Opinion ID: 766970
Heading Depth: 2
Heading Rank: 1

Heading: Disability Decisions and the Standard of Review

Text: 89 The Act provides that a person is disabled if [s]he is unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which ...has lasted or can be expected to last for a continuous period of not less than twelve months. 42 U.S.C. 1382c(a)(3)(A) (Supp. III 1997). The Act clarifies that an individual shall be determined to be under a disability only if [her] physical or mental impairment or impairments are of such severity that [s]he is not only unable to do [her] previous work but cannot, considering [her] age, education, and work experience, engage in any other kind of substantial gainful work which exists in the national economy .... 42 U.S.C. 1382c(a)(3)(B) (1994). The claimant generally bears the burden of proving that she is disabled under the statute, but if the claimant shows that [her] impairment renders [her] unable to perform [her] past work, the burden then shifts to the [Commissioner] to show there is other gainful work in the national economy which the claimant could perform. Carroll v. Secretary of Health and Human Services, 705 F.2d 638, 642 (2d Cir. 1983). 90 SSA regulations establish a one-to-five-step sequential process by which the Commissioner is required to evaluate an application for disability benefits. See Bowen v. Yuckert, 482 U.S. 137, 14042 (1987); Bush v. Shalala, 94 F.3d 40, 44-45 (2d Cir. 1996); 20 C.F.R. 416.920 (1999). The answer to each step's question determines whether the next step need be reached. First, the Commissioner determines whether the claimant is currently performing substantial gainful work; if she is, the claim is denied without the need to conduct further inquiry. Second, if the claimant is not performing such work, the Commissioner must make a finding as to whether the claimant suffers from a severe impairment that significantly limits her physical or mental ability to do basic work activities; if no such impairment is found, the claim is denied at that step. Third, if such an impairment is found, it is compared to the impairments listed in the appendix to the regulations; if the claimant's impairment is equivalent to one of the listed impairments, the claimant is considered disabled, and the claim is granted. Fourth, if the impairment is not the equivalent of a listed impairment, the claimant must show that she cannot perform her former relevant work; if she does not make that showing, the claim is denied. Fifth and finally, if the claimant has shown that she cannot perform her former relevant work, the burden then shifts to the Commissioner to show that the claimant still retains a residual functional capacity to perform alternative substantial gainful work which exists in the national economy. Bapp v. Bowen, 802 F.2d 601, 604 (2d Cir. 1986). It is the fourth-step inquiry, as it concerns the relevance of a claimant's prior activity, discussed in greater detail in part II.B. below, that is the focus of the present appeal. 91 Because a hearing on disability benefits is a nonadversarial proceeding, the ALJ generally has an affirmative obligation to develop the administrative record. See, e.g., Echevarria v. Secretary of Health and Human Services, 685 F.2d 751, 755 (2d Cir. 1982). Thus, SSA regulations provide that the ALJ 92 shall inquire fully into the matters at issue and shall receive in evidence the testimony of witnesses and any documents which are relevant and material to such matters. If the [ALJ] believes that there is relevant and material evidence available which has not been presented at the hearing, he may adjourn the hearing or, at any time, prior to the filing of the compensation order, reopen the hearing for the receipt of such evidence. 93 20 C.F.R. 702.338 (1999). Further, where the claimant is unrepresented by counsel, the ALJ has a duty to probe scrupulously and conscientiously into and explore all of the relevant facts, see, e.g., DeChirico v. Callahan, 134 F.3d 1177, 1183 (2d Cir. 1998), and to ensure that the record is adequate to support his decision. See, e.g., Rosa v. Callahan, 168 F.3d 72, 82-83 (2d Cir. 1999) (remanding where ALJ relied on medical records containing significant gaps); Pratts v. Chater, 94 F.3d 34, 37-38 (2d Cir. 1996) (same). 94 In reviewing the Commissioner's denial of benefits, the courts are to uphold the decision unless it is not supported by substantial evidence or is based on an error of law. See, e.g., Balsamo v. Chater, 142 F.3d 75, 79 (2d Cir. 1998); Valente v. Secretary of Health and Human Services, 733 F.2d 1037, 1041 (2d Cir. 1984) (scope of review by district court and court of appeals is the same). It is not the function of a reviewing court to decide de novo whether a claimant was disabled, see Pratts v. Chater, 94 F.3d at 37, or to answer in the first instance the inquiries posed by the five-step analysis set out in the SSA regulations. Nor may we properly affirm an administrative action on grounds different from those considered by the agency. See, e.g., SEC v. Chenery Corp., 332 U.S. 194, 196 (1947). 95