Heckler v. Campbell
Opinion of the Court
delivered the opinion of the Court.
The issue is whether the Secretary of Health and Human Services may rely on published medical-vocational guidelines to determine a claimant’s right to Social Security disability benefits.
I
The Social Security Act defines “disability” in terms of the effect a physical or mental impairment has on a person’s abil
In 1978, the Secretary of Health and Human Services promulgated regulations implementing this definition. See 43 Fed. Reg. 55349 (1978) (codified, as amended, at 20 CFR pt. 404, subpt. P (1982)). The regulations recognize that certain impairments are so severe that they prevent a person from pursuing any gainful work. See 20 CFR § 404.1520(d) (1982) (referring to impairments listed at 20 CFR pt. 404, subpt. P, app. 1). A claimant who establishes that he suffers from one of these impairments will be considered disabled without further inquiry. Ibid. If a claimant suffers from a less severe impairment, the Secretary must determine whether the claimant retains the ability to perform either his former work or some less demanding employment. If a claimant can pursue his former occupation, he is not entitled to disability benefits. See §404.1520(e). If he cannot, the Secretary must determine whether the claimant retains the capacity to pursue less demanding work. See §404.1520(f)(1).
■ The regulations divide this last inquiry into two stages. First, the Secretary must assess each claimant’s present job qualifications. The regulations direct the Secretary to consider the factors Congress has identified as relevant: physical ability, age, education, and work experience.
Prior to 1978, the Secretary relied on vocational experts to establish the existence of suitable jobs in the national economy. After a claimant’s limitations and abilities had been determined at a hearing, a vocational expert ordinarily would testify whether work existed that the claimant could perform. Although this testimony often was based on standardized guides, see 43 Fed. Reg. 9286 (1978), vocational experts frequently were criticized for their inconsistent treatment of similarly situated claimants. See Santise v. Schweiker, 676 F. 2d 925, 930 (CA3 1982); J. Mashaw, C. Goetz, F. Goodman, W. Schwartz, P. Verkuil, & M. Carrow, Social Security Hearings and Appeals 78-79 (1978). To improve both the uniformity and efficiency
These guidelines relieve the Secretary of the need to rely on vocational experts by establishing through rulemaking the types and numbers of jobs that exist in the national economy. They consist of a matrix of the four factors identified by Con
t — I HH
In 1979, Carmen Campbell applied for disability benefits because a back condition and hypertension prevented her from continuing her work as a hotel maid. After her application was denied, she requested a hearing de novo before an Administrative Law Judge.
This determination was upheld by both the Social Security Appeals Council, id., at 16a, and the District Court for the Eastern District of New York, id., at 15a. The Court of Appeals for the Second Circuit reversed. Campbell v. Secretary of Dept. of Health and Human Services, 665 F. 2d 48 (1981). It accepted the Administrative Law Judge’s determination that Campbell retained the ability to do light work. And it did not suggest that he had classified Campbell’s age,
“has consistently required that ‘the Secretary identify specific alternative occupations available in the national economy that would be suitable for the claimant’ and that ‘these jobs be supported by “a job description clarifying the nature of the job, [and] demonstrating that the job does not require” exertion or skills not possessed by the claimant.’” Id., at 53 (quoting Decker v. Harris, 647 F. 2d 291, 298 (CA2 1981)).
The court found that the medical-vocational guidelines did not provide the specific evidence that it previously had required. It explained that in the absence of such a showing, “the claimant is deprived of any real chance to present evidence showing that she cannot in fact perform the types of jobs that are administratively noticed by the guidelines.” 665 F. 2d, at 53. The court concluded that because the Secretary had failed to introduce evidence that specific alternative jobs existed, the determination that Campbell was not disabled was not supported by substantial evidence. Id., at 54.
We granted certiorari to resolve a conflict among the Courts of Appeals.
The Secretary argues that the Court of Appeals’ holding effectively prevents the use of the medical-vocational guidelines. By requiring her to identify specific alternative jobs in every disability hearing, the court has rendered the guidelines useless. An examination of both the language of the Social Security Act and its legislative history clearly demonstrates that the Secretary may proceed by regulation to determine whether substantial gainful work exists in the national economy. Campbell argues in response that the Secretary has misperceived the Court of Appeals’ holding. Campbell reads the decision as requiring only that the Secretary give disability claimants concrete examples of the kinds of factual determinations that the administrative law judge will be making. This requirement does not defeat the guidelines’ purpose; it ensures that they will be applied only where appropriate. Accordingly, respondent argues that we need not address the guidelines’ validity.
A
The Court of Appeals held that “[i]n failing to show suitable available alternative jobs for Ms. Campbell, the Secretary’s finding of ‘not disabled’ is not supported by substantial evidence.” 665 F. 2d, at 54. It thus rejected the proposition that “the guidelines provide adequate evidence of a claimant’s ability to perform a specific alternative occupation,” id., at 53, and remanded for the Secretary to put into evidence “particular types of jobs suitable to the capabilities of Ms. Campbell,” id., at 54. The court’s requirement that additional evidence be introduced on this issue prevents the Secretary from putting the guidelines to their intended use and implicitly calls their validity into question.
The Social Security Act directs 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). As we previously have recognized, Congress has “conferred on the Secretary exceptionally broad authority to prescribe standards for applying certain sections of the [Social Security] Act.” Schweiker v. Gray Panthers, 453 U. S. 34, 43 (1981); see Batterton v. Francis, 432 U. S. 416, 425 (1977). Where, as here, the statute expressly entrusts the Secretary with the responsibility for implementing a provision by regulation,
The Secretary’s decision to rely on medical-vocational guidelines is consistent with Texaco and Storer. As noted above, in determining whether a claimant can perform less strenuous work, the Secretary must make two determinations. She must assess each claimant’s individual abilities and then determine whether jobs exist that a person having the claimant’s qualifications could perform. The first inquiry involves a determination of historic facts, and the regulations properly require the Secretary to make these findings on the basis of evidence adduced at a hearing. We note that the regulations afford claimants ample opportunity both to present evidence relating to their own abilities and to offer evidence that the guidelines do not apply to them.
As the Secretary has argued, the use of published guidelines brings with it a uniformity that previously had been perceived as lacking. To require the Secretary to relitigate the existence of jobs in the national economy at each hearing would hinder needlessly an already overburdened agency. We conclude that the Secretary’s use of medical-vocational guidelines does not conflict with the statute, nor can we say on the record before us that they are arbitrary and capricious.
B
We now consider Campbell’s argument that the Court of Appeals properly required the Secretary to specify alternative available jobs. Campbell contends that such a showing informs claimants of the type of issues to be established at the hearing and is required by both the Secretary’s regulation, 20 CFR §404.944 (1982), and the Due Process Clause.
By referring to notice and an opportunity to respond, see 665 F. 2d, at 53-54, the decision below invites the interpretation given it by respondent. But we do not think that the decision fairly can be said to present the issues she raises.
> HH
The Court of Appeals’ decision would require the Secretary to introduce evidence of specific available jobs that respondent could perform. It would limit severely her ability to rely on the medical-vocational guidelines. We think the Secretary reasonably could choose to rely on these guidelines in appropriate cases rather than on the testimony of a vocational expert in each case. Accordingly, the judgment of the Court of Appeals is
Reversed.
The regulations state that the Secretary will inquire into each of these factors and make an individual assessment of each claimant’s abilities
The Social Security hearing system is “probably the largest adjudicative agency in the western world.” J. Mashaw, C. Goetz, F. Goodman, W. Schwartz, P. Verkuil, & M. Carrow, Social Security Hearings and Appeals xi (1978). Approximately 2.3 million claims for disability benefits were filed in fiscal year 1981. Department of Health and Human Services, Social Security Annual Report to the Congress for Fiscal Year 1981, pp. 32, 35 (1982). More than a quarter of a million of these claims required a hearing before an administrative law judge. Id., at 38. The need for efficiency is self-evident.
Each of these four factors is divided into defined categories. A person’s ability to perform physical tasks, for example, is categorized according to the physical exertion requirements necessary to perform varying classes of jobs — i. e., whether a claimant can perform sedentary, light, medium, heavy, or very heavy work. 20 CFR §404.1567 (1982). Each of these work categories is defined in terms of the physical demands it places on a worker, such as the weight of objects he must lift and whether extensive movement or use of arm and leg controls is required. Ibid.
For example, Rule 202.10 provides that a significant number of jobs exist for a person who can perform light work, is closely approaching advanced age, has a limited education but who is literate and can communicate in English, and whose previous work has been unskilled.
The regulations recognize that the rules only describe “major functional and vocational patterns.” 20 CFR pt. 404, subpt. P, app. 2, § 200.00(a) (1982). If an individual’s capabilities are not described accurately by a rule, the regulations make clear that the individual’s particular limitations must be considered. See app. 2, §§ 200.00(a), (d). Additionally, the regulations declare that the administrative law judge will not apply the age categories “mechanically in a borderline situation,” 20 CFR § 404.1563(a) (1982), and recognize that some claimants may possess limitations that are not factored into the guidelines, see app. 2, § 200.00(e). Thus, the regulations provide that the rules will be applied only when they describe a claimant’s abilities and limitations accurately.
The Social Security Act provides each claimant with a right to a de novo hearing. 42 U. S. C. § 405(b) (1976 ed., Supp. V); §421(d). The regula
The Administrative Law Judge did not accept Campbell’s claim that her hypertension constituted an impairment. He found that this claim was not documented by the record and noted that her current medication appeared sufficient to keep her blood pressure under control. See App. to Pet. for Cert. 27a.
Campbell later reapplied for disability benefits and was found disabled as of January 1,1981. See Brief for Petitioner 8, n. 7. The Secretary’s subsequent decision does not moot this case since Campbell is claiming entitlement to benefits prior to January 1, 1981.
Every other Court of Appeals addressing the question has upheld the Secretary’s use of the guidelines. See Rivers v. Schweiker, 684 F. 2d 1144, 1157-1158 (CA5 1982); McCoy v. Schweiker, 683 F. 2d 1138, 1144-1146 (CA8 1982); Torres v. Secretary of Health and Human Services, 677 F. 2d 167, 169 (CA1 1982); Santise v. Schweiker, 676 F. 2d 925, 934-936 (CA3 1982); Cummins v. Schweiker, 670 F. 2d 81, 82-83 (CA7 1982); Kirk v. Secretary of Health and Human Services, 667 F. 2d 524, 529-535 (CA6 1981); Frady v. Harris, 646 F. 2d 143, 145 (CA4 1981). One Court of Appeals has agreed that the Secretary may use medical-vocational guidelines but has found that with respect to age the guidelines are arbitrary. See Broz v. Schweiker, 677 F. 2d 1351, 1359-1361 (CA11 1982), cert. pending, No. 82-816. The instant case does not present the issue addressed in Broz.
The Courts of Appeals have read the decision below as implicitly invalidating the guidelines. See McCoy v. Schweiker, supra, at 1145; Torres v. Secretary of Health and Human Services, supra, at 169; Santise v. Schweiker, supra, at 937, and n. 25.
Since Congress amended the Social Security Act in 1954 to provide for disability benefits, Pub. L. 761, § 106, 68 Stat. 1079, it repeatedly has suggested that the Secretary promulgate regulations defining the criteria for evaluating disability. See, e. g., Subcommittee on the Administration of the Social Security Laws of the House Committee on Ways and Means, Administration of Social Security Disability Insurance Program: Preliminary Report, 86th Cong., 2d Sess., 17-18 (Comm. Print 1960) (requesting Secretary to develop “specific criteria for the weight to be given nonmedical factors in the evaluation of disability”); House Committee on Ways and Means, Committee Staff Report on the Disability Insurance Program, 93d Cong., 2d Sess., 6 (Comm. Print 1974) (recommending that the Secretary promulgate regulations defining disability to ease accelerating caseload); Subcommittee on Social Security of the House Committee on Ways and Means, H. R. 8076 — Disability Insurance Amendment of 1977, 95th Cong., 1st Sess., 7 (Comm. Print 1977) (comments of Rep. Burke) (noting with approval that the Secretary had promised to promulgate medical-vocational guidelines to define disability). While these sources do not establish the original congressional intent, they indicate that later Congresses perceived that regulations such as the guidelines would be consistent with the statute.
Both FPC v. Texaco Inc., 377 U. S. 33, 40 (1964), and United States v. Storer Broadcasting Co., 351 U. S. 192, 205 (1956), were careful to note that the statutory scheme at issue allowed an individual applicant to show that the rule promulgated should not be applied to him. The regulations
Respondent did not raise either her due process or her regulatory argument below. See Brief for Appellant in Campbell v. Schweiker, No. 81-6108 (CA2); Tr. of Oral Arg. 30. Nor has respondent filed a cross-petition. As she prevailed below, we could consider grounds supporting her judgment different from those on which the Court of Appeals rested its de
Alternatively, respondent suggests that if the Administrative Law Judge had inquired conscientiously and fully into the relevant facts, as required by 20 CFR § 404.944 (1982), he would have concluded that she was not capable of performing light work. The Secretary concedes that § 404.944 requires such an inquiry, see Brief for Petitioner 42, but argues that the inquiry undertaken by the Administrative Law Judge satisfied any regulatory duty. Again respondent appears not to have presented her § 404.944 argument to the Court of Appeals, and we decline to reach it here.
The Court of Appeals did not identify any basis for imposing this requirement other than its earlier decision in Decker v. Harris, 647 F. 2d 291 (CA2 1981). Decker, however, identified the source of this requirement more clearly. It stated: “This requirement of specificity . . . assures the claimant of adequate notice of the grounds on which his claim may be denied, providing him with an opportunity to present rebuttal evidence. See generally 3 K. Davis, Administrative Law Treatise § 15.18, at 198-206 (2d ed. 1980).” Id., at 298.
In § 15.18 of his treatise, Professor Davis addresses the question of administrative or official notice of material facts in disability cases and the need for an adequate opportunity to respond. He states that an administrative law judge may take administrative notice of jobs in the national
Respondent does not challenge the rulemaking itself, and, as noted above, respondent was accorded a de novo hearing to introduce evidence on issues, such as physical and mental limitations, that require individualized consideration. See supra, at 462-468.
Concurring Opinion
concurring.
I join the Court’s opinion. It merits comment, however, that the hearing respondent received, see ante, at 462-463, if it is in any way indicative of standard practice, reflects
“[T]here is a ‘basic obligation’ on the ALJ in these nonadversarial proceedings to develop a full and fair record, which obligation rises to a ‘ “special duty ... to scrupulously and conscientiously explore for all the relevant facts’” where an unrepresented claimant has not waived counsel. This duty of inquiry on the ALJ would include, in a case decided under the grids, a duty to inquire into possible nonexertional impairments and into exertional limitations that prevent a full range of work.” Broz v. Schweiker, 677 F. 2d 1351, 1364 (CA11 1982).1
In her brief to this Court, the Secretary acknowledges that the Social Security regulations embody this duty and relies upon it in answering respondent’s due process contentions. Brief for Petitioner 42 (citing Broz v. Schweiker, supra)] see 20 CFR § 404.944 (1982); ante, at 468, and n. 12. The Administrative Law Judge’s “duty to inquire” takes on special urgency where, as here, the claimant has little education and limited fluency in English, and, given that the claimant already has a right to a hearing, the additional cost of pursuing relevant issues at the hearing is minimal.
The Administrative Law Judge further failed to inquire whether factors besides strength, age, or education, combined with her other impairments, rendered respondent disabled. See 20 CFR pt. 404, supra, § 200.00(e)(2); ante, at 462, n. 5. Apparently such factors could have been dispositive of
This issue was not presented to the Court of Appeals, nor passed upon by it. See ante, at 468-469, n. 12. In terms of ensuring fair and accurate determinations of disability claims, the obligation that the Court of Appeals would have placed on administrative law judges was a poor substitute for good-faith performance of the “duty of inquiry” they already have. The federal courts have been successful in enforcing this duty in the past, see n. 1, supra, and I respectfully suggest that the Secretary insist upon its faithful performance in future cases.
Accord, Thompson v. Schweiker, 665 F. 2d 936, 941 (CA9 1982); Ware v. Schweiker, 651 F. 2d 408, 414 (CA5 1981); Diabo v. Secretary of Health, Education and Welfare, 200 U. S. App. D. C. 225, 229, 627 F. 2d 278, 282 (1980); Cox v. Califano, 587 F. 2d 988, 991 (CA9 1978); Smith v. Secretary of Health, Education and Welfare, 587 F. 2d 857, 860 (CA7 1978); Gold v. Secretary of Health, Education and Welfare, 463 F. 2d 38, 43 (CA2 1972). The “duty of inquiry” derives from claimants’ basic statutory and constitutional right to due process in the adjudication of their claims, including a de novo hearing, see Mathews v. Eldridge, 424 U. S. 319, 332-335, 339 (1976); Richardson v. Perales, 402 U. S. 389, 402-404 (1971). See also Goldberg v. Kelly, 397 U. S. 254, 262-263 (1970). Inherent in the concept of a due process hearing is the decisionmaker’s obligation to inform himself about facts relevant to his decision and to learn the claimant’s own version of those facts. Goss v. Lopez, 419 U. S. 565, 580 (1975).
The following colloquy appears on the record:
“Q. Can you bend?
“A. I cannot bend. The doctor warned me not to lift weights.
“Q. Uh-huh.
“A. And—
“Q. I notice you have stood up several times since you’ve been in here.” App. 49-50.
At no point did the Administrative Law Judge so much as ask respondent how she did her shopping, or any other question that might have elicited information on the crucial question of how much she could regularly lift.
See App. to Brief for Respondent 2a-3a. The decision appears to have rested on evidence similar to the evidence in the record at the hearing in this case, except that the Administrative Law Judge took note that respondent was “an obese, sad individual, who had marked difficulties in sitting, standing, and walking,” and he found that her severe back disorder was “complicated by an emotional overlay.” Id., at 3a.
Concurring in Part
concurring in part and dissenting in part.
While I agree that the Secretary’s medical-vocational guidelines are valid, I believe that this case presents the additional question whether the Administrative Law Judge fulfilled his obligation to “loo[k] fully into the issues.” 20 CFR §404.944 (1982). See Richardson v. Perales, 402 U. S. 389, 410 (1971) (at the hearing the administrative law judge is required to “ac[t] as an examiner charged with developing the facts”). I would therefore remand this case for further proceedings.
I do not agree with the Court, ante, at 468-469, that the decision below does not question the adequacy of the Administrative Law Judge’s inquiry at the hearing. Although the Court of Appeals’ opinion is not entirely clear, the court ap
“ ‘The key consideration in the administrative proceeding must be that the claimant be given adequate opportunity to challenge the suitability ... of the jobs noticed. . . .’ [0]ur major concern is that the claimant be given adequate notice of the nature and demands of the types of jobs allegedly available. Absent sufficient notice, the claimant is deprived of any real chance to present evidence showing that she cannot in fact perform the types of jobs that are administratively noticed by the guidelines. This is particularly true in Ms. Campbell’s case where the ALJ gave no indication of any specific ‘light work’ jobs that she was capable of performing . . . .” Campbell v. Secretary of Dept. of Health and Human Services, 665 F. 2d 48, 53-54 (CA2 1981), quoting Decker v. Harris, 647 F. 2d 291, 298 (CA2 1981).1
The Court of Appeals remanded the case for further administrative proceedings at which Campbell would be given “a listing of particular types of jobs suitable to the capabilities of Ms. Campbell.” 665 F. 2d, at 54.
The Court of Appeals’ concern was amply justified in light of the hearing that was conducted in this case. The central
It was certainly not anticipated that this procedure “would limit severely [the Secretary’s] ability to rely on the medical-vocational guidelines,” ante, at 470, or “rende[r] the guidelines useless.” Ante, at 465. The court noted simply that
“if there are [approximately 1,600 types of ‘light work’] jobs available, it would not be too great a burden for the Secretary or the ALJ to specify a few suitable alternative available types of jobs so that a claimant is given an opportunity to show that she is incapable of performing those jobs. Moreover, we stress that the jobs should be specified at the hearing so that the claimant has a chance to put evidence into the record on that issue.” 665 F. 2d, at 54.
“Light work” is defined in the regulations as follows:
“(b) Light work. Light work involves lifting no more than 20 pounds at a time with frequent lifting or carrying of objects weighing up to 10 pounds. Even though the weight lifted may be very little, a job is in this category when it requires a good deal of walking or standing, or when it involves sitting most of the time with some pushing and pulling of arm or leg controls. To be considered capable of performing a full or wide range of light work, you must have the ability to do substantially all of these activities.” 20 CFR §404.1567 (1982).
The availability of medical evidence, much of which supported respondent’s claim of disability, was no substitute for an examination of the claimant herself.
“[I]f the hearing is meant to be an individualized inquiry into how this claimant’s functioning is impaired by his medical conditions, then that evidence must almost certainly come from the claimant himself, or from people who come in contact with him in his daily life. Since in most hearings no one other than the claimant is there to testify to his daily activities, who does not also have an interest in the success of the claim, it is imperative that ALJs draw out of the claimants, in great detail, information about how they function with their limitations. This is the crucial arena for credibility judgments by ALJs. Moreover, it seems clear that such judgments will necessarily be made, whether or not the claimant’s situation is fully*476 explored by the ALJ.” Subcommittee on Social Security of the House Committee on Ways and Means, Social Security Administrative Law Judges: Survey and Issue Paper, 96th Cong., 1st Sess., 47 (Comm. Print 1979).
See, e. g., Currier v. Secretary of Health, Education and Welfare, 612 F. 2d 594, 598 (CA1 1980); Veal v. Califano, 610 F. 2d 495, 497-498 (CA8 1979); Cox v. Califano, 587 F. 2d 988, 990-991 (CA9 1978); Copley v. Richardson, 475 F. 2d 772, 773-774 (CA6 1973).
Reference
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