34470 Federal Register / Vol. 61, No. 128 / Tuesday, July 2, 1996 / Notices

determinable impairment(s) that could

reasonably be expected to produce the

symptoms. If the adjudicator finds that

such symptoms cause a limitation or

restriction having more than a minimal

effect on an individual’s ability to do

basic work activities, the adjudicator

must find that the impairment(s) is

severe and proceed to the next step in

the process even if the objective medical

evidence would not in itself establish

that the impairment(s) is severe. In

addition, if, after completing

development and considering all of the

evidence, the adjudicator is unable to

determine clearly the effect of an

impairment(s) on the individual’s

ability to do basic work activities, the

adjudicator must continue to follow the

sequential evaluation process until a

determination or decision about

disability can be reached.

Effective Date

This Ruling is effective on July 2,

1996.

Cross-References

SSR 85–28, ‘‘Titles II and XVI:

Medical Impairments That are Not

Severe,’’ SSR 96–4p, ‘‘Titles II and XVI:

Symptoms, Medically Determinable

Physical and Mental Impairments, and

Exertional and Nonexertional

Limitations,’’ and SSR 96–7p, ‘‘Titles II

and XVI: Evaluation of Symptoms in

Disability Claims: Assessing the

Credibility of an Individual’s

Statements;’’ and Program Operations

Manual System, sections DI 24505.001,

DI 24505.005, DI 24515.061, DI

25215.005, DI 25225.001, DI 26515.005,

DI 26515.015, and DI 26516.010.

[FR Doc. 96–16686 Filed 7–1–96; 8:45 am]

BILLING CODE 4190–29–P

[Social Security Ruling (SSR) 96–1p]

Application by the Social Security

Administration (SSA) of Federal Circuit

Court and District Court Decisions

AGENCY: Social Security Administration.

ACTION: Notice of Social Security Ruling.

SUMMARY: In accordance with 20 CFR

422.406(b)(1), the Commissioner of

Social Security gives notice of Social

Security Ruling 96–1p. This Ruling

clarifies SSA’s longstanding policies

that (1) unless and until a Social

Security Acquiescence Ruling is issued

determining that a final circuit court

holding conflicts with the Agency’s

interpretation of the Social Security Act

or regulations and explaining how SSA

will apply such a holding, SSA

decisionmakers will continue to be

bound by SSA’s nationwide policy,

rather than the court’s holding, in

adjudicating other claims within that

circuit court’s jurisdiction, and (2)

despite a district court decision which

may conflict with SSA’s interpretation

of the Social Security Act or regulations,

SSA adjudicators will continue to apply

SSA’s nationwide policy when

adjudicating other claims within that

district court’s jurisdiction unless the

court directs otherwise.

This Ruling does not in any way

modify SSA’s acquiescence policy to

which the Agency continues to remain

firmly committed, but instead serves to

emphasize consistent adjudication in

the programs SSA administers.

EFFECTIVE DATE: July 2, 1996.

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

422.406(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 policy

interpretations of the law and

regulations.

Although Social Security Rulings do

not have the force and effect of the law

or regulations, they are binding on all

components of the Social Security

Administration, in accordance with 20

CFR 422.406(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: June 7, 1996.

Shirley S. Chater,

Commissioner of Social Security.

Policy Interpretation Ruling

Application by the Social Security

Administration (SSA) of Federal Circuit

Court and District Court Decisions

Purpose: To clarify longstanding

policy that, unless and until a Social

Security Acquiescence Ruling (AR) is

issued determining that a final circuit

court holding conflicts with the

Agency’s interpretation of the Social

Security Act or regulations and

explaining how SSA will apply such a

holding, SSA decisionmakers continue

to be bound by SSA’s nationwide

policy, rather than the court’s holding,

in adjudicating other claims within that

circuit court’s jurisdiction. This Ruling

does not in any way modify SSA’s

acquiescence policy to which the

Agency continues to remain firmly

committed, but instead serves to

emphasize consistent adjudication in

the programs SSA administers. This

Ruling is also issued to clarify

longstanding Agency policy that,

despite a district court decision which

may conflict with SSA’s interpretation

of the Social Security Act or regulations,

SSA adjudicators will continue to apply

SSA’s nationwide policy when

adjudicating other claims within that

district court’s jurisdiction unless the

court directs otherwise.

Citations (Authority): Sections 205(a),

702(a)(5) and 1631(d) of the Social

Security Act; Sections 413(b), 426(a)

and 508 of the Black Lung Benefits Act;

Regulations No. 4, section 404.985;

Regulations No. 10, section 410.670c;

Regulations No. 16, section 416.1485;

Regulations No. 22, section 422.406.

Background: Final regulations on the

application of circuit court law in the

Social Security, Supplemental Security

Income, and Black Lung programs were

published in the Federal Register on

January 11, 1990 (55 FR 1012). SSA first

adopted the acquiescence policy set

forth in these rules in 1985, with the

details evolving over the next 5 years.

These rules explain how SSA

acquiesces in circuit court law which

conflicts with Agency policy; it does so

by issuing an AR for a final circuit court

decision which SSA determines is in

conflict with the Agency’s interpretation

of the Social Security Act or regulations.

20 CFR 404.985(b), 410.670c(b) and

416.1485(b). The AR, which is issued

through publication in the Federal

Register, describes the administrative

case and the court decision, identifies

the issue(s), explains how the court

decision differs from SSA policy, and
Federal Register / Vol. 61, No. 128 / Tuesday, July 2, 1996 / Notices 34471

1The preamble previously noted that, ‘‘Whether

or not the holding of a particular circuit court

decision ‘conflicts’ with our policy is not always

clear . . .’’ 55 FR 1012 (1990).

2As a result of Pub. L. 103–296, the Social

Security Independence and Program Improvements

Act of 1994, which made SSA an independent

agency separate from the Department of Health and

Human Services effective March 31, 1995, the

responsibility for establishing policy now resides

with the Commissioner of Social Security, rather

than the Secretary of Health and Human Services.

explains how SSA will apply the court

holding, instead of its nationwide

policy, when deciding claims within the

applicable circuit. ARs apply at all steps

in the administrative process within the

applicable circuit unless the court

decision, by its nature, applies only at

certain steps in this process. In the latter

case, the AR may be so limited.

As of the effective date of this Ruling,

SSA had issued a total of 62 ARs,

averaging about 3–4 ARs per year in

recent years; 42 of those ARs are still in

effect. The majority of the ARs issued by

SSA to date have dealt with

nondisability issues, although a

significant portion have dealt directly

with the disability determination

process. Decisions for which ARs are

issued often involve complex and

difficult issues. The court’s holding may

be unclear in its scope and susceptible

to differing interpretations. Despite

these difficulties, no AR has been found

to be inadequate by the circuit court

which issued the underlying decision.

Policy Interpretation: Unless and until

an AR for a circuit court holding has

been issued, SSA adjudicates other

claims within that circuit by applying

its nationwide policy. The preamble to

the final acquiescence regulations

published on January 11, 1990,

explained the basis for this approach in

responding to a public comment

suggesting that administrative law

judges (ALJs) and the Appeals Council

should be allowed to apply circuit court

holdings without the benefit of an

Acquiescence Ruling:

[W]e have not adopted this comment. First,

under this final acquiescence policy,

Acquiescence Rulings apply to all levels of

adjudication, not only to the ALJ and

Appeals Council levels, unless a holding by

its nature applies only to certain levels of

adjudication. Thus, the approach suggested

in this comment would create different

standards of adjudication at the different

levels of administrative review. Second,

interpreting and applying a circuit court

holding is not always a simple matter, as we

noted previously. 1 Finally, by statute,

establishing policy is the Secretary’s 2

responsibility; adjudicators are responsible

for applying that policy to the facts in any

given case. Therefore, we believe that to

ensure the uniform and consistent

adjudication necessary in the administration

of a national program, the agency must

analyze court decisions and provide

adjudicators as specific a statement as

possible explaining the agency’s

interpretation of a court of appeals holding,

as well as providing direction on how to

apply the holding in the course of

adjudication.

55 FR 1013 (1990).

As explained in SSA’s regulations at

20 CFR 404.985(b), 410.670c(b), and

416.1485(b), if SSA makes an

administrative determination or

decision on a claim between the date of

a circuit court decision and the date of

issuance of an AR for that decision, the

claimant, upon request, is permitted to

have the claim readjudicated by

demonstrating that application of the

AR could change the result. Thus, as

explained in the preamble to the

acquiescence regulations, a

readjudication procedure is provided

which allows a claimant, whose

application was adjudicated during the

interim period between a circuit court

decision and the issuance of an AR for

that decision, to seek immediate

application of the AR once it is issued,

without the necessity of appeal. 55 FR

1013 (1990).

Finally, in accordance with its

regulations, SSA acquiesces only in

decisions of the Federal circuit courts,

and not in decisions of Federal district

courts within a circuit. Thus, despite a

district court decision which may

conflict with SSA’s interpretation of the

Social Security Act or regulations, SSA

adjudicators will continue to apply

SSA’s nationwide policy when

adjudicating other claims within that

district court’s jurisdiction unless the

court directs otherwise such as may

occur in a class action.

Effective Date: This Ruling, which

reflects longstanding procedures which

SSA continues to believe represent the

most effective and fair way to

implement its acquiescence policy, is

effective on July 2, 1996. This Ruling

does not apply to the claims of New

York disability claimants who are

covered by the court-approved

settlement in Stieberger v. Sullivan.

[FR Doc. 96–16684 Filed 7–1–96; 8:45 am]

BILLING CODE 4190–29–P

Social Security Ruling (SSR) 96–5p.

Titles II and XVI: Medical Source

Opinions on Issues Reserved to the

Commissioner

AGENCY: Social Security Administration.

ACTION: Notice of Social Security Ruling.

SUMMARY: In accordance with 20 CFR

422.406(b)(1), the Commissioner of

Social Security gives notice of Social

Security Ruling 96–5p. This Ruling

clarifies Social Security Administration

policy on how we consider medical

source opinions on issues reserved to

the Commissioner of Social Security,

including whether an individual’s

impairment(s) meets or is equivalent in

severity to the requirements of any

impairment(s) in the Listing of

Impairments in appendix l, subpart P of

20 CFR part 404 of the Social Security

Administration regulations; what an

individual’s residual functional capacity

is; whether an individual’s residual

functional capacity prevents him or her

from performing past relevant work;

how the vocational factors of age,

education, and work experience apply;

and whether an individual is ‘‘disabled’’

under the Social Security Act.

EFFECTIVE DATE: July 2, 1996.

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

422.406(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 policy

interpretations of the law and

regulations.

Although Social Security Rulings do

not have the force and effect of the law

or regulations, they are binding on all

components of the Social Security

Administration, in accordance with 20

CFR 422.406(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.)