History of SSA During the Johnson Administration 1963-1968
OPERATING METHODS
VOCATIONAL EXPERT PROGRAM
Since the inception of the disability program, the Social Security
Administration has recognized that consideration must be given to
vocational factors in evaluating disability. In the early days of
the program, there was little documentation or assessment of vocational
factors. However, over the years, there has been increased emphasis
directed not only as to the weight to be given these factors but also
as to the necessity of more comprehensive documentation.
In June 1960 a decision was rendered by the Second Circuit Court of
Appeals which materially changed both the administrative and judicial
approach to disability cases. The court held that a denial of disability
benefits could not be sustained on the "mere theoretical ability"
to engage in substantial gainful activity. Rather, held the court,
where a claimant for disability benefits has presented evidence to
show that he is precluded from engaging in his usual, prior, or customary
occupations, there is a burden on the administrative agency to produce
evidence showing what other work, if any, he can still do and what
employment opportunities in such work are available to him. This landmark
case was Kerner V. Flemming and the requirements enunciated by the
court have become known as the "Kerner criteria."
Initially, the Social Security Administration attempted to meet these
requirements by citing selected government and industrial studies.
These studies showed the results of surveys reflecting information
that individuals with certain impairments were presently, or had been
in the past, engaged in various types of occupations in American Industry.
This approach was soon rejected by various courts as being speculative
and theoretical in determining whether there were employment opportunities
available to disability claimants who were unable to perform their
usual jobs. To overcome this criticism, the Social Security Administration
decided to employ vocational experts at administrative hearings, at
which time these expert witnesses would address their testimony to
the claimant's particular and highly individual situation in an effort
to satisfy the Kerner criteria.
Assistance in establishing the vocational expert program was obtained
from the American Psychological Association and the American Personnel
and Guidance Association, at a conference held in Washington, D. C.,
June 25, 1962, with representatives of these organizations and the
Bureau of Hearings and Appeals, criteria for selection of vocational
experts and rosters of professional personnel who would most likely
meet the criteria for selection were agreed upon. Approximately 600
vocational experts have entered into contracts with the Department
providing for their appearance as expert witnesses at disability hearings.
The progress toward development of vocational guides in adjudicationquickened
with the inception of the Work Group on Non-medical Factors. The agenda
of the fourth meeting of his group, held in Baltimore on March 10,
1964, was representative of the wide range of activities of the group.
The discussion covered the use of vocational consultants in hearing
cases, the use of diagnostic work evaluation centers, and the referralof
disability claimants for rehabilitation and placement services. These
activities are all established parts of the disability program today.
In the December following the meeting, a project was initiated to
study court decisions in disability cases. A task force was organized
to carry out an intensive study and make recommendations. The task
force report, released in February 1966, made 10 recommendations relating
to vocational assessment. One of the key recommendations was the establishment
of special vocational staffs in the Bureau of Disability Insurance
and State agencies to provide consultant services on a case basis.
This recommendation was endorsed by the special advisory group.
Efforts were extended in many directions to meet the challenges of
the growing emphasis on vocational criteria and the resulting complexity
in evaluating the interaction of vocational factors with the severity
of the impairment. These activities were directed toward determining
the most effective means of identifying and securing pertinent vocational
information, appraising its significance, selecting the best methods
of documentation and evaluation, refining the contents of vocational
evaluation guides, maintaining valid, realistic and generally acceptable
criteria consistent with program objectives, and insuring consistent
and technically proficient applications of these guides by State agency
evaluators and Bureau of Disability Insurance reviewers. The task
force recommendation, as endorsed by the special advisory group, that
BDI establish a vocational specialist staff to provide consultative
services to operating personnel in the Bureau of Disability Insurance
and in the State agencies was put into effect.
Accordingly, the Vocational Consultant Staff came into being in 1966.
It was made a part of the Disability Policy Branch, Division of Disability
Policy and Procedures, Bureau of Disability Insurance. The initial
training class for vocational consultants composed of eight members
from BDI and 7 State agency members was conducted during the period
October 17-23, 1966, in Baltimore. Subsequent training classes were
conducted for representatives from all except two State agencies.
The basic function of the Vocational Consultant Staff is to provide
definitive guidance in the adjudication of cases which require consideration
of the vocational factors of age, education, training and work experience.
(See exhibit 2.) Specific functions of the Vocational Consultant Staff
include the following activities:
1. Provide consultation on case problems to insure that casesrequiring
consideration of vocational factors are properly identified, developed,
evaluated and documented;
2. Review selected disability determinations in cases involving vocational
factors to insure that such determinations reflect pertinent evidence
and documentation; sequential analysis; the relative probative value
of all pertinent evidence; and explicit resolution of all pertinent
issues, including opinion evidence; substantiation of inferences;
with a resultant decision. in conformity with law, administrative
policies and guides;
3. Provide in appropriate cases a written vocational analysis explaining
the meaning and weight to be given vocational evidence, its interaction
with the medical and other evidence and its overall impact on the
claimant's ability to engage in substantial gainful activity. This
kind of analysis requires the synthesis of evidence and concepts;
4. Provide guidance in determining the availability of work the claimant
can do in the labor market, considering the claimant's functional
and vocational limitation;
5. Serve as a resource for disability evaluations in the proper use
of special vocational reference publications and source material,
such as the Dictionary of Occupational Titles and related volumes,
the County Business Patterns, U. S. Census tabulations, and other
sources of data on the physical and vocational requirements of jobs
and of the availability of the jobs in the economy, locally and regionally.
The 1967 amendments,provided a statutory commitment to the role of
vocational factors in the disability program. In the years immediately
preceding the passage of the amendments, the relationship of vocational
issues and disability was the subject of extensive investigation and
consultation between representatives of public and private organizations.
The Bureau of Disability Insurance's primary objectives were the refinement
of the guides and procedures for vocational development and the establishment
of adjudicative criteria which would reflect the interaction of medical
and vocational factors. Efforts to accomplish these objectives led
to the exchange of information with other governmental agencies and
closer cooperation with other programs relating to disability. BDI
also worked with public experts on the labor market and community
specialists in vocational services.
The expansion of the Vocational Specialist program has been accomplished
through cooperation between BDI and State agency personnel in the
form of meetings, telephone and other communications whereby discussions
of
mutual problems and exchanges of information and experience have taken
place. State agency and Bureau of Disability Insurance vocational
specialists have developed valuable vocational reference materials
covering job requirements and availability through contacts with employers,
labor unions, Chambers of Commerce, Offices of Employment Security,
and other organizations which can provide vocational resource materials.
The training and consultative services on vocational factors rendered
by the State agency and the Bureau of Disability Insurance vocational
specialists to the evaluators in the operating units has served to
improve the quality of the disability
decisions under the Social Security Act in the following manner.
Though paid for his professional services, the vocational expert {1}
is not an agent of the Social Security Administration. He is expected
to remain completely objective and impartial in expressing hisopinions,
whether they are favorable or unfavorable to the claimant. Identifying
with neither the Social Security Administration nor the claimant in
what is legally a "non-adversary" procedure, the expert
dispassionately contributes his vocational evidence toward an equitable
decision.
Since the vocational expert's testimony is based not only on the prehearing
documentation, but also on the oral testimony of the claimant and
others, he is usually the last witness to testify. Thus, he has considerable
opportunity to observe the claimant.
Observation may yield evaluative clues regarding appearance, responsiveness,
general intelligence, communication skills, and other claimant characteristics.
Also observable are physical capacities, such as the use of limbs
or prostheses, or physical endurance during the course of a sometimes
lengthy hearing. Residual functional capacities may be deduced from
the claimant's account of everyday activities; including use of public
transportation. Inferences may be drawn too, regarding the claimant's
emotional capacities, motivation, and other personality factors.
On the basis of residual functional capacities, and in consideration
of age, education, vocational experience and other relevant factors
described above, the vocational expert contributes to the welfare
of the claimant. Unsuspected residual capacities may be revealed,
as well as occupational possibilities not previously considered. Ways
of actualizing vocational potentials and realizing job prospects may
be presented as part of the testimony. The availability of appropriate
community resources may be mentioned. As a consequence of the vocational
expert's concern for the claimant, the latter sometimes leaves the
hearing newly motivated.
Since the origin of the vocational expert program in September 1962,
thevocational experts have testified in approximately 25,000 disability
cases at the appellate level. {2}
Footnotes (Footnote numbers not same as in the printed version)
{1} The vocational expert is not an employee of
the Social Security Administration or the State agencies, but is an
independent contractor engaged by the Bureau of Hearings and Appeals
to provide independent and impartial appraisals at the hearing level
of the appellate process.
{2} Disability Insurance Memorandum No. 147, dated
August 7, 1964.
Memorandum to Mr. Bernard Popick from Manuel Levine, subject: Proposed
establishment of vocational consultant staff in BDI and State agencies,
dated June 22, 1966.
Narrative, "Function of the Vocational Specialist."
Memorandum to Mr. Victor Christgau from Arthur E. Bess, subject: Supplement
to Dictionary of Occupational Titles, dated February 15, 1965.
Letter to Mr. Robert C. Goodwin, Department of Labor, from Robert
M. Ball, dated April 6, 1965.
Report of Meeting with State Ageney Vocational Specialists.