A.
Introduction: The evaluation of disability on the basis of mental disorders requires documentation of a medically
determinable impairment(s), consideration of the degree of limitation such impairment(s) may impose on the individual's
ability to work, and consideration of whether these limitations have lasted or are expected to last for a continuous period
of at least 12 months. The listings for mental disorders are arranged in nine diagnostic categories: Organic mental disorders
(12.02); schizophrenic, paranoid and other psychotic disorders (12.03); affective disorders (12.04); mental retardation (12.05);
anxiety-related disorders (12.06); somatoform disorders (12.07); personality disorders (12.08); substance addiction disorders
(12.09); and autistic disorder and other pervasive developmental disorders (12.10). Each listing, except 12.05 and 12.09,
consists of a statement describing the disorder(s) addressed by the listing, paragraph A criteria (a set of medical findings),
and paragraph B criteria (a set of impairment-related functional limitations). There are additional functional criteria
(paragraph C criteria) in 12.02, 12.03, 12.04, and 12.06, discussed herein. We will assess the paragraph B criteria
before we apply the paragraph C criteria. We will assess the paragraph C criteria only if we find that the paragraph B
criteria are not satisfied. We will find that you have a listed impairment if the diagnostic description in the introductory
paragraph and the criteria of both paragraphs A and B (or A and C, when appropriate) of the listed impairment are satisfied.
The criteria in paragraph A substantiate medically the presence
of a particular mental disorder. Specific symptoms, signs, and laboratory findings in the paragraph A criteria of any
of the listings in this section cannot be considered in isolation from the description of the mental disorder contained
at the beginning of each listing category. Impairments should be analyzed or reviewed under the mental category(ies) indicated
by the medical findings. However, we may also consider mental impairments under physical body system listings, using the concept
of medical equivalence, when the mental disorder results in physical dysfunction. (See, for instance, 12.00D12 regarding the
evaluation of anorexia nervosa and other eating disorders.) The criteria
in paragraphs B and C describe impairment-related functional limitations that are incompatible with the ability to do
any gainful activity. The functional limitations in paragraphs B and C must be the result of the mental disorder described
in the diagnostic description, that is manifested by the medical findings in paragraph A.
The
structure of the listing for mental retardation (12.05) is different from that of the other mental disorders listings. Listing 12.05
contains an introductory paragraph with the diagnostic description for mental retardation. It also contains four sets of criteria
(paragraphs A through D). If your impairment satisfies the diagnostic description in the introductory paragraph and any
one of the four sets of criteria, we will find that your impairment meets the listing. Paragraphs A and B contain criteria
that describe disorders we consider severe enough to prevent your doing any gainful activity without any additional assessment
of functional limitations. For paragraph C, we will assess the degree of functional limitation the additional impairment(s)
imposes to determine if it significantly limits your physical or mental ability to do basic work activities, i.e., is a "severe"
impairment(s), as defined in §§ 404.1520(c) and 416.920(c). If the additional impairment(s) does not cause
limitations that are "severe" as defined in §§ 404.1520(c) and 416.920(c), we will not find that
the additional impairment(s) imposes "an additional and significant work-related limitation of function," even if
you are unable to do your past work because of the unique features of that work. Paragraph D contains the same functional
criteria that are required under paragraph B of the other mental disorders listings. The structure of the listing for substance addiction disorders, 12.09, is also different from that for
the other mental disorder listings. Listing 12.09 is structured as a reference listing; that is, it will only serve to
indicate which of the other listed mental or physical impairments must be used to evaluate the behavioral or physical changes
resulting from regular use of addictive substances. The listings are
so constructed that an individual with an impairment(s) that meets or is equivalent in severity to the criteria of a listing
could not reasonably be expected to do any gainful activity. These listings are only examples of common mental disorders that
are considered severe enough to prevent an individual from doing any gainful activity. When you have a medically determinable
severe mental impairment that does not satisfy the diagnostic description or the requirements of the paragraph A criteria
of the relevant listing, the assessment of the paragraph B and C criteria is critical to a determination of equivalence.
If your impairment(s) does not meet or is not equivalent in severity
to the criteria of any listing, you may or may not have the residual functional capacity (RFC) to do substantial gainful activity
(SGA). The determination of mental RFC is crucial to the evaluation of your capacity to do SGA when your impairment(s) does
not meet or equal the criteria of the listings, but is nevertheless severe. RFC
is a multidimensional description of the work-related abilities you retain in spite of your medical impairments. An assessment
of your RFC complements the functional evaluation necessary for paragraphs B and C of the listings by requiring consideration
of an expanded list of work-related capacities that may be affected by mental disorders when your impairment(s) is severe
but neither meets nor is equivalent in severity to a listed mental disorder. B.
Need for medical evidence: We must establish the existence of a medically determinable impairment(s) of the required
duration by medical evidence consisting of symptoms, signs, and laboratory findings (including psychological test findings).
Symptoms are your own description of your physical or mental impairment(s). Psychiatric signs are medically demonstrable phenomena
that indicate specific psychological abnormalities, e.g., abnormalities of behavior, mood, thought, memory, orientation, development,
or perception, as described by an appropriate medical source. Symptoms and signs generally cluster together to constitute
recognizable mental disorders described in the listings. The symptoms and signs may be intermittent or continuous depending
on the nature of the disorder. C. Assessment of severity: We
measure severity according to the functional limitations imposed by your medically determinable mental impairment(s). We assess
functional limitations using the four criteria in paragraph B of the listings: Activities of daily living; social functioning;
concentration, persistence, or pace; and episodes of decompensation.
Where we use "marked" as a standard
for measuring the degree of limitation, it means more than moderate but less than extreme. A marked limitation may arise when
several activities or functions are impaired, or even when only one is impaired, as long as the degree of limitation is such
as to interfere seriously with your ability to function independently, appropriately, effectively, and on a sustained basis.
See §§ 404.1520a and 416.920a. 1. Activities of
daily living include adaptive activities such as cleaning, shopping, cooking, taking public transportation, paying bills,
maintaining a residence, caring appropriately for your grooming and hygiene, using telephones and directories, and using a
post office. In the context of your overall situation, we assess the quality of these activities by their independence, appropriateness,
effectiveness, and sustainability. We will determine the extent to which you are capable of initiating and participating in
activities independent of supervision or direction. We do not define
"marked" by a specific number of activities of daily living in which functioning is impaired, but by the nature
and overall degree of interference with function. For example, if you do a wide range of activities of daily living, we may
still find that you have a marked limitation in your daily activities if you have serious difficulty performing them without
direct supervision, or in a suitable manner, or on a consistent, useful, routine basis, or without undue interruptions or
distractions. 2. Social functioning refers to your capacity
to interact independently, appropriately, effectively, and on a sustained basis with other individuals. Social functioning
includes the ability to get along with others, such as family members, friends, neighbors, grocery clerks, landlords, or bus
drivers. You may demonstrate impaired social functioning by, for example, a history of altercations, evictions, firings, fear
of strangers, avoidance of interpersonal relationships, or social isolation. You may exhibit strength in social functioning
by such things as your ability to initiate social contacts with others, communicate clearly with others, or interact and actively
participate in group activities. We also need to consider cooperative behaviors, consideration for others, awareness of others'
feelings, and social maturity. Social functioning in work situations may involve interactions with the public, responding
appropriately to persons in authority (e.g., supervisors), or cooperative behaviors involving coworkers. We do not define "marked" by a specific number of different behaviors in which social functioning
is impaired, but by the nature and overall degree of interference with function. For example, if you are highly antagonistic,
uncooperative, or hostile but are tolerated by local storekeepers, we may nevertheless find that you have a marked limitation
in social functioning because that behavior is not acceptable in other social contexts.
3. Concentration, persistence or pace refers to the ability to sustain focused attention and
concentration sufficiently long to permit the timely and appropriate completion of tasks commonly found in work settings.
Limitations in concentration, persistence, or pace are best observed in work settings, but may also be reflected by limitations
in other settings. In addition, major limitations in this area can often be assessed through clinical examination or psychological
testing. Wherever possible, however, a mental status examination or psychological test data should be supplemented by other
available evidence. On mental status examinations, concentration is
assessed by tasks such as having you subtract serial sevens or serial threes from 100. In psychological tests of intelligence
or memory, concentration is assessed through tasks requiring short-term memory or through tasks that must be completed within
established time limits. In work evaluations, concentration, persistence,
or pace is assessed by testing your ability to sustain work using appropriate production standards, in either real or simulated
work tasks (e.g., filing index cards, locating telephone numbers, or disassembling and reassembling objects). Strengths and
weaknesses in areas of concentration and attention can be discussed in terms of your ability to work at a consistent pace
for acceptable periods of time and until a task is completed, and your ability to repeat sequences of action to achieve a
goal or an objective. We must exercise great care in reaching conclusions
about your ability or inability to complete tasks under the stresses of employment during a normal workday or workweek based
on a time-limited mental status examination or psychological testing by a clinician, or based on your ability to complete
tasks in other settings that are less demanding, highly structured, or more supportive. We must assess your ability to complete
tasks by evaluating all the evidence, with an emphasis on how independently, appropriately, and effectively you are able to
complete tasks on a sustained basis. We do not define "marked"
by a specific number of tasks that you are unable to complete, but by the nature and overall degree of interference with function.
You may be able to sustain attention and persist at simple tasks but may still have difficulty with complicated tasks.
Deficiencies that are apparent only in performing complex procedures or tasks would not satisfy the intent of this
paragraph B criterion. However, if you can complete many simple tasks, we may nevertheless find that you have a marked limitation
in concentration, persistence, or pace if you cannot complete these tasks without extra supervision or assistance, or in accordance
with quality and accuracy standards, or at a consistent pace without an unreasonable number and length of rest periods, or
without undue interruptions or distractions. 4. Episodes of decompensation
are exacerbations or temporary increases in symptoms or signs accompanied by a loss of adaptive functioning, as manifested
by difficulties in performing activities of daily living, maintaining social relationships, or maintaining concentration,
persistence, or pace. Episodes of decompensation may be demonstrated by an exacerbation in symptoms or signs that would ordinarily
require increased treatment or a less stressful situation (or a combination of the two). Episodes of decompensation may be
inferred from medical records showing significant alteration in medication; or documentation of the need for a more structured
psychological support system (e.g., hospitalizations, placement in a halfway house, or a highly structured and directing household);
or other relevant information in the record about the existence, severity, and duration of the episode. The term repeated episodes of decompensation, each of extended duration in these listings means
three episodes within 1 year, or an average of once every 4 months, each lasting for at least 2 weeks. If you have experienced
more frequent episodes of shorter duration or less frequent episodes of longer duration, we must use judgment to determine
if the duration and functional effects of the episodes are of equal severity and may be used to substitute for the listed
finding in a determination of equivalence. D. Documentation: The
evaluation of disability on the basis of a mental disorder requires sufficient evidence to (1) establish the presence of a
medically determinable mental impairment(s), (2) assess the degree of functional limitation the impairment(s) imposes, and
(3) project the probable duration of the impairment(s). See §§ 404.1512 and 416.912 for a discussion of what
we mean by "evidence" and how we will assist you in developing your claim. Medical evidence must be sufficiently
complete and detailed as to symptoms, signs, and laboratory findings to permit an independent determination. In addition,
we will consider information from other sources when we determine how the established impairment(s) affects your ability to
function. We will consider all relevant evidence in your case record.
1.
Sources of evidence. a. Medical evidence. There must
be evidence from an acceptable medical source showing that you have a medically determinable mental impairment. See §§ 404.1508,
404.1513, 416.908, and 416.913. We will make every reasonable effort to obtain all relevant and available medical evidence
about your mental impairment(s), including its history, and any records of mental status examination, psychological testing,
and hospitalizations and treatment. Whenever possible, and appropriate, medical source evidence should reflect the medical
source's considerations of information from you and other concerned persons who are aware of your activities of daily
living; social functioning; concentration, persistence, or pace; or episodes of decompensation. Also, in accordance with standard clinical practice, any medical source assessment of your mental functioning
should take into account any sensory, motor, or communication abnormalities, as well as your cultural and ethnic background.
b. Information from the individual. Individuals with mental
impairments can often provide accurate descriptions of their limitations. The presence of a mental impairment does not automatically
rule you out as a reliable source of information about your own functional limitations. When you have a mental impairment
and are willing and able to describe your limitations, we will try to obtain such information from you. However, you may not
be willing or able to fully or accurately describe the limitations resulting from your impairment(s). Thus, we will carefully
examine the statements you provide to determine if they are consistent with the information about, or general pattern of,
the impairment as described by the medical and other evidence, and to determine whether additional information about your
functioning is needed from you or other sources. c. Other information.
Other professional health care providers (e.g., psychiatric nurse, psychiatric social worker) can normally provide valuable
functional information, which should be obtained when available and needed. If necessary, information should also be obtained
from nonmedical sources, such as family members and others who know you, to supplement the record of your functioning in order
to establish the consistency of the medical evidence and longitudinality of impairment severity, as discussed in 12.00D2.
Other sources of information about functioning include, but are not limited to, records from work evaluations and rehabilitation
progress notes. 2. Need for longitudinal evidence. Your level
of functioning may vary considerably over time. The level of your functioning at a specific time may seem relatively adequate
or, conversely, rather poor. Proper evaluation of your impairment(s) must take into account any variations in the level of
your functioning in arriving at a determination of severity over time. Thus, it is vital to obtain evidence from relevant
sources over a sufficiently long period prior to the date of adjudication to establish your impairment severity. 3. Work attempts. You may have attempted to work or may actually have worked
during the period of time pertinent to the determination of disability. This may have been an independent attempt at work
or it may have been in conjunction with a community mental health or sheltered program, and it may have been of either short
or long duration. Information concerning your behavior during any attempt to work and the circumstances surrounding termination
of your work effort are particularly useful in determining your ability or inability to function in a work setting. In addition,
we should also examine the degree to which you require special supports (such as those provided through supported employment
or transitional employment programs) in order to work. 4. Mental
status examination. The mental status examination is performed in the course of a clinical interview and is often partly
assessed while the history is being obtained. A comprehensive mental status examination generally includes a narrative description
of your appearance, behavior, and speech; thought process (e.g., loosening of associations); thought content (e.g., delusions);
perceptual abnormalities (e.g., hallucinations); mood and affect (e.g., depression, mania); sensorium and cognition (e.g.,
orientation, recall, memory, concentration, fund of information, and intelligence); and judgment and insight. The individual
case facts determine the specific areas of mental status that need to be emphasized during the examination. 5. Psychological testing. a.
Reference to a "standardized psychological test" indicates the use of a psychological test measure that has appropriate
validity, reliability, and norms, and is individually administered by a qualified specialist. By "qualified," we
mean the specialist must be currently licensed or certified in the State to administer, score, and interpret psychological
tests and have the training and experience to perform the test. b.
Psychological tests are best considered as standardized sets of tasks or questions designed to elicit a range of responses.
Psychological testing can also provide other useful data, such as the specialist's observations regarding your ability
to sustain attention and concentration, relate appropriately to the specialist, and perform tasks independently (without prompts
or reminders). Therefore, a report of test results should include both the objective data and any clinical observations. c. The salient characteristics of a good test are: (1) Validity, i.e., the test
measures what it is supposed to measure; (2) reliability, i.e., the consistency of results obtained over time with the same
test and the same individual; (3) appropriate normative data, i.e., individual test scores can be compared to test data from
other individuals or groups of a similar nature, representative of that population; and (4) wide scope of measurement, i.e.,
the test should measure a broad range of facets/aspects of the domain being assessed. In considering the validity of a test
result, we should note and resolve any discrepancies between formal test results and the individual's customary behavior
and daily activities. 6. Intelligence tests. a. The results of standardized intelligence tests may provide data that help verify
the presence of mental retardation or organic mental disorder, as well as the extent of any compromise in cognitive functioning.
However, since the results of intelligence tests are only part of the overall assessment, the narrative report that accompanies
the test results should comment on whether the IQ scores are considered valid and consistent with the developmental history
and the degree of functional limitation. b. Standardized intelligence
test results are essential to the adjudication of all cases of mental retardation that are not covered under the provisions
of 12.05A. Listing 12.05A may be the basis for adjudicating cases where the results of standardized intelligence tests
are unavailable, e.g., where your condition precludes formal standardized testing. c.
Due to such factors as differing means and standard deviations, identical IQ scores obtained from different tests do not always
reflect a similar degree of intellectual functioning. The IQ scores in 12.05 reflect values from tests of general intelligence
that have a mean of 100 and a standard deviation of 15; e.g., the Wechsler series. IQs obtained from standardized tests that
deviate from a mean of 100 and a standard deviation of 15 require conversion to a percentile rank so that we can determine
the actual degree of limitation reflected by the IQ scores. In cases where more than one IQ is customarily derived from the
test administered, e.g., where verbal, performance, and full scale IQs are provided in the Wechsler series, we use the lowest
of these in conjunction with 12.05. d. Generally, it is preferable
to use IQ measures that are wide in scope and include items that test both verbal and performance abilities. However, in special
circumstances, such as the assessment of individuals with sensory, motor, or communication abnormalities, or those whose culture
and background are not principally English-speaking, measures such as the Test of Nonverbal Intelligence, Third Edition (TONI-3),
Leiter International Performance Scale-Revised (Leiter-R), or Peabody Picture Vocabulary Test-Third Edition (PPVT-III) may
be used. e. We may consider exceptions to formal standardized psychological
testing when an individual qualified by training and experience to perform such an evaluation is not available, or in cases
where appropriate standardized measures for your social, linguistic, and cultural background are not available. In these cases,
the best indicator of severity is often the level of adaptive functioning and how you perform activities of daily living and
social functioning.
7. Personality measures and projective
testing techniques. Results from standardized personality measures, such as the Minnesota Multiphasic Personality Inventory-Revised
(MMPI-II), or from projective types of techniques, such as the Rorschach and the Thematic Apperception Test (TAT), may provide
useful data for evaluating several types of mental disorders. Such test results may be useful for disability evaluation when
corroborated by other evidence, including results from other psychological tests and information obtained in the course of
the clinical evaluation, from treating and other medical sources, other professional health care providers, and nonmedical
sources. Any inconsistency between test results and clinical history and observation should be explained in the narrative
description. 8. Neuropsychological assessments. Comprehensive
neuropsychological examinations may be used to establish the existence and extent of compromise of brain function, particularly
in cases involving organic mental disorders. Normally, these examinations include assessment of cerebral dominance, basic
sensation and perception, motor speed and coordination, attention and concentration, visual-motor function, memory across
verbal and visual modalities, receptive and expressive speech, higher-order linguistic operations, problem-solving, abstraction
ability, and general intelligence. In addition, there should be a clinical
interview geared toward evaluating pathological features known to occur frequently in neurological disease and trauma; e.g.,
emotional lability, abnormality of mood, impaired impulse control, passivity and apathy, or inappropriate social behavior.
The specialist performing the examination may administer one of the commercially available comprehensive neuropsychological
batteries, such as the Luria-Nebraska or the Halstead-Reitan, or a battery of tests selected as relevant to the suspected
brain dysfunction. The specialist performing the examination must be properly trained in this area of neuroscience. 9. Screening tests. In conjunction with clinical examinations, sources may
report the results of screening tests; i.e., tests used for gross determination of level of functioning. Screening instruments
may be useful in uncovering potentially serious impairments, but often must be supplemented by other data. However, in some
cases the results of screening tests may show such obvious abnormalities that further testing will clearly be unnecessary.
10. Traumatic brain injury (TBI). In cases involving TBI,
follow the documentation and evaluation guidelines in 11.00F. 11. Anxiety
disorders. In cases involving agoraphobia and other phobic disorders, panic disorders, and posttraumatic stress disorders,
documentation of the anxiety reaction is essential. At least one detailed description of your typical reaction is required.
The description should include the nature, frequency, and duration of any panic attacks or other reactions, the precipitating
and exacerbating factors, and the functional effects. If the description
is provided by a medical source, the reporting physician or psychologist should indicate the extent to which the description
reflects his or her own observations and the source of any ancillary information. Statements of other persons who have observed
you may be used for this description if professional observation is not available. 12.
Eating disorders. In cases involving anorexia nervosa and other eating disorders, the primary manifestations may
be mental or physical, depending upon the nature and extent of the disorder. When the primary functional limitation is physical;
e.g., when severe weight loss and associated clinical findings are the chief cause of inability to work, we may evaluate the
impairment under the appropriate physical body system listing. Of course, we must also consider any mental aspects of the
impairment, unless we can make a fully favorable determination or decision based on the physical impairment(s) alone.
E. Chronic mental impairments. Particular problems are often involved
in evaluating mental impairments in individuals who have long histories of repeated hospitalizations or prolonged outpatient
care with supportive therapy and medication. For instance, if you have chronic organic, psychotic, and affective disorders,
you may commonly have your life structured in such a way as to minimize your stress and reduce your symptoms and signs. In
such a case, you may be much more impaired for work than your symptoms and signs would indicate. The results of a single examination
may not adequately describe your sustained ability to function. It is, therefore, vital that we review all pertinent information
relative to your condition, especially at times of increased stress. We will attempt to obtain adequate descriptive information
from all sources that have treated you in the time period relevant to the determination or decision. F. Effects of structured settings. Particularly in cases involving chronic mental disorders,
overt symptomatology may be controlled or attenuated by psychosocial factors such as placement in a hospital, halfway house,
board and care facility, or other environment that provides similar structure. Highly structured and supportive settings may
also be found your home. Such settings may greatly reduce the mental demands placed on you. With lowered mental demands, overt
symptoms and signs of the underlying mental disorder may be minimized. At
the same time, however, your ability to function outside of such a structured or supportive setting may not have changed.
If your symptomatology is controlled or attenuated by psychosocial factors, we must consider your ability to function outside
of such highly structured settings. For these reasons, identical paragraph C criteria are included in 12.02, 12.03, and
12.04. The paragraph C criterion of 12.06 reflects the uniqueness of agoraphobia, an anxiety disorder manifested by an
overwhelming fear of leaving the home. G. Effects of medication.
We must give attention to the effects of medication on your symptoms, signs, and ability to function. While drugs used to
modify psychological functions and mental states may control certain primary manifestations of a mental disorder, e.g., hallucinations,
impaired attention, restlessness, or hyperactivity, such treatment may not affect all functional limitations imposed by the
mental disorder. In cases where overt symptomatology is attenuated
by the use of such drugs, particular attention must be focused on the functional limitations that may persist. We will consider
these functional limitations in assessing impairment severity. See the paragraph C criteria in 12.02, 12.03, 12.04, and
12.06. Drugs used in the treatment of some mental illnesses may cause drowsiness, blunted affect, or other side effects involving
other body systems. We will consider such side effects when we evaluate the overall severity of your impairment. Where adverse
effects of medications contribute to the impairment severity and the impairment(s) neither meets nor is equivalent in severity
to any listing but is nonetheless severe, we will consider such adverse effects in the RFC assessment. H. Effects of treatment. With adequate treatment some individuals with chronic mental disorders
not only have their symptoms and signs ameliorated, but they also return to a level of function close to the level of function
they had before they developed symptoms or signs of their mental disorders. Treatment may or may not assist in the achievement
of a level of adaptation adequate to perform sustained SGA. See the paragraph C criteria in 12.02, 12.03, 12.04, and
12.06. I. Technique for reviewing evidence in mental disorders
claims to determine the level of impairment severity. We have developed a special technique to ensure that we obtain,
consider, and properly evaluate all the evidence we need to evaluate impairment severity in claims involving mental impairment(s).
We explain this technique in §§ 404.1520a and 416.920a.
12.01
Category of Impairments, Mental 12.02 Organic
mental disorders: Psychological or behavioral abnormalities associated with a dysfunction of the brain. History
and physical examination or laboratory tests demonstrate the presence of a specific organic factor judged to be etiologically
related to the abnormal mental state and loss of previously acquired functional abilities. The required level of severity for these disorders is met when the requirements in both A and B are
satisfied, or when the requirements in C are satisfied. A. Demonstration
of a loss of specific cognitive abilities or affective changes and the medically documented persistence of at least one of
the following: 1. Disorientation to time and place; or 2. Memory impairment, either short-term (inability to learn new information), intermediate,
or long-term (inability to remember information that was known sometime in the past); or 3. Perceptual or thinking disturbances (e.g., hallucinations, delusions); or 4. Change in personality; or 5. Disturbance in
mood; or 6. Emotional lability (e.g., explosive temper outbursts, sudden
crying, etc.) and impairment in impulse control; or 7. Loss of measured
intellectual ability of at least 15 I.Q. points from premorbid levels or overall impairment index clearly within the severely
impaired range on neuropsychological testing, e.g., Luria-Nebraska, Halstead-Reitan, etc; AND B. Resulting in at least two of the following:
1. Marked restriction of activities of daily living; or 2. Marked difficulties in maintaining social functioning; or 3. Marked difficulties in maintaining concentration, persistence, or pace; or 4. Repeated episodes of decompensation, each of extended duration; OR C. Medically documented history of a chronic
organic mental disorder of at least 2 years' duration that has caused more than a minimal limitation of ability to do
basic work activities, with symptoms or signs currently attenuated by medication or psychosocial support, and one of the following:
1. Repeated episodes of decompensation, each of extended duration;
or 2. A residual disease process that has resulted in such marginal
adjustment that even a minimal increase in mental demands or change in the environment would be predicted to cause the individual
to decompensate; or 3. Current history of 1 or more years'
inability to function outside a highly supportive living arrangement, with an indication of continued need for such an arrangement.
12.03 Schizophrenic, paranoid and other psychotic
disorders: Characterized by the onset of psychotic features with deterioration from a previous level
of functioning. The required level of severity for these disorders
is met when the requirements in both A and B are satisfied, or when the requirements in C are satisfied. A. Medically documented persistence, either continuous or intermittent, of one or more of the following:
1. Delusions or hallucinations; or 2. Catatonic or other grossly disorganized behavior; or 3.
Incoherence, loosening of associations, illogical thinking, or poverty of content of speech if associated with one of the
following: a. Blunt affect; or b.
Flat affect; or c. Inappropriate affect; OR 4. Emotional withdrawal and/or isolation;
AND B. Resulting
in at least two of the following: 1. Marked restriction of activities
of daily living; or 2. Marked difficulties in maintaining social functioning;
or 3. Marked difficulties in maintaining concentration, persistence,
or pace; or 4. Repeated episodes of decompensation, each of extended
duration; OR C.
Medically documented history of a chronic schizophrenic, paranoid, or other psychotic disorder of at least 2 years'
duration that has caused more than a minimal limitation of ability to do basic work activities, with symptoms or signs currently
attenuated by medication or psychosocial support, and one of the following: 1.
Repeated episodes of decompensation, each of extended duration; or 2.
A residual disease process that has resulted in such marginal adjustment that even a minimal increase in mental demands or
change in the environment would be predicted to cause the individual to decompensate; or 3. Current history of 1 or more years' inability to function outside a highly supportive living
arrangement, with an indication of continued need for such an arrangement. 12.04
Affective disorders: Characterized by a disturbance of mood, accompanied by a full or partial manic or depressive
syndrome. Mood refers to a prolonged emotion that colors the whole psychic life; it generally involves either depression or
elation. The required level of severity for these disorders is met
when the requirements in both A and B are satisfied, or when the requirements in C are satisfied. A. Medically documented persistence, either continuous or intermittent, of one of the following: 1. Depressive syndrome characterized by at least four of the following: a. Anhedonia or pervasive loss of interest in almost all activities; or b. Appetite disturbance with change in weight; or c. Sleep disturbance; or d. Psychomotor agitation
or retardation; or e. Decreased energy; or f. Feelings of guilt or worthlessness; or g.
Difficulty concentrating or thinking; or h. Thoughts of suicide; or
i. Hallucinations, delusions, or paranoid thinking; or 2. Manic syndrome characterized by at least three of the following: a. Hyperactivity; or b. Pressure
of speech; or c. Flight of ideas; or d. Inflated self-esteem; or e. Decreased need
for sleep; or f. Easy distractibility; or g. Involvement in activities that have a high probability of painful consequences which are not recognized;
or h. Hallucinations, delusions or paranoid thinking; or 3. Bipolar syndrome with a history of episodic periods manifested by the full symptomatic
picture of both manic and depressive syndromes (and currently characterized by either or both syndromes); AND B. Resulting in at least two of the following:
1. Marked restriction of activities of daily living; or 2. Marked difficulties in maintaining social functioning; or 3. Marked difficulties in maintaining concentration, persistence, or pace; or 4. Repeated episodes of decompensation, each of extended duration; OR C. Medically documented history of a chronic
affective disorder of at least 2 years' duration that has caused more than a minimal limitation of ability to do
basic work activities, with symptoms or signs currently attenuated by medication or psychosocial support, and one of the following:
1. Repeated episodes of decompensation, each of extended duration;
or 2. A residual disease process that has resulted in such marginal
adjustment that even a minimal increase in mental demands or change in the environment would be predicted to cause the individual
to decompensate; or 3. Current history of 1 or more years'
inability to function outside a highly supportive living arrangement, with an indication of continued need for such an arrangement.
12.05 Mental
retardation: Mental retardation refers to significantly subaverage general intellectual functioning with deficits
in adaptive functioning initially manifested during the developmental period; i.e., the evidence demonstrates or supports
onset of the impairment before age 22. The required level of severity
for this disorder is met when the requirements in A, B, C, or D are satisfied. A.
Mental incapacity evidenced by dependence upon others for personal needs (e.g., toileting, eating, dressing, or bathing) and
inability to follow directions, such that the use of standardized measures of intellectual functioning is precluded; OR B. A valid verbal, performance,
or full scale IQ of 59 or less; OR C. A valid verbal, performance, or full scale IQ of 60 through 70 and a physical or other mental impairment
imposing an additional and significant work-related limitation of function; OR
D. A valid verbal, performance, or full scale IQ of 60 through 70,
resulting in at least two of the following: 1. Marked restriction of
activities of daily living; or 2. Marked difficulties in maintaining
social functioning; or 3. Marked difficulties in maintaining concentration,
persistence, or pace; or 4. Repeated episodes of decompensation, each
of extended duration. 12.06 Anxiety-related disorders:
In these disorders anxiety is either the predominant disturbance or it is experienced if the individual attempts to master
symptoms; for example, confronting the dreaded object or situation in a phobic disorder or resisting the obsessions or compulsions
in obsessive compulsive disorders. The required level of severity for
these disorders is met when the requirements in both A and B are satisfied, or when the requirements in both A and C are satisfied.
A. Medically documented findings of at least one of the following:
1. Generalized persistent anxiety accompanied by three out of four
of the following signs or symptoms: a. Motor tension; or b. Autonomic hyperactivity; or c.
Apprehensive expectation; or d. Vigilance and scanning; or 2. A persistent irrational fear of a specific object, activity, or situation which
results in a compelling desire to avoid the dreaded object, activity, or situation; or 3.
Recurrent severe panic attacks manifested by a sudden unpredictable onset of intense apprehension, fear, terror and sense
of impending doom occurring on the average of at least once a week; or 4.
Recurrent obsessions or compulsions which are a source of marked distress; or 5.
Recurrent and intrusive recollections of a traumatic experience, which are a source of marked distress; AND B. Resulting in at least two of the following:
1. Marked restriction of activities of daily living; or 2. Marked difficulties in maintaining social functioning; or 3. Marked difficulties in maintaining concentration, persistence, or pace; or 4. Repeated episodes of decompensation, each of extended duration. OR C. Resulting in complete inability to function
independently outside the area of one's home. 12.07 Somatoform
disorders: Physical symptoms for which there are no demonstrable organic findings or known physiological mechanisms.
The required level of severity for these disorders is met when the
requirements in both A and B are satisfied. A. Medically documented
by evidence of one of the following: 1. A history of multiple physical
symptoms of several years duration, beginning before age 30, that have caused the individual to take medicine frequently,
see a physician often and alter life patterns significantly; or 2.
Persistent nonorganic disturbance of one of the following: a. Vision,
or b. Speech; or c.
Hearing; or d. Use of a limb; or e.
Movement and its control (e.g., coordination disturbance, psychogenic seizures, akinesia, dyskinesia; or f. Sensation (e.g., diminished or heightened). 3.
Unrealistic interpretation of physical signs or sensations associated with the preoccupation or belief that one has a serious
disease or injury; AND B.
Resulting in at least two of the following: 1. Marked restriction of
activities of daily living; or 2. Marked difficulties in maintaining
social functioning; or 3. Marked difficulties in maintaining concentration,
persistence, or pace; or 4. Repeated episodes of decompensation, each
of extended duration.
12.08 Personality disorders: A personality disorder exists when personality traits are inflexible and maladaptive and cause either
significant impairment in social or occupational functioning or subjective distress. Characteristic features are typical of
the individual's long-term functioning and are not limited to discrete episodes of illness. The required level of severity for these disorders is met when the requirements in both A and B are
satisfied. A. Deeply ingrained, maladaptive patterns of behavior associated
with one of the following: 1. Seclusiveness or autistic thinking; or
2. Pathologically inappropriate suspiciousness or hostility; or 3. Oddities of thought, perception, speech and behavior; or 4. Persistent disturbances of mood or affect; or 5.
Pathological dependence, passivity, or aggressivity; or 6. Intense
and unstable interpersonal relationships and impulsive and damaging behavior; AND
B. Resulting in at least two of the following: 1. Marked restriction of activities of daily living; or 2.
Marked difficulties in maintaining social functioning; or 3. Marked
difficulties in maintaining concentration, persistence, or pace; or 4.
Repeated episodes of decompensation, each of extended duration. 12.09
Substance addiction disorders: Behavioral changes or physical changes associated with the regular use of
substances that affect the central nervous system. The required level
of severity for these disorders is met when the requirements in any of the following (A through I) are satisfied. A. Organic mental disorders. Evaluate under 12.02. B. Depressive syndrome. Evaluate under 12.04. C.
Anxiety disorders. Evaluate under 12.06. D. Personality disorders.
Evaluate under 12.08. E. Peripheral neuropathies. Evaluate under 11.14.
F. Liver damage. Evaluate under 5.05. G. Gastritis. Evaluate under 5.04. H. Pancreatitis.
Evaluate under 5.08. I. Seizures. Evaluate under 11.02 or 11.03. 12.10 Autistic disorder and other pervasive developmental disorders:
Characterized by qualitative deficits in the development of reciprocal social interaction, in the development of verbal and
nonverbal communication skills, and in imaginative activity. Often, there is a markedly restricted repertoire of activities
and interests, which frequently are stereotyped and repetitive. The
required level of severity for these disorders is met when the requirements in both A and B are satisfied. A. Medically documented findings of the following: 1.
For autistic disorder, all of the following: a. Qualitative deficits
in reciprocal social interaction; and b. Qualitative deficits in verbal
and nonverbal communication and in imaginative activity; and c. Markedly
restricted repertoire of activities and interests; OR 2. For other pervasive developmental disorders, both of the following: a. Qualitative deficits in reciprocal social interaction; and b. Qualitative deficits in verbal and nonverbal communication and in imaginative activity; AND B. Resulting in at least
two of the following: 1. Marked restriction of activities of daily
living; or 2. Marked difficulties in maintaining social functioning;
or 3. Marked difficulties in maintaining concentration, persistence,
or pace; or 4. Repeated episodes of decompensation, each of extended
duration.
| 
