Simple Work -- Moving Beyond the R1 - R2 - R3 Distinction -- Dealing with Data as a Significant Worker Function

This is one of those questions where the circuits are split:  simple work and the reasoning level distinctions.  Hackett v. Barnhart found reasoning level 3 incompatible with simple routine work (call-out operator and surveillance systems monitor). Renfrow v. Astrue found no conflict between reasoning level 3 and simple work (telephone quotation clerk and charge account clerk). Terry v. Astrue found no conflict between reasoning level 3 and simple instructions in light of a high school diploma, training as a certified nurse's assistant, and capacity to follow simple instructions. Zavalin v. Colvin found reasoning level 3 in conflict with simple routine work (surveillance systems monitor and cashier). This is a view of the circuit split. Today we look at worker function and dealing with data. 

The DOT classifies four DOT codes (in four different occupational groups) as light, unskilled, reasoning level 2, and have significant worker functions with data: 

Data: 3 - Significant
Compiling: Gathering, collating, or classifying information about data, people, or things. Reporting or carrying out a prescribed action in relation to the information is frequently involved.

Compiling requires decision-making in at least the collating or classifying of information and in performing prescribed action in response to data.  The key work here is frequently.  Simple work with occasional decision-making should be excluded.    

The DOT classifies 11 DOT codes (in eight occupational groups) as light or medium, unskilled, reasoning level 2, and have significant worker functions with data: 

Data: 4 - Significant
Computing: Performing arithmetic operations and reporting on or carrying out a prescribed action in relation to them. Does not include counting.

Computing requires the manipulation of data.  It does not include simple counting.  Computing requires either reporting or taking prescribed action.  

The DOT classifies 32 DOT codes (in 15 occupational groups) as sedentary, light, or medium work; unskilled; reasoning level 2; and have significant worker functions with data: 

Data: 5 - Significant
Copying: Transcribing, entering, or posting data.

Copying is incompatible with off-task and making errors 5% of the workday.  A BFOQ of having the data correct is reasonable.  

The DOT classifies 165 DOT codes (in 32 occupational groups) as sedentary, light, medium, or heavy work; unskilled; 140 reasoning level 2; 25 reasoning level 1; and have significant worker functions with data: 

Data: 6 - Significant
Comparing: Judging the readily observable functional, structural, or compositional characteristics (whether similar to or divergent from obvious standards) of data, people, or things.

 Comparing requires judgment.  The presence of judgment as an important worker function takes the work out of basic work functions.  

Next we address significant worker functions of in more than one category in reasoning level 2 work.  

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SUGGESTED CITATION:

Lawrence Rohlfing, Simple Work -- Moving Beyond the R1 - R2 - R3 Distinction -- Dealing with Data as a Significant Worker Function, California Social Security Attorney (June 29, 2020) 

https://californiasocialsecurityattorney.blogspot.com/2020/06/simple-work-moving-beyond-r1-r2-r3_29.html

Investigator, Dealer Accounts: Reasoning, Math, Language, and Compiling

While on the road this weekend, I posted about the reasoning level 4 occupation of information clerk.  The other reasoning level 4 occupation that the DOT lists as having an unskilled Specific Vocational Preparation code is Investigator, Dealer Accounts. 

241.367-038 INVESTIGATOR, DEALER ACCOUNTS (financial) alternate titles: floor plan adjuster

    Visits dealers to verify purchases financed by bank against physical inventory of merchandise: Reviews computer printouts listing customer names, addresses, and descriptions of merchandise financed through bank credit and chattel mortgage accounts to plan itinerary of unannounced visits to dealer premises. Explains purpose of visit and locates merchandise in areas, such as showroom, storage room, or car lot. Observes features of merchandise, such as size, color, model, and serial number, to verify item against computer printout. Examines records and questions dealer to determine disposition of items missing from inventory and to elicit information on dealer arrangement for payment to bank for merchandise sold. Records findings on printout and notifies supervisor of unusual findings. 
GOE: 07.05.02 STRENGTH: L GED: R4 M3 L4 SVP: 2 DLU: 89

Nestled in the trailer is that reasoning level 4 code.  For the sake of completeness, the DOT defines reasoning level 4:

04 LEVEL REASONING DEVELOPMENT
Apply principles of rational systems to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Interpret a variety of instructions furnished in written, oral, diagrammatic, or schedule form. (Examples of rational systems include: bookkeeping, internal combustion engines, electric wiring systems, house building, farm management, and navigation.)

This occupation has that same first digit of 3 in the middle group -- it requires compiling.  Appendix B of the DOT defines compiling as:

Gathering, collating, or classifying information about data, people, or things. Reporting and/or carrying out a prescribed action in relation to the information is frequently involved.

That definition of compiling drags the occupation outside of a classification of work requiring "little or no judgment to do simple duties."  The occupation isn't simple and requires the exercise of judgment.  The Revised Handbook for Analyzing Jobs provides an example of compiling that fits this occupation to a "t."

3 Compiling: Gathering, collating, or classifying information about data, people, or things. Reporting or carrying out a prescribed action in relation to the information is frequently involved.

3:4 Summarizes details of transactions in separate ledgers and transfers data to general ledger to maintain records of financial transactions of an establishment.

This example fits the narrative job description contained in the DOT.  The investigator shows up to verify the existence of property on the lot, compares the property to lists, and makes reports.  Not a simple occupation. 

Investigator, dealer accounts also requires math and language skills that might be in the wheel house of a high school graduate (but probably not) and clearly beyond the scope of a claimant with a limited education.  Investigators need math level 3 and language level 4.  Appendix C defines these two GED components:

03 MATHEMATICAL DEVELOPMENT 

Compute discount, interest, profit and loss; commission, markup, and selling price; ratio and proportion; and percentage. Calculate surfaces, volumes, weights, and measures.

Algebra:
Calculate variables and formulas; monomials and polynomials; ratio and proportion variables; and square roots and radicals.

Geometry:
Calculate plane and solid figures; circumference, area, and volume. Understand kinds of angles and properties of pairs of angles.

04 LANGUAGE DEVELOPMENT

Reading:
Read novels, poems, newspapers, periodicals, journals, manuals, dictionaries, thesauruses, and encyclopedias.

Writing:
Prepare business letters, expositions, summaries, and reports, using prescribed format and conforming to all rules of punctuation, grammar, diction, and style.

Speaking:
Participate in panel discussions, dramatizations, and debates. Speak extemporaneously on a variety of subjects.

A claimant that did not take geometry or and upper level language class may not meet the educational requirements not only of reasoning level 4 but also math level 3 and language level 4.  The representative must ask the vocational expert to explain the part of the hypothetical question that permitted the inference that the claimant has those educational achievements and retains those capacities years or decades later.  This job is not simple despite the ease of learning the occupation on the base of a high school graduate that took algebra, geometry, and honors English. 

Information Clerk, Reasoning Level 4, and Unskilled Work

The Dictionary of Occupational Titles lists 3,127 unskilled occupations.  The vast majority of those occupations require reasoning levels 1 and 2.  These levels of reasoning correspond with the regulatory recognition of unskilled work as generically simple.

There are 89 DOT codes that require reasoning level 3.  The cases have recognized that reasoning level 3 requires more than simple routine or repetitive work.  Today, we look at one of two occupations that require neither the simple range of reasoning levels 1 and 2 nor the non-simple range of reasoning level 3, we examine reasoning level 4.

237.367-018 INFORMATION CLERK (motor trans.; r.r. trans.; water trans.) alternate titles: travel clerk

    Provides travel information for bus or train patrons: Answers inquiries regarding departures, arrivals, stops, and destinations of scheduled buses or trains. Describes routes, services, and accommodations available. Furnishes patrons with timetables and travel literature. Computes and quotes rates for interline trips, group tours, and special discounts for children and military personnel, using rate tables.
GOE: 07.04.04 STRENGTH: L GED: R4 M2 L3 SVP: 2 DLU: 77

The DOT defines reasoning level 4:

04 LEVEL REASONING DEVELOPMENT

Apply principles of rational systems to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Interpret a variety of instructions furnished in written, oral, diagrammatic, or schedule form. (Examples of rational systems include: bookkeeping, internal combustion engines, electric wiring systems, house building, farm management, and navigation.)

Dealing with a variety of concrete variables with limited standardization; understanding, remembering, and carrying out instructions provided in diagrammatic or schedule form in addition to the standard written or oral form fail the classification of simple, routine or repetitive.  That's the easy part.  Reasoning level 4 exceeds the complexity of reasoning level 3 and logically falls outside the pale of simple work as envisioned by the regulations.  

The middle three digits give more information beyond a distinguishing code.  The middle three digits signify the classification of data-people-things.  The first of the middle three digits, "3," denotes an occupational requirement of compiling.  Appendix B of the DOT defines compiling as:

Gathering, collating, or classifying information about data, people, or things. Reporting and/or carrying out a prescribed action in relation to the information is frequently involved.

That definition of compiling drags the occupation outside of a classification of work requiring "little or no judgment to do simple duties."  The occupation isn't simple and requires the exercise of judgment.  The Revised Handbook for Analyzing Jobs provides examples of compiling:

3 Compiling: Gathering, collating, or classifying information about data, people, or things. Reporting or carrying out a prescribed action in relation to the information is frequently involved.

3:1 Operates wire-drawing machine, observing operation of machine as work progresses and making adjustments to conform to written specifications.

3:2 Classifies aircraft flight data and submits data to Dispatcher for approval and flight authorization.

3:3 Collects, classifies, and records forest data, such as rainfall, stream flow, and soil moisture, to develop information tables.

3:4 Summarizes details of transactions in separate ledgers and transfers data to general ledger to maintain records of financial transactions of an establishment.

3:5 Collects and arranges flight arrival and departure times at specified points to construct flight schedule.

3:6 Receives telephone complaints from public concerning crimes or other emergencies, records complaints, and files them for future processing.

3:7 Catalogs library materials, such as books, films, and periodicals, according to subject matter.

3:8 Sells footwear, such as shoes, boots, overshoes, and slippers, in department store.

3:9 Sets up metal-stamping machines for other workers according to product specifications and prescribed procedures.

3:10 Prepares specialty foods, such as tacos and fish and chips, according to recipe using specific methods applicable to type of cookery.

3:11 Inspects precision optical and ophthalmic lenses at various stages of production to determine lenses meet company standards, according to work order and prescription specifications. using precision measuring instruments.

The examples of compiling belie the continued classification of this occupation as simple.  A person may be able to learn the occupation in less than 30 days only because education is a substitute for experience and training.  The intrepid representative should examine a vocational expert on education in general and reasoning in particular as well as hitting the occupational requirement for compiling.