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Medicaid Disability Determinations - NYS Forms & Procedures (with updated forms Dec. 2021)

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Posted: 30 Sep, 2010
by David Silva (New York Legal Assistance Group)
Updated: 01 Oct, 2022
by Valerie Bogart (New York Legal Assistance Group)

The Medicaid program has long had a procedure for determining disability for individuals who have not yet been determined disabled by the Social Security Administration.[1]   This procedure is needed in order to approve pooled trusts for people age 65+ and also for other reasons described here.  The forms often change - always check  here for updates!

This process is administered by the NYS DOH Medicaid Disability Review Unit (MDRU)  TEL  1-866-330-0591 
SDRU@health.ny.gov   Website: https://www.health.ny.gov/health_care/medicaid/reference/mdm/ 

In June 2022, HRA issued a Medicaid Alert that announced a change.  Instead of submitting the documents listed below to the local Medicaid program (HRA in NYC), you instead submit only a signed DISABILITY DETERMINATION REQUEST (FORM MAP-3177) (download in many languages - links here which HRA or your DSS then forwards to the MDRU.  the MDRU will then request all of the disability documents described in this article.   When you submit the a Pooled Trust to NYC HRA, follow the suggestions in this article

Why would Medicaid need to make a determinination of disability?

  • Medicaid recipients between ages 21 and 65 who do not have Medicare, whose income is above the MAGI Medicaid limits under the Affordable Care Act - If they are determined disabled, they can qualify for Medicaid with a spend-down.    A determination of disability for these individuals, who are often pursuing appeals of denials of Social Security or SSI disability benefits, helps both the individual but the state, by drawing down federal funding.  If a Medicaid  recipient would not be eligible for Medicaid unless they are determined to have a disability, their Medicaid  must be continued while a determination of disability is made, if they allege a disabling condition.[13]
    • Working people under 65 who are determined disabled can qualify for he Medicaid Buy-In for Working People with Disabilities (MBI-WPD), which has higher income limits than regular Medicaid.   They may need  a Medicaid disability determination if they have not yet been approved for Social Security Disability or SSI.  

  • A disability determination is needed to approve  a Supplemental Needs Trust or pooled trust to shelter excess income or resources, no matter the age of the consumer.[2]

  • An exemption from the transfer penalty applies if a person seeking nursing home Medicaid transferred assets to a child who is disabled, even if the child is an adult.   For example, Mrs. Jones is 95 years old and is entering a nursing home.  She transfers assets to her 70-year-old daughter.  If her daughter is determined disabled using the procedure described below, there is no transfer penalty.

  • Medicaid may sometimes place a lien on a home of an institutionalized person, or file a claim for recovery against an estate of a deceased recipient.  Exceptions to these claims apply if a child of the recipient is disabled.  If the SSA has not made a determination of disablity (which they would not normally do for a child age 65+), then Medicaid will make this determination.  

What forms must be completed and submitted to have disability determined?

 These forms were revised in December 2021, in  August 2021 - see HRA MICSA ALERT and earlier in  June 2012 by NYS DOH GIS 12MA027 - Medical Evidence Gathering for Disability Determinations - Adult Cases [3]

  1. NEW FORM Dec. 2021 -- DOH-5143 (08/2018) has replaced the DSS-486T as the Medical Statement of Disability, which is completed and signed by the treating physician or nurse practitioner, describing diagnoses, symptoms, functional limitations, and medical history.  See Dec. 20, 2021 HRA Medicaid Alert.

    1. The DOH-5143 may be signed by a nurse practitioner instead of an MD, and the signing provider need not be enrolled as a Medicaid provider.  (Email from DOH SMDU dated 2/8/2022 on file with EFLRP.  - request at eflrp@nylag.org)

    2. The old 486T form consisted of numerous attachments that elicited information about the different body systems, such as a musculoskeletal or cardiac impairments.  Those former attachments, while burdensome, were helpful to show the criteria for "meeting the listings"-- Step Three in the sequential evaluation process described below.   While no longer required, you might find some of these attachments helpful as a guide for the physician to provide information about particular conditions.  Click here for the old 486T.

  2. One year of clinical medical records must be included in addition to the 486T form.  See January 2013 Medicaid Alert

  3. NEW AUGUST 2021DOH-5139 - Disability Questionnaire (Rev. 1/2021)(download at https://www.health.ny.gov/forms/doh-5139.pdf) -  replaces the DSS-1151 form. See HRA Alert 8/12/2021)

    This form can be filled out and signed by the consumer, a social worker or family member

  4.  HIPPA - NEW August 2021 - Must submit TWO  different HIPPA forms:

    1. OCA Official Form 960 - NY State HIPAA -Submit one signed copy authorizing HRA/DSS to discuss the case with the submitter of the trust paperwork.

    2.  DOH-5173 (4/2016) - NEW in 8/2021  for pooled trusts  -The August 2021 HRA Medicaid Alert does not say how many to submit but suggested that consumer complete and sign one for each medical provider, and sign 3 blank copies as well.  The Alert also doesn't give a link to download the form but it is at https://www.health.ny.gov/forms/doh-5173.pdf   

  5. MAP-751E: Authorization to Release Medical Information 

In determining whether an applicant is disabled, the Medicaid program uses the same standards used by the Social Security Administration to determine eligibility for SSI and SSDI. The New York State Dep’t of Health Medicaid Disability Manual[4] describes the five-step “sequential evaluation” process.[5]   The State has expressly acknowledged that various steps of this process must be slightly modified for people over age 65, and especially those over age 72, pursuant to Social Security Administration Ruling SSR 03-3p, Evaluation of Disability and Blindness in Initial Claims for Individuals Aged 65 or Older [hereinafter SSR 03-3p].[6]

A short summary of the sequential evaluation process

  1. Is the allegedly disabled individual working,  that is performing “substantial gainful activity” [SGA] as defined in Social Security regulations? If the individual's gross earnings do not average  $1180/month (2018 amount - check for updates here), she is not performing SGA. Continue to the next step.[7]

  2. Does the individual have any severe medically determinable impairment? If so, continue to the next step.   On this factor, SSR 03-3p is helpful. It provides that "If an individual aged 72 or older has a medically determinable impairment, that impairment will be considered to be 'severe.'” Moreover, the ruling requires consideration of any impairments the individual has, including those that are often found in older individuals.  

  3. Does the impairment meet or equal the medical “Listing” of impairments? If so, the individual is disabled. The listings are criteria for clinical and laboratory signs and symptoms of impairments of the various body systems that, if met, indicate an impairment so severe that the individual is found disabled without considering their age, education, or work experience.[8]   Advocates should review the listings applicable to the disabled adult child’s impairments, and work with the physician to document the criteria. The DSS-486 form attachments track the listings. If the listings are not me, go to the next step.

  4. Does individual retain the Residual Functional Capacity [RFC] to perform past relevant work?    This step asks whether the individual can perform their last actual job. 

    Social Security regulations define “relevant” work as work performed within the last 15 years. If the individual last worked more than 15 years ago, then continue to the next step.    If the individual did work in the last 15 years, then the ability to meet the physical, exertional and mental demands of the relevant past work – heavy, medium, or sedentary – is assessed. If the individual lacks the RFC to return to past work, go to the next step. 

  5. Does the individual meet one of the special medical-vocational work profiles that are deemed to indicate that the individual cannot work?
    • There are three medical-vocational work profiles that apply to adults of all ages seeking to prove disability.[9]
      1. If the individual has no more than a marginal education (6th grade or less) and work experience of 35 years or more during which s/he did only arduous unskilled physical labor, or

      2. If the individual is at least 55 years old, has no more than a limited education (11th grade or less), and has no past relevant work experience, or

      3. If the individual is age 60 or older, has no more than a limited education, has a lifetime commitment (30 years or more) to a field of work that is unskilled, or is skilled or semi-skilled but with no transferable skills,

    • SSR 03-3p establishes an additional medical-vocational profile that applies to people age 72 and over.  If the individual is age 72 or over, any medically determinable impairments are deemed to be severe.   If she is limited to “sedentary” or “light” work, has no transferable skills from any past relevant work done in the last 15 years, and is not a high school graduate, she is disabled.[10]

  6. If no special profile is met, then the Medical-Vocational Guidelines, known as “the grid,” are  used to determine whether the individual can work, based on his or her ability to perform medium, light or sedentary work, level of education, and skill level.[11]  If the result on the “grid” is unfavorable, non-exertional impairments such as allergies, environmental restrictions, and mental and sensory impairments must be considered.[12]

[1] DOH GIS 08 MA/004; DOH GIS 06 MA/005

[2] NYS DOH 05 INF-01, Pooled Trusts and Disability Determinations for Individuals 65 Years of Age and Over, Apr. 19, 2005, posted at http://www.health.state.ny.us/health_care/medicaid/publications/docs/inf/05inf-01.pdf

[3] This GIS directive DOH GIS 12MA027 and its 5 attachments, which include the new 486T, 1151, and 1151.1 forms, along with transmittal forms to be used by the local districts, can be found in the NYS DOH Library of Official Documents - 2012 GIS Messages

[4] New York State Dep’t of Health Medicaid Disability Manual, posted at http://www.health.state.ny.us/health_care/medicaid/reference/mdm/index.htm. Also see the Online SSA Handbook, http://www.ssa.gov/OP_Home/handbook/handbook.06/handbook-toc06.html. There are also numerous legal treatises and manuals by the various legal publishing companies on Social Security Disability advocacy.  

[8]   The Listings are codified in the NYS Disability Manual at http://www.health.state.ny.us/health_care/medicaid/reference/mdm/mdm-app1and2.pdf

[10] Sedentary work involves lifting no more than 10 pounds at a time and occasionally lifting or carrying articles like files and ledgers. http://www.ssa.gov/OP_Home/cfr20/404/404-1567.htm. Light work involves lifting no more than 20 pounds at a time with frequent lifting or carrying of objects weighing up to 10 pounds. http://www.ssa.gov/OP_Home/cfr20/404/404-1567.htm.

[12] Id., NYS Disability Manual Appendix 3, pp. 2-3

[13]  12MA004 - Continue Medicaid Pending a Disability Determination (NYS GIS 12-MA-004, February 2012)

This article was authored by the Evelyn Frank Legal Resources Program of New York Legal Assistance Group.


Attached files
item 2022-6-30 MA Alert Disability Determination by New York State Medicaid.pdf (148 kb) Download
item 2021-12-20 Medical Disability Form LDSS-486T Replaced with DOH-5143.pdf (718 kb) Download
item DOH-5143 Replaces 486T Medical Report for Determination of Disability (08-2018) - FILLABLE.pdf (50 kb) Download
item Medicaid Alert--Medical Evidence Disability 1-2013.pdf (428 kb) Download
item DSS-486T (OLD) - Medical Report for Determination of Disability - best version.pdf (205 kb) Download
item 2021-08-12 Disability Determination Form LDSS-1151 Replaced by DOH-5139.pdf (142 kb) Download

Also read
item Overview - Supplemental Needs Trusts
item Transfer of Asset Rules in Medicaid -- The Deficit Reduction Act of 2005
item Step-by-step guide to enrolling in a pooled income trust for Medicaid spend-down
item The Medicaid Buy-In for Working People With Disabilities (MBI-WPD)
item Access to Health Care for People with Disabilities
item Legal Authorities Relating to Supplemental Needs Trusts - Federal, State, and New York City
item Delays in Processing of Medicaid Applications - What are Your Rights and Lawsuits Challenging Delays
item Know Your Rights: NYLAG Webinars on Medicare and Medicaid -
item Special Medicaid Income Rules That May Eliminate Your "Spend-down" or "Surplus Income"

Also listed in
folder Medicaid -> Applying For and Keeping Medicaid

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Legal Authorities Relating to Supplemental Needs Trusts -...       Medicaid Alerts & Other Protocols published by the NYC HRA...

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