Opinion · Supreme Court of the United States
Bowen v. Yuckert
96 L. Ed. 2d 119
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1987-06-08
- Topic
- general
holding that the claimant has the burden of showing “at step two that he has a medically severe impairment or combination of impairments” | holding that both standards are consistent with the language and legislative history of the Act | holding that “disability claimants” are responsible for making “a threshold showing that their ‘medically determinable’ impairments are severe enough to satisfy the regulatory standards” | holding that the claimant has the burden of proving that the impairments meet the criteria of the Listings | holding that the claimant has the burden of showing “at step two that he has a medically severe impairment or combination of impairments” | recognizing that severity requirement permits Secretary to identify efficiently claimants whose impairments are so slight that there is little likelihood of disability finding; following Farris, supra | noting that the claimant is in a better position to provide information about his own medical condition | recognizing that the severity determination is meant “to screen out de minimis claims” | observing that the agency has “exceptionally broad authority” to promulgate evidentiary rules, which therefore may be set aside only if they exceed the agency’s statutory authority or are arbitrary and capricious | noting that step "three streamlines the decision process by identifying those claimants whose medical impairments are so severe that it is likely they would be found disabled regardless of their vocational background." | noting that step “three streamlines the decision process by identifying those claimants whose medical impairments are so severe that it is likely they would be found disabled regardless of their vocational background.” | stating that the step two inquiry is a de 11 minimus screening device to dispose of groundless claims | stating that the step two 23 inquiry is a “de minimis screening device to dispose of groundless claims” | explaining that the step two inquiry is “a de minimis 13 screening device to dispose of groundless claims” | stating that the step two inquiry is a de 20 minimis screening device to dispose of groundless claims | stating that the step two inquiry is a de minimis screening device to 27 dispose of groundless claims | stating that the step two inquiry is a de 3 minimis screening device to dispose of groundless claims | stating that the step two 14 inquiry is a de minimis screening device to dispose of groundless claims | noting that the claimant is in a better position to provide information about his own medical condition | discussing that claimant is in a better position to offer medical opinions and records about the claimant’s position | stating that the step two inquiry is a de minimus 10 screening device to dispose of groundless claims | noting that the claimant is in a better position to provide information about his own medical condition | noting that the burden is on the claimant to establish that his impairment is disabling at Step Three | noting that if the plaintiff’s impairment “meets or equals one of the listed impairments, the claimant is conclusively presumed to be disabled” | observing that 9 the claimant must satisfy the burden on the first four steps of the evaluative process | stating that the step two inquiry is a de 3 minimus screening device to dispose of groundless claims | stating that the step two inquiry is a de 23 minimus screening device to dispose of groundless claims | stating that the step two inquiry is a de minimis screening device to 27 dispose of groundless claims | stating that the step two 3 inquiry is a de minimis screening device to dispose of groundless claims | stating that the step two 19 inquiry is a “de minimis screening device to dispose of groundless claims” | explaining that the Plaintiff bears the burden of showing that her mental impairments qualify as a severe impairment | noting that the claimant is in a better position to provide information about his own medical condition
Citator
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delivered the opinion of the Court.
The question in this case is whether the Secretary of Health and Human Services may deny a claim for Social Security disability benefits on the basis of a determination that the claimant does not suffer from a medically severe impairment that significantly limits the claimant’s ability to perform basic work activities.
Title II of the Social Security Act (Act), 49 Stat. 620, as amended, provides for the payment of insurance benefits to persons who have contributed to the program and who suffer from a physical or mental disability. 42 U. S. C. §423(a)(1)(D) (1982 ed., Supp. III). Title XVI of the Act provides for the payment of disability benefits to indigent persons under the Supplemental Security Income (SSI) program. § 1382(a). Both titles of the Act define “disability” as the “inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months . . . .” §423(d)(1)(A). See § 1382c(a)(3)(A). The Act further provides that an individual
“shall be determined to be under a disability only if his physical or mental impairment or impairments are of such severity that he is not only unable to do his previous work but cannot, considering his age, education, and work experience, engage in any other kind of substantial gainful work which exists in the national economy, regardless of whether such work exists in the immediate area in which he lives, or whether a specific job vacancy exists for him, or whether he would be hired if he applied for work.” §§ 423(d)(2)(A), 1382c(a)(3)(B) (1982 ed. and Supp. III).
The Secretary has established a five-step sequential evaluation process for determining whether a person is disabled. 20 CFR §§404.1520, 416.920 (1986). Step one determines whether the claimant is engaged in “substantial gainful activity.” If he is, disability benefits are denied. §§404.1520(b), 416.920(b). If he is not, the decisionmaker proceeds to step two, which determines whether the claimant has a medically
“If you do not have any impairment or combination of impairments which significantly limits your physical or mental ability to do basic work activities, we will find that you do not have a severe impairment and are, therefore, not disabled. We will not consider your age, education, and work experience.” §§404.1520(c), 416.920(c).
The ability to do basic work activities is defined as “the abilities and aptitudes necessary to do most jobs.” §§404. 1521(b), 416.921(b). Such abilities and aptitudes include “[pjhysical functions such as walking, standing, sitting, lifting, pushing, pulling, reaching, carrying, or handling”; “[c]a-pacities for seeing, hearing, and speaking”; “[understanding, carrying out, and remembering simple instructions”; “[u]se of judgment”; “[Responding appropriately to supervision, coworkers, and usual work situations”; and “[djealing with changes in a routine work setting.” Ibid.
If the claimant does not have a severe impairment or combination of impairments, the disability claim is denied. If the impairment is severe, the evaluation proceeds to the third step, which determines whether the impairment is equivalent to one of a number of listed impairments that the Secretary acknowledges are so severe as to preclude substantial gainful activity. §§404.1520(d), 416.920(d); 20 CFR pt. 404, subpt. P, App. 1 (1986). If the impairment meets or equals one of the listed impairments, the claimant is conclusively presumed to be disabled. If the impairment is not one that is conclusively presumed to be disabling, the evaluation proceeds to the fourth step, which determines whether the impairment prevents the claimant from performing work he has performed in the past. If the claimant is able to perform his previous work, he is not disabled. §§404.1520(e),
The initial disability determination is made by a state agency acting under the authority and supervision of the Secretary. 42 U. S. C. §§ 421(a), 1383b(a); 20 CFR §§404.1503, 416.903 (1986). If the state agency denies the disability claim, the claimant may pursue a three-stage administrative review process. First, the determination is reconsidered de novo by the state agency. §§404.909(a), 416.1409(a). Second, the claimant is entitled to a hearing before an administrative law judge (ALJ) within the Bureau of Hearings and Appeals of the Social Security Administration. 42 U. S. C. §§ 405(b)(1), 1383(c)(1) (1982 ed. and Supp. Ill); 20 CFR §§404.929, 416.1429, 422.201 et seq. (1986). Third, the claimant may seek review by the Appeals Council. 20 CFR §§404.967 et seq., 416.1467 et seq. (1986). Once the claimant has exhausted these administrative remedies, he may seek review in federal district court. 42 U. S. C. § 405(g). See generally Bowen v. City of New York, 476 U. S. 467, 472 (1986).
II
Respondent Janet Yuckert applied for both Social Security disability insurance benefits and SSI benefits in October 1980. She alleged that she was disabled by an inner ear dysfunction, dizzy spells, headaches, an inability to focus her eyes, and flatfeet. Yuckert had been employed as a travel agent from 1963 to 1977. In 1978 and 1979, she had worked intermittently as a real estate salesperson. Yuckert was 45 years old at the time of her application. She has a high school education, two years of business college, and real estate training.
The United States Court of Appeals for the Ninth Circuit reversed and remanded without considering the substan-tiality of the evidence. Yuckert v. Heckler, 774 F. 2d 1365, 1370 (1985). The court held that the Act does not authorize
H-i H-i H-i
Our prior decisions recognize that “Congress has ‘conferred on the Secretary exceptionally broad authority to prescribe standards for applying certain sections of the Act.’” Heckler v. Campbell, 461 U. S. 458, 466 (1983) (quoting Schweiker v. Gray Panthers, 453 U. S. 34, 43 (1981)). The Act authorizes the Secretary to “adopt reasonable and proper rules and regulations to regulate and provide for the nature and extent of the proofs and evidence and the method of taking and furnishing the same” in disability cases. 42 U. S. C. § 405(a). We have held that “[w]here, as here, the statute expressly entrusts the Secretary with the responsibility for implementing a provision by regulation, our review is limited to determining whether the regulations promulgated exceeded the Secretary’s statutory authority and whether they are arbitrary and capricious.” Heckler v. Campbell, supra, at 466 (footnote and citations omitted). In our view, both the language of the Act and its legislative history support the Secretary’s decision to require disability claimants to make a threshold showing that their “medically determinable” impairments are severe enough to satisfy the regulatory standards.
As noted above, the Social Security Amendments Act of 1954 defined “disability” as “inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment . . . 68 Stat. 1080, 42 U. S. C. § 423(d)(1)(A). The severity regulation requires the claimant to show that he has an “impairment or combination of impairments which significantly limits” “the abilities and aptitudes necessary to do most jobs.” 20 CFR §§ 404.1520(c), 404.1521(b) (1986). On its face, the regulation is not inconsistent with the statutory definition of disability. The Act “defines ‘disability’ in terms of the effect a physical or mental impairment has on a person’s ability to function in the workplace.” See Heckler v. Campbell, supra, at 459-460. The regulation adopts precisely this functional approach to determining the effects of medical impairments. If the impairments are not severe enough to limit significantly the claimant’s ability to perform most jobs, by definition the impairment does not prevent the claimant from engaging in any substantial gainful activity. The Secretary, moreover, has express statutory authority to place the burden of showing a medically determinable impairment on the claimant. The Act provides that “[a]n individual shall not be considered to be under a disability unless he furnishes such medical and other evidence of the existence thereof as the Secretary may require.” § 423(d)(5)(A) (1982 ed. and Supp. III). See Mathews v. Eldridge, 424 U. S. 319, 336 (1976).5
“The physical or mental impairment must be of a nature and degree of severity sufficient to justify its consideration as the cause of failure to obtain any substantial gainful work. Standards for evaluating the severity of disabling conditions will be worked out in consultation with the State agencies.” S. Rep. No. 1987, 83d Cong., 2d Sess., 21 (1954).
House Rep. No. 1698, 83d Cong., 2d Sess., 23 (1954), contains virtually identical language. Shortly after the 1954 Amendments were enacted, the Secretary promulgated a regulation stating that “medical considerations alone may justify a finding that the individual is not under a disability where the only impairment is a slight neurosis, slight impairment of sight or hearing, or other similar abnormality or combination of slight abnormalities.” 20 CFR §404.1502(a) (1961). This regulation, with minor revisions, remained in effect until the sequential evaluation regulations were promulgated in 1978.
B
The Court of Appeals placed little weight on § 423(d)(1)(A) or its legislative history, but concluded that the severity regulation is inconsistent with § 423(d)(2)(A). We find no basis for this holding. Section 423(d)(2)(A), set forth supra, at 140, was enacted as part of the Social Security Amend
The legislative history reinforces this understanding of the statutory language. Section 423(d)(2)(A) was intended to “reemphasize the predominant importance of medical factors in the disability determination.” S. Rep. No. 744, 90th Cong., 1st Sess., 48 (1967). The 1967 Amendments left undisturbed the longstanding regulatory provision that “medical considerations alone may justify a finding that the individual is not under a disability.” 20 CFR §404.1502(a) (1966). Indeed, it is clear that Congress contemplated a sequential evaluation process:
“The bill would provide that such an individual would be disabled [i] only if it is shown that he has a severe medically determinable physical or mental impairment or impairments; [ii] that if, despite his impairment or impairments, an individual still can do his previous work, he is not under a disability; and [iii] that if, considering the severity of his impairment together with his age, educa*149 tion, and experience, he has the ability to engage in some other type of substantial gainful work that exists in the national economy even though he can no longer do his previous work, he also is not under a disability . . . S. Rep. No. 744, supra, at 48-49.
See H. R. Rep. No. 544, 90th Cong., 1st Sess., 30 (1967).7
C
If there was any lingering doubt as to the Secretary’s authority to require disability claimants to make a threshold
“In determining whether an individual’s physical or mental impairment or impairments are of a sufficient medical severity that such impairment or impairments could be the basis of eligibility under this section, the Secretary shall consider the combined effect of all of the individual’s impairments without regard to whether any such impairment, if considered separately, would be of such severity. If the Secretary does find a medically severe*151 combination of impairments, the combined effect of the impairments shall be considered throughout the disability determination process.” 42 U. S. C. §§ 423(d)(2)(C), 1382c(a)(3)(F) (1982 ed. and Supp. III).
Congress thus recognized once again that the Secretary may make an initial determination of medical severity, and that he need not consider the claimant’s age, education, and experience unless he finds “a medically severe combination of impairments.”
The Senate Report accompanying the 1984 amendments expressly endorses the severity regulation.
“[T]he new rule [requiring consideration of the combined effects of multiple impairments] is to be applied in accordance with the existing sequential evaluation process and is not to be interpreted as authorizing a departure from that process. . . . The amendment requires the Secretary to determine first, on a strictly medical basis and without regard to vocational factors, whether the individual’s impairments, considered in combination, are medically severe. If they are not, the claim must be disallowed. Of course, if the Secretary does find a medically severe combination of impairments, the combined impact of the impairments would also be considered during the remaining stages of the sequential evaluation process.” S. Rep. No. 98-466, p. 22 (1984).
The House Report agrees:
“[I]n the interests of reasonable administrative flexibility and efficiency, a determination that a person is not disabled may be based on a judgment that the person has no impairment, or that the impairment or combination of impairments [is] slight enough to warrant a presumption that the person’s work ability is not seriously affected. The current ‘sequential evaluation process’ allows such a determination, and the committee does not wish to elimi*152 nate or seriously impair use of that process.” H. R. Rep. No. 98-618, p. 8 (1984).9
Finally, the Conference Report stated:
“[I]n the interests of reasonable administrative flexibility and efficiency, a determination that an individual is not disabled may be based on a judgment that an individual has no impairment, or that the medical severity of his impairment or combination of impairments is slight enough to warrant a presumption, even without a full evaluation of vocational factors, that the individual’s ability to perform [substantial gainful activity] is not seriously affected. The current ‘sequential evaluation process’ allows such a determination and the conferees do not intend to either eliminate or impair the use of that process.” H. R. Conf. Rep. No. 98-1039, p. 30 (1984).10
We have recognized that other aspects of the Secretary’s sequential evaluation process contribute to the uniformity and efficiency of disability determinations. Heckler v. Campbell, 461 U. S., at 461. The need for such an evaluation process is particularly acute because the Secretary decides more than 2 million claims for disability benefits each year, of which more than 200,000 are reviewed by administrative law judges. Department of Health and Human Services, Social Security Administration 1986 Annual Report to Congress, pp. 40, 42, 46. The severity regulation increases the efficiency and reliability of the evaluation process by identifying at an early stage those claimants whose medical impairments are so slight that it is unlikely they would be found to be disabled even if their age, education, and experience were taken into account. Similarly, step three streamlines the decision process by identifying those claimants whose medical impairments are so severe that it is likely they would be found disabled regardless of their vocational background.
Respondent Yuckert has conceded that the Secretary may require claimants to make a “de minimis” showing that their impairment is severe enough to interfere with their ability to work.11 Brief for Respondent 22-23; Tr. of Oral Arg. 30. Yuckert apparently means that the Secretary may require a showing that the “impairment is so slight that it could not interfere with [the claimant’s] ability to work, irrespective of
The judgment of the Court of Appeals for the Ninth Circuit is reversed. The case is remanded for the Court of Appeals to consider whether the agency’s decision is supported by substantial evidence.
It is so ordered.
Yuckert’s physician diagnosed her condition as bilateral labyrinthine dysfunction. App. to Pet. for Cert. 26a. Another physician found only “non-specific congestion of the nasal and middle ear mucous membranes.” Ibid. X rays, an electrocardiogram, and a spinal puncture revealed no abnormalities. Id., at 27a.
E. g., Valencia v. Heckler, 751 F. 2d 1082, 1086-1087 (CA9 1985); Francis v. Heckler, 749 F. 2d 1562, 1564 (CA11 1985).
Although Yuckert had applied for SSI benefits as well as disability insurance benefits, the complaint she filed in District Court referred only to the disability insurance program of Title II. Accordingly, the Court of Appeals did not invalidate 20 CFR § 416.920(c) (1986), the severity regulation applicable to the SSI program.
Some Courts of Appeals have upheld the facial validity of the severity regulation. McDonald v. Secretary of Health and Human Services, 795 F. 2d 1118, 1121-1126 (CA1 1986); Hampton v. Bowen, 785 F. 2d 1308, 1311 (CA5 1986); Farris v. Secretary of Health and Human Services, 773 F. 2d 85, 89-90 (CA6 1985); Flynn v. Heckler, 768 F. 2d 1273, 1274-1275 (CA11 1985) (per curiam). Others have joined the Court of Appeals for the Ninth Circuit in holding the severity regulation invalid on its face. Wilson v. Secretary of Health and Human Services, 796 F. 2d 36, 40-42 (CA3 1986); Johnson v. Heckler, 769 F. 2d 1202, 1209-1213 (CA7 1985); Brown v. Heckler, 786 F. 2d 870, 871-872 (CA8 1986); Hansen v. Heckler, 783 F. 2d 170, 174-176 (CA10 1986).
The severity regulation does not change the settled allocation of burdens of proof in disability proceedings. It is true, as Yuckert notes, that the Secretary bears the burden of proof at step five, which determines whether the claimant is able to perform work available in the national economy. But the Secretary is required to bear this burden only if the sequential evaluation process proceeds to the fifth step. The claimant first must bear the burden at step one of showing that he is not working, at step two that he has a medically severe impairment or combination of impairments, and at step four that the impairment prevents him from performing his past work. If the process ends at step two, the burden of proof never
According to the dissent our opinion implies that the Secretary has unlimited authority to deny meritorious claims. Post, at 160, n. 1. It hardly needs saying that our opinion carries no such implication.
Justice Blackmun’s dissent argues that a “straightforward reading” of the statute requires the Secretary expressly to consider the age, education, and work experience of any claimant who is unable to perform his past work, and who is able to show a medically determinable impairment, however trivial. Post, at 163. The dissent’s reading would make the severity of the claimant’s medical impairment turn on nonmedical factors such as education and experience. For example, the dissent asserts that the Court’s “reasoning begs the very question presented for resolution today— whether the severity of a claimant’s medical impairment can be discerned without reference to the individual’s age, education, and work experience.” Post, at 168, n. 7 (emphasis added). Moreover, the dissent ignores the fact that, below a threshold level of medical severity, an individual is not prevented from engaging in gainful activity “by reason of” the physical or mental impairment. 68 Stat. 1080, 42 U. S. C. § 423(d)(1)(A). Curiously, the dissent bases its position largely on § 423(d)(2)(A), a provision added to “reemphasize the predominant importance of medical factors,” S. Rep. No. 744, 90th Cong., 1st Sess., 48 (1967). The dissent’s reading of § 423(d)(2)(C) also is novel. That provision applies to the Secretary’s determination “whether an individual’s physical or mental impairment or impairments are of a sufficient medical severity that such impairment or impairments could be the basis of eligibility . . . .” As the dissenters read this provision, it does not support the severity regulation because it “says nothing of the severity level necessary to meet the eligibility requirements.” Post, at 174 (emphasis added). Of course, any threshold, however low, is still a threshold. Finally, the fact that the disability claims of widows and widowers are decided solely on the basis of medical factors, see 42 U. S. C. § 423(d)(2)(B); post, at 163-164, does not imply that Congress intended the Secretary expressly to consider nonmedical factors in other cases, no matter how trivial the medical impairment. In sum, the dissent’s reading of the statute is less than “straightforward.”
Justice Blackmun’s dissent recognizes, as it must, that the Secretary’s “severity regulation” requires a claimant to show a medically severe impairment or combination of impairments. Absent such a showing, it is unnecessary to consider the claimant’s “age, education, and work experience.” The dissent concludes, however, that the regulation “contradicts the statutory language” and therefore is invalid. Post, at 159. It is explicitly clear from the legislative history of the 1984 amendments that Congress perceived no such inconsistency. Indeed, both the Senate and House Reports endorse the severity regulation. The Senate Report, for example, states that a “claim must be disallowed” unless the Secretary determines “first, on a strictly medical basis and without regard to vocational factors, whether the individual’s impairments, considered in combination, are medically severe. If they are not, the claim must be disallowed.” S. Rep. No. 98-466, p. 22 (1984). The House Report is not inconsistent, and the Conference Report is in full accord. See infra, at 151-152. The dissent nevertheless views much of the legislative history as “ambiguous,” post, at 175; see post, at 177. Even if we agreed that there was some ambiguity, we would defer to the Secretary’s interpretation of the statute. See Heckler v. Campbell, 461 U. S. 458, 466 (1983); supra, at 145.
The House Report observed that the Secretary had “been criticized for basing terminations of benefits solely and erroneously on the judgment that the person’s medical evaluation is ‘slight,’ according to very strict criteria, and is therefore not disabling, without making any further evaluation of the person’s ability to work.” H. R. Rep. No. 98-618, p. 7 (1984). The Report “notes that the Secretary has already planned to re-evaluate the current criteria for non-severe impairments, and urges that all due consideration be given to revising those criteria to reflect the real impact of impairments upon the ability to work.” Id., at 8. These comments about the Secretary’s application of the severity regulation hardly suggest that the regulation is invalid on its face.
Senator Long, a ranking Member of the Conference Committee, observed that “[s]ome courts . . . have ruled that the Secretary cannot deny claims solely on the basis that the individual has no severe medical condition but must always make an evaluation of vocational capacities.” 130 Cong. Rec. 25981 (1984). Senator Long went on to state that the Senate bill, that was followed by the conference bill with only “minor language changes of a technical nature,” ibid., was “carefully drawn to reaffirm the authority of the Secretary to limit benefits to only those individuals with conditions which can be shown to be severe from a strictly medical standpoint — that is, without vocational evaluation,” ibid. Senator Long was one of the sponsors of the disability program when it was enacted in 1956, see S. Rep. No. 2133, 84th Cong., 2d Sess., 140 (1956), and also was Chairman of the Senate Finance Committee when the 1967
Although the issue was not briefed or argued by the parties, the dissent nevertheless concludes that the severity regulation should be invalidated because it is excessively vague. Post, at 168. The severity regulation plainly adopts a standard for determining the threshold level of severity: the impairment must be one that “significantly limits your physical or mental ability to do basic work activities.” 20 CFR § 404.1520(c) (1986). Moreover, as discussed supra, at 141, the Secretary’s regulations define “basic work activities” in detail.
As the Court of Appeals for the Ninth Circuit invalidated the regulation on its face, we have no occasion to consider whether it is valid as applied. A number of Courts of Appeals have held that the Secretary has exceeded his authority by denying large numbers of meritorious disability claims at step two. See cases cited in n. 4, supra. We have noted that the House Report accompanying the 1984 amendments urged the Secretary to reevaluate the severity criteria to determine whether they were too strict. See n. 9, supra. Subsequent to the adjudication of Yuckert’s disability claim, the Secretary issued a ruling “[t]o clarify the policy for determining when a person’s impairment(s) may be found ‘not severe’. . . .” Social Security Ruling 85-28, App. to Pet. for Cert. 37a. The ruling states:
“An impairment or combination of impairments is found ‘not severe’ and a finding of ‘not disabled’ is made at [step two] when medical evidence establishes only a slight abnormality or a combination of slight abnormalities which would have no more than a minimal effect on an individual’s ability to work even if the individual’s age, education, or work experience were specifically considered (i. e., the person’s impairment(s) has no more than a minimal effect on his or her physical or mental ability(ies) to perform basic work activities).” Id., at 41a.
If the “evidence shows that the person cannot perform his or her past relevant work because of the unique features of that work,” the decisionmaker will conduct a “further evaluation of the individual’s ability to do other work considering age, education and work experience.” Id., at 43a. We do not undertake to construe this ruling today.
We do, however, reject Yuckert’s contention that invalidation of the regulation is an appropriate remedy for the Secretary’s allegedly unlawful application of the regulation. See Brief for Respondent 44-47. The Court of Appeals did not invalidate the regulation on this ground. Moreover, there is no indication in the record that less drastic remedies would not have been effective.