42850 Federal Register / Vol. 62, No. 153 / Friday, August 8, 1997 / Notices

SMALL BUSINESS ADMINISTRATION

Region IX Honolulu District Advisory

Council; Public Meeting

The U. S. Small Business

Administration Region IX Advisory

Council, located in the geographical

area of Honolulu, Hawaii, will hold a

public meeting on Thursday, August 14,

1997, at 10:00 a.m., at the Bank of

America FSB, 1099 Alakea Street Alii

Place, 24th Floor, Honolulu, HI, to

discuss such matters as may be

presented by members, staff of the U. S.

Small Business Administration, or

others present.

For further information, write or call

Andrew K. Poepoe, District Director, U.

S. Small Business Administration, 300

Ala Moana Boulevard, Room 3214,

Honolulu, Hawaii, 96850, telephone

number (808) 541–2965

Dated: July 30, 1997.

Eugene Carlson,

Associate Administrator, Office of

Communication and Public Liaison.

[FR Doc. 97–20956 Filed 8–7–97; 8:45 am]

BILLING CODE 8025–01–P

SMALL BUSINESS ADMINISTRATION

Region I Providence District Advisory

Council Meeting; Public Meeting

The U.S. Small Business

Administration Region I Advisory

Council, located in the geographical

area of Providence, Rhode Island will

hold a public meeting on Tuesday,

August 26, 1997, at 4:00 p.m. at the

Newport Harbor Hotel, Newport, Rhode

Island.

The purpose of this meeting is to

discuss such matters as may be

presented by members, staff of the U.S.

Small Business Administration, or other

parties.

For further information, write or call

the office of the District Director,

Providence District Office, U.S. Small

Business Administration, 380

Westminster Street, Rhode Island 02903,

(401) 528–4561.

Dated: July 30, 1997.

Eugene Carlson,

Associate Administrator, Office of

Communications and Public Liaison.

[FR Doc. 97–20959 Filed 8–7–97; 8:45 am]

BILLING CODE 8025–01–P

SOCIAL SECURITY ADMINISTRATION

Social Security Ruling, SSR 97–2p;

Title II and Title XVI: Prehearing Case

Review by Disability Determination

Services

AGENCY: Social Security Administration.

ACTION: Notice of Social Security ruling.

SUMMARY: In accordance with 20 CFR

402.35(b)(1), the Acting Commissioner

of Social Security gives notice of Social

Security Ruling (SSR) 97–2p. This

Ruling states the Social Security

Administration’s (SSA) policy on

returning claims pending at the hearing

level from the Office of Hearings and

Appeals to the Disability Determination

Services for a prehearing case review

when new medical evidence is

submitted. This Ruling was developed

as part of SSA’s effort to further ensure

consistency in the way disability claims

are adjudicated at all levels of the

administrative review process.

EFFECTIVE DATE: August 8, 1997.

FOR FURTHER INFORMATION CONTACT:

Joanne K. Castello, Division of

Regulations and Rulings, Social Security

Administration, 6401 Security

Boulevard, Baltimore, MD 21235, (410)

965–1711.

SUPPLEMENTARY INFORMATION: Although

we are not required to do so pursuant

to 5 U.S.C. 552 (a)(1) and (a)(2), we are

publishing this Social Security Ruling

in accordance with 20 CFR 402.35(b)(1).

Social Security Rulings make

available to the public precedential

decisions relating to the Federal old-age,

survivors, disability, supplemental

security income, and black lung benefits

programs. Social Security Rulings may

be based on case decisions made at all

administrative levels of adjudication,

Federal court decisions, Commissioner’s

decisions, opinions of the Office of the

General Counsel, and other

interpretations of the law and

regulations.

Although Social Security Rulings do

not have the same force and effect as the

statute or regulations, they are binding

on all components of the Social Security

Administration, in accordance with 20

CFR 402.35(b)(1), and are to be relied

upon as precedents in adjudicating

cases.

If this Social Security Ruling is later

superseded, modified, or rescinded, we

will publish a notice in the Federal

Register to that effect.

(Catalog of Federal Domestic Assistance,

Programs 96.001 Social Security—Disability

Insurance; 96.002 Social Security—

Retirement Insurance; 96.004 Social

Security—Survivors Insurance; 96.005

Special Benefits for Disabled Coal Miners;

96.006 Supplemental Security Income.)

Dated: July 31, 1997.

John J. Callahan,

Acting Commissioner of Social Security.

Policy Interpretation Ruling

Title II and Title XVI: Prehearing Case

Review by Disability Determination

Services

Purpose: To state the Social Security

Administration’s (SSA) policy on

returning claims pending a hearing

before an Administrative Law Judge

(ALJ) from SSA’s Office of Hearings and

Appeals (OHA) to the Disability

Determination Services (DDS) for a

prehearing case review when new

medical evidence is submitted.

Citations (Authority): Regulations No.

4, sections 404.941, 404.944, and

404.1527(f); and Regulations No. 16,

sections 416.1441, 416.1444, and

416.927(f).

Background: 20 CFR 404.941 and

416.1441 provide that after a hearing

before an ALJ is requested but before it

is held, SSA may, for the purposes of a

prehearing case review, forward a case

to the component of SSA (including a

State agency) that issued the

determination being reviewed. That

component will decide whether the

determination may be revised. These

regulations provide that SSA may

conduct a prehearing case review if:

1. Additional evidence is submitted;

2. There is an indication that

additional evidence is available;

3. There is a change in the law or

regulation; or

4. There is an error in the file or some

other indication that the prior

determination may be revised.

Under these rules, SSA has the

authority to conduct a prehearing case

review in a wide range of

circumstances. However, SSA has

generally used its authority to conduct

a prehearing case review in limited

circumstances, keeping most cases in

the hearing process even when a

prehearing case review would be

permissible under these rules. Now,

under an initiative approved by the

Commissioner of Social Security in July

1996 as part of SSA’s overall goal of

process unification, SSA has decided to

use its existing regulatory authority to

reexamine selected disability claims

after a hearing is requested but before it

is held. This Ruling explains the policy

SSA will apply in these cases.

The goal of process unification is to

achieve correct, similar results in

similar cases at all stages of the

administrative review process. SSA’s

studies indicate that additional
Federal Register / Vol. 62, No. 153 / Friday, August 8, 1997 / Notices 42851

evidence is submitted to SSA’s OHA by

claimants or their representatives in at

least 40 percent of claims pending at the

hearing level. (SSA requests or develops

for additional evidence in

approximately another 20 percent of

cases.) Given this volume of cases

involving additional evidence at the

hearing level, evaluation of these cases

by DDS medical and/or psychological

consultants could either result in a

revised favorable determination without

a hearing, or at least present a clearer

picture of the medical record for

purposes of a hearing before an ALJ in

a significant number of cases. For these

purposes, the ALJ would accept the DDS

medical and/or psychological

consultant’s analysis as evidence

material to the issues, pursuant to 20

CFR 404.944 and 416.1444.

Including the DDS medical and/or

psychological consultant’s analysis of

additional evidence in the record is

consistent with considering DDS

medical and psychological consultant

opinion in adjudication at the OHA

level (SSR 96–6p, 7/2/96). The analysis

is expected to help ensure uniform

decision making at all levels of

administrative review within SSA by

providing expert consideration of, and

opinion on, the medical issues

presented by the additional evidence,

including, but not limited to, the

existence and severity of the claimant’s

impairment(s), the existence and

severity of the claimant’s symptoms,

whether the impairment meets or equals

the requirements for any impairment

listed in 20 CFR Part 404, Subpart P,

Appendix 1, and the claimant’s residual

functional capacity. The analysis is also

expected to help OHA focus any

additional development it may consider

necessary by indicating what issues

raised in the additional evidence, if any,

could be clarified by such development.

Policy Interpretation: Under 20 CFR

404.941 and 416.1441, OHA may return

selected cases to the DDS for a

prehearing case review when new

medical evidence is received at the

hearing level.

OHA may return a case to the DDS if

all of the following criteria are met:

• The claimant requested a hearing

regarding his or her entitlement to

disability insurance benefits under title

II of the Social Security Act (the Act),

eligibility for supplemental security

income based on disability under title

XVI of the Act, or both;

• A hearing has not been held in the

case;

• SSA received additional evidence

in the case after the date of the

reconsideration determination;

• The additional evidence is not

duplicative and was not a result of SSA

development; and

• SSA has not previously returned

the case to the DDS for a prehearing case

review.

The DDS will decide whether its

determination may be revised based on

the additional evidence when

considered with the entire record. A

revised determination may be wholly or

partially favorable to the claimant.

If the DDS revises the determination,

SSA will mail written notice of the

revised determination to all parties to

the hearing at their last known address.

The notice will state the basis for the

revised determination, and will advise

all parties of their right to request a

hearing on the revised determination

within 60 days after the date of

receiving the notice.

If the DDS revises its determination to

a wholly favorable determination, the

notice will also state that:

• The ALJ will dismiss the request for

hearing unless the claimant or another

party requests that the hearing proceed;

and

• The request to proceed with the

hearing must be made in writing within

30 days after the date the notice of the

revised determination was mailed.

If the DDS revises its determination to

a partially favorable determination, the

notice will also state:

• What was not favorable in the

revised determination; and

• That the hearing requested by the

claimant will be held unless the

claimant and all other parties inform

SSA that they agree to dismiss the

hearing request.

If the DDS does not revise its

determination based on the additional

evidence, the DDS will return the case

to the ALJ with a medical and/or

psychological consultant’s analysis of

the entire medical record, including the

additional evidence, in a format

appropriate for inclusion into the

record. This analysis will be considered

opinion evidence from a nonexamining

source or sources, under the provisions

of the regulations at 20 CFR 404.1527(f)

and 416.927(f), and the guidelines in

SSR 96–6p. The ALJ must consider the

medical and/or psychological

consultant’s analysis by applying the

rules in paragraphs (a) through (e) of

those sections of the regulations, and

must explain in the decision the weight

given to the analysis.

Returning a case for a prehearing case

review will not delay the scheduling of

a hearing unless the claimant agrees to

continue the review and delay the

hearing. If the prehearing case review is

not completed before the date of the

hearing, the case will be sent to the ALJ

unless a favorable revised determination

is in process, or the claimant and the

other parties to the hearing agree in

writing to delay the hearing until the

review is completed.

EFFECTIVE DATE: This Ruling is effective

on August 8, 1997.

Cross-Reference: SSR 96–6p, ‘‘Titles II

and XVI: Consideration of

Administrative Findings of Fact by State

Agency Medical and Psychological

Consultants and Other Program

Physicians and Psychologists at the

Administrative Law Judge and Appeals

Council Levels of Administrative

Review; Medical Equivalence.’’

[FR Doc. 97–20900 Filed 8–7–97; 8:45 am]

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DEPARTMENT OF TRANSPORTATION

Aviation Proceedings, Agreements

Filed During the Week of August 1,

1997

The following Agreements were filed

with the Department of Transportation

under the provisions of 49 U.S.C 412

and 414. Answers may be filed within

21 days of date of filing.

Docket Number: OST–97–2775

Date Filed: July 31, 1997

Parties: Members of the International

Air Transport Association

Subject:

PTC Comp 0140 dated July 9, 1997

Mail Vote 880 (Reso 010v-Fares from

Zimbabwe)

1st Amendment to Mail Vote

2nd Amendment to Mail Vote

Intended effective date: August 15,

1997.

Docket Number: OST–97–2777

Date Filed: July 31, 1997

Parties: Members of the International

Air Transport Association

Subject:

PTC23 Telex Mail Vote 878

Mail Vote 878 (Reso 010t-Hong KongLondon Fares)

Amendment to Mail Vote

Intended effective date: August 15,

1997.

Paulette V. Twine,

Chief, Documentary Services.

[FR Doc. 97–20963 Filed 8–7–97; 8:45 am]

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