Source: https://www.law.cornell.edu/supremecourt/text/11-159
Timestamp: 2016-07-25 12:35:45
Document Index: 119784004

Matched Legal Cases: ['§416', '§416', '§402', '§416', '§416', '§416', '§416', '§416', '§404', '§416', '§416', '§416', '§416', '§416', '§416', '§416', '§402', '§402', '§416', '§416', '§416', '§416', '§404', '§404', '§416', '§404', '§416', '§416', '§416', '§416', '§416', '§416', '§2', '§402', '§120', '§416', '§409', '§402', '§402', '§416', '§416', '§416', '§416', '§416', '§416', '§409', '§416', '§416', '§416', '§416', '§249', '§15', '§633', '§9', '§30', '§2', '§416', '§416', '§416', '§416', '§405', '§402', '§416', '§402']

ASTRUE, COMMISSIONER OF SOCIAL SECURITY v. CAPATO, | US Law | LII / Legal Information Institute
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ASTRUE, COMMISSIONER OF SOCIAL SECURITY v. CAPATO,
Eighteen months after her husband, Robert Capato, died of cancer, respondent Karen Capato gave birth to twins conceived through in vitro fertilization using her husband’s frozen sperm. Karen applied for Social Security survivors benefits for the twins. The Social Security Administration (SSA) denied her application, and the District Court affirmed. In accord with the SSA’s construction of the Social Security Act (Act), the court determined that the twins would qualify for benefits only if, as
42 U. S. C. §416(h)(2)(A) specifies, they could inherit from the deceased wage earner under state intestacy law. The court then found that Robert was domiciled in Florida at his death, and that under Florida law, posthumously conceived children do not qualify for inheritance through intestate succession. The Third Circuit reversed. It concluded that, under §416(e), which defines child to mean, inter alia, “the child or legally adopted child of an [insured] individual,” the undisputed biological children of an insured and his widow qualify for survivors benefits without regard to state intestacy law. Held: The SSA’s reading is better attuned to the statute’s text and its design to benefit primarily those supported by the deceased wage earner in his or her lifetime. Moreover, even if the SSA’s longstanding interpretation is not the only reasonable one, it is at least a permissible construction entitled to deference under Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.,
467 U. S. 837. Pp. 4–16.
(a) Congress amended the Act in 1939 to provide that, as relevant here, “[e]very child (as defined in section 416(e) of this title)” of a deceased insured individual “shall be entitled to a child’s insurance benefit.” §402(d). Section 416(e), in turn, defines “child” to mean: “(1) the child or legally adopted child of an individual, (2) a stepchild [under certain circumstances], and (3) . . . the grandchild or stepgrandchild of an individual or his spouse [under certain conditions].” Unlike §§416(e)(2) and (3), §416(e)(1) lacks any elaboration of the conditions under which a child qualifies for benefits. Section 416(h)(2)(A), however, further addresses the term “child,” providing: “In determining whether an applicant is the child or parent of [an] insured individual for purposes of this subchapter, the Commissioner of Social Security shall apply [the intestacy law of the insured individual’s domiciliary State].” An applicant who does not meet §416(h)(2)(A)’s intestacy-law criterion may nonetheless qualify for benefits under other criteria set forth in §§416(h)(2)(B) and (h)(3), but respondent does not claim eligibility under those other criteria. Regulations promulgated by the SSA closely track §§416(h)(2) and (3) in defining “[w]ho is the insured’s natural child,” 20 CFR §404.355. As the SSA reads the statute,
42 U. S. C. §416(h) governs the meaning of “child” in §416(e)(1) and serves as a gateway through which all applicants for insurance benefits as a “child” must pass. Pp. 4–7.
The Act commonly refers to state law on matters of family status, including an applicant’s status as a wife, widow, husband, or widower. See, e.g., §§416(b), (h)(1)(A). The Act also sets duration-of-relationship limitations, see Weinberger v. Salfi,
422 U. S. 749–782, and time limits qualify the statutes of several States that accord inheritance rights to posthumously conceived children. In contrast, no time constraint attends the Third Circuit’s ruling in this case, under which the biological child of married parents is eligible for survivors benefits, no matter the length of time between the father’s death and the child’s conception and birth. Because a child who may take from a father’s estate is more likely to “be dependent during the parent’s life and at his death,” Mathews v. Lucas,
427 U. S. 495, reliance on state intestacy law to determine who is a “child” serves the Act’s driving objective, which is to “provide . . . dependent members of [a wage earner’s] family with protection against the hardship occasioned by [the] loss of [the insured’s] earnings,” Califano v. Jobst,
434 U. S. 47. Although the Act and regulations set different eligibility requirements for adopted children, stepchildren, grandchildren, and stepgrandchildren, it hardly follows, as respondent argues, that applicants in those categories are treated more advantageously than are children who must meet a §416(h) criterion. Respondent charges that the SSA’s construction of the Act raises serious constitutional concerns under the equal protection component of the Due Process Clause. But under rational-basis review, the appropriate standard here, the regime passed by Congress easily passes inspection. Pp. 10–15.
(c) Because the SSA’s interpretation of the relevant provisions, is at least reasonable, the agency’s reading is entitled to this Court’s deference under Chevron,
467 U. S. 837. Chevron deference is appropriate “when it appears that Congress delegated authority to the agency generally to make rules carrying the force of law, and that the agency interpretation claiming deference was promulgated in the exercise of that authority.” United States v. Mead Corp.,
533 U. S. 218–227. Here, the SSA’s longstanding interpretation, set forth in regulations published after notice-and-comment rulemaking, is neither “arbitrary or capricious in substance, [n]or manifestly contrary to the statute.” Mayo Foundation for Medical Ed. and Research v. United States, 562 U. S. ___, ___. It therefore warrants the Court’s approbation. Pp. 15–16.
MICHAEL J. ASTRUE, COMMISSIONER OF SOCIALSECURITY, PETITIONER v. KAREN K. CAPATO,on behalf of B. N. C., et al.
Karen Capato, respondent here, relies on the Act’s initial definition of “child” in
42 U. S. C. §416(e): “ ‘[C]hild’ means . . . the child or legally adopted child of an [insured] individual.” Robert was an insured individual, and the twins, it is uncontested, are the biological children of Karen and Robert. That satisfies the Act’s terms, and no further inquiry is in order, Karen maintains. The SSA, however, identifies subsequent provisions, §§416(h)(2) and (h)(3)(C), as critical, and reads them to entitle biological children to benefits only if they qualify for inheritance from the decedent under state intestacy law, or satisfy one of the statutory alternatives to that requirement.
We conclude that the SSA’s reading is better attuned to the statute’s text and its design to benefit primarily those supported by the deceased wage earner in his or her lifetime. And even if the SSA’s longstanding interpretation is not the only reasonable one, it is at least a permissible construction that garners the Court’s respect under Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.,
Robert’s health deteriorated in late 2001, and he died in Florida, where he and Karen then resided, in March 2002. His will, executed in Florida, named as beneficiaries the son born of his marriage to Karen and two children froma previous marriage. The will made no provision for children conceived after Robert’s death, although the Capatos had told their lawyer they wanted future offspring to be placed on a par with existing children. Shortly after Robert’s death, Karen began in vitro fertilization using her husband’s frozen sperm. She conceived in January 2003 and gave birth to twins in September 2003, 18 months after Robert’s death.
Karen Capato claimed survivors insurance benefits on behalf of the twins. The SSA denied her application, and the U. S. District Court for the District of New Jersey affirmed the agency’s decision. See App. to Pet. for Cert. 33a (decision of the Administrative Law Judge); id., at15a (District Court opinion). In accord with the SSA’s construction of the statute, the District Court determined that the twins would qualify for benefits only if, as §416(h)(2)(A) specifies, they could inherit from the deceased wage earner under state intestacy law. Robert Capato died domiciled in Florida, the court found. Under that State’s law, the court noted, a child born posthu-mously may inherit through intestate succession only if conceived during the decedent’s lifetime. Id., at 27a–28a.
Congress amended the Social Security Act in 1939 to provide a monthly benefit for designated surviving fam-ily members of a deceased insured wage earner. “Child’s insurance benefits” are among the Act’s family-protective measures.
1364, as amended,
42 U. S. C. §402(d). An applicant qualifies for such benefits if she meets the Act’s definition of “child,” is unmarried, is below specified age limits (18 or 19) or is under a disability which began prior to age 22, and was dependent on the insured at the time of the insured’s death. §402(d)(1).
An applicant for child benefits who does not meet §416(h)(2)(A)’s intestacy-law criterion may nonetheless qualify for benefits under one of several other criteria the Act prescribes. First, an applicant who “is a son or daughter” of an insured individual, but is not determined to be a “child” under the intestacy-law provision, nevertheless ranks as a “child” if the insured and the other parent went through a marriage ceremony that would have been valid but for certain legal impediments. §416(h)(2)(B). Further, an applicant is deemed a “child” if, before death, the insured acknowledged in writing that the applicant is his or her son or daughter, or if the insured had been decreed by a court to be the father or mother of the applicant, or had been ordered to pay child support. §416(h)(3)(C)(i). In addition, an applicant may gain “child” status uponproof that the insured individual was the applicant’s pa-rent and “was living with or contributing to the supportof the applicant” when the insured individual died. §416(h)(3)(C)(ii).
The SSA has interpreted these provisions in regulations adopted through notice-and-comment rulemaking. The regulations state that an applicant may be entitled to benefits “as a natural child, legally adopted child, stepchild, grandchild, stepgrandchild, or equitably adopted child.” 20 CFR §404.354. Defining “[w]ho is the insured’s natural child,” §404.355, the regulations closely track 42 U. S. C. §§416(h)(2) and (h)(3). They state that an applicant may qualify for insurance benefits as a “natural child” by meeting any of four conditions: (1) the applicant “could inherit the insured’s personal property as his or her natural child under State inheritance laws”; (2) the applicant is “the insured’s natural child and [his or her parents] went through a ceremony which would have resulted ina valid marriage between them except for a legal impediment”; (3) before death, the insured acknowledged in writing his or her parentage of the applicant, was decreed by a court to be the applicant’s parent, or was ordered by a court to contribute to the applicant’s support; or (4) other evidence shows that the insured is the applicant’s “natural father or mother” and was either living with, or contributing to the support of, the applicant. 20 CFR §404.355(a) (internal quotation marks omitted).
As the SSA reads the statute,
42 U. S. C. §416(h) governs the meaning of “child” in §416(e)(1). In other words, §416(h) is a gateway through which all applicants for in-surance benefits as a “child” must pass. See Beeler, 651 F. 3d, at 960 (“The regulations make clear that the SSA interprets the Act to mean that the provisions of §416(h) are the exclusive means by which an applicant can establish ‘child’ status under §416(e) as a natural child.”).
Nothing in §416(e)’s tautological definition (“ ‘child’ means . . . the child . . . of an individual”) suggests that Congress understood the word “child” to refer only to the children of married parents. The dictionary definitions offered by respondent are not so confined. See Webster’s New International Dictionary 465 (2d ed. 1934) (defining “child” as, inter alia, “[i]n Law, legitimate offspring; also, sometimes, esp. in wills, an adopted child, or an illegitimate offspring, or any direct descendant, as a grandchild, as the intention may appear”); Merriam-Webster’s Collegiate Dictionary 214 (11th ed. 2003) (“child” means “son or daughter,” or “descendant”). See also Restatement (Third) of Property §2.5(1) (1998) (“[a]n individual is the child of his or her genetic parents,” and that may be so “whether or not [the parents] are married to each other”). More-over, elsewhere in the Act, Congress expressly limitedthe category of children covered to offspring of a marital union. See §402(d)(3)(A) (referring to the “legitimate . . . child” of an individual). Other contemporaneous statutes similarly differentiate child of a marriage (“legitimate child”) from the unmodified term “child.” See, e.g., Servicemen’s Dependents Allowance Act of 1942, ch. 443, §120,
56Stat.
The original version of today’s §416(h) was similarly drafted. It provided that, “[i]n determining whether an applicant is the . . . child . . . of [an] insured individual for purposes of sections 401–409 of this title, the Board shall apply [state intestacy law].”
42 U. S. C. §409(m) (1940 ed.) (emphasis added). Sections 401–409 embraced §§402(c) and 409(k), the statutory predecessors of 42 U. S. C. §§402(d) and 416(e) (2006 ed.), respectively.
Reference to state law to determine an applicant’s status as a “child” is anything but anomalous. Quite the opposite. The Act commonly refers to state law on matters of family status. For example, the Act initially defines “wife” as “the wife of an [insured] individual,” if certain conditions are satisfied. §416(b). Like §416(e), §416(b)is, at least in part, tautological (“ ‘wife’ means the [insured’s] wife”). One must read on, although there is no ex-press cross-reference, to §416(h) (rules on “[d]etermination of family status”) to complete the definition. Section §416(h)(1)(A) directs that, “for purposes of this subchapter,” the law of the insured’s domicile determines whether “[the] applicant and [the] insured individual were validly married,” and if they were not, whether the applicant would nevertheless have “the same status” as a wife under the State’s intestacy law. (Emphasis added.) The Act similarly defines the terms “widow,” “husband,” and “widower.” See §§416(c), (f), (g), (h)(1)(A).
Indeed, as originally enacted, a single provision mandated the use of state intestacy law for “determining whether an applicant is the wife, widow, child, or parent of [an] insured individual.”
42 U. S. C. §409(m) (1940 ed.). All wife, widow, child, and parent applicants thus had to satisfy the same criterion. To be sure, children born during their parents’ marriage would have readily qualified under the 1939 formulation because of their eligibilityto inherit under state law. But requiring all “child” ap-plicants to qualify under state intestacy law installed a simple test, one that ensured benefits for persons plainly within the legislators’ contemplation, while avoiding con-gressional entanglement in the traditional state-lawrealm of family relations.
Just as the Act generally refers to state law to determine whether an applicant qualifies as a wife, widow, husband, widower,
42 U. S. C. §416(h)(1) (2006 ed.), child or parent, §416(h)(2)(A), so in several sections (§§416(b), (c), (e)(2), (f), (g)), the Act sets duration-of-relationship limitations. See Weinberger v. Salfi,
422 U. S. 749–782 (1975) (discussing §416(e)(2)’s requirement that, asa check against deathbed marriages, a parent-stepchild relationship must exist “not less than nine months immediately preceding [insured’s death]”). Time limits also qualify the statutes of several States that accord inheritance rights to posthumously conceived children. See Cal. Prob. Code Ann. §249.5(c) (West Supp. 2012) (allowing inheritance if child is in utero within two years of parent’s death); Colo. Rev. Stat. Ann. §15–11–120(11) (2011) (child in utero within three years or born within 45 months); Iowa Code Ann. §633.220A(1) (West Supp. 2012) (child born within two years); La. Rev. Stat. Ann. §9:391.1(A) (West 2008) (child born within three years); N. D. Cent. Code Ann. §30.1–04–19(11) (Lexis 2001) (child in utero within three years or born within 45 months). See also Uniform Probate Code §2–120(k), 8 U. L. A. 58 (Supp. 2011) (treating a posthumously conceived child as “in gestation at the individual’s death,” but only if specified time limits are met). No time constraints attend the Third Circuit’s ruling in this case, under which the biological child of married parents is eligible for survivors benefits, no matter the length of time between the father’s death and the child’s conception and birth. See Tr. of Oral Arg. 36–37 (counsel for Karen Capato acknowledged that, under the preemptive federal rule he advocated, and the Third Circuit adopted, a child born four years after her father’s death would be eligible for benefits).
The paths to receipt of benefits laid out in the Act and regulations, we must not forget, proceed from Congress’ perception of the core purpose of the legislation. The aim was not to create a program “generally benefiting needy persons”; it was, more particularly, to “provide . . . dependent members of [a wage earner’s] family with protection against the hardship occasioned by [the] loss of [the insured’s] earnings.” Califano v. Jobst,
434 U. S. 47,
. We have recognized that “where state intestacy law provides that a child may take personal property from a father’s estate, it may reasonably be thought that the child will more likely be dependent during the parent’s life and at his death.” Mathews v. Lucas,
427 U. S. 495,
514 (1976)
The SSA’s construction of the Act, respondent charges, raises serious constitutional concerns under the equal pro-tection component of the Due Process Clause. Brief for Respondent 42; see Weinberger v. Wiesenfeld,
638, n.
Even the Courts of Appeals that have accepted the reading of the Act respondent advances have rejected this argument. See 631 F. 3d, at 628, n. 1 (citing Vernoffv. Astrue, 568 F. 3d 1102, 1112 (CA9 2009)). We have applied an intermediate level of scrutiny to laws “burden[ing] illegitimate children for the sake of punishing the illicit relations of their parents, because ‘visiting this condemnation on the head of an infant is illogical and unjust.’ ” Clark v. Jeter,
(quoting Weber v. Aetna Casualty & Surety Co.,
406 U. S. 164,
175 (1972)
As we have explained, §416(e)(1)’s statement, “[t]he term ‘child’ means . . . the child . . . of an individual,” is a definition of scant utility without aid from neighboring provisions. See Schafer, 641 F. 3d, at 54. That aid is supplied by §416(h)(2)(A), which completes the definition of “child” “for purposes of th[e] subchapter” that includes §416(e)(1). Under the completed definition, which the SSA employs, §416(h)(2)(A) refers to state law to determine the status of a posthumously conceived child. The SSA’s interpretation of the relevant provisions, adhered to without deviation for many decades, is at least reasonable; the agency’s reading is therefore entitled to this Court’s deference under Chevron,
Chevron deference is appropriate “when it appears that Congress delegated authority to the agency generally to make rules carrying the force of law, and that the agency interpretation claiming deference was promulgated in the exercise of that authority.” United States v. Mead Corp.,
533 U. S. 218–227 (2001). Here, as already noted, the SSA’s longstanding interpretation is set forth in regu-lations published after notice-and-comment rulemaking. See supra, at 6–7. Congress gave the Commissioner authority to promulgate rules “necessary or appropriate to carry out” the Commissioner’s functions and the relevant statutory provisions. See 42 U. S. C. §§405(a), 902(a)(5). The Commissioner’s regulations are neither “arbitrary or capricious in substance, [n]or manifestly contrary to the statute.” Mayo Foundation for Medical Ed. and Research v. United States, 562 U. S. ___, ___ (2011) (slip op., at 7) (internal quotation marks omitted). They thus warrant the Court’s approbation. See Barnhart v. Walton,
535 U. S. 212–222, 225 (2002) (deferring to the Commissioner’s “considerable authority” to interpret the Social Security Act).
3 Applicants not in fact dependent on the insured individual may be “deemed dependent” when the Act so provides. For example, a “legitimate” child, even if she is not living with or receiving support fromher parent, is ordinarily “deemed dependent” on that parent.
42 U. S. C. §402(d)(3). Further, applicants “deemed” the child of an insured individual under §416(h)(2)(B) or (h)(3) are also “deemed legitimate,” hence dependent, even if not living with or receiving support fromthe parent. §402(d)(3). See also Mathews v. Lucas,
499, n.
7 Because the Court of Appeals found the statutory language unambiguous, it had no occasion to “determine whether the [SSA’s] interpretation is a permissible construction of the statute.” 631 F. 3d, at 631, n. 5 (citing Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.,
467 U. S. 837–843 (1984)).
10 Ironically, while drawing an analogy to the “illogical and unjust” discrimination children born out of wedlock encounter, see Weber v. Aetna Casualty & Surety Co.,
406 U. S. 164–176 (1972), respondent asks us to differentiate between children whose parents were married and children whose parents’ liaisons were not blessed by clergy or the State. She would eliminate the intestacy test only for biological children of married parents.