Appendix JJ

Social Security Administration
SOCIAL SECURITY ADMINISTRATION BALTIMORE, MD 21235-0001

SOCIAL SECURITY

The Commissioner

December 26, 2017 

The Honorable Gary J. Palmer

Chairman, Subcommittee on Intergovernmental 

 Affairs

Committee on Oversight and Government Reform 

House of Representatives

Washington, DC 20515 

Dear Mr. Chairman: 

Thank you for your December 8, 2017 letter requesting a list of the guidance documents the Social 

Security Administration (SSA) issued since January 1, 2008. Enclosed is a list of SSA’s published 

Acquiescence Rulings (AR) and Social Security Rulings (SSR), annotated with the information you 

requested. 

To clarify, SSA issues ARs and SSRs in lieu of the specific guidance documents that many other agencies 

issue. ARs and SSRs clarify our policies and procedures for the public and aid the adjudication process 

by explaining our interpretation of our published rules and regulations. The ARs provide clarification 

when we have a court case involving SSA. The SSRs provide policy interpretations when we feel we 

need to clarify our regulations, and, in some cases, consolidate information from our regulations to 

explain our policies within a specific domain. In some cases, we also publish SSRs to explain revised 

procedures, which fall under specific regulations. 

The enclosed list contains all of the ARs and SSRs we published from January 1, 2008 through the 

present. Per your request, we included all of the information for each publication with the exception of 

the issuing agency, component, office, or program, and the Regulation Identification Number (RIN) or 

other identification number for the document. SSA is the issuing agency for all of our ARs and SSRs. In 

addition, we do not assign a RIN, or any other identification number, to these documents because they are 

not regulatory in nature. Rather, we use the publication designation in the Federal Register as our 

identification number for the documents. 

I hope this information is helpful. If I may be of further assistance, please do not hesitate to contact me, 

or your staff may contact Royce Min, our Acting Deputy Commissioner for Legislation and 

Congressional Affairs, at I am sending similar letters to Chairman Gowdy, Chairman 

Meadows, Chairman Jordan, and Chairman Farenthold. 

 

Sincerely,

 Nancy A. Berryhill

 Acting Commissioner 

Enclosure 
Page 2 – The Honorable Gary J. Palmer

cc:

Ranking Member Elijah E. Cummings 

Ranking Member Gerald E. Connolly 

Ranking Member Raja Krishnamoorthi 

Ranking Member Val Butler Demings

Ranking Member Stacey E. Plaskett
Enclosure – Page 1 

Guidance Documents 

Issued by the Social Security Administration 

January 1, 2008 through Present

General Note: Regarding Significance and Review of the following documents, the Social 

Security Administration (SSA) does not consider these rulings to be significant (because 

they are intended only to clarify existing regulations or procedures). SSA did not submit 

them to Congress, GAO, or for formal review by the Office of Information and Regulatory 

Affairs. The Regulatory Reform Task Force has not reviewed these guidance rulings, as we 

have focused our review on existing regulations. However, we will be reviewing these 

documents. 

Acquiescence Rulings

Title: 

AR 12-1 (8): Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011): Whether a National Guard 

Technician Who Worked in Noncovered Employment is Exempt from the Windfall 

Elimination Provision (WEP)—Title II of the Social Security Act

Description of the Subject: 

This ruling found that Social Security old-age or disability applicants and beneficiaries who 

receive a CSRS pension based on noncovered work as dual status National Guard technicians, 

and who are permanent legal residents of a State within the Eighth Circuit, should have their 

Social Security benefits computed using the normal PIA (Primary Insurance Amount), rather 

than the WEP PIA described in 42 U.S.C. 415(a)(7) of the Act. 

Date of Issuance: 

August 27, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2012-01-ar-08.html

RIN: 

Not applicable 
Enclosure – Page 2 

Title: 

AR 14-1(8): Brock v. Astrue, 674 F.3d 1062 (8th Cir. 2012): Requiring Vocational 

Specialist (VS) or Vocational Expert (VE) Evidence When an Individual has a Severe 

Mental Impairment(s) — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when making a disability determination or decision at step five of the 

sequential evaluation process (or the last step in the sequential evaluation process in continuing 

disability review claims), we will not rely exclusively on the Grid rules as a framework for 

decision making when an individual has a severe mental impairment(s), in certain states. 

Date of Issuance: 

May 22, 2014 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2014-01-ar-08.html

RIN: 

Not applicable 

Title: 

AR 15-1 (4): Radford v. Colvin, 734 F.3d 288 (4th Cir. 2013): Standard for Meeting 

Section 1.04A of the Listing of Impairments — Disorders of the Spine with Evidence of 

Nerve Root Compression — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found, in certain states, that in deciding whether a claimant's severe medically 

determinable disorder of the spine meets listing 1.04A, adjudicators will not require that all of 

the medical criteria in paragraph A appear simultaneously or in particularly close proximity. 

Rather, adjudicators will engage in what the court of appeals described as “a more free-form, 

contextual inquiry that makes 12 months the relevant metric for the assessment of the claimant's 

duration of disability.” 

Date of Issuance: 

September 23, 2015 

Federal Record Citation: 

Federal Register Vol. 80, No. 184, page 57418 
Enclosure – Page 3 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/04/AR2015-01-ar-04.html

RIN: 

Not applicable 

Title: 

AR 16-1 (7): Boley v. Colvin, 761 F.3d 803 (7th Cir. 2014): Judicial Review of an 

Administrative Law Judge's Order Finding No Good Cause for a Late Hearing Request 

and Dismissing the Request as Untimely—Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when certain criteria are met, we will send notice explaining that the 

claimant may appeal the dismissal to the Federal district court for the judicial district in Illinois, 

Indiana, or Wisconsin in which the claimant resides. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13438 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/07/AR2016-01-ar-07.html

RIN: 

Not applicable 

___________________________________________________________

Social Security Rulings 

Title: 

SSR 09-1p: Title XVI: Determining Childhood Disability Under the Functional 

Equivalence Rule — The “Whole Child” Approach 
Enclosure – Page 4 

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about our “whole child” approach for 

determining whether a child's impairment(s) functionally equals the listings.

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7527 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-01-ssi-02.html

RIN: 

Not Applicable 

Title: 

SSR 09-2p: Title XVI: Determining Childhood Disability – Documenting a Child's 

Impairment-Related Limitations

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about documenting and evaluating 

evidence of a child's impairment-related limitations and related issues.

Date of Issuance: February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7525 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-02-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-3p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Acquiring and Using Information” 
Enclosure – Page 5 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Acquiring and using 

information.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7511 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-03-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-4p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Attending and Completing Tasks”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Attending and completing 

tasks.” It also explains our policy about that domain. 

Date of Issuance: 

February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 31, page 7630 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-04-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-5p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Interacting and Relating with Others” 
Enclosure – Page 6 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Interacting and relating with 

others.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7515 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-05-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-6p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Moving About and Manipulating Objects” 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Moving about and manipulating 

objects.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7518 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-06-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-7p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Caring for Yourself” 
Enclosure – Page 7 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Caring for yourself.” It also 

explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7521 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-07-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-8p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Health and Physical Well-Being”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Health and physical well-being.” 

It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7524 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-08-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 11-1p: Titles II and XVI: Procedures for Handling Requests to File Subsequent 

Applications for Disability Benefits
Enclosure – Page 8 

Description of the Subject: 

This ruling explains our revised procedure under which we will no longer process a subsequent 

disability claim if an individual already has a claim under the same title and of the same type 

pending in our administrative review process. 

Date of Issuance: 

July 28, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 145, page 45309 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 11-2p: Titles II and XVI: Documenting and Evaluating Disability in Young Adults

Description of the Subject: 

This ruling consolidates information from our regulations on documenting and evaluating 

disability in young adults. We also provide guidance on how we apply our policies when we 

determine whether a young adult is disabled under our rules. 

Date of Issuance: 

September 12, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 176, page 56263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 12-1p: Title II: Determining whether work performed in self-employment by persons 

who are blind is substantial gainful activity and treatment of income resulting from the 

Randolph-Sheppard Act and similar programs
Enclosure – Page 9 

Description of the Subject: 

This ruling explains our policy for evaluating whether work performed by self-employed persons 

who are blind is substantial gainful activity (SGA) under the disability program in Title II of the 

Social Security Act. In addition, this ruling clarifies that we do not count income resulting from 

the Randolph-Sheppard Act and similar programs as earnings when we determine whether blind 

persons are engaging in SGA.

Date of Issuance: 

September 21, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 184, page 58604 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/03/SSR2012-01-di-03.html

RIN: 

Not applicable 

Title: 

SSR 12-2p: Titles II and XVI: Evaluation of Fibromyalgia 

Description of the Subject: 

This ruling provides guidance on how we develop evidence to establish that a person has a 

medically determinable impairment of fibromyalgia (FM), and how we evaluate FM in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act.

Date of Issuance: 

July 25, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 143, page 43640 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2012-02-di-01.html

RIN: 

Not applicable 
Enclosure – Page 10 

Title: 

SSR 13-1p: Titles II and XVI: Agency Processes For Addressing Allegations of 

Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative 

Law Judges (ALJs) 

Description of the Subject: 

This ruling clarifies the three separate processes we have for addressing allegations of unfairness, 

prejudice, partiality, bias, misconduct, or discrimination by an ALJ. 

Date of Issuance: 

January 29, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 19, page 6168 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2013-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 13-2p: TITLES II AND XVI: EVALUATING CASES INVOLVING DRUG 

ADDICTION AND ALCOHOLISM (DAA)

Description of the Subject: 

This ruling explains our policies for how we consider whether “drug addiction and alcoholism” 

is a contributing factor material to our determination of disability in disability claims and 

continuing disability reviews

Date of Issuance: 

February 20, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 34, page 11939 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2013-02-di-01.html
Enclosure – Page 11 

RIN: 

Not applicable 

Title: 

SSR 13-3p: Title II: Appeal of an Initial Medical Disability Cessation Determination or 

Decision

Description of the Subject: 

This ruling explains how we will review an initial medical cessation determination or decision 

when we receive a timely request for administrative review of the cessation determination or 

decision. 

Date of Issuance: 

February 21, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 35, page 12130 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/04/SSR2013-03-di-04.html

RIN: 

Not applicable 

Title: 

SSR 14-1p: Titles II and XVI: Evaluating Cases Involving Chronic Fatigue Syndrome 

(CFS)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of CFS and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI the Social Security Act.

Date of Issuance: 

April 3, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 64, page 18752 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-01-di-01.html
Enclosure – Page 12 

RIN: 

Not applicable 

Title: 

SSR 14-2p: Titles II and XVI: Evaluating Diabetes Mellitus

Description of the Subject: 

This ruling provides information about the types of impairments and limitations that result from 

diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims 

under Titles II and XVI of the Social Security Act. We provide information about endocrine 

disorders other than DM, explain the types of impairments and limitations that result from them, 

and provide guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Act in SSR 14-3p. 

Date of Issuance: 

June 2, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31375 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 14-3p: Titles II and XVI: Evaluating Endocrine Disorders Other Than Diabetes 

Mellitus

Description of the Subject: 

This ruling provides information about endocrine disorders other than diabetes mellitus (DM), 

and explains the types of impairments and limitations that result from those disorders. It also 

provides guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Social Security Act (Act). We provide information about the types of 

impairments and limitations that result from DM, and provide guidance on how we evaluate DM 

in disability claims under Titles II and XVI of the Act in SSR 14-2p. 

Date of Issuance: 

June 2, 2014 
Enclosure – Page 13 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31380 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 15-1p: Titles II and XVI: Evaluating Cases Involving Interstitial Cystitis (IC)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of IC and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 18, 2015

Federal Record Citation: 

Federal Register Vol. 80, No. 52, page 14215 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2015-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-1p: Titles II and XVI: Fraud and Similar Fault Redeterminations Under Section 

205(u) and 1631 (e)(7) of the Social Security Act

Description of the Subject: 

This ruling explains the process we use to redetermine an individual’s entitlement to or eligibility 

for benefits when there is reason to believe that fraud or similar fault was involved in that 

individual’s application for benefits. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13436 
Enclosure – Page 14 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-2p: Titles II and XVI: Evaluation of Claims Involving the Issue of Similar Fault in 

Providing Evidence

Description of the Subject: 

This ruling explains the rules that govern the evaluation and adjudication of claims when there is 

reason to believe similar fault was involved in the providing of evidence in support of the claim. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No 49, page 13440 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-02-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-3p: Titles II and XVI: Evaluation of Symptoms in Disability Claims

Description of the Subject: 

This ruling rescinds SSR 96-7p: “Policy Interpretation Ruling Titles II and XVI Evaluation of 

Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements,” and 

replaced it with this ruling. We eliminated the use of the term “credibility” from out 

sub-regulatory policy, as our regulations do not use this term. In doing this, we clarified that

subjective symptom evaluation is not an examination of an individual’s character. 

Date of Issuance: 

March 28, 2016 
Enclosure – Page 15 

Federal Record Citation: 

Federal Register Vol. 81, No. 51, page 14166 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-4p: Titles II and XVI: Using Genetic Test Results to Evaluate Disability

Description of the Subject: 

This ruling explains how we consider medical evidence containing the results of genetic tests and 

help adjudicators, including disability examiners and medical and psychological consultants, 

consistently apply our policies in disability claims. 

Date of Issuance: 

April 13, 2016 

Federal Record Citation: 

Federal Register Vol. 81, page 21944 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-04-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-1p: Titles II and XVI: Reopening Based on Error on the Face of the Evidence — 

Effect of a Decision By the Supreme Court of the United States Finding a Law That We 

Applied to Be Unconstitutional

Description of the Subject: 

This ruling addresses a number of questions regarding how our reopening rules should be applied 

when we applied a Federal or State law in making our determination or decision, and the 

Supreme Court of the United States later determines that the law we applied is unconstitutional. 

Date of Issuance: 

March 1, 2017 
Enclosure – Page 16 

Federal Record Citation: 

Federal Register Vol. 82, No. 39, page 12270 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-01-oasi-33.html

RIN: 

Not applicable 

Title: 

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

Description of the Subject: 

This ruling provides guidance on how adjudicators at the hearings and Appeals Council levels of 

our administrative review process make findings about medical equivalence in disability claims 

under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 27, 2017 

Federal Record Citation: 

Federal Register Vol. 82, No. 57. Page 15263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-3p: Titles II and XVI: Evaluating Cases Involving Sickle Cell Disease (SCD)

Description of the Subject: 

This ruling provides background information on SCD and how we evaluate SCD during our 

adjudication process. 

Date of Issuance: 

September 15, 2017 
Enclosure – Page 17 

Federal Record Citation: 

Federal Register, Vol. 82, No. 178, page 43442 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-4p: Titles II and XVI: Responsibility for Developing Written Evidence

Description of the Subject: 

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. 

Date of Issuance: 

October 4, 2017 

Federal Record Citation: 

Federal Register, Volume 82, No. 191, Page 46339 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-04-oasi-33.html

RIN: 

Not applicable 
SOCIAL SECURITY ADMINISTRATION BALTIMORE, MD 21235-0001

SOCIAL SECURITY

The Commissioner

December 26, 2017 

The Honorable Mark Meadows 

Chairman, Subcommittee on Government 

 Operations 

Committee on Oversight and Government Reform 

House of Representatives

Washington, DC 20515 

Dear Mr. Chairman: 

Thank you for your December 8, 2017 letter requesting a list of the guidance documents the Social 

Security Administration (SSA) issued since January 1, 2008. Enclosed is a list of SSA’s published 

Acquiescence Rulings (AR) and Social Security Rulings (SSR), annotated with the information you 

requested. 

To clarify, SSA issues ARs and SSRs in lieu of the specific guidance documents that many other agencies 

issue. ARs and SSRs clarify our policies and procedures for the public and aid the adjudication process 

by explaining our interpretation of our published rules and regulations. The ARs provide clarification 

when we have a court case involving SSA. The SSRs provide policy interpretations when we feel we 

need to clarify our regulations, and, in some cases, consolidate information from our regulations to 

explain our policies within a specific domain. In some cases, we also publish SSRs to explain revised 

procedures, which fall under specific regulations. 

The enclosed list contains all of the ARs and SSRs we published from January 1, 2008 through the 

present. Per your request, we included all of the information for each publication with the exception of 

the issuing agency, component, office, or program, and the Regulation Identification Number (RIN) or 

other identification number for the document. SSA is the issuing agency for all of our ARs and SSRs. In 

addition, we do not assign a RIN, or any other identification number, to these documents because they are 

not regulatory in nature. Rather, we use the publication designation in the Federal Register as our 

identification number for the documents. 

I hope this information is helpful. If I may be of further assistance, please do not hesitate to contact me, 

or your staff may contact Royce Min, our Acting Deputy Commissioner for Legislation and 

Congressional Affairs, at I am sending similar letters to Chairman Gowdy, Chairman 

Jordan, Chairman Palmer, and Chairman Farenthold. 

 

Sincerely,

 Nancy A. Berryhill

 Acting Commissioner 

Enclosure 
Page 2 – The Honorable Mark Meadows 

cc:

Ranking Member Elijah E. Cummings 

Ranking Member Gerald E. Connolly 

Ranking Member Raja Krishnamoorthi 

Ranking Member Val Butler Demings

Ranking Member Stacey E. Plaskett
Enclosure – Page 1 

Guidance Documents 

Issued by the Social Security Administration 

January 1, 2008 through Present

General Note: Regarding Significance and Review of the following documents, the Social 

Security Administration (SSA) does not consider these rulings to be significant (because 

they are intended only to clarify existing regulations or procedures). SSA did not submit 

them to Congress, GAO, or for formal review by the Office of Information and Regulatory 

Affairs. The Regulatory Reform Task Force has not reviewed these guidance rulings, as we 

have focused our review on existing regulations. However, we will be reviewing these 

documents. 

Acquiescence Rulings

Title: 

AR 12-1 (8): Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011): Whether a National Guard 

Technician Who Worked in Noncovered Employment is Exempt from the Windfall 

Elimination Provision (WEP)—Title II of the Social Security Act

Description of the Subject: 

This ruling found that Social Security old-age or disability applicants and beneficiaries who 

receive a CSRS pension based on noncovered work as dual status National Guard technicians, 

and who are permanent legal residents of a State within the Eighth Circuit, should have their 

Social Security benefits computed using the normal PIA (Primary Insurance Amount), rather 

than the WEP PIA described in 42 U.S.C. 415(a)(7) of the Act. 

Date of Issuance: 

August 27, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2012-01-ar-08.html

RIN: 

Not applicable 
Enclosure – Page 2 

Title: 

AR 14-1(8): Brock v. Astrue, 674 F.3d 1062 (8th Cir. 2012): Requiring Vocational 

Specialist (VS) or Vocational Expert (VE) Evidence When an Individual has a Severe 

Mental Impairment(s) — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when making a disability determination or decision at step five of the 

sequential evaluation process (or the last step in the sequential evaluation process in continuing 

disability review claims), we will not rely exclusively on the Grid rules as a framework for 

decision making when an individual has a severe mental impairment(s), in certain states. 

Date of Issuance: 

May 22, 2014 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2014-01-ar-08.html

RIN: 

Not applicable 

Title: 

AR 15-1 (4): Radford v. Colvin, 734 F.3d 288 (4th Cir. 2013): Standard for Meeting 

Section 1.04A of the Listing of Impairments — Disorders of the Spine with Evidence of 

Nerve Root Compression — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found, in certain states, that in deciding whether a claimant's severe medically 

determinable disorder of the spine meets listing 1.04A, adjudicators will not require that all of 

the medical criteria in paragraph A appear simultaneously or in particularly close proximity. 

Rather, adjudicators will engage in what the court of appeals described as “a more free-form, 

contextual inquiry that makes 12 months the relevant metric for the assessment of the claimant's 

duration of disability.” 

Date of Issuance: 

September 23, 2015 

Federal Record Citation: 

Federal Register Vol. 80, No. 184, page 57418 
Enclosure – Page 3 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/04/AR2015-01-ar-04.html

RIN: 

Not applicable 

Title: 

AR 16-1 (7): Boley v. Colvin, 761 F.3d 803 (7th Cir. 2014): Judicial Review of an 

Administrative Law Judge's Order Finding No Good Cause for a Late Hearing Request 

and Dismissing the Request as Untimely—Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when certain criteria are met, we will send notice explaining that the 

claimant may appeal the dismissal to the Federal district court for the judicial district in Illinois, 

Indiana, or Wisconsin in which the claimant resides. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13438 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/07/AR2016-01-ar-07.html

RIN: 

Not applicable 

___________________________________________________________

Social Security Rulings 

Title: 

SSR 09-1p: Title XVI: Determining Childhood Disability Under the Functional 

Equivalence Rule — The “Whole Child” Approach 
Enclosure – Page 4 

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about our “whole child” approach for 

determining whether a child's impairment(s) functionally equals the listings.

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7527 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-01-ssi-02.html

RIN: 

Not Applicable 

Title: 

SSR 09-2p: Title XVI: Determining Childhood Disability – Documenting a Child's 

Impairment-Related Limitations

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about documenting and evaluating 

evidence of a child's impairment-related limitations and related issues.

Date of Issuance: February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7525 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-02-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-3p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Acquiring and Using Information” 
Enclosure – Page 5 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Acquiring and using 

information.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7511 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-03-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-4p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Attending and Completing Tasks”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Attending and completing 

tasks.” It also explains our policy about that domain. 

Date of Issuance: 

February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 31, page 7630 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-04-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-5p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Interacting and Relating with Others” 
Enclosure – Page 6 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Interacting and relating with 

others.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7515 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-05-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-6p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Moving About and Manipulating Objects” 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Moving about and manipulating 

objects.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7518 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-06-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-7p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Caring for Yourself” 
Enclosure – Page 7 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Caring for yourself.” It also 

explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7521 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-07-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-8p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Health and Physical Well-Being”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Health and physical well-being.” 

It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7524 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-08-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 11-1p: Titles II and XVI: Procedures for Handling Requests to File Subsequent 

Applications for Disability Benefits
Enclosure – Page 8 

Description of the Subject: 

This ruling explains our revised procedure under which we will no longer process a subsequent 

disability claim if an individual already has a claim under the same title and of the same type 

pending in our administrative review process. 

Date of Issuance: 

July 28, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 145, page 45309 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 11-2p: Titles II and XVI: Documenting and Evaluating Disability in Young Adults

Description of the Subject: 

This ruling consolidates information from our regulations on documenting and evaluating 

disability in young adults. We also provide guidance on how we apply our policies when we 

determine whether a young adult is disabled under our rules. 

Date of Issuance: 

September 12, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 176, page 56263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 12-1p: Title II: Determining whether work performed in self-employment by persons 

who are blind is substantial gainful activity and treatment of income resulting from the 

Randolph-Sheppard Act and similar programs
Enclosure – Page 9 

Description of the Subject: 

This ruling explains our policy for evaluating whether work performed by self-employed persons 

who are blind is substantial gainful activity (SGA) under the disability program in Title II of the 

Social Security Act. In addition, this ruling clarifies that we do not count income resulting from 

the Randolph-Sheppard Act and similar programs as earnings when we determine whether blind 

persons are engaging in SGA.

Date of Issuance: 

September 21, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 184, page 58604 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/03/SSR2012-01-di-03.html

RIN: 

Not applicable 

Title: 

SSR 12-2p: Titles II and XVI: Evaluation of Fibromyalgia 

Description of the Subject: 

This ruling provides guidance on how we develop evidence to establish that a person has a 

medically determinable impairment of fibromyalgia (FM), and how we evaluate FM in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act.

Date of Issuance: 

July 25, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 143, page 43640 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2012-02-di-01.html

RIN: 

Not applicable 
Enclosure – Page 10 

Title: 

SSR 13-1p: Titles II and XVI: Agency Processes For Addressing Allegations of 

Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative 

Law Judges (ALJs) 

Description of the Subject: 

This ruling clarifies the three separate processes we have for addressing allegations of unfairness, 

prejudice, partiality, bias, misconduct, or discrimination by an ALJ. 

Date of Issuance: 

January 29, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 19, page 6168 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2013-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 13-2p: TITLES II AND XVI: EVALUATING CASES INVOLVING DRUG 

ADDICTION AND ALCOHOLISM (DAA)

Description of the Subject: 

This ruling explains our policies for how we consider whether “drug addiction and alcoholism” 

is a contributing factor material to our determination of disability in disability claims and 

continuing disability reviews

Date of Issuance: 

February 20, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 34, page 11939 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2013-02-di-01.html
Enclosure – Page 11 

RIN: 

Not applicable 

Title: 

SSR 13-3p: Title II: Appeal of an Initial Medical Disability Cessation Determination or 

Decision

Description of the Subject: 

This ruling explains how we will review an initial medical cessation determination or decision 

when we receive a timely request for administrative review of the cessation determination or 

decision. 

Date of Issuance: 

February 21, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 35, page 12130 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/04/SSR2013-03-di-04.html

RIN: 

Not applicable 

Title: 

SSR 14-1p: Titles II and XVI: Evaluating Cases Involving Chronic Fatigue Syndrome 

(CFS)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of CFS and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI the Social Security Act.

Date of Issuance: 

April 3, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 64, page 18752 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-01-di-01.html
Enclosure – Page 12 

RIN: 

Not applicable 

Title: 

SSR 14-2p: Titles II and XVI: Evaluating Diabetes Mellitus

Description of the Subject: 

This ruling provides information about the types of impairments and limitations that result from 

diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims 

under Titles II and XVI of the Social Security Act. We provide information about endocrine 

disorders other than DM, explain the types of impairments and limitations that result from them, 

and provide guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Act in SSR 14-3p. 

Date of Issuance: 

June 2, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31375 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 14-3p: Titles II and XVI: Evaluating Endocrine Disorders Other Than Diabetes 

Mellitus

Description of the Subject: 

This ruling provides information about endocrine disorders other than diabetes mellitus (DM), 

and explains the types of impairments and limitations that result from those disorders. It also 

provides guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Social Security Act (Act). We provide information about the types of 

impairments and limitations that result from DM, and provide guidance on how we evaluate DM 

in disability claims under Titles II and XVI of the Act in SSR 14-2p. 

Date of Issuance: 

June 2, 2014 
Enclosure – Page 13 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31380 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 15-1p: Titles II and XVI: Evaluating Cases Involving Interstitial Cystitis (IC)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of IC and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 18, 2015

Federal Record Citation: 

Federal Register Vol. 80, No. 52, page 14215 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2015-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-1p: Titles II and XVI: Fraud and Similar Fault Redeterminations Under Section 

205(u) and 1631 (e)(7) of the Social Security Act

Description of the Subject: 

This ruling explains the process we use to redetermine an individual’s entitlement to or eligibility 

for benefits when there is reason to believe that fraud or similar fault was involved in that 

individual’s application for benefits. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13436 
Enclosure – Page 14 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-2p: Titles II and XVI: Evaluation of Claims Involving the Issue of Similar Fault in 

Providing Evidence

Description of the Subject: 

This ruling explains the rules that govern the evaluation and adjudication of claims when there is 

reason to believe similar fault was involved in the providing of evidence in support of the claim. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No 49, page 13440 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-02-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-3p: Titles II and XVI: Evaluation of Symptoms in Disability Claims

Description of the Subject: 

This ruling rescinds SSR 96-7p: “Policy Interpretation Ruling Titles II and XVI Evaluation of 

Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements,” and 

replaced it with this ruling. We eliminated the use of the term “credibility” from out 

sub-regulatory policy, as our regulations do not use this term. In doing this, we clarified that

subjective symptom evaluation is not an examination of an individual’s character. 

Date of Issuance: 

March 28, 2016 
Enclosure – Page 15 

Federal Record Citation: 

Federal Register Vol. 81, No. 51, page 14166 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-4p: Titles II and XVI: Using Genetic Test Results to Evaluate Disability

Description of the Subject: 

This ruling explains how we consider medical evidence containing the results of genetic tests and 

help adjudicators, including disability examiners and medical and psychological consultants, 

consistently apply our policies in disability claims. 

Date of Issuance: 

April 13, 2016 

Federal Record Citation: 

Federal Register Vol. 81, page 21944 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-04-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-1p: Titles II and XVI: Reopening Based on Error on the Face of the Evidence — 

Effect of a Decision By the Supreme Court of the United States Finding a Law That We 

Applied to Be Unconstitutional

Description of the Subject: 

This ruling addresses a number of questions regarding how our reopening rules should be applied 

when we applied a Federal or State law in making our determination or decision, and the 

Supreme Court of the United States later determines that the law we applied is unconstitutional. 

Date of Issuance: 

March 1, 2017 
Enclosure – Page 16 

Federal Record Citation: 

Federal Register Vol. 82, No. 39, page 12270 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-01-oasi-33.html

RIN: 

Not applicable 

Title: 

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

Description of the Subject: 

This ruling provides guidance on how adjudicators at the hearings and Appeals Council levels of 

our administrative review process make findings about medical equivalence in disability claims 

under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 27, 2017 

Federal Record Citation: 

Federal Register Vol. 82, No. 57. Page 15263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-3p: Titles II and XVI: Evaluating Cases Involving Sickle Cell Disease (SCD)

Description of the Subject: 

This ruling provides background information on SCD and how we evaluate SCD during our 

adjudication process. 

Date of Issuance: 

September 15, 2017 
Enclosure – Page 17 

Federal Record Citation: 

Federal Register, Vol. 82, No. 178, page 43442 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-4p: Titles II and XVI: Responsibility for Developing Written Evidence

Description of the Subject: 

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. 

Date of Issuance: 

October 4, 2017 

Federal Record Citation: 

Federal Register, Volume 82, No. 191, Page 46339 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-04-oasi-33.html

RIN: 

Not applicable 
SOCIAL SECURITY ADMINISTRATION BALTIMORE, MD 21235-0001

SOCIAL SECURITY

The Commissioner

December 26, 2017 

The Honorable Jim Jordan

Chairman, Subcommittee on Healthcare Benefits, 

 and Administrative Rules

Committee on Oversight and Government Reform

House of Representatives

Washington, DC 20515 

Dear Mr. Chairman: 

Thank you for your December 8, 2017 letter requesting a list of the guidance documents the Social 

Security Administration (SSA) issued since January 1, 2008. Enclosed is a list of SSA’s published 

Acquiescence Rulings (AR) and Social Security Rulings (SSR), annotated with the information you 

requested. 

To clarify, SSA issues ARs and SSRs in lieu of the specific guidance documents that many other agencies 

issue. ARs and SSRs clarify our policies and procedures for the public and aid the adjudication process 

by explaining our interpretation of our published rules and regulations. The ARs provide clarification 

when we have a court case involving SSA. The SSRs provide policy interpretations when we feel we 

need to clarify our regulations, and, in some cases, consolidate information from our regulations to 

explain our policies within a specific domain. In some cases, we also publish SSRs to explain revised 

procedures, which fall under specific regulations.

The enclosed list contains all of the ARs and SSRs we published from January 1, 2008 through the 

present. Per your request, we included all of the information for each publication with the exception of 

the issuing agency, component, office, or program, and the Regulation Identification Number (RIN) or 

other identification number for the document. SSA is the issuing agency for all of our ARs and SSRs. In 

addition, we do not assign a RIN, or any other identification number, to these documents because they are 

not regulatory in nature. Rather, we use the publication designation in the Federal Register as our 

identification number for the documents. 

I hope this information is helpful. If I may be of further assistance, please do not hesitate to contact me, 

or your staff may contact Royce Min, our Acting Deputy Commissioner for Legislation and 

Congressional Affairs, at I am sending similar letters to Chairman Gowdy, Chairman 

Meadows, Chairman Palmer, and Chairman Farenthold. 

 

Sincerely,

Nancy A. Berryhill

 Acting Commissioner 

Enclosure 
Page 2 – The Honorable Jim Jordan

cc:

Ranking Member Elijah E. Cummings 

Ranking Member Gerald E. Connolly 

Ranking Member Raja Krishnamoorthi 

Ranking Member Val Butler Demings

Ranking Member Stacey E. Plaskett
Enclosure – Page 1 

Guidance Documents 

Issued by the Social Security Administration 

January 1, 2008 through Present

General Note: Regarding Significance and Review of the following documents, the Social 

Security Administration (SSA) does not consider these rulings to be significant (because 

they are intended only to clarify existing regulations or procedures). SSA did not submit 

them to Congress, GAO, or for formal review by the Office of Information and Regulatory 

Affairs. The Regulatory Reform Task Force has not reviewed these guidance rulings, as we 

have focused our review on existing regulations. However, we will be reviewing these 

documents. 

Acquiescence Rulings

Title: 

AR 12-1 (8): Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011): Whether a National Guard 

Technician Who Worked in Noncovered Employment is Exempt from the Windfall 

Elimination Provision (WEP)—Title II of the Social Security Act

Description of the Subject: 

This ruling found that Social Security old-age or disability applicants and beneficiaries who 

receive a CSRS pension based on noncovered work as dual status National Guard technicians, 

and who are permanent legal residents of a State within the Eighth Circuit, should have their 

Social Security benefits computed using the normal PIA (Primary Insurance Amount), rather 

than the WEP PIA described in 42 U.S.C. 415(a)(7) of the Act. 

Date of Issuance: 

August 27, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2012-01-ar-08.html

RIN: 

Not applicable 
Enclosure – Page 2 

Title: 

AR 14-1(8): Brock v. Astrue, 674 F.3d 1062 (8th Cir. 2012): Requiring Vocational 

Specialist (VS) or Vocational Expert (VE) Evidence When an Individual has a Severe 

Mental Impairment(s) — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when making a disability determination or decision at step five of the 

sequential evaluation process (or the last step in the sequential evaluation process in continuing 

disability review claims), we will not rely exclusively on the Grid rules as a framework for 

decision making when an individual has a severe mental impairment(s), in certain states. 

Date of Issuance: 

May 22, 2014 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2014-01-ar-08.html

RIN: 

Not applicable 

Title: 

AR 15-1 (4): Radford v. Colvin, 734 F.3d 288 (4th Cir. 2013): Standard for Meeting 

Section 1.04A of the Listing of Impairments — Disorders of the Spine with Evidence of 

Nerve Root Compression — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found, in certain states, that in deciding whether a claimant's severe medically 

determinable disorder of the spine meets listing 1.04A, adjudicators will not require that all of 

the medical criteria in paragraph A appear simultaneously or in particularly close proximity. 

Rather, adjudicators will engage in what the court of appeals described as “a more free-form, 

contextual inquiry that makes 12 months the relevant metric for the assessment of the claimant's 

duration of disability.” 

Date of Issuance: 

September 23, 2015 

Federal Record Citation: 

Federal Register Vol. 80, No. 184, page 57418 
Enclosure – Page 3 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/04/AR2015-01-ar-04.html

RIN: 

Not applicable 

Title: 

AR 16-1 (7): Boley v. Colvin, 761 F.3d 803 (7th Cir. 2014): Judicial Review of an 

Administrative Law Judge's Order Finding No Good Cause for a Late Hearing Request 

and Dismissing the Request as Untimely—Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when certain criteria are met, we will send notice explaining that the 

claimant may appeal the dismissal to the Federal district court for the judicial district in Illinois, 

Indiana, or Wisconsin in which the claimant resides. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13438 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/07/AR2016-01-ar-07.html

RIN: 

Not applicable 

___________________________________________________________

Social Security Rulings 

Title: 

SSR 09-1p: Title XVI: Determining Childhood Disability Under the Functional 

Equivalence Rule — The “Whole Child” Approach 
Enclosure – Page 4 

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about our “whole child” approach for 

determining whether a child's impairment(s) functionally equals the listings.

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7527 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-01-ssi-02.html

RIN: 

Not Applicable 

Title: 

SSR 09-2p: Title XVI: Determining Childhood Disability – Documenting a Child's 

Impairment-Related Limitations

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about documenting and evaluating 

evidence of a child's impairment-related limitations and related issues.

Date of Issuance: February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7525 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-02-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-3p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Acquiring and Using Information” 
Enclosure – Page 5 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Acquiring and using 

information.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7511 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-03-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-4p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Attending and Completing Tasks”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Attending and completing 

tasks.” It also explains our policy about that domain. 

Date of Issuance: 

February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 31, page 7630 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-04-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-5p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Interacting and Relating with Others” 
Enclosure – Page 6 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Interacting and relating with 

others.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7515 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-05-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-6p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Moving About and Manipulating Objects” 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Moving about and manipulating 

objects.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7518 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-06-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-7p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Caring for Yourself” 
Enclosure – Page 7 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Caring for yourself.” It also 

explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7521 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-07-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-8p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Health and Physical Well-Being”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Health and physical well-being.” 

It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7524 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-08-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 11-1p: Titles II and XVI: Procedures for Handling Requests to File Subsequent 

Applications for Disability Benefits
Enclosure – Page 8 

Description of the Subject: 

This ruling explains our revised procedure under which we will no longer process a subsequent 

disability claim if an individual already has a claim under the same title and of the same type 

pending in our administrative review process. 

Date of Issuance: 

July 28, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 145, page 45309 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 11-2p: Titles II and XVI: Documenting and Evaluating Disability in Young Adults

Description of the Subject: 

This ruling consolidates information from our regulations on documenting and evaluating 

disability in young adults. We also provide guidance on how we apply our policies when we 

determine whether a young adult is disabled under our rules. 

Date of Issuance: 

September 12, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 176, page 56263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 12-1p: Title II: Determining whether work performed in self-employment by persons 

who are blind is substantial gainful activity and treatment of income resulting from the 

Randolph-Sheppard Act and similar programs
Enclosure – Page 9 

Description of the Subject: 

This ruling explains our policy for evaluating whether work performed by self-employed persons 

who are blind is substantial gainful activity (SGA) under the disability program in Title II of the 

Social Security Act. In addition, this ruling clarifies that we do not count income resulting from 

the Randolph-Sheppard Act and similar programs as earnings when we determine whether blind 

persons are engaging in SGA.

Date of Issuance: 

September 21, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 184, page 58604 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/03/SSR2012-01-di-03.html

RIN: 

Not applicable 

Title: 

SSR 12-2p: Titles II and XVI: Evaluation of Fibromyalgia 

Description of the Subject: 

This ruling provides guidance on how we develop evidence to establish that a person has a 

medically determinable impairment of fibromyalgia (FM), and how we evaluate FM in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act.

Date of Issuance: 

July 25, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 143, page 43640 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2012-02-di-01.html

RIN: 

Not applicable 
Enclosure – Page 10 

Title: 

SSR 13-1p: Titles II and XVI: Agency Processes For Addressing Allegations of 

Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative 

Law Judges (ALJs) 

Description of the Subject: 

This ruling clarifies the three separate processes we have for addressing allegations of unfairness, 

prejudice, partiality, bias, misconduct, or discrimination by an ALJ. 

Date of Issuance: 

January 29, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 19, page 6168 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2013-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 13-2p: TITLES II AND XVI: EVALUATING CASES INVOLVING DRUG 

ADDICTION AND ALCOHOLISM (DAA)

Description of the Subject: 

This ruling explains our policies for how we consider whether “drug addiction and alcoholism” 

is a contributing factor material to our determination of disability in disability claims and 

continuing disability reviews

Date of Issuance: 

February 20, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 34, page 11939 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2013-02-di-01.html
Enclosure – Page 11 

RIN: 

Not applicable 

Title: 

SSR 13-3p: Title II: Appeal of an Initial Medical Disability Cessation Determination or 

Decision

Description of the Subject: 

This ruling explains how we will review an initial medical cessation determination or decision 

when we receive a timely request for administrative review of the cessation determination or 

decision. 

Date of Issuance: 

February 21, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 35, page 12130 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/04/SSR2013-03-di-04.html

RIN: 

Not applicable 

Title: 

SSR 14-1p: Titles II and XVI: Evaluating Cases Involving Chronic Fatigue Syndrome 

(CFS)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of CFS and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI the Social Security Act.

Date of Issuance: 

April 3, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 64, page 18752 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-01-di-01.html
Enclosure – Page 12 

RIN: 

Not applicable 

Title: 

SSR 14-2p: Titles II and XVI: Evaluating Diabetes Mellitus

Description of the Subject: 

This ruling provides information about the types of impairments and limitations that result from 

diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims 

under Titles II and XVI of the Social Security Act. We provide information about endocrine 

disorders other than DM, explain the types of impairments and limitations that result from them, 

and provide guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Act in SSR 14-3p. 

Date of Issuance: 

June 2, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31375 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 14-3p: Titles II and XVI: Evaluating Endocrine Disorders Other Than Diabetes 

Mellitus

Description of the Subject: 

This ruling provides information about endocrine disorders other than diabetes mellitus (DM), 

and explains the types of impairments and limitations that result from those disorders. It also 

provides guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Social Security Act (Act). We provide information about the types of 

impairments and limitations that result from DM, and provide guidance on how we evaluate DM 

in disability claims under Titles II and XVI of the Act in SSR 14-2p. 

Date of Issuance: 

June 2, 2014 
Enclosure – Page 13 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31380 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 15-1p: Titles II and XVI: Evaluating Cases Involving Interstitial Cystitis (IC)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of IC and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 18, 2015

Federal Record Citation: 

Federal Register Vol. 80, No. 52, page 14215 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2015-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-1p: Titles II and XVI: Fraud and Similar Fault Redeterminations Under Section 

205(u) and 1631 (e)(7) of the Social Security Act

Description of the Subject: 

This ruling explains the process we use to redetermine an individual’s entitlement to or eligibility 

for benefits when there is reason to believe that fraud or similar fault was involved in that 

individual’s application for benefits. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13436 
Enclosure – Page 14 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-2p: Titles II and XVI: Evaluation of Claims Involving the Issue of Similar Fault in 

Providing Evidence

Description of the Subject: 

This ruling explains the rules that govern the evaluation and adjudication of claims when there is 

reason to believe similar fault was involved in the providing of evidence in support of the claim. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No 49, page 13440 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-02-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-3p: Titles II and XVI: Evaluation of Symptoms in Disability Claims

Description of the Subject: 

This ruling rescinds SSR 96-7p: “Policy Interpretation Ruling Titles II and XVI Evaluation of 

Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements,” and 

replaced it with this ruling. We eliminated the use of the term “credibility” from out 

sub-regulatory policy, as our regulations do not use this term. In doing this, we clarified that

subjective symptom evaluation is not an examination of an individual’s character. 

Date of Issuance: 

March 28, 2016 
Enclosure – Page 15 

Federal Record Citation: 

Federal Register Vol. 81, No. 51, page 14166 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-4p: Titles II and XVI: Using Genetic Test Results to Evaluate Disability

Description of the Subject: 

This ruling explains how we consider medical evidence containing the results of genetic tests and 

help adjudicators, including disability examiners and medical and psychological consultants, 

consistently apply our policies in disability claims. 

Date of Issuance: 

April 13, 2016 

Federal Record Citation: 

Federal Register Vol. 81, page 21944 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-04-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-1p: Titles II and XVI: Reopening Based on Error on the Face of the Evidence — 

Effect of a Decision By the Supreme Court of the United States Finding a Law That We 

Applied to Be Unconstitutional

Description of the Subject: 

This ruling addresses a number of questions regarding how our reopening rules should be applied 

when we applied a Federal or State law in making our determination or decision, and the 

Supreme Court of the United States later determines that the law we applied is unconstitutional. 

Date of Issuance: 

March 1, 2017 
Enclosure – Page 16 

Federal Record Citation: 

Federal Register Vol. 82, No. 39, page 12270 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-01-oasi-33.html

RIN: 

Not applicable 

Title: 

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

Description of the Subject: 

This ruling provides guidance on how adjudicators at the hearings and Appeals Council levels of 

our administrative review process make findings about medical equivalence in disability claims 

under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 27, 2017 

Federal Record Citation: 

Federal Register Vol. 82, No. 57. Page 15263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-3p: Titles II and XVI: Evaluating Cases Involving Sickle Cell Disease (SCD)

Description of the Subject: 

This ruling provides background information on SCD and how we evaluate SCD during our 

adjudication process. 

Date of Issuance: 

September 15, 2017 
Enclosure – Page 17 

Federal Record Citation: 

Federal Register, Vol. 82, No. 178, page 43442 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-4p: Titles II and XVI: Responsibility for Developing Written Evidence

Description of the Subject: 

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. 

Date of Issuance: 

October 4, 2017 

Federal Record Citation: 

Federal Register, Volume 82, No. 191, Page 46339 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-04-oasi-33.html

RIN: 

Not applicable 
SOCIAL SECURITY ADMINISTRATION BALTIMORE, MD 21235-0001

SOCIAL SECURITY

The Commissioner

December 26, 2017 

The Honorable Blake Farenthold

Chairman, Subcommittee on the Interior,

 Energy, and Environment 

Committee on Oversight and Government Reform 

House of Representatives

Washington, DC 20515 

Dear Mr. Chairman: 

Thank you for your December 8, 2017 letter requesting a list of the guidance documents the Social 

Security Administration (SSA) issued since January 1, 2008. Enclosed is a list of SSA’s published 

Acquiescence Rulings (AR) and Social Security Rulings (SSR), annotated with the information you 

requested. 

To clarify, SSA issues ARs and SSRs in lieu of the specific guidance documents that many other agencies 

issue. ARs and SSRs clarify our policies and procedures for the public and aid the adjudication process 

by explaining our interpretation of our published rules and regulations. The ARs provide clarification 

when we have a court case involving SSA. The SSRs provide policy interpretations when we feel we 

need to clarify our regulations, and, in some cases, consolidate information from our regulations to 

explain our policies within a specific domain. In some cases, we also publish SSRs to explain revised 

procedures, which fall under specific regulations. 

The enclosed list contains all of the ARs and SSRs we published from January 1, 2008 through the 

present. Per your request, we included all of the information for each publication with the exception of 

the issuing agency, component, office, or program, and the Regulation Identification Number (RIN) or 

other identification number for the document. SSA is the issuing agency for all of our ARs and SSRs. In 

addition, we do not assign a RIN, or any other identification number, to these documents because they are 

not regulatory in nature. Rather, we use the publication designation in the Federal Register as our 

identification number for the documents. 

I hope this information is helpful. If I may be of further assistance, please do not hesitate to contact me, 

or your staff may contact Royce Min, our Acting Deputy Commissioner for Legislation and 

Congressional Affairs, at I am sending similar letters to Chairman Gowdy, Chairman 

Meadows, Chairman Jordan, and Chairman Palmer. 

 

Sincerely,

Nancy A. Berryhill

 Acting Commissioner 

Enclosure 
Page 2 – The Honorable Blake Farenthold

cc:

Ranking Member Elijah E. Cummings 

Ranking Member Gerald E. Connolly 

Ranking Member Raja Krishnamoorthi 

Ranking Member Val Butler Demings

Ranking Member Stacey E. Plaskett
Enclosure – Page 1 

Guidance Documents 

Issued by the Social Security Administration 

January 1, 2008 through Present

General Note: Regarding Significance and Review of the following documents, the Social 

Security Administration (SSA) does not consider these rulings to be significant (because 

they are intended only to clarify existing regulations or procedures). SSA did not submit 

them to Congress, GAO, or for formal review by the Office of Information and Regulatory 

Affairs. The Regulatory Reform Task Force has not reviewed these guidance rulings, as we 

have focused our review on existing regulations. However, we will be reviewing these 

documents. 

Acquiescence Rulings

Title: 

AR 12-1 (8): Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011): Whether a National Guard 

Technician Who Worked in Noncovered Employment is Exempt from the Windfall 

Elimination Provision (WEP)—Title II of the Social Security Act

Description of the Subject: 

This ruling found that Social Security old-age or disability applicants and beneficiaries who 

receive a CSRS pension based on noncovered work as dual status National Guard technicians, 

and who are permanent legal residents of a State within the Eighth Circuit, should have their 

Social Security benefits computed using the normal PIA (Primary Insurance Amount), rather 

than the WEP PIA described in 42 U.S.C. 415(a)(7) of the Act. 

Date of Issuance: 

August 27, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2012-01-ar-08.html

RIN: 

Not applicable 
Enclosure – Page 2 

Title: 

AR 14-1(8): Brock v. Astrue, 674 F.3d 1062 (8th Cir. 2012): Requiring Vocational 

Specialist (VS) or Vocational Expert (VE) Evidence When an Individual has a Severe 

Mental Impairment(s) — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when making a disability determination or decision at step five of the 

sequential evaluation process (or the last step in the sequential evaluation process in continuing 

disability review claims), we will not rely exclusively on the Grid rules as a framework for 

decision making when an individual has a severe mental impairment(s), in certain states. 

Date of Issuance: 

May 22, 2014 

Federal Record Citation: 

Federal Register Vol. 77, No. 172, page 54646 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/08/AR2014-01-ar-08.html

RIN: 

Not applicable 

Title: 

AR 15-1 (4): Radford v. Colvin, 734 F.3d 288 (4th Cir. 2013): Standard for Meeting 

Section 1.04A of the Listing of Impairments — Disorders of the Spine with Evidence of 

Nerve Root Compression — Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found, in certain states, that in deciding whether a claimant's severe medically 

determinable disorder of the spine meets listing 1.04A, adjudicators will not require that all of 

the medical criteria in paragraph A appear simultaneously or in particularly close proximity. 

Rather, adjudicators will engage in what the court of appeals described as “a more free-form, 

contextual inquiry that makes 12 months the relevant metric for the assessment of the claimant's 

duration of disability.” 

Date of Issuance: 

September 23, 2015 

Federal Record Citation: 

Federal Register Vol. 80, No. 184, page 57418 
Enclosure – Page 3 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/04/AR2015-01-ar-04.html

RIN: 

Not applicable 

Title: 

AR 16-1 (7): Boley v. Colvin, 761 F.3d 803 (7th Cir. 2014): Judicial Review of an 

Administrative Law Judge's Order Finding No Good Cause for a Late Hearing Request 

and Dismissing the Request as Untimely—Titles II and XVI of the Social Security Act.

Description of the Subject: 

This ruling found that when certain criteria are met, we will send notice explaining that the 

claimant may appeal the dismissal to the Federal district court for the judicial district in Illinois, 

Indiana, or Wisconsin in which the claimant resides. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13438 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ar/07/AR2016-01-ar-07.html

RIN: 

Not applicable 

___________________________________________________________

Social Security Rulings 

Title: 

SSR 09-1p: Title XVI: Determining Childhood Disability Under the Functional 

Equivalence Rule — The “Whole Child” Approach 
Enclosure – Page 4 

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about our “whole child” approach for 

determining whether a child's impairment(s) functionally equals the listings.

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7527 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-01-ssi-02.html

RIN: 

Not Applicable 

Title: 

SSR 09-2p: Title XVI: Determining Childhood Disability – Documenting a Child's 

Impairment-Related Limitations

Description of the Subject: 

This ruling provides policy interpretations and consolidates information from our regulations, 

training materials, and question-and-answer documents about documenting and evaluating 

evidence of a child's impairment-related limitations and related issues.

Date of Issuance: February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7525 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-02-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-3p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Acquiring and Using Information” 
Enclosure – Page 5 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Acquiring and using 

information.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7511 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-03-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-4p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Attending and Completing Tasks”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Attending and completing 

tasks.” It also explains our policy about that domain. 

Date of Issuance: 

February 18, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 31, page 7630 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-04-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-5p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Interacting and Relating with Others” 
Enclosure – Page 6 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Interacting and relating with 

others.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7515 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-05-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-6p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Moving About and Manipulating Objects” 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Moving about and manipulating 

objects.” It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7518 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-06-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-7p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Caring for Yourself” 
Enclosure – Page 7 

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Caring for yourself.” It also 

explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7521 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-07-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 09-8p: Title XVI: Determining Childhood Disability – The Functional Equivalence 

Domain of “Health and Physical Well-Being”

Description of the Subject: 

This ruling consolidates information from our regulations, training materials, and question-andanswer documents about the functional equivalence domain of “Health and physical well-being.” 

It also explains our policy about that domain. 

Date of Issuance: 

February 17, 2009 

Federal Record Citation: 

Federal Register Vol. 74, No. 30, page 7524 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/ssi/02/SSR2009-08-ssi-02.html

RIN: 

Not applicable 

Title: 

SSR 11-1p: Titles II and XVI: Procedures for Handling Requests to File Subsequent 

Applications for Disability Benefits
Enclosure – Page 8 

Description of the Subject: 

This ruling explains our revised procedure under which we will no longer process a subsequent 

disability claim if an individual already has a claim under the same title and of the same type 

pending in our administrative review process. 

Date of Issuance: 

July 28, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 145, page 45309 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 11-2p: Titles II and XVI: Documenting and Evaluating Disability in Young Adults

Description of the Subject: 

This ruling consolidates information from our regulations on documenting and evaluating 

disability in young adults. We also provide guidance on how we apply our policies when we 

determine whether a young adult is disabled under our rules. 

Date of Issuance: 

September 12, 2011 

Federal Record Citation: 

Federal Register Vol. 76, No. 176, page 56263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2011-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 12-1p: Title II: Determining whether work performed in self-employment by persons 

who are blind is substantial gainful activity and treatment of income resulting from the 

Randolph-Sheppard Act and similar programs
Enclosure – Page 9 

Description of the Subject: 

This ruling explains our policy for evaluating whether work performed by self-employed persons 

who are blind is substantial gainful activity (SGA) under the disability program in Title II of the 

Social Security Act. In addition, this ruling clarifies that we do not count income resulting from 

the Randolph-Sheppard Act and similar programs as earnings when we determine whether blind 

persons are engaging in SGA.

Date of Issuance: 

September 21, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 184, page 58604 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/03/SSR2012-01-di-03.html

RIN: 

Not applicable 

Title: 

SSR 12-2p: Titles II and XVI: Evaluation of Fibromyalgia 

Description of the Subject: 

This ruling provides guidance on how we develop evidence to establish that a person has a 

medically determinable impairment of fibromyalgia (FM), and how we evaluate FM in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act.

Date of Issuance: 

July 25, 2012 

Federal Record Citation: 

Federal Register Vol. 77, No. 143, page 43640 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2012-02-di-01.html

RIN: 

Not applicable 
Enclosure – Page 10 

Title: 

SSR 13-1p: Titles II and XVI: Agency Processes For Addressing Allegations of 

Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative 

Law Judges (ALJs) 

Description of the Subject: 

This ruling clarifies the three separate processes we have for addressing allegations of unfairness, 

prejudice, partiality, bias, misconduct, or discrimination by an ALJ. 

Date of Issuance: 

January 29, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 19, page 6168 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2013-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 13-2p: TITLES II AND XVI: EVALUATING CASES INVOLVING DRUG 

ADDICTION AND ALCOHOLISM (DAA)

Description of the Subject: 

This ruling explains our policies for how we consider whether “drug addiction and alcoholism” 

is a contributing factor material to our determination of disability in disability claims and 

continuing disability reviews

Date of Issuance: 

February 20, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 34, page 11939 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2013-02-di-01.html
Enclosure – Page 11 

RIN: 

Not applicable 

Title: 

SSR 13-3p: Title II: Appeal of an Initial Medical Disability Cessation Determination or 

Decision

Description of the Subject: 

This ruling explains how we will review an initial medical cessation determination or decision 

when we receive a timely request for administrative review of the cessation determination or 

decision. 

Date of Issuance: 

February 21, 2013 

Federal Record Citation: 

Federal Register Vol. 78, No. 35, page 12130 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/04/SSR2013-03-di-04.html

RIN: 

Not applicable 

Title: 

SSR 14-1p: Titles II and XVI: Evaluating Cases Involving Chronic Fatigue Syndrome 

(CFS)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of CFS and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI the Social Security Act.

Date of Issuance: 

April 3, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 64, page 18752 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-01-di-01.html
Enclosure – Page 12 

RIN: 

Not applicable 

Title: 

SSR 14-2p: Titles II and XVI: Evaluating Diabetes Mellitus

Description of the Subject: 

This ruling provides information about the types of impairments and limitations that result from 

diabetes mellitus (DM). It also provides guidance on how we evaluate DM in disability claims 

under Titles II and XVI of the Social Security Act. We provide information about endocrine 

disorders other than DM, explain the types of impairments and limitations that result from them, 

and provide guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Act in SSR 14-3p. 

Date of Issuance: 

June 2, 2014 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31375 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 14-3p: Titles II and XVI: Evaluating Endocrine Disorders Other Than Diabetes 

Mellitus

Description of the Subject: 

This ruling provides information about endocrine disorders other than diabetes mellitus (DM), 

and explains the types of impairments and limitations that result from those disorders. It also 

provides guidance on how we evaluate endocrine disorders in disability claims under Titles II 

and XVI of the Social Security Act (Act). We provide information about the types of 

impairments and limitations that result from DM, and provide guidance on how we evaluate DM 

in disability claims under Titles II and XVI of the Act in SSR 14-2p. 

Date of Issuance: 

June 2, 2014 
Enclosure – Page 13 

Federal Record Citation: 

Federal Register Vol. 79, No. 105, page 31380 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2014-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 15-1p: Titles II and XVI: Evaluating Cases Involving Interstitial Cystitis (IC)

Description of the Subject: 

This ruling clarifies our policy on how we develop evidence to establish that a person has a 

medically determinable impairment of IC and how we evaluate this impairment in disability 

claims and continuing disability reviews under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 18, 2015

Federal Record Citation: 

Federal Register Vol. 80, No. 52, page 14215 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2015-01-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-1p: Titles II and XVI: Fraud and Similar Fault Redeterminations Under Section 

205(u) and 1631 (e)(7) of the Social Security Act

Description of the Subject: 

This ruling explains the process we use to redetermine an individual’s entitlement to or eligibility 

for benefits when there is reason to believe that fraud or similar fault was involved in that 

individual’s application for benefits. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No. 49, page 13436 
Enclosure – Page 14 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-01-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-2p: Titles II and XVI: Evaluation of Claims Involving the Issue of Similar Fault in 

Providing Evidence

Description of the Subject: 

This ruling explains the rules that govern the evaluation and adjudication of claims when there is 

reason to believe similar fault was involved in the providing of evidence in support of the claim. 

Date of Issuance: 

March 14, 2016 

Federal Record Citation: 

Federal Register Vol. 81, No 49, page 13440 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2016-02-oasi-33.html

RIN: 

Not applicable 

Title: 

SSR 16-3p: Titles II and XVI: Evaluation of Symptoms in Disability Claims

Description of the Subject: 

This ruling rescinds SSR 96-7p: “Policy Interpretation Ruling Titles II and XVI Evaluation of 

Symptoms in Disability Claims: Assessing the Credibility of an Individual’s Statements,” and 

replaced it with this ruling. We eliminated the use of the term “credibility” from out 

sub-regulatory policy, as our regulations do not use this term. In doing this, we clarified that

subjective symptom evaluation is not an examination of an individual’s character. 

Date of Issuance: 

March 28, 2016 
Enclosure – Page 15 

Federal Record Citation: 

Federal Register Vol. 81, No. 51, page 14166 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 16-4p: Titles II and XVI: Using Genetic Test Results to Evaluate Disability

Description of the Subject: 

This ruling explains how we consider medical evidence containing the results of genetic tests and 

help adjudicators, including disability examiners and medical and psychological consultants, 

consistently apply our policies in disability claims. 

Date of Issuance: 

April 13, 2016 

Federal Record Citation: 

Federal Register Vol. 81, page 21944 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2016-04-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-1p: Titles II and XVI: Reopening Based on Error on the Face of the Evidence — 

Effect of a Decision By the Supreme Court of the United States Finding a Law That We 

Applied to Be Unconstitutional

Description of the Subject: 

This ruling addresses a number of questions regarding how our reopening rules should be applied 

when we applied a Federal or State law in making our determination or decision, and the 

Supreme Court of the United States later determines that the law we applied is unconstitutional. 

Date of Issuance: 

March 1, 2017 
Enclosure – Page 16 

Federal Record Citation: 

Federal Register Vol. 82, No. 39, page 12270 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-01-oasi-33.html

RIN: 

Not applicable 

Title: 

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

Description of the Subject: 

This ruling provides guidance on how adjudicators at the hearings and Appeals Council levels of 

our administrative review process make findings about medical equivalence in disability claims 

under Titles II and XVI of the Social Security Act. 

Date of Issuance: 

March 27, 2017 

Federal Record Citation: 

Federal Register Vol. 82, No. 57. Page 15263 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-02-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-3p: Titles II and XVI: Evaluating Cases Involving Sickle Cell Disease (SCD)

Description of the Subject: 

This ruling provides background information on SCD and how we evaluate SCD during our 

adjudication process. 

Date of Issuance: 

September 15, 2017 
Enclosure – Page 17 

Federal Record Citation: 

Federal Register, Vol. 82, No. 178, page 43442 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/di/01/SSR2017-03-di-01.html

RIN: 

Not applicable 

Title: 

SSR 17-4p: Titles II and XVI: Responsibility for Developing Written Evidence

Description of the Subject: 

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. 

Date of Issuance: 

October 4, 2017 

Federal Record Citation: 

Federal Register, Volume 82, No. 191, Page 46339 

Hyperlink: 

https://www.ssa.gov/OP_Home/rulings/oasi/33/SSR2017-04-oasi-33.html

RIN: 

Not applicable 
Appendix KK

Department of State

Appendix LL

Surface Transportation Board
Chairman

House Committee on Oversight and

Government Reform

2157 Raybum House Office BuildingWashington, DC 20515-6143

The Honorable Jim JordanChairman

House Subcommittee on Healthcare, Benefits,

and Administrative Rules

2157 Rayburn House Office Building•

Washington, DC 20515-6143

The Honorable Blake FarentholdChairman

House Subcommittee on the Interior, Energy,

and Environment

2157 Raybum House Office Building

Washington, DC 20515-6143

Chairman

House Subcommittee on Government

Operations

2157 Raybum House Office Building

Washington, DC 20515-6143

The Honorable Gary J. PalmerChairman

House Subcommittee on Intergovernmental

Affairs

2157 Rayburn House Office Building

Washington, DC 20515-6143

Dear Chairman Gowdy, Chairman Meadows, Chairman Jordan, Chairman Palmer, and

Chairman Farenthold:

Thank you for your recent letter requesting guidance documents issued by the Surface Transportation Board (Board) since January 1 , 2008.

Please find attached four Policy Statements issued by the Board that are responsive to your request. Also attached are three communications from the Board’s Office ofEconomics and one

communication from the Board’s Office ofEnvironmental Analysis that appear to fall within thescope of your inquiry.

If you or your staff have any questions about this response or any other matter regarding the Board, please contact my office at or Lucille Marvin, Director ofthe Office of

Public Assistance, Governmental Affairs, and Compliance at .

Sincerely,

Ann Begeman

Acting Chairman
Subcommittee on Healthcare, Benefits, and Administrative Rules

The Honorable Val Butler Demings, Ranking Member

Subcommittee on Intergovernmental Affairs

The Honorable Stacey E. Plaskett, Ranking Member

Subcommittee on the Interior, Energy, and Environment
SURFACE TRANSPORTATION BOARD

RESPONSE TO 

HOUSE OVERSIGHT COMMITTEE 

Guidance Documents: January 1, 2008– January 25, 2018 

Table of Contents

Rail Transportation of Grain, Rate Regulation Review (2016) .................................................. 2

Small Entity Size Standards Under the Regulatory Flexibility Act (2016).........................3 

Policy Statement on Grant Stamp Procedure In Routine Director Orders (2011) .................4

 Policy Statement on Plain Language Digests in Decisions (2010) .................................. 5 

Consummation of Rail Line Abandonments that are Subject to Historic Preservation and Other 

Environmental Conditions (2008)............................................................................................... 6

Reporting Rule 11 Traffic in QCS: Message to Class I Railroads (2012) .................................. 7

Message to Accounting Officers of All Class I Railroads (2010) .............................................. 8 

Delegation of Authority for the Section 106 Review of Rail Abandonment Projects (2009).....9 

 Notice to Accounting Officers of Class I Railroads (2008) ...................................................... 10
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

2 

1. Title: Rail Transportation of Grain, Rate Regulation Review

 2. Form of guidance: Policy Statement

3. Brief description of subject: Board statement explaining its policy, in response 

to public comments requesting clarification, on standing and aggregation of 

claims in rate cases. 

 4. Date of Issuance: December 29, 2016

 5. Issuing agency, component, office, or program: Board

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: No

 7. To the extent applicable:

 a. The Federal Register citation: 82 Fed. Reg. 805 (Jan. 4, 2017)

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/decisions/readingroom.nsf/UNID/DB9932CA7019E6C5852580980

063B753/$file/45450.pdf 

 c. The Regulation Identification Number: 2140-AB16

d. Any other identification number for the document: 

1) STB Docket No. EP 665 (Sub-No. 1) 

2) Decision ID No. 45450
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

3 

 1. Title: Small Entity Size Standards Under the Regulatory Flexibility Act

 2. Form of guidance: Policy Statement

3. Brief description: Board statement pursuant to 5 U.S.C. 601(3), after notice 

and comment, establishing definition of “small business” as including Class III 

rail carriers, but excluding Class II rail carriers. 

 4. Date of Issuance: June 30, 2016

 5. Issuing agency, component, office, or program: Board

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: No

 7. To the extent applicable:

 a. The Federal Register citation: 81 Fed. Reg. 42,566 (June 30, 2016) 

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/Decisions/readingroom.nsf/UNID/1B3E26DBAB04F46085257FE2

0045A134/$file/44802.pdf 

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: 

1) STB Docket No. 719

 2) Decision ID No. 44802
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

4 

1. Title: Policy Statement on Grant Stamp Procedure In Routine Director

Orders

 2. Form of guidance: Policy Statement

3. Brief description: Board statement explaining new procedure to streamline 

certain decisions by the Director of the Office of Proceedings involving routine, 

uncontested issues.

 4. Date of Issuance: November 14, 2011

 5. Issuing agency, component, office, or program: Board

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: No

 7. To the extent applicable:

 a. The Federal Register citation: 76 Fed. Reg. 70,664 (Nov. 15, 2011)

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/Decisions/readingroom.nsf/UNID/77443B459994E1A78525794200

6CC62C/$file/41686.pdf 

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: 

1) STB Docket No. EP 709

2) Decision ID No. 41686
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

5 

1. Title: Policy Statement on Plain Language Digests in Decisions

 2. Form of guidance: Policy Statement

3. Brief description of subject: Board statement explaining that the agency will 

include a plain-language digest in all entire-Board decisions summarizing the 

decisions in plain language, without relying on citations to statutes or case law. 

 4. Date of Issuance: September 2, 2010

 5. Issuing agency, component, office, or program: Board

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: No

 7. To the extent applicable:

 a. The Federal Register citation: N/A

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/Decisions/readingroom.nsf/UNID/44A2373E183DC7EA852577920

06E2AF6/$file/40550.pdf 

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: 

1) STB Docket No. EP 696

2) Decision ID No. 40550
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

6 

1. Title: Consummation of Rail Line Abandonments that are Subject to 

Historic Preservation and Other Environmental Conditions

 2. Form of guidance: Policy Statement

3. Brief description: Board guidance on when, under 49 C.F.R. § 1152.29(e)(2), a 

carrier may “consummate” abandonment and file a “notice of consummation” of 

the abandonment of a rail line. 

 4. Date of Issuance: April 23, 2008

 5. Issuing agency, component, office, or program: Board

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: Plans to review

 7. To the extent applicable:

 a. The Federal Register citation: 73 Fed. Reg. 22,002 (Apr. 23, 2008) 

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/Decisions/readingroom.nsf/UNID/E784AF30A7C60B908525742E0

06928CE/$file/38903.pdf 

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: 

1) STB Docket No. EP 678

2) Decision ID No. 38903
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

7 

1. Title: Reporting Rule 11 Traffic in QCS: Message to Class I Railroads

 2. Form of guidance: Notice 

3. Brief description: Notice by Office of Economics clarifying the proper method 

of reporting Rule 11 (rebilled) traffic in Quarterly and Annual QCS reports.

 4. Date of Issuance: March 20, 2012

5. Issuing agency, component, office, or program: Office of Economics

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: Plans to review

 7. To the extent applicable:

 a. The Federal Register citation: N/A

 b. A hyperlink to a copy of the document: N/A

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

8 

 1. Title: Message to Accounting Officers of All Class I Railroads

 2. Form of guidance: Notice 

3. Brief description: Notice by Office of Economics notice explaining the proper 

accounting and reporting of government subsidies, such as “Tiger Grants,” 

provided by federal, state, and local authorities. 

 4. Date of Issuance: June 21, 2010

5. Issuing agency, component, office, or program: Office of Economics

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: Plans to review

 7. To the extent applicable:

 a. The Federal Register citation: N/A

 b. A hyperlink to a copy of the document: N/A

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

9 

1. Title: Delegation of Authority for the Section 106 Review of Rail

Abandonment Projects

 2. Form of guidance: Guidance 

3. Brief description: Statement by the Section of Environmental Analysis 

explaining that applicants seeking authority from the Board to abandon railroad 

lines may act on behalf of the Board when complying with the Section 106 

regulations of the National Historic Preservation Act. 

 4. Date of Issuance: December 10, 2009

5. Issuing agency, component, office, or program: Office of Economics, 

Environmental Analysis, and Administration 

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: Plans to review

 7. To the extent applicable:

 a. The Federal Register citation: N/A

 b. A hyperlink to a copy of the document: 

https://www.stb.gov/stb/docs/EnvironmentalDecisions/Delegation%20of%20106%20in%

20Rail%20Abandonments.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Surface Transportation Board

Guidance Documents: Jan. 1, 2008 – Jan. 25, 2018

10 

1. Title: Notice to Accounting Officers of Class I Railroads

 2. Form of guidance: Notice 

3. Brief description: Notice by the Section of Economics that certain accounts 

may be used for recording and reporting financial information related to a single 

employer defined benefit plan. 

 4. Date of Issuance: October 20, 2008

5. Issuing agency, component, office, or program: Office of Economics, 

Environmental Analysis, and Administration 

 6. Indication of whether: 

 a. guidance was considered significant: No

b. the agency submitted the guidance for review by the Office of Information 

and Regulatory Affairs: No

c. the agency submitted the guidance to Congress and GAO: No

d. the Regulatory Reform Task Force has reviewed or plans to review the 

guidance document: Plans to review

 7. To the extent applicable:

 a. The Federal Register citation: N/A

 b. A hyperlink to a copy of the document: N/A

 c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A






Appendix MM

Department of Transportation

Appendix NN

Department of the Treasury
Partial List of Treasury Guidance Documents, 2008-2017 

Financial Crimes Enforcement Network (FinCEN)

FinCEN’s guidance documents are available at https://www.fincen.gov/resources/statutesregulations/guidance. 

FinCEN guidance documents issued between January 2008 and December 2017: 

• 01/04/2017 Casinos Sharing Suspicious Activity Reports with U.S. Parents and 

Affiliates of Casinos

• 07/19/2016 Depository Institutions, Securities and Futures Frequently Asked Questions 

Regarding Customer Due Diligence Requirements for Financial Institutions

• 03/24/2016 Money Services Businesses Frequently Asked Questions regarding Prepaid 

Access

• 03/21/2016 Depository Institutions Interagency Guidance to Issuing Banks on Applying 

Customer Identification Program Requirements to Holders of Prepaid Cards

• 03/11/2016 Depository Institutions, Money Services Businesses Guidance on Existing 

AML Program Rule Compliance Obligations for MSB Principals with Respect to Agent 

Monitoring

• 02/24/2015 Depository Institutions Guidance to Encourage Financial Institutions’ Youth 

Savings Programs and Address Related Frequently Asked Questions

• 12/24/2014 Casinos FinCEN Correspondence with the American Gaming Association 

Regarding Sports Betting Conducted on Behalf of Third Parties

• 08/01/2014 CMIR guidance for common carriers of currency, including armored car 

services

• 02/14/2014 Depository Institutions, Money Services Businesses BSA Expectations 

Regarding Marijuana-Related Businesses

• 01/01/2014 FinCEN Notice 2014-1 FBAR Filing Requirement - Extended Filing Date 

Related to Notice 2013-1

• 06/24/2013 Casinos, Depository Institutions, Insurance Industry, Money Services 

Businesses, Precious Metals/Jewelry Industry, Securities and Futures Administrative 

Difficulties in Submitting Electronic Reports to FinCEN

• 03/18/2013 Money Services Businesses Application of FinCEN's Regulations to Persons 

Administering, Exchanging, or Using Virtual Currencies

• 12/26/2012 FinCEN Notice (2012-2) – FBAR Filing Requirement – Extended Filing 

Date Related to Notice 2012-1

• 09/10/2012 Depository Institutions Definition of Motor Vehicles of Any Kind, Motor 

Vehicles, Vessels, Aircraft, and Farm Equipment as it Relates to Potential CTR 

Exemption for a Non-Listed Business

• 08/13/2012 Casinos Frequently Asked Questions Casino Recordkeeping, Reporting, and 

Compliance Program Requirements

• 06/11/2012 Depository Institutions Guidance on Determining Eligibility for Exemption 

from Currency Transaction Reporting Requirements
2 

• 03/29/2012 Casinos, Depository Institutions, Insurance Industry, Money Services 

Businesses, Precious Metals/Jewelry Industry, Securities and Futures Filing FinCEN's 

new Currency Transaction Report and Suspicious Activity Report

• 03/16/2012 | Depository Institutions, Money Services Businesses, Securities and Futures 

Currency Transaction Report Aggregation for Businesses with Common Ownership

• 02/14/2012 FinCEN Notice (2012-1) FBAR Filing Requirement – Extended Filing Date 

Related to Notices 2011-1 and 2011-2

• 11/02/2011 Depository Institutions, Money Services Businesses Final Rule – Definitions 

and Other Regulations Relating to Prepaid Access

• 10/11/2011 Reports of Foreign Financial Accounts (“FBARs”) Requirements for Former 

Employees that had Signature or Other Authority over a Foreign Financial Account of a 

Former Employer

• 06/17/2011 FinCEN Notice (2011-2) – FBAR Filing Requirement – Extended Filing 

Date Relating to Officers or Employees of Investment Advisors Registered With the SEC

• 05/31/2011 FBAR Filing Requirement--Extended Filing Date Related to Exceptions 

Described in 31 CFR 1010.350(f)(2) - Revised 06/06/11

• 04/12/2011 Securities and Futures Preparation Guidelines for completing the March 

2011 version of FinCEN Form 101, Suspicious Activity Report by the Securities and 

Futures Industries.

• 04/12/2011 Casinos Preparation Guidelines for completing the March 2011 version of 

FinCEN Form 103, Currency Transaction Report by Casinos.

• 03/24/2011 Depository Institutions Interagency Guidance on Accepting Accounts from 

Foreign Embassies, Consulates and Missions

• 11/23/2010 Depository Institutions Sharing Suspicious Activity Reports by Depository 

Institutions with Certain U.S. Affiliates

• 11/23/2010 Securities and Futures Sharing Suspicious Activity Reports by Securities 

Broker-Dealers, Mutual Funds, Futures Commission Merchants, and Introducing Brokers 

in Commodities with Certain U.S. Affiliates

• 11/09/2010 Casinos, Depository Institutions, Money Services Businesses, Securities and 

Futures Funds “Travel” Regulations: Questions & Answers

• 06/30/2010 Casinos Casino or Card Club Risk-Based Compliance Indicators

• 06/30/2010 Casinos Casino or Card Club Compliance Program Assessment

• 03/05/2010 Casinos, Depository Institutions, Insurance Industry, Money Services 

Businesses, Precious Metals/Jewelry Industry, Securities and Futures Guidance on 

Obtaining and Retaining Beneficial Ownership Information

• 12/10/2009 FIN-2009-G005 - Requirements for Correcting Errors in Electronically 

Batch-Filed Suspicious Activity Reports

• 09/30/2009 Casinos Frequently Asked Questions Casino Record keeping, Reporting, and 

Compliance Program Requirements

• 08/31/2009 Depository Institutions FinCEN Guidance (FIN-2009-G003) on Determining 

Eligibility for Exemption from Currency Transaction Reporting Requirements

• 06/16/2009 Guidance on the Scope of Permissible Information Sharing Covered by 

Section 314(b) Safe Harbor of the USA PATRIOT Act
3 

• 04/27/2009 Guidance on Supporting Information Suitable for Determining the Portion of 

a Business Customer's Annual Gross Revenues that is Derived from Activities Ineligible 

for Exemption from Currency Transaction Reporting Requirements

• 04/06/2009 Guidance to Financial Institutions on Filing Suspicious Activity Reports 

regarding Loan Modification/Foreclosure Rescue Scams

• 01/15/2009 Depository Institutions Revision of the CTR Exemption Rule Effective 

January 5, 2009 Completion of FinCEN Form 110

• 01/09/2009 Money Services Businesses Notice to Registered Money Services Businesses 

• 11/13/2008 Money Services Businesses Notice to Registered Money Services Businesses

• 09/10/2008 Money Services Businesses Application of the Definition of Money 

Transmitter to Brokers and Dealers in Currency and Other Commodities

• 08/01/2008 Casinos Recognizing Suspicious Activity - Red Flags for Casinos and Card 

Clubs

• 05/02/2008 Money Services Businesses Preparation Guidelines for Use of Special 

Response "XX" in FinCEN Form 109, Suspicious Activity Report by Money Services 

Business (Form Date March 31, 2007)

• 04/17/2008 Money Services Businesses Guidance to Financial Institutions on Filing 

Suspicious Activity Reports regarding the Proceeds of Foreign Corruption

• 03/20/2008 Insurance Industry Frequently Asked Questions Anti-Money Laundering 

Program and Suspicious Activity Reporting Requirements for Insurance Companies

• 03/19/2008 Depository Institutions Whether a Foreign Exchange Consultant is a 

Currency Dealer or Exchanger or Money Transmitter

• 03/18/2008 Depository Institutions Whether a Foreign Exchange Dealer is a Currency 

Dealer or Exchanger or Money Transmitter

• 03/18/2008 Depository Institutions Whether a Person That is Engaged in the Business of 

Foreign Exchange Risk Management is a Currency Dealer or Exchanger or Money 

Transmitter

• 03/10/2008 Depository Institutions Whether Certain Reloadable Card Operations are 

Money Services Businesses

• 03/10/2008 Precious Metals/Jewelry Industry Guidance for Dealers, Including Certain 

Retailers, of Precious Metals, Precious Stones, or Jewels, on Conducting a Risk 

Assessment of Their Foreign Suppliers

• 03/04/2008 Securities and Futures Customer Identification Program Rule No-Action 

Position Respecting Broker-Dealers Operating Under Fully Disclosed Clearing 

Agreements According to Certain Functional Allocations

• 01/30/2008 Depository Institutions, Securities and Futures Application of Correspondent 

Account Rules to the Presentation of Negotiable Instruments Received by a Covered 

Financial Institution for Payment

• 01/25/2008 Reporting of Certain Currency Transactions for Sole Proprietorships and 

Legal Entities Operating Under a "Doing Business As" ("DBA") Name

 
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Alcohol and Tobacco Tax and Trade Bureau (TTB) 

TTB’s guidance is available at https://ttb.gov/regulation_guidance/index.shtml. 

TTB guidance documents issued between January 2008 and December 2017: 

Industry Circulars 

• TTB Industry Circular 2017-4, Voluntary Beverage Alcohol Recalls

• TTB Industry Circular 2017-3, Pinot Noir from the Languedoc-Roussillon Region of 

France; Cancellation of Declaration Requirement

• TTB Industry Circular 2017-2, Amendments to the Criteria for the Hard Cider Tax Rate 

and Information on Other Requirements that Apply to Wine that is Eligible for the Hard 

Cider Tax Rate

• TTB Industry Circular 2017–1, Levels of Lead in Wine

• TTB Industry Circular 2016–2, Internal Revenue Code Amendments Eliminating Bond 

Requirements and Adding Annual Tax Return Periods for Eligible Alcohol Taxpayers

• TTB Industry Circular 2016–1, Elimination of Certain Pre-COLA Product Evaluation 

Requirements (Formulas or Laboratory Analysis) for Certain Alcohol Beverage Product

• TTB Industry Circular 2015–1, Automated Commercial Environment Pilot Program; 

Alternate Method for Participants to Fulfill TTB Requirements for Importation

• TTB Industry Circular 2014–2, Expansion of Allowable Revisions to Approved Alcohol 

Beverage Labels

• TTB Industry Circular 2014–1, New Argentine Wine Labeling Rules and Certificate of 

Label Approval Requirements

• TTB Industry Circular 2013–1, Use of Social Media in the Advertising of Alcohol 

Beverages

• TTB Industry Circular 2012–3, Electronically Processing Paper Certificate of Label 

Approval (COLA) Applications

• TTB Industry Circular 2012–2, Tie-In Sales - An Unlawful Trade Practice

• TTB Industry Circular 2012–1, Guidance Regarding Industry Members' Participation in 

Retail Programs

• TTB Industry Circular 2011–4, Streamlining the Certificate of Label Approval Review 

Process

• TTB Industry Circular 2011–3, Importation of Tobacco Products and Calculating the Tax 

on Imported Large Cigars

• TTB Industry Circular 2011–2, Application of Alcohol Beverage Advertising Regulations 

to Television Advertising

• TTB Industry Circular 2011–1, Application of Alcohol Beverage Advertising Regulations 

to Media Personality Sponsorships

• TTB Industry Circular 2010–8, Alcohol Beverages Containing Added Caffeine

• TTB Industry Circular 2010–7, Changes to Firearms and Ammunition Excise Tax Method 

of Payment

• TTB Industry Circular 2010–4, Country of Origin Certification Requirements for Imported 

Wines and Distilled Spirits

• TTB Industry Circular 2010–3, Brunello di Montalcino Wine
5 

• TTB Industry Circular 2010–2, Unauthorized Pesticide Verification and Enforcement 

Program for Wine

• TTB Industry Circular 2009–1, Increase in Federal Excise Tax and Imposition of Floor 

Stocks Tax on Tobacco Products, Cigarette Papers, and Cigarette Tubes

• TTB Industry Circular 2008–4, Alternating Proprietors at Bonded Wine Premises

• TTB Industry Circular 2008–3, Non-Compliant Flavored Malt Beverages

TTB Procedures 

• 2014-1 Testing of Chewing Tobacco and Snuff Products 

• 2011-1 Payment of Tax by Electronic Fund Transfer 

• 2010-1 Certification for the Analysis of Wine or Distilled Spirits for Export

• 2009-1 Procedure for Certain Tobacco Products and Cigarette Papers and Tubes 

Withdrawn from the Market 

TTB Rulings 

• 2017-2 Revised - Freshness Dating and Allowable Returns of Malt Beverage Products 

under the FAA Act 

• 2017-1 Revoking Obsolete Guidance Documents Concerning Completely Denatured 

Alcohol and Specially Denatured Spirits 

• 2016-3 TTB Approves General-Use Formulas for Certain Distilled Spirits Produced Using 

Harmless Coloring, Flavoring, or Blending Materials

• 2016-2 TTB Approves General-Use Formulas for Certain Agricultural Wines

• 2016-1 The Shelf Plan and Shelf Schematic Exception to the "Tied House" Prohibition, 

and Activities Outside Such Exception 

o Frequently Asked Questions on TTB Ruling 2016-1

• 2015-1 Ingredients and Processes Used in the Production of Beer Not Subject to Formula 

Requirements

o Exempt Ingredients and Processes Determined to be Traditional Under TTB Ruling 

2015–1

o Examples of Adequate and Inadequate Designations in Accordance with Trade 

Understanding

• 2014-5 Cover Over of Taxes Collected on Certain Distilled Spirits Transported to the 

United States from Puerto Rico and the U.S. Virgin Islands 

• 2014-3 [SUSPENDED] Bottling Taxpaid Wine in Growlers or Similar Containers for 

Consumption Off of the Premises (Suspended per TTB April 25, 2014 Announcement) 

• 2014-2 Revised Interim Policy on Gluten Content Statements in the Labeling and 

Advertising of Wine, Distilled Spirits, and Malt Beverages

• 2014-1 Tax Classification of Snuff and Chewing Tobacco, Specifically as Related to 

"Gutkha" Products 

• 2013-2 Voluntary Nutrient Content Statements in the Labeling and Advertising of Wines, 

Distilled Spirits, and Malt Beverages

o Frequently Asked Questions on TTB Ruling 2013-2

o Frequently Asked Questions on Optional Alcohol Facts Statements
6 

o Frequently Asked Questions on Sugar Content Statements

• 2013-1 Malt Beverages Sold Exclusively in Intrastate Commerce

• 2012-3 Recognition of Andong Soju and Gyeongju Beopju as Distinctive Products of 

Korea (supersedes Ruling 2012-1)

• 2010-4 Cigarette-making Machines in Retail Establishments 

o May 12, 2014: TTB Announcement, "Ongoing Enforcement in Connection with 

Cigarette-Making Machines"

o August 26, 2013: TTB Announcement, "Enforcement Efforts in Connection with 

Cigarette-Making Machines"

o October 4, 2012: TTB G 2012-3, "Cigarette-Making Machines and Other Tobacco 

Product Machines Made Available For Use By Consumers"

o August 28, 2012 Notice

o July 25, 2012 Notice

o July 10, 2012 Notice

o December 17, 2010 Notice

• 2010-2 Consolidated Imports of Personal Purchases of Alcohol Beverage Products 

• 2010-1 Use of Propylene Glycol Monomethyl Ether (PGME) as a Prescribed Ingredient in 

Special Industrial Solvents 

• 2009-1 Taxable Weight of Tobacco Products 

• 2008-3 Classification of Brewed Products 

• 2008-1 Standards of Identity and the Use of Semi-generic Designations and Retsina on 

Certain European Wines Imported into the U.S. 

Frequently Asked Questions by Category 

Alcohol

• Alcohol Beverages Containing Added Caffeine

• Alcohol Facts Statements

• Beer

• Business Operations

• Cider

• Distilled Spirits

• Export Certificate Program

• Extraction Products

• Flavored Malt Beverages

• Fuel Alcohol

• General

• Honey Wine (Mead)

• Kombucha

• Natural Disasters

• Organic Alcohol

• Serving Facts

• Shelf Schematics

• Sugar Content Statements

• Wine
7 

Firearms Excise Tax

• Ammunition Reloaders

• Background

• Claims

• Gunsmiths

• Employer Identification Number

• Importers

• Forms

• Manufacturers and Producers

• Sales

• Small Manufacturers Exemptions

• Tax Rates and Statistics

• Taxes 

Advertising, Labeling, and Formulation

• Beverage Alcohol Samples

• COLAs Online

• COLAs Retention Requirements for Wholesalers

• Importing Samples for Trade Shows and/or for Soliciting Orders 

Permits

• Contacts

• Importing Alcohol Beverages into the U.S.

• International Import/Export Requirements

Tobacco

• Tobacco General

• Floor Stocks Tax

o General Questions

o Inventory

o Requirements

o Filing

o Controlled Groups

o Credits

o Miscellaneous

• "Roll-your-own cigarette machines" and other tobacco product machines used by 

consumers

Other TTB Guidance 

• TTB G 2017-9 – Distilled Spirits Example Formulas

• TTB G 2017-8 – Wine Example Formulas
8 

• TTB G 2017-7 – Malt Beverage Example Formulas

• TTB G 2017-6 - Limited Ingredient Calculation Worksheet: Guidance and Examples

• TTB G 2017-5 - Alcohol Beverage Formula Approval with Lab Sample Analysis

• TTB G 2017-4 – Flavor Ingredient Data Sheet (FIDS): Guidance and Examples

• TTB G 2017-3 – Ingredient Specification Sheet (Spec Sheet): Guidance and Examples

• TTB G 2017-2 – Personalized Labels

• TTB G 2017-1 – Flavor Unfitness Worksheet

• TTB G 2016-4, Information for Alcohol Excise Taxpayers and Applicants for Permits and 

Brewers' Notices Regarding Internal Revenue Code Amendments Affecting Excise Tax 

Due Dates and Bond Requirements

• TTB G 2016-3, Pre-COLA Product Evaluations for Distilled Spirits Products

• TTB G 2016-2, Pre-COLA Product Evaluations for Wine Products

• TTB G 2016-1A, Beers and Malt Beverages that Require Either Formula Approval or 

Formula Approval with Laboratory Sample Analysis

• TTB G 2015-4 - Retail Beverage Alcohol Dealers

• TTB G 2015-3 - Importing Bottled Alcohol Beverages Into the United States.

• TTB G 2015-2 – Getting Started in a TTB-Regulated Business

• TTB G 2015-1, How do I file Excise Tax Returns and Wine Operations Reports annually?

• TTB G 2014-2 - Permits Online Tutorial

• TTB G 2014-1 - Approval of Alternative Devices for Determination of Proof of Distilled 

Spirits For Tax Determination Purposes; Guidance and Performance Standards

• TTB G 2013-3 – General Instructions for the Wine Export Certificate for U.S. Wine 

Products Exported from the United States to the People's Republic of China

• TTB G 2013-2 - Claiming Drawback on Taxpaid Distilled Spirits Used in Manufacturing 

Nonbeverage Products

• TTB G 2013-1 - Ingredients and Processes Exempt from Formula Requirements under 27 

CFR part 25

• TTB G 2012-3 – Public Guidance on Cigarette-Making Machines Made Available for Use 

by Consumers

• TTB G 2012-2 – Updated Certificate of Label Approval Application Form

• TTB G 2012-1 – Common Compliance and Tax Issues Found During Brewery Audits

• TTB G 2011–5 Personalized Labels

• TTB G 2011–4 American Grape Variety Names (updated 11/29/11) 

• TTB G 2011–3 Tied House Exceptions

• TTB G 2011–2 Requirements for Establishing an Alcohol Fuel Plant (AFP)

• TTB G 2011–1 Key Distinctions Between Alcohol Fuel Plants and Typical Distilled Spirits 

Plants

• TTB G 2010–20 Electronic Fund Transfer (EFT) Tax Payment Information for TTB 

Procedure 2011–1

• TTB G 2010-19 – Not issued 

• TTB G 2010–18 Wine and Juice Treating Materials and Processes for Domestic Wine 

Production

• TTB G 2010–17 Exporting Wine from the U.S. - Wholesaler Exporting Untaxpaid Wine

• TTB G 2010–16 Certificate of Age and Origin Requirements for Imported Alcohol 

Beverages

• TTB G 2010–15 Exporting Wine from the U.S. - Wholesaler Exporting Taxpaid Wine
9 

• TTB G 2010–14 Exporting Wine from the U.S. - Bonded Wine Premises Exporting 

Untaxpaid Wine

• TTB G 2010–13 Exporting Wine from the U.S. - Bonded Wine Premises Exporting 

Taxpaid Wine

• TTB G 2010–12 Exporting Distilled Spirits from the U.S. - Wholesaler Exporting Taxpaid 

Distilled Spirits

• TTB G 2010–11 Exporting Distilled Spirits from the U.S. - Wholesaler Exporting 

Untaxpaid Distilled Spirits

• TTB G 2010–10 Exporting Distilled Spirits from the U.S. - Distilled Spirits Plant 

Exporting Taxpaid Distilled Spirits

• TTB G 2010–9 Exporting Distilled Spirits from the U.S. - Distilled Spirits Plant Exporting 

Untaxpaid Distilled Spirits

• TTB G 2010–8 Exporting Beer from the U.S. - Breweries Exporting Untaxpaid Beer

• TTB G 2010–7 Exporting Beer from the U.S. - Breweries Exporting Taxpaid Beer

• TTB G 2010–6 Common Compliance and Tax Issues Found During Distilled Spirits Plant 

(DSP) Audits (updated Dec. 21, 2011) 

• TTB G 2010–5 TTB Guidance Regarding Physical Inventory of Beer and Cereal 

Beverages

• TTB G 2010–4 Exporting Beer from the U.S. - Wholesalers Exporting Taxpaid Beer

• TTB G 2010–3 Kombucha Questions and Answers

• TTB G: 2010–2 Country of Origin Certification Requirements – replaced by TTB G 2010–

16

• TTB G: 2010–1 Personalized Labels – replaced by TTB G 2011-5
10 

Bureau of the Fiscal Service (BFS)

BFS guidance is available at https://www.fiscal.treasury.gov/fsreports/fs_reference.htm. 

BFS guidance documents issued between January 2008 and December 2017: 

• Agency Self-Certification Guide

Supplement to TFM Volume I, Part 4-10000 

• Annual Fiscal Service Letters

• Automated Clearinghouse

CARS Reference and Guidance

• EFTPS Marketing Materials

• FAST Book

• Federal Credit Bureau Program Guide 

• Fiscal Service Data Registry

• Financial Management and Budget Standardization

• Gold Book

• Green Book

• Request for Waiver of 31 CFR 208.6 and 210.5 for Split Travel Disbursements

• United States Standard General Ledger (USSGL)

• Surety Bonds

• Treasury Financial Manual

• BFS Frequently Asked Questions 
11 

Internal Revenue Service

The number of IRS documents that could be responsive to the request is extremely large. The 

Committee requested a list of all guidance documents issued by the IRS since January 1, 2008. 

Congress previously made a similar request to the Government Accountability Office (GAO) 

and, on September 6, 2016, GAO released a report (GAO-16-720) that reviewed how the IRS 

communicates its interpretation of tax laws to the public and the various types of guidance that 

the IRS issues. The report explained that the IRS publishes tax regulations and certain other 

guidance in the weekly Internal Revenue Bulletin (IRB), annually publishing about 2,000 pages 

of regulations and other guidance documents. The report also explained that, in addition to 

guidance published in the Federal Register and the IRB, thousands of other documents that 

provide information to taxpayers are available on the IRS’s website. These include, in part, IRS 

Publications, IRS Forms, Tax Topics, Tax Trails, Tax FAQs, Chief Counsel Notices, Internal 

Revenue Manual provisions, Chief Counsel Advice (CCA), Priority Guidance Plans, Action on 

Decisions, Appeals Settlement Guidelines, General Counsel Memoranda, Technical Advice 

Memorandums, Legal Advice issued by Associate Chief Counsel, and Program Manager 

Technical Advice. The IRS’s “Electronic Reading Room” provides links to databases containing 

these documents and other publicly available information. It can be accessed via this link: 

https://www.irs.gov/privacy-disclosure/electronic-reading-room. Two screenshots showing 

the various databases available via the Electronic Reading Room are below. Many of these 

databases contain tens of thousands of documents (if not more) that were released in the past ten 

years. 

In addition, every year the IRS publishes its Priority Guidance Plan (PGP). The PGP identifies 

the projects that were priorities for allocation of resources during the period and includes a brief 

summary of every project listed. The PGP is updated quarterly with publication information and 

to add new guidance items that became priorities during the year. The Fourth Quarter update for 

each PGP contains every guidance project published by the IRS during that plan year. Each 

update to the PGP is available online via this link: https://www.irs.gov/privacydisclosure/priority-guidance-plan. A screenshot showing the links to each of these updates for 

the past 10 years is below. 

Regarding the specific information about each document that you requested, all of the documents 

that are available via the resources described above can be accessed individually. When 

accessed, each show the document’s title, the name of the form of guidance, a description of the 

subject, the date of issuance, the issuing agency, the Regulation Identification Number (if 

applicable), and any other identification number (Items 1-5 and 7 on your list). The IRS meets 

its Congressional Review Act notice requirement (item 6(c)) for regulations by submitting a 

Congressional Review Act form (CRA form), the regulation, and other attachments, to 

Congressional and GAO representatives. 
12 
13 
14 
15 

Significant Guidance Documents

The Department has issued two guidance documents since 2008 that OMB designated as 

“significant guidance documents” under its Bulletin for Agency Good Guidance Practices (72 FR 

3432):

1. Departmental Offices; Interim Guidance Concerning the Terrorism Risk Insurance 

Reauthorization Act of 2007 https://www.treasury.gov/resource-center/finmkts/Documents/interim_guidance_01282008.pdf 

2. Best Practices for Residential Covered Bonds. 

https://www.treasury.gov/about/organizational-structure/offices/GeneralCounsel/Documents/USCoveredBondBestPractices.pdf 

Departmental Offices (DO)

DO guidance is available by office or program at https://www.treasury.gov/resourcecenter/Pages/default.aspx. A list of DO guidance documents is forthcoming.