In 1985 Dorothy Cummings sought social security disability benefits under 42 U.S.C. §§ 416(i) and 423(d). After numerous administrative and judicial reviews of her application, Cummings was finally granted all the relief she had initially requested. The claimant then filed for attorney’s fees under the Equal Access to Justice Act [EAJA], 28 U.S.C. § 2412. We have been asked to review the district court’s denial of those fees. For the reasons presented below, we affirm the decision of the district court.
I. BACKGROUND
Dorothy Cummings applied for disability benefits after the injuries she suffered in an automobile accident left her unable to work. Twice in 1985 her application was denied by the Social Security Administration of the Department of Health and Human Services. In January 1986 Administrative Law Judge [AU] Allyn Brooks approved benefits for the period of September 25, 1983 (the date of her accident) through January 27, 1986 (the date of the administrative hearing). However, based on recent medical test results by Cummings’ treating physician, the ALJ concluded that the claimant had regained the capacity to perform a wide range of sedentary work and therefore was no longer disabled within the meaning of the Social Security Act. 1
Cummings sought review of the AU’s determination of no present disability before the Appeals Council. With her request she submitted new evidence, reports by a psychologist and vocational expert, supporting her claim of continued disability. However, the Appeals Council declined *494 the reconsideration, finding there was no basis for review under the regulations. Cummings then brought an action for review of that decision in the United States District Court for the Northern District of Illinois.
The district court remanded the case to the Appeals Council, requiring consideration of the new reports filed by Cummings.
See Cummings v. Bowen,
The Appeals Council vacated its earlier order and remanded the case to an AU for consideration of the new evidence previously tendered and for a supplemental hearing at which it required the following additional evidence: the testimony of a vocational expert; the results of psychological, psychiatric, and orthopedic examinations; and a medical assessment of the claimant’s ability to perform work-related physical activities. On November 28, 1989, AU Richard J. Murphy stated that the first AU report was well-founded. He then found that Cummings had been disabled since her accident and, because of current severe mental impairments and other limitations, continued to be under a “disability,” as defined in the Social Security Act, 20 C.F.R. § 404.-1594(f)(8).
On January 24, 1990, Cummings filed a motion for attorney’s fees under the Equal Access to Justice Act [EAJA], 28 U.S.C. § 2412(d)(1)(A). The defendant Secretary of Health and Human Services [Secretary] opposed the motion on the ground that his position in the litigation was “substantially justified.” On February 28,1990, the court denied Cummings’ motion for EAJA fees. Judge Shadur pointed out that, in his review of the merits of Cummings’ case, he had rejected two of her arguments and found the third one a close question; the remand was based only on the Appeals Council’s failure to consider new and material evidence. The court’s denial of the EAJA application was based on its finding that the government’s position, although ultimately unsuccessful, was “substantially justified” as defined in
Pierce v. Underwood,
On April 11, 1990, the district court denied Cummings’ motion to alter or amend the judgment. This appeal followed.
II. DISCUSSION
Section 2412(d)(1)(A) of Title 28, the EAJA, provides:
Except as otherwise specifically provided by statute, a court shall award to a prevailing party other than the United States fees and other expenses, in addition to any costs awarded pursuant to subsection (a), incurred by that party in any civil action (other than cases sounding in tort), including proceedings for judicial review of agency action, brought by or against the United States in any court having jurisdiction of that action, unless the court finds that the position of the United States was substantially justified or that special circumstances make an award unjust.
In
Commissioner, I.N.S. v. Jean,
Thus, eligibility for a fee award in any civil action requires: (1) that the claimant *495 be a “prevailing party” 2 ; (2) that the Government’s position was not “substantially justified”; (3) that no “special circumstances make an award unjust” 3 ; and, (4) pursuant to 28 U.S.C. § 2412(d)(1)(B), that any fee application be submitted to the court within 30 days of final judgment in the action and be supported by an itemized statement. 4
Id.
The question of the government’s “substantial justification” is reviewed on appeal under the deferential abuse of discretion standard.
Pierce v. Underwood,
A. “Position of the United States”
Both in the district court and on appeal Cummings asserted that the “position of the United States” refers broadly to the actions of the government, the agency, the Secretary, the AU and the Appeals Council. She argued that the error of the Appeals Council, which failed to review the new evidence submitted by Cummings, led directly to litigation in the district court, and that the Council’s “position” was not substantially justified.
The district court rejected that argument. It distinguished two roles of the government, as litigator and as adjudicator; it then found that the “substantial justification” test is not applied to the “decisional body, the one that stands in the same posture that I do.” (Transcript of April 11, 1990 hearing, at 4.)
To determine who is the “United States” we begin with the definitions in the EAJA statute itself.
(C) “United States” includes any agency and any official of the United States acting in his or her official capacity;
(D) “position of the United States” means, in addition to the position taken by the United States in the civil action, the action or failure to act by the agency upon which the civil action is based; except that fees and expenses may not *496 be awarded to a party for any portion of the litigation in which the party has unreasonably protracted the proceedings.
28 U.S.C. § 2412(d)(2)(C) and (D) (emphasis added). The statute requires a court to determine the substantial justification of the government’s present and past stances on the basis of both the court and agency records:
... Whether or not the position of the United States was substantially justified shall be determined on the basis of the record {including the record with respect to the action or failure to act by the agency upon which the civil action is based) which is made in the civil action for which fees and other expenses are sought.
28 U.S.C. § 2412(d)(1)(B) (emphasis added). 5
The Supreme Court recently clarified the parameters of the term “position” in Jean:
The fact that the “position” is again denominated in the singular, although it may encompass both the agency’s preliti-gation conduct and the Department of Justice’s subsequent litigation positions, buttresses the conclusion that only one threshold determination for the entire civil action is to be made.
Jean,
It is clear that both the litigating position of the Secretary before the district court and the agency’s prelitigation conduct, its action or inaction, the position that gave rise to the litigation in district court, are the subjects of this “justifiable position” inquiry.
Gotches v. Heckler,
But we are asked to consider whether the actions of the Appeals Council are excluded from the agency’s conduct because the Council is solely an adjudicator. We would like to agree with the district court that the Council’s adjudicatory role is judicial in nature and is not the “government’s position.” After all, the adjudication of benefits claims is administered by an administrative law judge and reviewed by the Appeals Council.
See Wilkins v. Sullivan,
However, agency proceedings to determine social security benefit allowances are not adversarial in nature, since the United States is not represented by counsel.
Sullivan v. Hudson,
We find that the Appeals Council determination cannot be considered purely judicial in nature. Rather, it is part of the agency’s prelitigation conduct, and must be examined in determining the singular “position” of the United States. The district court held that the government’s position was substantially justified. We may not overturn this conclusion absent an abuse of discretion.
B. “Substantial Justification”
The position of the United States is substantially justified if it is “ ‘justified in substance or in the main’ — that is, justified to a degree that could satisfy a reasonable person.”
Underwood,
... [A] position can be justified even though it is not correct, and we believe it can be substantially (i.e., for the most part) justified if a reasonable person could think it correct, that is, if it has a reasonable basis in law and fact.
Id.
at 566 n. 2,
(1) Prelitigation Position of the Secretary
Cummings contended that the Secretary’s prelitigation position was not substantially justified because AU Brooks failed to follow Social Security Rulings [SSR] 83-10, 83-12 and 83-13, which mandate vocational expert testimony in a case like hers, and instead based his disability determination on the criteria established under the Medical-Vocational Guide, or “Grid.” 7 Since she was in fact awarded benefits after the AU considered the vocational evidence, it was clear, argued Cummings, that the position of the Secretary was not reasonable in fact or in law.
The district court had found the assessment of a vocational specialist optional rather than required.
Cummings v. Bowen,
Clearly, given the AU’s conclusion that Cummings’ use of her left arm was restricted, the better practice would have been to obtain testimony of a vocational specialist as to the jobs available to her in light of that limitation. Still, this Court would be reluctant to hold a claimant disabled based on the AU’s failure to consult a vocational specialist in these circumstances.
Id. at 982. On appeal the Secretary responded that the AU’s application of the Grid, without consultation with a vocational expert, was appropriate because there was substantial evidence in the record to indicate that the claimant’s minimal impairment of her left arm would not significantly compromise the otherwise available range of sedentary jobs.
We agree with the court below. First, Cummings’ claim that SSR 83-10, 83-12 and 83-13 require the consultation of a vocational resource is simply a misreading of those Rulings. Intended to aid in the medical-vocational evaluation of a claimant’s capability to do other work, the Rulings offer detailed guidance for evaluating exertional and nonexertional impairments. They comment on the loss of manual dexterity in sedentary and light ranges of work, and recommend that a decisionmaker consult a vocational resource when determining how much a claimant’s occupational base is reduced by the effects of such impairments. The pertinent statement in the Rulings is: “In more complex cases, a person or persons with specialized knowledge would be helpful.” This statement is advisory, not mandatory. So too the regu *498 lations themselves permit, but do not require, the use of specialists.
Use of vocational experts and other specialists. If the issue in determining whether you are disabled is whether your work skills can be used in other work and the specific occupations in which they can be used, or there is a similarly complex issue, we may use the services of a vocational expert or other specialist. We will decide whether to use a vocational expert or other specialist.
20 C.F.R. § 404.1566(e); 20 C.F.R. § 416.-966(e). We find that the district court correctly recognized the Secretary’s discretionary use of a vocational expert.
Accord Warmoth v. Bowen,
Also, our review of the evidence, and particularly of the medical evidence of impairment of Cummings’ nondominant upper arm before AU Brooks, leads us to conclude that the Secretary’s initial position concerning the use of the Grid was certainly reasonable both in law and in fact. This court will uphold an AU’s determination based on application of the Grid where there is sufficient evidence that “the limitations in question do not significantly diminish the employment opportunities otherwise available.”
Warmoth v. Bowen,
The claimant’s basic argument before this court is that, because on remand she presented sufficient evidence to warrant an award of benefits, the government’s position could not have been substantially justified. Such an assertion reflects Cummings’ confusion of two different legal standards of review, “substantial evidence” and “substantial justification,” which are used at different stages and involve different tests.
8
When reviewing a disability claim, we affirm the Secretary’s decision if it is supported by “substantial evidence” in the record, that is, by “such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.”
Key v. Sullivan,
In this case, the district court below properly reviewed AU Brooks’ disability analysis for “substantial evidence” and upheld his determinations concerning Cummings’ discreditable testimony and her physical limitations. 9 Even after question *499 ing the AU’s conclusion concerning job availability, made without consultation with a vocational specialist, the court declined to find error in the AU’s ruling or to reverse the Secretary’s final determination, and instead remanded solely for consideration of new evidence. 10 ALJ Murphy, who reviewed the case on remand, stated that AU Brooks’ assessment of the medical and RFC evidence before him “was well-founded.” AU Murphy’s decision that Cummings continued to be disabled was based on updated medical reports and the new evidence of borderline intellectual functioning and mental impairment. Thus both District Judge Shadur and AU Murphy, when reconsidering the evidence, found that the Secretary’s initial position in denying Cummings’ claims for benefits was reasonable.
We find, after a review of the entire record, that the Secretary’s prelitigation conduct had a reasonable basis in fact and in law, and that the district court did not abuse its discretion by finding that it was substantially justified.
(2) Litigation Position of the Secretary
The Secretary’s position before the district court was that the evidence of mental impairment, which Cummings submitted for the first time to the Appeals Council, did not constitute a basis for reviewing the AU’s decision. According to the Secretary, the claimant’s proper remedy was to file a new application for benefits rather than to “bootstrap” her claim to an application that had already been considered at every stage of administrative review. The district court rejected this position, and held that the additional evidence submitted by Cummings, which was “new and material,” should have been considered by the Appeals Council pursuant to 20 C.F.R. § 404.970(b) and 42 U.S.C. § 405(g). 11
It is not our task to determine whether the ruling of the district court was correct; we must decide only whether the Secretary’s position before the court was reasonable or justified in substance. And we find that it was so justified. The district court itself noted that its conclusion might be at odds with the Sixth Circuit’s per curiam decision in
Willis v. Secretary of Health and Human Services,
The circuits differ in their reading of § 405(g). This court has interpreted that provision to require good cause for a failure to submit new evidence to the AU
and
the Appeals Council.
Sears v. Bowen,
We note, as well, that the Appeals Council’s failure to review the new evidence apparently resulted from a clerical failure to file those reports in Cummings’ file. Although attorney’s fees have been awarded under the EAJA in cases in which the Secretary was found to have acted in bad faith,
see, e.g., Russell v. Sullivan,
III. CONCLUSION
The EAJA “favors treating a case as an inclusive whole, rather than as atomized line-items,” and requires a “single finding that the Government's position lacks substantial justification.”
Jean,
Notes
. The record contained the medical reports of various doctors who had treated Cummings in the hospital. Residual Functional Capacity [RFC] assessments were made twice in 1985 by nontreating physicians and reviewed favorably by other physicians. The treating physician’s RFC assessment, conducted on January 26, 1986, reached substantially the same results. It did state explicitly, however, that Cummings had a very limited ability to stand and walk but no push/pull impairment or sitting limitation. Neither the reports nor testimony at the hearing suggested any mental or emotional difficulties. After noting Cummings’ noncredible testimony as to pain and reviewing the medical data and information concerning the claimant’s age, limited education, and inability to perform past work, the ALJ used the Medical-Vocational Guide (the "Grid”) in determining that Cummings was disabled prior to the January 1986 assessment but now was capable of performing a wide range of sedentary work. He noted the weakness in her left arm and her inability to use that nondominant arm in repetitive motions, but concluded that the impairment did not significantly reduce the range of sedentary work she could perform.
. It is undisputed that Cummings, who attained all the benefits she sought, is a "prevailing party."
See Shepard v. Sullivan,
. The government did not assert circumstances that would render an award unjust.
. No "final judgment” has actually been entered in this action. Nevertheless, under the analysis furnished by the Supreme Court in
Melkonyan v. Sullivan,
— U.S. -,
The EAJA filing period does not begin until after the court’s final judgment is entered and the appeal period runs.
Melkonyan,
. We note the similar text in Congress's authorization of fee awards under 5 U.S.C. § 504(a)(1) (1991 Supp.):
... Whether or not the position of the agency was substantially justified shall be determined on the basis of the administrative record, as a whole, which is made in the adversary adjudication for which fees and other expenses are sought.
. We have also noted, however, that the agency’s appellate review of disability cases "usually is perfunctory, so that in most cases judicial review of the agency’s order is in effect judicial review of the administrative law judge’s order.”
McLaughlin
v.
Union Oil Co. of California,
. Found at 20 C.F.R. pt. 404, Subpt. P, App. 2, the Grid "is a chart which classifies a claimant as disabled or not disabled, based on the claimant’s physical capacity, age, education, and work experience.”
Walker
v.
Bowen,
.
See Broussard v. Bowen,
. The AU properly gave substantial weight to the claimant's treating physicians.
Anderson v. Sullivan,
. On appeal Cummings recommended that this court
revise
the district court’s basis for remanding her case to the Appeals Council by adding, as a second basis for remand, the Secretary’s failure to follow his own rulings that require the use of a vocational specialist. The claimant offered no legal support for her position and admitted in her brief that such a suggestion “may seem novel.” We certainly agree. In reviewing an EAJA determination, our task is to consider whether the district court abused its discretion in finding that the Secretary’s position was substantially justified. Although we review the entire record to analyze the Secretary’s position, we do not reweigh the evidence.
Angevine v. Sullivan,
. 20 C.F.R. § 404.970(b) states:
If new and material evidence is submitted, the Appeals Council shall consider the additional evidence only where it relates to the period on or before the date of the administrative law judge hearing decision. The Appeals Council shall evaluate the entire record including the new and material evidence submitted if it relates to the period on or before the date of the administrative law judge hearing decision. It will then review the case if it ' finds that the administrative law judge’s action, findings, or conclusion is contrary to the weight of the evidence currently of record.
42 U.S.C. § 405(g) provides in part:
The court ... may at any time order additional evidence to be taken before the Secretary, but only upon a showing that there is new evidence which is material and that there is good cause for the failure to incorporate such evidence into the record in a prior proceeding.
. Williams, Gamer, and Milano analyze 20 C.F.R. § 404.970(b) in similar fashion.
