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Consultative Examinations: A Guide for
Health Professionals
Part IV - Adult Consultative Examination Report Content Guidelines
The
following are guidelines for minimum content requirements for CE reports
on adult claimants. Each DDS will notify medical sources of any additional
requirements.
Elements of a
Complete Consultative Examination
A complete CE is one that involves
all the elements of a standard examination in the applicable medical specialty.
When the report of a complete CE is involved, the report should include
the following elements:
- The claimant's major or chief complaint(s);
- Detailed description, within the area of specialty
of the examination, of the history of the major complaint(s);
- Description, and disposition, of pertinent
"positive" and "negative" detailed findings based
on the history, examination, and laboratory tests related to the major
complaint(s), and any other abnormalities or lack thereof reported
or found during examination or laboratory testing;
- Results of laboratory and other tests (e.g.,
X-rays) performed in accordance with the requirements provided by
the DDS.
- Diagnosis and prognosis for the claimant's
impairment(s);
- Statement about what the claimant can still
do despite his or her impairment(s), unless the claim is based on
statutory blindness. This statement should describe the opinion of
the consulting medical source about the claimant's ability, despite
his or her impairment(s), to do work-related activities such as sitting,
standing, walking, lifting, carrying, handling objects, hearing,
speaking, and traveling; and, in cases of mental impairment(s), the
opinion of the medical source about the individual's ability
to understand, to carry out and remember instructions, and to respond
appropriately to supervision, coworkers, and work pressures in a
work setting; and
- The consultative medical source will consider,
and provide some explanation or comment on, the claimant's major
complaint(s) and any other abnormalities found during the history
and examination or reported from the laboratory tests. The history,
examination, evaluation of laboratory test results, and the conclusions
will represent the information provided by the medical source who
signs the report.
Report
Content by Specific Impairment
Internal Medicine
The detail and format for reporting
the results of the history, physical examination, laboratory findings,
and discussion of conclusions should follow the standard reporting principles
for a complete internal medical examination.
- Source of History
The medical source should indicate from
whom the history was obtained and should provide an estimate of the
reliability of the history.
- History of Present Illness
- The chief complaint(s) alleged as
the reason for not working should be discussed in detail, including:
- Factors which increase the problem or
impairment(s);
- How long the problem has been present;
- Factors which may provide relief; and
- The claimant's description of how the
impairment(s) limits the ability to function.
- Pertinent descriptive statements by the
claimant, such as a description of chest pain, should be recorded
in the claimant's own words.
- The information must be in a narrative,
rather than "questionnaire" or "check-off" format.
- Past History should describe other prior illnesses,
injuries, operations, or hospitalizations and give the dates of these
events.
- Current Medication should be listed by name
of drug and dose.
- Review of Systems should describe and
discuss:
- Other complaints and symptoms the claimant
has experienced relative to the specific organ systems, and
- The pertinent negative findings, which would
be considered in making a differential diagnosis of the current
illness or in evaluating the severity of the impairment.
- Social History should include pertinent findings
about use of tobacco products, alcohol, nonprescription drugs, etc.
- Family History should be presented, if pertinent.
- Signs
- The vital signs should include:
- Blood pressure;
- Pulse rate;
- Respiratory rate; and
- Height and weight without shoes.
- The physical examination must provide
a description of the claimant's general appearance and pertinent
behavior during the examination (e.g., for back complaint, how the
claimant stood or walked, got up from a chair, and got on and off
the examination table).
- This description must be in narrative,
rather than "questionnaire" or "check-off"
form.
- The report should present aspects of
the examination dealing with the claimant's major and minor
complaints in particular detail, describing both pertinent negative
and positive findings.
- Pelvic examinations should not be performed
unless specifically authorized.
- Specific range of motion of a joint should
be reported in degrees for joints in which there is a significant
limitation of motion.
NOTE: If a joint is found to have no abnormality of range of motion
on gross examination, that fact should be stated rather than reporting
the degree of motion.
- Laboratory Tests -- The laboratory should
provide:
- Actual values for laboratory tests; and
- Normal ranges of values in either the medical
report or attached laboratory report.
- Electrocardiographic and Spirographic
Reports
- Tracings must be provided when these
tests have been performed.
- The reported findings for pulmonary
and electrocardiographic studies must meet the requirements
of Section 3.00E and 4.00C, respectively, of the Listing of
Impairments.
- Interpretation
- The interpretation of laboratory tests
(e.g., electrocardiographic tracings) must take into account
and be correlated with the history and physical examination
findings.
- Identify the medical source providing
the formal interpretation of the laboratory tests, when other
than the medical source who is signing the CE report.
- If the interpretation is provided separately,
the report sheet should state the interpreting medical source's
name and address.
- X-rays
Joints and other areas to be x-rayed
are those that are specifically requested or those that the physical
examination reveals to be the most involved by disease, after
appropriate authorization by the DDS.
Rheumatology
In addition to the requirements
for a general internal medical examination, the following specific information
should be stated in a report of an examination in which the primary complaint
is a rheumatological disorder.
- General Observations
General observations in the physical examination
should relate to common, everyday functions which may be observed
in the examining medical source's office, such as:
- Stance;
- Gait;
- Ability to:
- Dress and undress;
- Climb upon the examining table;
- Grasp or shake hands; and
- Write.
- Joint Examination
- Joint examination should include specific,
detailed notations with respect to the presence or absence of:
- Effusion;
- Episodes of infection;
- Periarticular swelling;
- Tenderness;
- Heat;
- Redness;
- Thickening of the joints;
- Specific range of motion of the joints
and back in degrees; and
- Structural deformities.
- Specific range of motion of a joint or spine
should be reported in degrees for any joint or spine in which there
is a significant limitation of motion.
- If the range of motion is found to be restricted
in any joint or spine, annotation should be made as to probable
cause (e.g., due to pain and/or influenced by observable abnormality).
- Joints/spine to be x-rayed are those that
are specifically requested or those that the physical examination
reveals to be the most involved by disease, after appropriate authorization
by DDS.
- For individuals alleging myalgias or other muscular
complaints, evaluate the areas of muscle tenderness including tender
points and trigger points.
Go to Listing of Impairments - Adults:
Immune System 14.00 for more information.
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Orthopedic
- History
The orthopedic examination, including the
lumbar and cervical spine, should describe and discuss
(where appropriate):
- The major or chief complaint(s) alleged
as the reason for not working. The discussion of the complaints
must include:
- A detailed historical description of
the pertinent past history of the disease.
- The claimant's statement of current
complaint.
- Current and past therapy for this disorder,
and response to therapy, should be reported. Hospitalizations, surgical
operations, and significant investigative procedures (e.g., myelography,
CAT scan, MRI, Bone Scan) should be reported with the dates of the
hospitalizations and result of the procedures.
- The symptoms alleged, including a
description of:
- The character, location, and radiation
of pain;
- Mechanical factors which incite and
relieve the pain;
- Prescribed treatment, including name,
dose, and frequency of any medications which are used;
- The claimant's typical daily activities;
and
- Symptoms of weakness, other motor loss,
or any sensory abnormalities.
- The use of drugs or alcohol.
- Other significant past illnesses, injuries,
operations, particularly those involving the musculoskeletal system.
- From whom the history was obtained and an
estimate of the reliability of the history.
- Physical Examination -- The physical examination
report should include a description and discussion (where appropriate)
of:
- The claimant's general appearance and nutrition,
any apparent skeletal or other musculoskeletal abnormalities.
- The orthopedic and neurological findings.
These should include a description of:
- Muscle spasms, limitation of movement
of the spine given quantitatively in degrees from the vertical
position when there is significant limitation in motion, straight
leg raising given quantitatively in degrees from the supine
position and from the sitting position, motor and sensory abnormalities,
and deep tendon reflexes. Deep tendon reflexes should be described
as to intensity and symmetry.
- If there is no abnormality of range
of motion of any affected joint on gross examination, that fact,
rather than the actual degree of motion, may be reported.
- Motor function quantitated. The method
of quantitation must be reported. The most widely used method
involves recording from 0 to 5 as a fraction with the numerator
representing the claimant's performance and the denominator
representing a normal performance (e.g., 3/5).
- To what degree motor function is inhibited
by spasticity, rigidity or pain.
- The specific distribution of sensory
deficit or pain.
- Muscle bulk. When there is asymmetry,
specific measurement must be reported.
- Atrophy must be reported in terms of
circumferential measurements of both thighs and lower legs (or
upper or lower arms) at a stated point above and below the knee
or elbow given in inches or centimeters.
- A specific description of atrophy of
hand muscles may be given without measurements of atrophy but
should include measurements of grip strength.
- Gait and station, including the claimant's
ability to:
- Tandem walk;
- Walk on heels and toes;
- Hop;
- Bend;
- Squat;
- Arise from a squatting position;
- Dress and undress;
- Get up from a chair;
- Get on the examining table; and
- Cooperate during the examination.
- Laboratory Tests -- X-rays or other laboratory
tests
- The physician providing the formal interpretation
must be identified.
- If the interpretation is provided on a separate
report form, that report should be attached.
- Findings
The medical source's examination findings must be determined on the
basis of the medical source's observations during the examination.
(Alternative testing methods should be used to verify the objectivity
of the abnormal findings, when possible; e.g., a seated straight-leg
raising test in addition to a supine straight-leg raising test.)
Go to Listing of Impairments - Adults:
Musculoskeletal System 1.00 for more information.
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Respiratory
In addition to the requirements
for a general internal medical examination, the specific information listed
below should be stated in a report of an examination in which the primary
complaint is a respiratory disorder.
- General Examination
- The report should note and describe:
- The occurrence of cough, labored breathing,
use of accessory muscles of respiration, audible wheezing, pallor,
cyanosis, hoarseness, clubbing of fingers, or the presence of
chest wall deformity. Respiratory rate should be observed and
reported.
- The diameter of the chest on inspiration
and expiration, distention of neck veins and ankle edema.
- Whether the expiratory phase of respiration
is prolonged.
- Breath sounds.
- Diaphragmatic motion.
- Presence or absence of adventitious
sounds on auscultation of the chest.
- The employment history, when relevant to
the disease, should be reported (e.g., pneumoconiosis or exposure
to physical irritants producing respiratory symptoms.)
- Dyspnea
- Characteristics -- Dyspnea should
be described with respect to:
- Dates and mode of onset;
- Seasonal influence;
- Influence of infection and precipitating
activities;
- Whether it is associated with palpitation,
wheezing, chest discomfort, or hyperventilation symptoms.
- Respiratory Versus Cardiac Dyspnea
-- Inquiry should be made to determine whether the claimant has:
- A history of heart disease;
- Experienced paroxysmal nocturnal dyspnea
or orthopnea; and
- Associated peripheral edema, hypertension,
past myocardial infarction, angina, rheumatic heart disease,
cardiac murmur, etc.
- Episodic Disorders -- The report should
include details as to:
- Onset and precipitating factors;
- Frequency and intensity;
- Duration;
- Mode of treatment and response; and
- Description of severe respiratory attack.
- Ancillary Studies
Chest X-ray, Spirometry, Diffusing Capacity of the lungs for Carbon
Monoxide, and Arterial Blood Gas Studies will be requested in accordance
with program criteria for the purpose of establishing the existence
and extent of the disease process.
Go to Listing of Impairments -Adults:
Respiratory System 3.00 for more information.
Cardiovascular
In addition to the requirements
for a general internal medical examination, the following specific information
should be stated in a report of an examination in which the primary complaint
is a cardiovascular disorder.
- General Examination -- The report must:
- Provide a detailed description of the examination
of the heart, including the heart sounds and rhythm and pulses.
- Describe:
- Any jugular vein distention, including
angle of reclining at which distention occurs;
- Adventitious lung sounds;
- Hepatomegaly;
- Peripheral or pulmonary edema; and
- Cyanosis.
- Describe the impact of the chest discomfort,
dyspnea or other cardiovascular symptoms on physical activities.
- Describe any drugs used (currently and in
the recent past) for treatment of the cardiovascular disorder and
indicate the dosage and the response to these drugs.
- Note participation in a cardiac rehabilitation
program (e.g., progressive physical activity, educational or psychological
support).
- Congestive Heart Failure -- The history
must include a discussion of:
- The known factors in the development of
the cardiac condition (e.g., myocardial infarction, rheumatic heart
disease, hypertension, and congenital or other organic heart disease).
- Recurrent or persistent symptoms such
as:
- Fatigue;
- Dyspnea;
- Orthopnea; and
- Anginal discomfort.
- Chest Discomfort and Other Symptoms --
The report should describe:
- Chest discomfort of myocardial ischemic
origin or other symptom(s) in the claimant's own words with respect
to:
- Presence;
- Character;
- Location;
- Radiation;
- Frequency;
- Duration;
- Usual inciting factors; and
- Relief.
- The historical character of the chest
discomfort to ascertain whether:
- There is a predictable stable pattern
of occurrence; and
- There is evidence of a recent change
in the pattern of symptoms.
- Whether therapy has been prescribed and
how the claimant is responding to the therapy;
- Whether the discomfort occurs at rest or
awakens the claimant from sleep and whether it is related to ingestion
of food or movement of the upper extremities; and
- The usual duration of the symptoms, especially
chest discomfort, how symptoms are relieved, and the time required
to obtain relief (e.g., rest or after taking specific drugs such
as nitroglycerin).
- Laboratory Tests
Ancillary cardiac testing, such as ECG, Exercise
Stress Testing and Echocardiogram, will be requested in accordance
with program criteria for the purpose of establishing the existence
and extent of the disease process.
Go to Listing of Impairments - Adults:
Cardiovascular System 4.00 for more information.
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Neurological
- Historical Source
- The DDS will make arrangements to have a
knowledgeable individual accompany the claimant to the examination,
when prior information indicates incompetence on the part of the
claimant.
- The medical source should indicate from
whom the history was obtained and should estimate reliability of
history.
- History -- The history should include
a detailed description/discussion of:
- Major or chief complaints with:
- Detailed historical description of the
disease state; and
- Current complaints.
- The mental or physical functional restrictions
with specific examples.
- Significant illness, injuries, or operations,
particularly of the nervous system.
- Current and past therapy for the disorder
alleged, and any abuse or drugs or alcohol.
- The family history with information on pertinent
positive abnormalities, particularly hereditary familial conditions.
- Physical Examination
- General -- The physical examination
should provide a statement concerning the claimant's:
- General appearance;
- Nutrition;
- Body habitus;
- Head size and shape;
- Any skeletal or other abnormalities
such as pigmentary or texture changes of the skin or changes
in hair distribution; and
- Dominant hand
- The gait and station must be described
in detail, including ability to:
- Tandem walk;
- Walk on heels and toes;
- Hop;
- Dress and undress;
- Get up from a chair;
- Get on the examining table; and
- Generally cooperate during the examination.
- Notation should be made of the function
of the 12 cranial nerves (if the first cranial nerve is not tested,
this should be noted). Lower cranial nerve function should be described
in particular detail when dysphagia or dysarthria is a complaint.
- Ocular motility and pupillary size and activity
should be described even when normal. The visual acuity and visual
fields by gross confrontation should be estimated, and the basis
for the estimate must be stated.
- Motor function -- Should be quantitated,
and the method of quantitation reported. For example, if a numbering
system is used, the report must state which number represents normal
strength and which number represents total paralysis.
- The report must also describe to what
degree motor function is inhibited by spasticity, rigidity,
involuntary movements, or tremor.
- Muscle bulk should be described, and
when there is asymmetry, measurements should be reported.
- The degree of fatigability following
rapid, repetitive movements should be noted.
- All modalities of sensation, including
cortical, should be tested.
- The method of testing should be recorded.
- When sensory deficit or pain are described
in a specific distribution, care should be taken to ascertain
that the findings are consistent with neuroanatomical fact.
Suspected non-physiological observations should be noted.
- Coordination should be tested.
- The ability to perform fine and dexterous
movements of the hands should be described.
- In-coordination or tremor at rest or
during specific tests should be described in detail and quantitated.
NOTE: Examples should be given describing the functional
loss that occurs because of these events.
- Reflexes
- Deep tendon reflexes should be described
as to intensity and symmetry.
- Superficial reflexes should be described
when present and noted when absent.
- Any pathological reflexes must be described
in detail.
- Any impairment of speech or language
should be described in detail with a discussion of how much ability
the claimant retains and how the medical source determined this.
The report should discuss:
- Aphasia;
- Dysarthria;
- Stuttering (fluency);
- Involuntary vocalizations;
- Whether speech is intelligible.
- Mental Status Examination -- should be
reported and be extensive when mental capacity is in question. The physician
should provide:
- Examples of responses in testing orientation,
memory, calculation, insight, general understanding, and fund of
knowledge; and
- A detailed description of mood and behavior
during the examination, and any significant abnormalities.
Go to Listing of Impairments - Adult:
Neurological 11.00 for more information.
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Mental Disorders
The psychiatric or psychological
examination report should show not only the claimant's signs, symptoms,
laboratory findings (psychological test results), and diagnosis, but also
describe the effect of the emotional or mental disorder on the claimant's
ability to function at the usual and customary level of adjustment --
personal, social and occupational.
- General Observations -- Include in the
CE report general observations of:
- How the claimant came to the examination:
- Alone or accompanied;
- Distance and mode of transportation;
and
- If by automobile, who drove.
- General appearance:
- Dress; and
- Grooming
- Attitude and degree of cooperation.
- Posture and gait.
- General motor behavior, including any involuntary
movements.
- Informant
The medical source should identify
the person providing the history (usually the claimant) and should
provide an estimate of the reliability of the history.
- Chief Complaint
This usually will consist of the claimant's allegations concerning any
mental and/or physical problems.
- History of Present Illness
This should include a detailed chronological account of the onset and
progression of the claimant's current mental/emotional condition with
special reference to:
- Date and circumstances of onset of the condition;
- Date the claimant reported that the condition
began to interfere with work, and how it interfered;
- Date the claimant reported inability to
work because of the condition and the circumstances;
- Attempts to return to work and the results;
- Outpatient evaluations and treatment
for mental/emotional problems including:
- Names of treating sources;
- Dates of treatment;
- Types of treatment (names and dosages
of medications, if prescribed); and
- Response to treatment.
- Hospitalizations for mental disorders
including:
- Names of hospitals;
- Dates; and
- Treatment and response.
- Information concerning the claimant's:
- Activities of daily living;
- Social functioning;
- Ability to complete tasks timely and
appropriately; and
- Episodes of decompensation and their
resulting effects.
- Past History should include a longitudinal
account of the claimant's personal life including:
- Relevant educational, medical, social, legal,
military, marital, and occupational data and any associated problems
in adjustment;
- Details (dates, places, etc.) of any past
history of outpatient treatment and hospitalizations for mental/emotional
problems; and
- History, if any, of substance abuse, and/or
treatment in detoxification and rehabilitation centers.
- Mental Status
The individual case facts will determine the specific areas of mental
status that need to be emphasized during the examination, but generally
the report should include a detailed description of the claimant's:
- Appearance, behavior, and speech (if not
already described);
- 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);
- Judgment and insight; and
- Capability (i.e., is the individual capable
of handling awarded benefits responsibly?)
- Diagnosis
American Psychiatric Association standard nomenclature as set forth
in the current "Diagnostic and Statistical Manual of Mental Disorders."
- Prognosis
Prognosis and recommendations for treatment, if indicated; also, recommendations
for any other medical evaluation (e.g., neurological, general physical),
if indicated.
Additional
Requirements by Mental Disorder
- Schizophrenic, Delusional (Paranoid) Schizo-Affective,
and other Psychotic Disorders -- The report should reflect:
- Periods of residence in structured settings
such as half-way houses and group homes;
- Frequency and duration of episodes of illness
and periods of remission; and
- Side effects of medications.
- Organic Mental Disorders -- The report
should reflect:
- The source of the disorder, if known,
the prognosis; and
- Whether there is an acute or chronic
process;
- Whether stable or progressive; and
- Changes at various points in time.
- The results of any psychological or neuropsychological
testing that could serve to further document an organic process
and its severity.
- Information regarding the results of any
neurological evaluations.
- Information about any neurological testing
(e.g., EEG, CT scan) that may have been performed and the results,
if available.
- In Mental Retardation cases, the report
should reflect:
- Current documentation of IQ by a standardized,
well-recognized measure. Acceptable instruments will have a representative
normative sample, a mean of approximately 100 and standard deviation
of approximately 15 in the general population, and cover a broad
range of cognitive and perceptual-motor functions (e.g., the Wechsler
scales);
- Verbal IQ, performance IQ, and full scale
IQ scores, together with the individual subtest scores;
- Interpretation of the scores and assessment
of the validity of the obtained scores, indicating any factors that
may have influenced the results such as the claimant's attitude
and degree of cooperation, the presence of visual, hearing or other
physical problems, and recent prior exposure to the same or similar
test; and
- Consistency of the obtained test results
with the claimant's education, vocational background, and social
adjustment, especially in the area of personal self-sufficiency.
Go to Listing of Impairments- Adults:
Mental Disorders 12.00 for more information.
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