take Administrative Notice of VE Testimony From Other Hearings

§1502   History of the Selected Characteristics of the DOT (SCO)

§1503   O*NET and Social Security Administration

§1503.1    Challenging the VE's Knowledge of the Current World of Work (See Chapter 19)

§1504   County Business Patterns Do Not Provide Occupational Data

§1505   Census Reports

§1505.1    Census Reports Do Not Contain DOT-Related Vocational Information

§1505.2    Examples of Changes in Census Codes From 1990 to 2000

§1505.3    Census Occupational Data Limitations

§1505.4    Sample Cross-Examination of a VE — Census Data

§1506   Occupational Outlook Handbook, Published by the Bureau of Labor Statistics

§1506.1    Sample Occupational Outlook Handbook Occupation — Security Guard

§1506.2    Sample Cross-Examination, Occupational Outlook Handbook Occupation — SURVEILLANCE-SYSTEM MONITOR

§1507   Occupational Employment Statistics (OES)

§1507.1    The Limitations of the “Crosswalk”

§1507.2    The BLS Data Include Unknown Quantities of Part-Time Jobs

§1507.3    Shortcomings of the Occupational Employment Statistics (OES)

§1508   Various States’ Occupational Data Collection Methods

§1509   Example: Wisconsin Projections 2004-2014

§1509.1    Shortcomings of Wisconsin Projections 2005-2007 and 2004-2014

§1510   Non-Governmental Sources

§1510.1    Computer Systems That Allow for Easy Access to the DOT Data Set From the Revised Fourth Edition to the DOT

§1510.2    Computer Systems That Allow for Easy Access to the DOT Data Set From the Revised Fourth Edition to the DOT — Are They Reliable?

§1510.3    Occupational Employment Quarterly and Skilled Employment Quarterly

§1510.3.1     Data Source

§1510.3.2     Shortcomings

§1510.3.3     Sample Vocational Report Regarding U.S. Publishing Data

§1510.3.4     Sample Cross-Examination of VE Regarding U.S. Publishing Data

§1510.4    “Revised” or “Updated” Versions of the Dictionary of Occupational Titles

§1510.4.1     Example of a “Revised” or “Updated” Version of the Dictionary of Occupational Titles — Economic Research Institute’s eDOT

§1510.4.2     Problems With the PAQ/ERI Data

§1510.4.3     Summary — Weaknesses of the eDOT

§1511   Tracking an Attack on VE Testimony From Pre-Hearing Memo to the Final Decision in a District Court Case

§1511.1    Setting the Stage — Send the Duces Tecum Letter

§1511.2    VE Testimony

§1511.3    Post-Hearing Memorandum to ALJ

§1511.4    Letter to Appeals Council

§1511.5    Section From the District Court Brief

§1511.6    Reply Brief in District Court

§1511.7    District Court Decision

§1511.8    Conclusion: Tracking an Attack on VE Testimony From Pre-Hearing Memo to the Final Decision in a District Court Case

§1512   Action Ideas for Attacking VE Testimony on Any Data

§1512.1    Any Data Source — Sample Letter Attacking VE Testimony (See Chapter 19)

 

VOLUME II

Chapter Sixteen: Vocational Information and Analysis at Step Four of the Sequential Evaluation Process

§1600   Vocational Evidence at Step Four of the Sequential Evaluation Process

§1600.1    Regulatory Framework

§1601   Burdens at Step Four

§1602   Reliable Vocational Evidence at Step Four

§1603   Rulings About Step Four

§1604   Note and Caveat — Steps One and Four of the Sequential Evaluation Process

§1605   Past Relevant Work — Defining it and Identifying it

§1605.01  Practice Tip: Earning Limits

§1605.02  Practice Tip: Protracted Litigation and the 15-Year Rule

§1605.1    Work Experience Must Have Been SGA Before it Becomes Past-Relevant Work

§1605.2    Employees

§1605.3    Non-Sheltered Earnings and the Earnings Guidelines

§1605.4    “Comparability of Work” and “Worth of Work”

§1605.5    Sheltered Earnings and Non-Monetary Tests of SGA

§1605.6    Detailed Earnings Queries (DEQYs)

§1605.7    Self-Employed Individuals

§1605.8    Past-Relevant Work Performed in a Foreign Country

§1605.9   Job Training and Employment Programs/Volunteer Programs

§1606   Duration as an Element of Past-Relevant Work

§1606.1    Example — Duration

§1606.2    Sporadic, “Off-and-On,” and Brief Work Attempts

§1606.3    Unsuccessful Work Attempts

§1606.4    Trial Work Periods

§1607   Recency

§1608   The Past-Relevant Work Does Not Actually Have to Exist

§1609   Past Relevant Work “As Performed” and “As Generally Performed”

§1610   SSR 82-61 and Past-Relevant “Kind of Work”

§1611   Exceptions to Using the DOT to Define Jobs “As Usually Performed”

§1612   Composite Jobs

§1613   Past-Relevant Work Performed in a Foreign Country

§1614   Using the DOT to Define Past-Relevant “Kind of Work”

§1615   Sources of Information About Functional Demands and Job Duties “As Performed”

§1615.1    Form: Transferable Skills Worksheet — Sources of Information About Functional Demands and Job Duties “As Performed”

§1616   Classifying Past-Relevant Work: Defining Past-Relevant Work “As Performed” and “As Generally Performed” and Using the Claimant’s RFC to Make the Step-Four Determination — A Comprehensive Example

§1616.1    Comprehensive Example — Conclusion

§1617   Form: Information Required to Perform a Step-Four Analysis

 

Chapter Seventeen: Vocational Evidence at Step Five of the Sequential Evaluation Process

§1700   Introduction

§1701   The Statutory Definition of “Disability”

§1702   The ALJ Cannot Use a VE to Beat the Medical-Vocational Guidelines

§1703   Inconsistency and the Medical-Vocational Guidelines

§1704   Key Concept: Nonexertional Impairments

§1705   The “Significant Numbers” Problem and the Medical-Vocational Guidelines

§1705.1    Structure of the Medical Vocational Guidelines

§1706   Exertion and Full-Ranges of Work

§1707   Work Which Exists in Significant Numbers

§1708   Is a “Significant Number” of Jobs a Conceptual Definition?

§1708.1    “Significant Number” of Jobs as a Fact

§1708.2    “Significant Number” of Jobs and Age

§1709   The “Occupational Bases” Underlying the Medical-Vocational Rules

§1710   The Issue of Work Adjustment

§1711   “Work Which Exists in Significant Numbers” — The Two-Step Process Built Into the Medical-Vocational Guidelines

§1711.1    “Work Which Exists in Significant Numbers” Example

§1711.2    “Work Which Exists in Significant Numbers” — Claimants With Transferable Skills

§1712   What Is This “Vocational Advantage” Bestowed by Transferable Skills?

§1713   Determining the Remaining Occupational Base — Five Rulings and a Regulation

§1713.1    The Regulation

§1713.2    Five Rulings

§1713.2.1     Case on Point: “Significant Number of Jobs” and the Grids

§1713.3    Fast and the Seventh Circuit’s Rejection of the Grids as a Framework for Solely Nonexertional Limitations

§1714   Mastering the Technical Language of the Medical-Vocational Guidelines

§1714.1    Borderline-Age Situations and the Medical-Vocational Guidelines

§1714.2    Residual Functional Capacity (RFC)

§1714.3    Sedentary Work

§1714.4    Light Work

§1714.5    Medium Work

§1714.6    Heavy Work

§1714.7    Very Heavy Work

§1714.8    Age

§1714.8.1     An Important Proposed Regulation Regarding Age Categories Has Been Abandoned by the Commissioner

§1714.9    Education

§1714.9.1     Inability to Communicate in English

§1714.9.2     Illiteracy

§1714.9.3     Marginal Education

§1714.9.4     Limited Education

§1714.10  High School Graduate or More — Does Not Provide for Direct Entry Into Skilled Work

§1714.11  High School Graduate or More — Provides for Direct Entry Into Skilled Work

§1714.12  Previous Work Experience

§1715   Using the Grid Rules to Direct a Finding of “Disabled” or “Not Disabled”

§1715.1    Social Security Ruling 83-11

§1715.2    Using the Grid Rules as a Framework for Evaluating Exertional Limitations Within a Range of Work or Between Ranges of Work

§1716   Social Security Ruling 83-12

§1716.1    Applying the Medical-Vocational Rules as a Framework: SSR 83-12 Example

§1716.2    Social Security Ruling 83-12 — Summary

§1717   Social Security Ruling 83-14

§1717.1    Social Security Ruling 83-14 — Summary

§1718   Social Security Ruling 85-15

§1718.1    Social Security Ruling 85-15 — Summary

§1719   SSR 96-9p and the Occupational Base for Individuals Under Age 50

§1720   The Effect of Transferable Skills on the Occupational Bases

§1721   Transferable Skills for Individuals of Advanced Age — Equitable Considerations

§1722   Table of Occupational Base Sizes and its Relevance to “Advanced Age”

§1723   Taking This to the Hearing

§1724   The Framework of the Medical-Vocational Guidelines and Vocational Expert Cross-
Examination: Claimants Aged 50 and Older

§1725   The Framework of the Medical-Vocational Guidelines and Vocational Expert Cross-
Examination: Claimants Under Age 50

 

Chapter Eighteen: Transferability of Skills Analysis

§1800   Introduction

§1801   Transferability: Historical Origins and Reliability

§1801.1    Practice Tip: Transferability — Statutory and Regulatory Origins

§1802   Transferability — Statutory and Regulatory Origins

§1803   Step-Four Issues

§1804   Classifying a Claimant’s Previous Work Experience as Past-Relevant Work (PRW)

§1805   Assigning SVP Levels to Past-Relevant Work

§1805.1    Sources of Specific Vocational Preparation

§1805.1.5 Practice Tip: Blurred SVP Levels and Unsupported Findings of Skill Levels

§1805.2    Assigning SVP Levels to PRW “As Performed” and “As Usually Performed”

§1805.3    Example: Assigning SVP Levels to PRW “As Performed” and “As Usually Performed”

§1805.4    Classifying PRW as Unskilled, Semi-Skilled, and Skilled

§1805.5    Transferable Skills Versus Skills Acquired in Recent Education

§1806   The Role of Non-Severe and Severe Mental Impairments in the Transferable Skills Analysis

§1807   Strategies to Avoid Adjudication of Past-Work Skill Levels — Non-Severe Impairments

§1808   SVP, MTEWA, and MPSMS as Tools to Defeat a Finding of Transferability

§1809   Example, Using SVP, MTEWA, and MPSMS to Defeat a Finding of Transferability

§1809.1    Machines, Tools, Processes, Raw Materials, Products, Subject Matter or Services

§1810   Using “Advanced Age” and a Sedentary RFC to Defeat a Finding of Transferability

§1811   Using “Approaching Retirement Age” and a Sedentary or Light RFC to Defeat a Finding of Transferability

§1812   Using “Approaching Retirement Age” Rules and a Medium RFC to Defeat Transferability in SSI Claims of Individuals Aged 65 and Older

§1813   Transferability Terms of Art

§1813.1    Definitions and Technical Concepts: What Is a “Skill”?

§1813.2    Worker Traits (Aptitudes or Abilities) Distinguished From Acquired Work Skills

§1813.3    Classifying Jobs as Unskilled

§1813.4    Classifying Jobs as Semi-Skilled

§1813.5    Documentation of Skills and Skill Levels

§1813.6    What Is “Transferability”?

§1813.7    When Transferability of Work Skills Is at Issue

§1813.8    How Is “Transferability” Applied?

§1813.9    RFC and Transferability

§1813.10  Specialized Skills and Isolated Vocational Settings

§1813.11  Special Provisions for Transferability Based on Age and RFC

§1813.12  Special Transferability Provisions — Claimants Aged 55 Through 59 Limited to Sedentary Work

§1813.13  Special Transferability Provisions — Claimants Aged 60 Through 64 Limited to Light Work

§1813.14  Transferability Provisions — Title XVI Claimants Aged 65 or Older

§1813.15  Required Findings of Fact in Determinations or Decisions Involving Transferability of Skills

§1813.16  DOT/SCO as Primary Source of Vocational Information

§1813.17  Resolution of Conflicts Between VE Testimony and DOT/SCO

§1813.18  Reasonable Explanations for Conflicts (Or Apparent Conflicts) in Occupational Information

§1813.19  Skill Level

§1813.20  Skills Do Not Transfer to Unskilled Work

§1813.21  The Responsibility to Ask About Conflicts

§1814   Sample Cross-Examination of Vocational Expert (Transferability of Skills From Low-Level, Semi-Skilled Jobs Based on SSR 82-41 Criteria)

§1815   General Principles of Transferability

 

Chapter Nineteen: Attacking Vocational Expert Testimony

§1900   Introduction — “Trust But Verify”

§1900.0.1     Sample Post-Hearing Brief Refuting the VE's Testimony Though Verification

§1900.1    How Does the VE Know?

§1900.2    Sample Cross-Examination: How Does the VE Know?

§1900.3    Your Duty to OBJECT!

§1900.4    What Makes a VE an “Expert”?

§1900.4.1     Owning a Laptop With a Computer Program Does Not Make a Person an Expert

§1900.4.2     Work as a “Professional Expert” Does Not Make a Person an “Expert”

§1900.5    Checking the VE’s Résumé

§1900.6    Using a Private Investigator

§1900.7    Work Experience Verification

§1900.8    Criminal Background Check

§1900.9    Sample Brief Attacking VE Testimony — Federal Court

§1900.10  Commissioner’s Duty to Rotate Selection of VE

§1901   Attack the VE’s Testimony, Not the VE

§1901.1    Use a Null Hypothesis Mental Framework

§1901.2    Common Undefined Variables in Hypothetical Questions

§1901.2.1     “Simple Work”

§1901.2.2     Sample Brief Language “Simple Work”

§1901.2.3     “Simple Work” Is Not an RFC Compatible With a Severe Impairment

§1901.2.4     Simple Work Is Not SVP

§1901.2.4.1  Case on Point: Stubbs-Danielson v. Astrue

§1901.2.5     Routine Work

§1901.2.6     Repetitive Work

§1901.2.7     “No Repetitive” and “Repetitive” in the Same RFC

§1901.2.8     “Low-Stress” Work

§1901.2.9     Full-Time Versus Part-Time Work

§1902   Attacking the VE’s Testimony Regarding the Number of Jobs

§1902.1    Do Not Let the VE Give Only the Bottom Line

§1902.1.1     Get the Same Information the VE Has at the Hearing

§1902.1.2     Get the Same Information the VE Has at the Hearing — Sample Letter

§1902.1.3     Getting the Same Information the VE Has at the Hearing — Sample Motion

§1902.1.3.1  Motion for the Issuance of a Subpoena Duces Tecum — Long Form

§1902.1.3.2  Motion for the Issuance of a Subpoena Duces Tecum — Short Form

§1902.1.3.3  Post-Hearing Letter Objecting to Jobs that Don't Exist in the Real World — Seed Cutters

§1902.1.4     Subpoena — Sample Appeals Council Brief and the Appeals Council's Remand Order

§1902.1.5     ALJ Denies the Motion as Burdensome — Sample Brief to Appeals Council

§1902.2    Questioning the VE’s Methodology

§1902.2.1     Practice Tip

§1902.3    The Developing Case Law Regarding VEs and Numbers

§1902.4    Sidebar: What Is Ipse Dixit?

§1902.4.1     Sample Post-Hearing Letter of Objection to the VE's Testimony

§1902.5    Developing Case Law Regarding VEs and Numbers — ALJ’s Duty to Produce the VE’s Data — McKinnie

§1902.6    Strict Enforcement of SSR 00-4p by Overman v. Astrue

§1902.7    The Cautionary Tale of the Britton Case

§1903   Sample Cross Examinations and Letters

§1903.1    Hearing Note Form: Vocational Expert Qualifications

§1903.2    Keeping a Book of Results of Your Questioning for Future Use

§1903.2.1     Form: Checklist of VE Questions

§1903.2.2     Form: VE Profile Memo

§1903.3    Sample Paragraphs for Post-Hearing Letter Brief

§1903.4    Sample Cross-Examination: Vocational Expert’s Knowledge Base — Numbers of Jobs

§1903.4.1     Record of VE Testimony

§1903.5    Vocational Expert Misplaced Reliance Upon Statistical Sources

§1903.5.1     Sample Paragraph in Post-Hearing Letter Brief

§1903.5.2     Record the VE’s Data-Source Answers for Future Use

§1903.6    Unskilled Sedentary Jobs

§1903.6.1     Frequently Encountered Occupation: surveillance system monitor DOT 379.367-010

§1903.6.2     The Unskilled Sedentary Base, The Way it Was in 1991

§1903.7    When the Vocational Expert Offers Testimony at Odds With the Dictionary of Occupational Titles

§1903.7.1     Sample Post-Hearing Letter Brief

§1903.7.2     Sample Brief, Outright Conflicts between VE Testimony and the DOT

§1903.7.3     Appeals Council Remand Language

§1904   The Method in Practice, Checking Everything the VE Says

§1903.4.1 Sample Section From a District Court Brief

 

Chapter Twenty: Vocational Expert Testimony on the Number of Jobs Available at Step Five

§2000   Introduction

§2001   Use of Job Numbers at Hearings and Common Vocational Expert Testimony

§2002   Job Numbers Are Critical at Step Five

§2003   The Vocational Expert’s Proffered Job Numbers Should Not Be Accepted at Face Value

§2004   If You Do Not Object to the Vocational Expert’s Testimony at the Hearing, You Have Waived Any Subsequent Objection Upon Appeal

§2005   Note Regarding SSR 00-4p, Donahue, and Job Numbers

§2006   What Is the Area of Expertise of the Vocational Expert?

§2007   Where to Start

§2008   Common Explanations From Vocational Experts

§2008.1    Labor Market Surveys and Studies

§2008.1.1     Evaluating the Survey

§2008.1.2     The Survey Instrument

§2008.1.3     Reliability and Validity

§2008.1.4     Sampling Methods and Error

§2008.1.5     Note Regarding Random Sampling

§2008.1.6     Sampling Error

§2008.1.7     Non-Probability Sampling

§2008.1.8     Response Rate

§2008.2    Extrapolation

§2008.2.1     What Vocational Experts Mean When They Say They Use “Extrapolation”

§2008.2.2     Extrapolation in Case Law

§2008.2.3     The Definition of “Extrapolation”

§2008.2.4     The Real Thing: Extrapolation References

§2009   Conclusion

§2010   Hearing Record Forms

 

Appendix

 

Index to Rulings

 

Index to Book