Effective Dates: 10/09/2024 - Present

Identification Number:
DI 22515 TN 13
Intended Audience:See Transmittal Sheet
Originating Office:ORDP ODP
Title:Vocational Evidence
Type:POMS Full Transmittals
Program:All Programs
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM

Part DI – Disability Insurance

Chapter 225 – Case Development Procedures

Subchapter 15 – Vocational Evidence

Transmittal No. 13, 10/09/2024

Audience

PSC: DE, DEC;
OCO-OEIO: CR, ERE, FCR, FDE, RECONE;
OCO-ODO: DE, DEC, DS, RECONE;
ODD-DDS: ADJ, DHU;

Originating Component

ODP

Effective Date

Upon Receipt

Background

This transmittal provides information about what constitutes sufficient vocational information and guidance on how to collect vocational information in various situations. This revision aims to streamline the vocational development process.

Summary of Changes

DI 22515.001 Overview of Vocational Evidence Development

This section is restructured to provide a concise overview of what vocational evidence is and sources of vocational evidence. The information from the omitted sections is included in subsection B.

DI 22515.003 Developing Sufficient Vocational Evidence

This section provides comprehensive information about how to develop sufficient vocational evidence.

DI 22515.001 Overview of Vocational Evidence Development

CITATIONS:

Social Security Act – Sections
223(d), 1614(a), and 1631(e);
20 CFR §§404.1520, 404.1560 thru 404.1569a, 416.960 thru 416.1599; and 416.920; SSR 24-2p; and SSR 05-1c

A. What is vocational evidence

Evidence is anything the claimant or anyone else submits or that we obtain that is relevant to the individual's disability claim. Vocational evidence is any information about an individual's vocational factors (age, education, and past relevant work experience) and the functional demands of any past relevant work or occupational training. For a complete definition of evidence, see DI 22505.001.

We use vocational evidence to determine whether:

  • •

    Work is past relevant work, see DI 25015.005,

  • •

    The evidence about a claimant’s vocational factors is sufficient. For age, see DI 25015.005, for education, see DI 25015.010), and work experience, see DI 25015.015,

  • •

    The evidence is sufficient to make a step 4 finding, see DI 25005.005C,

  • •

    The evidence is insufficient or if the expedited vocational assessment at steps 4 and 5 of sequential evaluation applies, see DI 25005.005,

  • •

    Borderline age policy applies, see DI 25015.006),

  • •

    A medical-vocational profile applies, see DI 25010.001, and

  • •

    The claimant retains the ability to adjust to other work (step 5), see DI 25025.001.

B.  Sources of vocational evidence during development

The following are examples of potential sources of vocational evidence:

1. The claimant

The claimant is the preferred source of information about their:

  • •

    Age,

  • •

    Education, training, literacy,

  • •

    Work experience, and

  • •

    Past work.

a. Represented claimants

When requesting vocational information from represented claimants by phone, see DI 31001.010B. For written contact see DI 31001.010C.7.

b. Special handling situations

For claims that require special handling, see DI 23007.001A.

For information explaining who to contact in claims requiring special handling in failure to cooperate-insufficient evidence situations, see DI 23007.005B.

2. Prior filings

A prior filing may have sufficient vocational evidence for a determination. Check all prior filings for relevant vocational evidence. Copy all relevant vocational evidence to the current folder.

For prior folder evidence development requirements, see DI 20505.010.

3. The SSA-3367 (Disability Report – Field Office)

The information on the paper or EDCS SSA-3367 form alerts the DDS or OHO to factors that could affect entitlement and guide case development. The form entries include:

  • •

    Current filing including the potential onset date (POD),

  • •

    Work that may meet the requirements for an unsuccessful work attempt (UWA).

  • •

    The date the claimant last met insured status for title II disability insurance benefit (DIB).

  • •

    The end of the prescribed period for title II disabled widow or widower benefit (DWB).

  • •

    The date the claimant attained age 22 title II childhood disability benefit (CDB).

  • •

    Work before or after the alleged onset date (AOD),

  • •

    Non-blind and blind date last insured (DLI), if applicable,

  • •

    Prior filings,

  • •

    Presumptive disability and presumptive blindness (Title XVI only), and

  • •

    Interviewer observations.

4. The SSA-3368-BK (Disability Report – Adult)

The SSA-3368-BK contains the following vocational information:

  • •

    Work experience, and

  • •

    Education, literacy, and training.

5. The SSA-3369-BK (Work History Report)

Use the SSA-3369-BK to gather additional information about the claimant's work experience when the SSA-3368-BK and prior filings do not provide sufficient evidence for evaluation of the claimant's complete work history. For additional information on options to document the claimant’s work history, see DI 22515.003.

6. Medical and Non-medical sources

When reviewing medical evidence, consultative examination reports, special education records, and information from other non-medical sources, be alert for information about work activity.

For additional information about medical and non-medical sources, see DI 22505.001A5.

7. Queries as a source of vocational evidence

The claimant is the best source of information about their past work.  However, if the claimant is having difficulty providing information a Detail Earnings Query (DEQY), Summary Earnings Query (SEQY), or other query may be accessed to help you resolve any questions.

Use of a query is not required, however, if a query is used, it must be added to the electronic folder (EF).

For additional information on resolving insufficient vocational evidence using a DEQY or a SEQY follow DI 22515.020B.

DI 22515.003 Developing Sufficient Vocational Evidence

A. Vocational development in initial claims

Before obtaining an SSA-3369-BK (Work History Report), review the vocational evidence on the SSA-3368-BK (Disability Report – Adult) and evidence obtained from any prior folders to determine if the file has sufficient vocational evidence.

No additional vocational development is required if:

  • •

    The claimant’s impairment(s) meets or equals a listed impairment at step 3 of sequential evaluation, or

  • •

    The claimant is performing substantial gainful activity, or has no medical determinable impairment,

  • •

    The evidence includes vocational information sufficient for a step 4 denial,

  • •

    The evidence includes vocational information sufficient to rule out ability to do past relevant work (PRW) as the claimant did the work and as generally done in the national economy and evidence is sufficient for a step 5 determination, or

  • •

    The vocational expedite applies.

NOTE: The field office (FO) may provide an electronic disability case system (EDCS) SSA-3369. To prevent unnecessary development and potential inconsistencies among forms, review the certified electronic folder (CEF) for the presence of the EDCS SSA-3369 and determine if the information is sufficient before obtaining an additional SSA-3369-BK.

1. Elements of sufficient vocational evidence

Sufficient vocational information generally includes all the elements below. When a vocational evaluation is material at step 4 or 5 of sequential evaluation, determine if the information in file about the claimant’s past work is complete enough to:

  • •

    Determine relevancy, based on the factors described in DI 25005.015A (substantial gainful activity, performed within the 5 year past relevant work period, performed long enough to learn it, and did not start and stop in fewer than 30 calendar days),

  • •

    Identify job duties,

  • •

    Evaluate the claimant’s ability to do PRW, and

  • •

    Identify skills in semi-skilled or skilled work (if a transferability of skills assessment (TSA) is required.) To view the TSA requirements, see DI 25015.017.

For additional information about when a vocational evaluation is material and sufficient at steps 4 or 5 of sequential evaluation, see DI 22515.010.

2. Sufficient vocational evidence in prior filings

Vocational evidence in prior filings may be sufficient for making a current determination. Review prior folder evidence, including:

  • •

    SSA-3368-BK,

  • •

    SSA-3369-BK,

  • •

    SSA-5002 (Report of Contact),

  • •

    Disability Case Processing System (DCPS) Disability Determination Explanation (DDE), or

  • •

    Case Development Worksheet (CDW).

Copy all documents containing relevant vocational information from the prior filing into the current filing. For guidance on copying documents from prior electronic folders, see DI 81005.052.

3. When to obtain an SSA-3369-BK

The vocational information in the file must be sufficient for a step 4 denial or sufficient to rule out ability to do PRW as the claimant did the job and as generally performed in the national economy and for a step 5 determination. If the vocational evidence is missing some necessary information, a new complete SSA-3369-BK generally should not be obtained. For example, the completed SSA-3368-BK vocational section may include job titles and descriptions, but the dates worked are left blank. In this case, obtaining only the missing or unclear information will expedite vocational documentation and evaluation.

The following steps may save processing time and eliminate potential inconsistencies among forms:

  • •

    Review any relevant information from prior filings, as outlined in DI 22515.003A2, in this section.

  • •

    Determine what additional information is needed to evaluate steps 4 and 5 of sequential evaluation.

  • •

    Attempt to contact the claimant or representative by phone to obtain missing or unclear information.

Document any information obtained by phone on the case worksheet or in DCPS and indicate who the information was obtained from (e.g. claimant or representative).

IMPORTANT: These steps are an optional measure to save processing time, and potentially avoid the need to resolve inconsistent information among multiple forms, when the SSA-3368 or an existing SSA-3369 includes most, but not all, the necessary vocational information required to evaluate steps 4 and 5 of sequential evaluation. If you do not obtain the missing information by phone, proceed with the development of the SSA-3369.

4. Special situations for DDS vocational development

  1. a. 

    Homelessness

    If a claimant is experiencing homelessness, and had more than one job in the five-year period before they stopped working due to their medical condition(s), the field office will obtain a completed SSA-3369-BK. If additional evidence is material to the determination when a claimant is experiencing homelessness make special efforts to obtain this evidence, see DI 11005.018B.2. These efforts include contacting the claimant’s past employers or others who may have knowledge of the claimant’s work history. Keep in mind that the expedited vocational assessment at steps 4 and 5 of sequential evaluation in DI 25005.005 may apply.

  2. b. 

    Quick Disability Determination (QDD), Compassionate Allowance (CAL), or a Terminal Illness (TERI)

    When SSA identifies the claim as Quick Disability Determination (QDD), Compassionate Allowance (CAL), or a Terminal Illness (TERI) case, the FO abbreviates vocational development on the SSA-3368-BK. If you determine the case will require evaluation at step 4 or 5 of sequential evaluation, send the SSA-3369-BK to the claimant for completion. For additional information about QDD and CAL cases see DI 23022.010. For additional information about TERI cases see DI 23020.045E.

5. Material inconsistencies in vocational evidence

A material inconsistency exists in vocational evidence when the inconsistency presents an issue that makes a difference between the decision to allow or deny or affects the established onset date determination (EOD).

A discrepancy may not present a material inconsistency. If work information is inconsistent among multiple forms but the vocational information provided is sufficient for a determination at steps 4 and 5 of sequential evaluation or the expedited vocational assessment in DI 25005.005 applies, no additional vocational development is required. When an inconsistency exists, document the case file by describing the inconsistency and how it was resolved.

EXAMPLE: On the SSA-3368-BK and SSA-3369-BK, a claimant provides different start and end dates for the same job.

If both end dates are before the EOD, and both time periods meet relevancy requirements, this discrepancy is not material, and no additional development is required.

If one of the ending dates provided by the claimant conflicts with the EOD, or

If one of the time periods provided does not meet relevancy requirements, the discrepancy is material and additional development is required to resolve the inconsistency.

B. Vocational development in reconsideration claims

Begin by reviewing vocational evidence from the initial level claim.

  1. 1. 

    If the vocational information is not sufficient for a reconsideration determination and the expedited vocational assessment in DI 25005.005 does not apply, additional vocational development is required. Follow the guidance for when to obtain an SSA-3369-BK in 22515.003A.3, in this section.

  2. 2. 

    Review the SSA-3441, Disability Report-Appeal form, section-8, to determine if the claimant has worked or completed an educational program or vocational training since the initial claim.

C. Vocational development issues at step 5 of sequential evaluation

  1. 1. 

    Medical-vocational profiles

    Always consider whether a profile applies before referring to the medical-vocational guidelines at step 5. For more information on medical vocational profiles and medical vocational guidelines, follow DI 25010.001 Medical-Vocational Profiles and DI 25025.005 Using the Medical-Vocational Guidelines.

  2. 2. 

    Transferability of skills

    Transferability is material at step 5 when the Medical-Vocational guidelines indicate a decision of “disabled" if the skills are not transferable, and a decision of " not disabled" if the skills are transferable, the claimant’s PRW was skilled or semiskilled and the claimant is not able to perform their PRW. The claimant must retain the mental capacity for more than unskilled work and have the capacity to complete a 40-hour work week. If all the conditions apply, complete a Transferability of Skills Assessment (TSA). For detailed information about the TSA process, see DI 25015.018.

  3. 3. 

    Direct entry

    Evaluating education that may provide direct entry into skilled or semi-skilled work is like evaluating whether skills transfer to other work. The education must provide an advantage. The significance of education that provides for direct entry depends on the claimant meeting the following factors:

    1. a. 

      Has at least a high school education, and

    2. b. 

      Aged 50 or older with a sedentary RFC or 55 or older with a light RFC, and

    3. c. 

      Recently completed specific education (no more than 5 years from the date of adjudication) designed to prepare an individual for a specific skilled or semiskilled job, and

    4. d. 

      Retains the physical and mental capacity necessary to complete the skilled or semi-skilled work being considered.

For detailed information about how to evaluate direct entry, see DI 25015.010F.


DI 22515 TN 13 - Vocational Evidence - 10/09/2024