Background Material on Social Security Law

General References

• Social Security Act (42 U.S.C. §§ 401 - 434)
• Social Security Regulations, Subpart D (20 C.F.R. §§ 404.301 - 404.392) (the catalog of benefits)
• SSA, Fast Facts & Figures About Social Security
• D. Nuschler, Social Security Primer (2016)

Who receives benefits and under what circumstances

Relationship between payments in and benefits received. Key terminology and legal issues.

Main Article: Relationship of Past Earnings to Benefits Received

• Key:
  • SSA, Fast Facts & Figures About Social Security
  • SSA, Program Description and Legislative History, Annual Statistical Supplement, 2017
  • P. Martin, Social Security Overview: Key Terms and Abbreviations (14 minute video 2012)
  • P. Martin, Social Security Overview: Benefit Categories (3.5 minute video 2012)
  • P. Martin, Social Security Overview: Program Reach and Impact (11.5 minute video 2012)
  • P. Martin, Social Security: The Problem of Terminology (2000)
  • Collier v. Barnhart, 473 F.3d 444 (2d Cir. 2007)
• For Additional Background:
  • SSA, Adjustment of Social Security Parameters for 2018, 82 Fed. Reg. 59937 (Dec. 15, 2017)
  • SSA, Press Summary of 2018 Changes (Oct. 2017)
  • SSA, Program Statistics, Annual Statistical Supplement, 2017

Program History

Important stages in the program's evolution and the politics that shaped them.

• Key:
  • Social Security Act of 1935
    • Text of Act
    • President Roosevelt: Statement to Congress (Jan. 1935)
    • Contemporary Commentary (Nation magazine)
  • Helvering v. Davis, 301 U.S. 619 (1937) and background
  • P. Martin, Social Security History: The Foundation Years (14 minute video)
  • Patricia Martin & David Weaver, Social Security: A Program and Policy History (2005)
  • Social Security Bulletin: Annual Statistical Supplement, 2017, Tables 2.A20 - 2.A22
• For Additional Background:
  • P. Martin, Public Assurance of an Adequate Minimum Income in Old Age: The Erratic Partnership Between Social Insurance and Public Assistance
  • P. Martin, The Art of Decoupling: Keeping Social Security's Promise Up-to-Date
  • P. Martin, Social Security Benefits for Spouses
  • L. DeWitt, The Development of Social Security in America (2010)
  • L. DeWitt, The Decision to Exclude Agricultural and Domestic Workers from the 1935 Social Security Act (2010)
  • C. Puckett, The Story of the Social Security Number (2009)
  • SSA's legislative history archive
  • SSA's additional historical materials

Retirement Benefits

• Key:
  • Act: 42 U.S.C.§§ 402(a), 409, 410, 411, 405(c)
  • Regulations:
    • Subpart C- Computing Primary Insurance Amounts
      • 20 C.F.R. §§ 404.210 - 404.213
      • 20 C.F.R. §§ 404.270 - 404.278
    • Subpart I- Records of Earnings
      • 20 C.F.R. §§ 404.801 - 404.831
    • Subpart K- Employment, Wages, Self-Employment, and Self-Employment Income
      • 20 C.F.R. §§ 404.1001-404.1096
  • SSA, Adjustment of Social Security Parameters for 2018, 82 Fed. Reg. 59937 (Dec. 15, 2017)
• A Few Illustrative Cases:
  • Bethel Baptist Church v. U.S., 629 F. Supp. 1073 (M.D. Pa. 1986)
  • Minnesota v. Apfel, 151 F.3d 742 (8th Cir. 1998)
  • Highfill v. Bowen, 832 F.2d 112 (8th Cir. 1987)
  • Acierno v. Barnhart, 475 F.3d 77 (2d Cir. 2007)
  • Biddulph v. Callahan, 1 F. Supp. 2d 12 (D.D.C. 1998)
  • Butts v. Secretary, 706 F.2d 107 (2d Cir. 1983)
  • Hermes v. Secretary, 926 F.2d 789 (9th Cir. 1991)
• For Additional Background:
  • SSA, Online Calculators for Estimating Benefits
  • P. Martin, The Art of Decoupling: Keeping Social Security's Promise Up-to-Date
  • V. Reno & J. Lavery, Social Security and Retirement Income Adequacy(2007)
  • K. Whitman, G. Reznik & D. Shoffner, Who Never Receives Social Security Benefits?(2011)
  • B. Bridges & S. Choudhury, Examining Social Security Benefits as a Retirement Resource for Near-Retirees, by Race and Ethnicity,Nativity, and Disability Status (2009)

Derivative Benefits for Spouses

Main Article: Benefits Payable to an Insured Worker's Spouse

• Key:
  • Act: 42 U.S.C. §§ 402(b), 402(c), 402(e), 402(f), 402(g), 402(h), 416(b), 416(c), 416(h)(1)
  • Regulations:
    • Subpart D - Old-Age, Disability, Dependents' and Survivors' Insurance Benefits; Period of Disability
      • 20 C.F.R. §§ 404.330-404.349
      • 20 C.F.R. §§ 404.723-404.728
  • Retirement Security Project, Retirement Security for Women(2008)(for updated numbers see SSA, Social Security Is Important to Women)
  • SSA, Same Sex Couples
• A Few Illustrative Cases:
  • Everetts v. Apfel, 214 F.3d 990 (8th Cir. 2000)
  • Burks v. Apfel, 233 F.3d 1220 (10th Cir. 2000)
  • Barron v. Apfel, 209 F.3d 984 (7th Cir. 2000)
  • Green v. Shalala, 51 F.3d 96 (7th Cir. 1995)
• For Additional Background:
  • P. Martin, Social Security Benefits for Spouses
  • B. Butrica & K. Smith, The Impact of Changes in Couples' Earnings on Married Women's Social Security Benefits(2012)
  • B. Butrica & K. Smith, The Retirement Prospects of Divorced Women(2012)
  • M. Meyer, D. Wolf, & C. Himes, Linking Benefits to Marital Status: Race and Social Security in the US(2005)
  • B. Butrica & K. Smith, Racial and Ethnic Differences in the Retirement Prospects of Divorced Women in the Baby Boom and Generation X Cohorts(2012)
  • D. Weaver, Widows and Social Security(2010)
  • P. Levine, O. Mitchell, & J. Phillips, A Benefit of One's Own: Older Women's Entitlement to Social Security Retirement(2000)

Derivative Benefits for Children

Main Article: Benefits Payable to an Insured Worker's Children

• Key:
  • Act: 42 U.S.C. §§ 402(d); 416(e); 416(h)(2)
  • Regulations:
    • Subpart D - Old-Age, Disability, Dependents' and Survivors' Insurance Benefits; Period of Disability
    • 20 C.F.R. §§ 404.350-404.368
    • Subpart H - Evidence
      • 20 C.F.R. §§ 404.730-404.736
    • Subpart E - Deductions; Reductions; and Nonpayments of Benefits
      • 20 C.F.R. §§ 404.402-404.404
      • 20 C.F.R. § 404.415
  • NCCP, Whose Security? - What Social Security Means to Children and Families(2005)
• A Few Illustrative Cases:
  • Vernoff v. Astrue, 568 F. 3d 1102 (9th Cir. 2009)
  • Casserino v. Sullivan, 921 F.2d 862 (9th Cir. 1990)
  • Jones v. Chater, 101 F.3d 509 (7th Cir. 1996)
  • Mack v. Sullivan, 813 F. Supp. 760 (D. Kan. 1993)
  • Allen v. Callahan, 120 F.3d 86 (7th Cir. 1997)
  • Hutcheson v. Califano, 638 F.2d 96 (9th Cir. 1981)
  • Reutter v. Barnhart, 372 F.3d 946 (8th Cir. 2004)
• For Additional Background:
  • SSA, Fast Facts & Figures About Social Security
  • SSA, Benefits for Children
  • C. Tamborini, E. Cupito & D. Shoffner, A Profile of Social Security Child Beneficiaries and their Families:Sociodemographic and Economic Characteristics(2011)
  • C. Newcomb, Demographic and Economic Characteristics of Children in Families Receiving Social Security(2004)
  • SSA, Formula for Family Maximum
  • Washington State Dep't of Soc. & Health Servs. v. Estate of Keffeler, 537 U.S. 371 (2003)

Effect of Age and Continuing Earnings on Benefits

Main Article: The Effect of Age, Continuing Earnings, and Other Factors on Benefit Amount

• Key:
  • Act: 42 U.S.C.§§ 402(q); 403(b); 403(f); 416(l)
  • Regulations:
    • Subpart E - Deductions; Reductions; and Nonpayments of Benefits
      • 20 C.F.R. §§ 404.410-404.420
      • 20 C.F.R. § 404.429
      • 20 C.F.R. §§ 404.402-404.404
  • J. Song, Evaluating the Initial Impact of Eliminating the Retirement Earnings Test(2004)
  • M. Anzick & D. Weaver, The Impact of Repealing the Retirement Earnings Test on Rates of Poverty(2000)
  • D. Nuschler & R. Shelton, Social Security Retirement Earnings Test: How Earnings Affect Benefits (2012)
• A Few Illustrative Cases:
  • Rand v. Sullivan, 924 F.2d 159 (9th Cir. 1990) ( but see 76 Fed. Reg. 68243(Nov. 3, 2011))
  • Adams v. Sullivan, 928 F.2d 725 (6th Cir. 1991)
  • Das v. Department of Health & Human Services, 17 F.3d 1250 (9th Cir. 1994)
• For Additional Background:
  • M. Leonesio, B. Bridges, R. Gesumaria & L. Del Bene, The Increasing Labor Force Participation of Older Workers and its Effect on the Income of the Aged(2012)
  • J. Manchester & J. Song, What Can We Learn from Analyzing Historical Data on Social Security Entitlements(2011)
  • L. Friedberg, Testimony Before the House Ways and Means Comm.(2000)
  • F. Greenstein, Testimony Before the House Ways and Means Comm.(2000)
  • K. Apfel, Testimony Before the House Ways and Means Comm.(2000)
  • Wayne Liou, The Social Security Retirement Age (2016)

Disability Benefits – The Standard

Main Article: Benefits Based on Disability

• Key:
  • Act: 42 U.S.C. § 423
  • Regulations:
    • Subpart P - Determining Disability and Blindness
      • 20 C.F.R. §§ 404.1501-404.1599
• A Few Illustrative Cases and Rulings:
  • Duration
    • Barnhart v. Walton, 535 U.S. 212 (2002)
  • Substantial gainful activity
    • Thompson v. Sullivan, 878 F.2d 1108 (8th Cir. 1989)
    • Jones v. Shalala, 21 F.3d 191 (7th Cir. 1994)
  • Severity (See Bowen v. Yuckert, below, for background)
    • Webb v. Barnhart, 433 F.3d 683 (9th Cir. 2005)
  • Listed impairment or equivalent
    • Winans v. Bowen, 853 F.2d 643 (9th Cir. 1987)
  • Ability to perform past relevant work
    • Barnhart v. Thomas, 540 U.S. 20 (2003)
    • Social Security Ruling SSR No. 82-62
    • Manso-Pizarro v. Secretary, 76 F.3d 15 (1st Cir. 1996)
    • Rater v. Chater, 73 F.3d 796 (8th Cir. 1996)
    • Moad v. Massanari, 260 F.3d 887 (8th Cir. 2001)
    • Vertigan v. Halter, 260 F.3d 1044 (9th Cir. 2001)
  • Medical-Vocational Guidelines (See Heckler v. Campbell , below, for background)
    • Beckley v. Apfel, 152 F.3d 1056 (8th Cir. 1998)
  • Failure to treat and other medical issues
    • Lovelace v. Bower, 813 F.2d 55 (5th Cir. 1987)
  • Vocational component
    • Duran v. Astrue, 654 F. Supp. 2d 1298 (D. Colo. 2009)
    • Hayes v. Chater, 73 F.3d 769 (8th Cir. 1996)
• For Additional Background:
  • SSA, Annual Statistical Report on the Social Security Disability Insurance Program
  • SSA, SSI Annual Statistical Report
  • W. Morton, Primer on Disability Benefits: Social Security Disability Insurance (SSDI) and Supplemental Security Income (SSI) (2016)
  • P. O'Leary, G. Livermore & D. Stapleton, Employment of Individuals in the Social Security Disability Programs(2011) (and other articlesin vol. 71, No. 3of the Social Security Bulletin)
  • Jon C. Dubin, The Labor Market Side of Disability Benefits Policy and Law, 20 S. Cal. Rev. of L. & Soc. Just. 1 (2011) ( SSRN)
  • Social Security Advisory Board, Charting the Future of Social Security's Disability Programs(2001)
  • Income of Disabled-Worker Beneficiaries(SSA Jan. 2001)
  • A. Mamun, P. O'Leary, D. Wittenburg, & J. Gregory, Employment Among Social Security Disability Program Beneficiaries, 1996-2007(2011)
  • 2000 Testimony Before the House Ways and Means Committee
    • Edward D. Berkowitz(Historic background)
  • Key Supreme Court decisions:
    • Bowen v. Yuckert, 482 U.S. 137 (1987) ("severity")
    • Heckler v. Campbell, 461 U.S. 458 (1983) (the "grid")

Disability Benefits – The Administrative Process

Main Article: Administrative Claims Adjudication Process

• Key:
  • Act:42 U.S.C. §405
  • Regulations:
    • Subpart J - Determinations, Administrative Review Process, and Reopening of Determinations and Decisions
      • 20 C.F.R. §§ 404.900-404.999d
  • Excerpts from Nov. 2003 GAO Report on SSA Disability Decision Making, GAO 04-14 -12 page excerpt
  • Flowchart of disability determinations FY 2016
  • Budgetary limits on administrative expenditure and delays in the process:Nancy G. Shor 2010 testimony; K. Romig, More Cuts to Social Security Administration Funding Would Further Degrade Service (2017)
• A Few Illustrative Cases and Rulings:
  • Need to exhaust administrative remedies
    • Harper v. Bowen, 813 F.2d 737 (5th Cir. 1987)
  • Missing deadlines for "good cause"
    • SSRNo. 91-5
  • Reapplying and administrative res judicata
    • Chavez v. Bowen, 844 F.2d 691 (9th Cir. 1988)
    • King v. Chater, 90 F.3d 323 (8th Cir. 1996)
  • ALJ Hearing
    • Brown v. Shalala, 44 F.3d 931 (11th Cir. 1995)
    • Poulin v. Bowen, 817 F.2d 865 (D.C. Cir. 1987)
    • Burnett v. Bowen, 830 F.2d 731 (7th Cir. 1987)
    • Yancey v. Apfel, 145 F.3d 106 (2d Cir. 1998)
    • Fargnoli v. Massanari, 247 F.3d 34 (3d Cir. 2001)
    • Blea v. Barnhart, 466 F.3d 903 (10th Cir. 2006)
  • Appeals Council Review
    • Culbertson v. Shalala, 30 F.3d 934 (8th Cir. 1994)
    • Lovejoy v. Heckler, 790 F.2d 1114 (4th Cir. 1986)
• For Additional Background:
  • Richardson v. Perales, 402 U.S. 389 (1971)
  • Mathews v. Eldridge, 424 U.S. 319 (1976)
  • Nash v. Bowen, F.2d 675 (2d Cir. 1989)
  • SSA, OIG,The Social Security Administration's Response to State Furloughs Impacting Its Disability Programs(2011)
  • SSA,Data on Social Security's Hearings and Appeals Process, including ALJ disposition data
  • SSA, OIG,Use of Video Hearings to Reduce the Hearing Case Backlog(2011)
  • GAO,Office of Personnel Management Should Review Administrative Law Judge Program ..., GAO-10-14(2010)
  • The ALJ hiring process
  • Administrative Conference of the U.S., Improving Consistency in Social Security Disability Adjudications (2013)
  • Statement of Commissioner Michael Astrue before House Ways and Means Committee, Subcommittee on Social Security;Data on Allowance Rate Extremes(July 2011)

Judicial Review

Main Article: Judicial Review of Agency Decisions

• Key:
  • Act: 42 U.S.C. § 405(g)
• A Few Illustrative Cases:
  • Sims v. Apfel, 530 U.S. 103(2000)
  • O'Dell v. Shalala, 44 F.3d 855(10th Cir. 1994)
  • Randall v. Sullivan, 956 F.2d 105(5th Cir. 1992)
  • Ripley v. Chater, 67 F.3d 552(5th Cir. 1995)
  • Melkonyan v. Sullivan, 501 U.S. 89(1991)
  • Forney v. Apfel, 524 U.S. 266(1998)
  • Grant v. Shalala, 989 F.2d 1332(3d Cir. 1993)
  • Heckler v. Day, 467 U.S. 104(1984)
  • Schweiker v. Chilicky, 487 U.S. 412(1988)
• For Additional Background:
  • J. Gelbach & D. Marcus, A Study of Social Security Litigation in the Federal Courts (2016)
  • J. Krent & S. Morris, Inconsistency and Angst in District Courts Resolution of Social Security Disability Appeals (2016)
  • Topic 8 cases -- especially:
    • Harper v. Bower , 813 F.2d 737(5th Cir. 1987)
    • Burnett v. Bowen , 830 F.2d 731(7th Cir. 1987)

Representation by Attorneys and Others

Main Article: Representation by Lawyers and Others

Relationship between Social Security and Other Earnings Replacement Programs

• Supplemental Security Income (SSI)
  • Key:
    • SSA, Program Description and Legislative History, Annual Statistical Supplement, 2017
    • SSA, SSI Annual Statistical Report, 2016
  • For Additional Background:
    • Act: 42 U.S.C. §§ 1381-1383f(Title XVI of the Social Security Act, §§ 1601-1637)
    • Regulations:
      • Part 416 - Supplemental Security Income for the Aged, Blind, and Disabled
        • 20 CFR §§ 416.101- 416.2227
    • P. Martin,Public Assurance of an Adequate Minimum Income in Old Age: The Erratic Partnership Between Social Insurance and Public Assistance
    • SSA, Fast Facts & Figures About Social Security: SSI Recipients by Age
    • GAO, Supplemental Security Income - Preliminary Observations on Children with Mental Impairments(2011)
• Workers Compensation and Disability Insurance
  • Key:
    • Act: 42 U.S.C. § 424a
    • Regulations:
      • Subpart E- Deductions; Reductions; and Nonpayments of Benefits
        • 20 CFR § 404.408
  • Background:
    • SSA, Characteristics of Disabled-Worker Beneficiaries Receiving Workers' Compensation or Public Disability Benefits ...(2008)
• Private pension integration
  • Background:
    • Karen Burke & Grayson McCouch, Social Security Reform: Lessons From Private Pensions, 92 Cornell L. Rev. 297(2007)
    • C. Slusher, Pension Integration and Social Security Reform
    • K. Bender, Characteristics of Individuals with Integrated Pensions
• Medicare and Medicaid
  • Background:
    • Medicare Program - General Information
    • Medicaid.gov