Learning about Social Security: Readings

readings

References for use throughout the course, in alternative downloadable formats

Martin on Social Security 171 pages (rtf format) (pdf format)
Social Security Act 161 pages (rtf format) (pdf format)
Social Security Regulations 528 pages (subparts D, H, J, P) (rtf format ) (pdf format)
(While additional discrete portions of CFR are assigned readings for particular topics below, these four subparts are uniquely important across multiple topics.)
Fast Facts and Figures (SSA 2003) 46 pages (pdf format) (alternative html version)

Topic 1: Overview of the Program -- Who receives benefits, under what circumstances. Relationship between payments in and benefits received. Key legal issues and the program's procedures for their resolution.

Assigned:
- Fast Facts and Figures (SSA 2003) 46 pages (pdf format) (alternative html version)
- Excerpts from the Annual Statistic Supplement to the Social Security Bulletin (SSA 2003)
- Social Security: The Problem of Terminology (Martin 2000)
- Martin on Social Security § 100 - 920
Background:
- Program statistics, Annual Statistical Supplement (SSA 2003)
- Adjustment of Social Security Parameters for 2005, 69 Fed. Reg. 62497 (Oct. 26, 2004)

Topic 2: Program History -- Important stages in the program's evolution and the politics that shaped them.

Assigned:
- Social Security Act of 1935
  - Text of Act
  - FDR: Statement to Congress (Jan. 1935)
  - Contemporary Commentary (Nation magazine)
- Helvering v. Davis and background
- Summary of Major Changes in the Social Security Cash Benefits Program: 1935-2000 (Congressional Research Service)
- Social Security Bulletin: Annual Statistical Supplement 2003
  - Tables 2.A20 - 2.A22 (pdf)
Background:

Topic 3: Retirement Benefits -- Coverage and benefit calculation, the individual connection between payment of tax and receipt of benefits.

Assigned:
- Act: 42 U.S.C. §§ 402(a), 409, 410, 411, 405(c)
- Regulations:
  - 20 C.F.R. §§ 404.210-404.213
  - 20 C.F.R. §§ 404.270-404.278
  - 20 C.F.R. §§ 404.801-404.831
  - 20 C.F.R. §§ 404.1001-404.1096
  - Adjustment of Social Security Parameters for 2005, 69 Fed. Reg. 62497 (Oct. 26, 2004)
- Martin on Social Security: §§ A 200, A 210, A 220, A 300, A 310, A 320, A 400, A 500, A 510, A 520, A 530, A 540, B 100, B 150, B 200
- Cases:
  - Bethel Baptist Church v. United States, 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)
  - 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)
Background:
- Martin, The Art of Decoupling: Keeping Social Security's Promise Up-to-Date
- SSA, Online Calculators for Estimating Benefits

Topic 4: Derivative Benefits for Spouses -- Benefits for spouses, former spouses, and surviving spouses.

Assigned:
- 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:
  - 20 C.F.R. §§ 404.330-404.349
  - 20 C.F.R. §§ 404.723-404.728
- Martin on Social Security: §§ H 000 - H 800, K 100 - K 500, M 100 - M 400
- National Economic Council Interagency Working Group on Social Security, Women and Retirement Security (1998)
  (for updated numbers see SSA, Women and Social Security)
- Cases:
  - Everetts v. Apfel, 214 F.3d 990 (8th Cir. 2000)
  - Burks v. Apfel, 233 F.3d 2220 (10th Cir. 2000)
  - Barron v. Apfel, 209 F.3d 984 (7th Cir. 2000)
  - Green v. Shalala, 51 F.3d 96 (7th Cir. 1995)
Background:
- Martin, Social Security Benefits for Spouses
- Levine, Mitchell, & Phillips, A Benefit of One's Own: Older Women's Entitlement to Social Security Retirement (2000)

Topic 5: Derivative Benefits for Children -- Benefits for children in varying types of relationship with the "wage earner": including children born within and outside of marriage, adopted children, stepchildren, grandchildren.

Assigned:
- Act: 42 U.S.C. §§ 402(d); 416(e); 416(h)(2)
- Regulations:
- Martin on Social Security: §§ J 000 - J 900
- Cases:
  - Gillett-Netting ex rel. Netting v. Barnhart, 371 F.3d 595 (9th Cir. 2004)
  - 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)
Background:
- Fast Facts and Figures - Children and Social Security
- Newcomb, Demographic and Economic Characteristics of Children in Families Receiving Social Security, 65 Social Security Bulletin, No. 2, 2004
- Formula for calculating family maximum from individual's PIA (SSA)
- Washington State Dep't of Soc. & Health Servs. v. Estate of Keffeler, 537 U.S. 371 (2003)

Topic 6: Continuing Earnings, Age, and Benefits -- How the program's "retirement test" reduces benefits in relation to continuing earnings and "retirement age" affects benefit amount.

Assigned:
- Act: 42 U.S.C. §§ 402(q); 403(b); 403(f); 416(l)
- Regulations:
- Martin on Social Security: §§ 604, 605, 606, B 300, B 310, B 320, B 330, B 640
- Song, Evaluating the Initial Impact of Eliminating the Retirement Earnings Test, 65 Social Security Bulletin, No. 1, 2004
- Anzick & Weaver, The Impact of Repealing the Retirement Earnings Test on Rates of Poverty, 63 Social Security Bulletin, No. 2, 2000
- Cases:
  - Rand v. Sullivan, 924 F.2d 159 (9th Cir. 1990)
  - Adams v. Sullivan, 928 F.2d 725 (6th Cir. 1991)
  - Das v. Department of Health & Human Services, 17 F.3d 1250 (9th Cir. 1994)
Background:
- Friedberg, Testimony Before the House Ways and Means Comm., Feb. 15, 2000
- Greenstein, Testimony Before the House Ways and Means Comm., Feb. 15, 2000
- Apfel, Testimony Before the House Ways and Means Comm., Feb. 15, 2000
- Greenbook 2003, Tables 1-13 - 1-29

Topic 7: Disability Benefits -- The standard.

Assigned:
- Act: 42 U.S.C. § 423
- Regulations:
  - 20 C.F.R. §§ 404.1500-404.1599
- Martin on Social Security: §§ N 100 - N 840, P 100 - P 680, P 800 - P 930
- 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 for background)
  - Listed impairment or equivalent
    - Winans v. Bowen, 853 F.2d 643 (9th Cir. 1987)
  - Ability to perform past relevant work
    - 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)
    - Barnhart v. Thomas, __ U.S. __ (2003)
  - Medical-Vocational Guidelines
    - See Heckler v. Campbell 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
    - Jenkins v. Bowen, 861 F.2d 1083 (8th Cir.1988)
    - Hayes v. Chater, 73 F.3d 769 (8th Cir. 1996)
Background:
- Annual Statistical Report on the Social Security Disability Insurance Program (2003)
- Social Security Advisory Board, Charting the Future of Social Security's Disability Programs (2001) (pdf)
- NPR's "All Things Considered" for 2/13/04 - "Sharp Growth in Fed Disability Insurance Program"
- 2001 Statement of Larry G. Massanari
- 2000 "Green Book"of the House Ways and Means Committee, Disability Determination and the Claims Process
- Income of Disabled-Worker Beneficiaries (SSA Jan. 2001)
- 2000 Testimony Before the House Ways and Means Committee
  - Edward D. Berkowitz (Historic background)
  - Marty Ford (Consortium for Citizens with Disabilities)
- Key Supreme Court decisions:
  - Bowen v. Yuckert, 482 U.S. 137 (1987) ("severity")
  - Heckler v. Campbell, 461 U.S. 458 (1983) (the "grid")

Topic 8: Disability Benefits -- The administrative process.

Assigned:
- Act: 42 U.S.C. § 405
- Regulations:
  - 20 C.F.R. §§ 404.900-404.999d
- Martin on Social Security: §§ E 000 - E 960
- Excerpts from Nov. 2003 GAO Report on SSA Disability Decision Making, GAO 04-14 - 12 page excerpt | full report
- Flowchart of disability allowances FY 2002
- Cases and Rulings:
  - Need to exhaust administrative remedies
    - Harper v. Bowen, 813 F.2d 737 (5th Cir. 1987)
  - Missing deadlines for "good cause"
    - SSR No. 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)
  - Appeals Council Review
    - Culbertson v. Shalala, 30 F.3d 934 (8th Cir. 1994)
    - Lovejoy v. Heckler, 790 F.2d 1114 (4th Cir. 1986)
Background:
- Richardson v. Perales, 402 U.S. 389 (1971)
- Mathews v. Eldridge, 424 U.S. 319 (1976)
- Nash v. Bowen, 869 F.2d 675 (2d Cir. 1989)
- NOSSCR, Improving the Disability Determination Process While Protecting Claimants' Rights (2002)
- Social Security Advisory Board, Charting the Future of Social Security's Disability Programs (2001) (for full report see Topic 7) - 7 page excerpt
- Feb. 2002 GAO Report on SSA's Efforts to Improve the Claims Process, GAO 02-322
- Jan. 2003 GAO Report on Major Management Challenges and Program Risks: Social Security Administration, GAO 03-117 - 5 page excerpt | full report

Topic 9: Disability Benefits -- Areas of particular difficulty.

Assigned:
- Act: 42 U.S.C. §§ 423(d), 421(h), 422(e)
- Regulations:
- Martin on Social Security: §§ P 710 - P 760
- Cases and Rulings:
  - Pain and other subjective elements
    - SSR No. 96-7p
    - Muncy v. Apfel, 247 F.3d 728 (8th Cir. 2001)
    - Singh v. Apfel, 222 F.3d 448 (8th Cir. 2000)
    - Light v. SSA, 119 F.3d 789 (9th Cir. 1997)
    - Rose v. Shalala, 34 F.3d 13 (1st Cir. 1994)
  - Mental impairments
    - SSR No. 85-16
    - Ekeland v. Bowen, 899 F.2d 719 (8th Cir. 1990)
    - McCall v. Bowen, 846 F.2d 1317 (11th Cir. 1988)
    - Reeder v. Apfel, 214 F.3d 984 (8th Cir. 2000)
    - Gutierrez v. Apfel, 199 F.3d 1048 (9th Cir. 2000)
  - Alcohol and substance abuse
    - Bustamante v. Massanari, 262 F.3d 949 (10th Cir. 2001)

Topic 10: Judicial Review -- How one secures judicial review of an individual determination, on the one hand, and of a regulation or administrative practice affecting many, on the other.

Assigned:
- Act: 42 U.S.C. § 405(g)
- Martin on Social Security: §§ D 000 - D 800
- 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)
Background:
- Paul Verkuil & Jeffrey Lubbers, Alternative Approaches to Judicial Review of Social Security Disability Cases (2002)
- Topic 8 cases -- especially:
  - Harper v. Bower, 813 F.2d 737 (5th Cir. 1987)
  - Burnett v. Bowen, 830 F.2d 731 (7th Cir. 1987)

Topic 11: Lawyers and Social Security -- Social security representation: Who does it and on what terms and conditions.

Assigned:
- Act: 42 U.S.C. §§ 406(a), 406(b) ; 28 U.S.C. § 2412(d)(1)(A)
- Regulations: 20 C.F.R. §§ 404.1700 - 404.1799
- Martin on Social Security: §§ T 000 - T 800, U 000 - U 400
- Robert Rains, The Advocate's Conflicting Obligations Vis-a-Vis Adverse Medical Evidence in Social Security Proceedings, 1995 B.Y.U.L. Rev. 99
- Cases:
  - McNatt v. Apfel, 201 F.3d 1084 (9th Cir. 2000)
  - Buchanan v. Apfel, 249 F.3d 485 (6th Cir. 2001)
  - Gisbrecht v. Barnhart, 535 U.S. 789 (2002)
  - Shalala v. Schaefer, 509 U.S. 292 (1993)
  - Flores v. Shalala, 49 F.3d 562 (9th Cir. 1995)
Background:
- 2003 Testimony of Arthur Kaufman, NADR
- 2003 Testimony of Richard Morris, NOSSCR

Topic 12: The Relationship Between Social Security and Other Earnings Replacements -- How Supplemental Security Income, Workers Compensation, Private Pensions, and Medicare interact with Social Security and vice versa.

Supplemental Security Income (SSI)
- Assigned:
  - Program summary
  - Current program data (See "Highlights 2003")
  - Martin on Social Security: §§ 280, 455, A 250, A 260, A 270, A 280, A 450, A 460, A 550, A 580, A 950, B 350, B 355, B 360, B 370, B 610, B 620
- Background:
  - Act: 42 U.S.C. §§ 1381-1383f
  - Regulations: 20 CFR §§ 416.101- 416.2227
  - Martin, Public Assurance of an Adequate Minimum Income in Old Age: The Erratic Partnership Between Social Insurance and Public Assistance
  - SSA, Fast Facts and Figures (2004): Children Receiving SSI
Workers Compensation and DI
- Assigned:
  - Martin on Social Security: § Q 300
  - Act: 42 U.S.C. § 424a
  - Regulations: 20 CFR § 404.408
Private pension integration
- Background:
  - C. Slusher, Pension Integration and Social Security Reform
  - K. Bender, Characteristics of Individuals with Integrated Pensions
Medicare and Medicaid
- Assigned:
  - Program summaries
  - Current program data (See Section I.B of the 2005 Trustees Report)

Topic 13: Selected Issues -- Current Social Security "reform" proposals and other issues of interest to the class

Assigned:
- P. Martin, Changing Social Security to Achieve Long-Term Solvency and Make Other Improvements – A Discussion Paper, 3/29/2005 (pdf)
- Testimony of SSA Chief Actuary before Senate Finance Comm., 2/2/2005 - video (17 minutes) | text & charts (pdf)
- Testimony of CBO Director before Senate Finance Comm., 2/2/2005 - video (6.5 minutes) | text & charts (pdf)
Background:
- V. Reno & J. Lavery, Options to Balance Social Security Funds Over the Next 75 Years (NASI 2005) (pdf)
- Social Security Advisory Board, Social Security: Why Action Should Be Taken Soon (2001) (pdf)
- 2005 OASDI Trustees Report (3/23/05)
- GAO Rpt: Social Security: Criteria for Evaluating Social Security Reform Proposals. T-HEHS-99-94. March 25, 1999. (pdf)
- Final Report of the President's Commission (Dec. 2001) (pdf)
- Colleen Medill, Challenging the Four Truths of Personal Social Security Accounts: Evidence from the World of 401(k) Plans, 81 North Carolina L. Rev. 902 (2003) (pdf)
- Poll of Public Attitudes Toward Privatization (2002)