*2 ALDISERT, VAN Bеfore DUSEN HUNTER, Judges. Circuit THE COURT OPINION OF DUSEN, Judge. Circuit VAN Senior challenges Mamie Lewis appeal, judg grant summary of district court’s defendant, including holding ment its for not qualify that her beliefs do to decline reme good for her decision cause 404.1507 dial under 20 C.F.R. § Depart the conclusion Health, ment of Education and Welfare (HEW) she is not disabled within 416(i)(1) 423(d) meaning of U.S.C. §§ (1976)1 1381a. Lewis’ claim and U.S.C. § was denied an benefits (ALJ) opin judge administrative law in an hearing at which Lewis was ion after a represented ruling by counsel. ALJ became the final decision the Secre approved by when it was tary HEW severity only Disability not an “ina- ments are of such he is is defined statute as cannot, bility any gainful рrevious engage work substantial activ- unable to do his but education, ity by any medically considering age, ex- determinable and work reason physical impairment any perience, engage mental which . other sub- or kind of period expected gainful can to last for continuous which in the na- stantial work exists regardless economy, 42 U.S.C. less than months.” of whether tional 423(d)(1)(A) It is limited as further § work immediate area in which exists lives, job vacancy specific follows: he or whether him, he be hired exists or whether would individual shall be deter- “[A]n applied if for work.” disability only if his to be under a mined Id., 423(d)(2)(A). impairment impair- physical or mental Appeals request HEW’s on Lewis’ concerning daily Council testified routine to the doing for review. Lewis then filed suit effect that she became exhausted light par- housework and had reduced her authority district court under the of 42 events, ticipation in although church 405(g), seeking reversal of HEW’s U.S.C. § was still in the choir. agency decision or a remand to the for an *3 hearing additional in order that further evi repeatedly Claimant had been by advised developed. dence could be After par both surgi- doctors the tumor could be summary ties had moved for judgment, the cally removed and that she would be cured district court referred the case tо a magis if she a hysterectomy. underwent The ALJ trate, grant who recommended the of sum found that the condition was remediable mary judgment for the defendant Secre surgery. with tary. opinion, In a the district separate consistently Claimant has refused to un- adopted court the magistrate’s opinion and dergo surgery due to her independently stated its reasons for such belief in healing. faith Claimant is a de- grant of summary judgment for the de vout member of the Church of God. Her fendant. The case ap comes before us on accompanied minister her to the hearing peal under 28 U.S.C. 1291. We vacate the before the ALJ and concerning testified district court order and remand the case to Church’s tenets and Lewis’ beliefs. The entry district court for of an order explained minister that the Church had no remanding Secretary the case to the against resorting surgery, tenet but that further evaluation and consideration. willing pray he was with claimant to achieve her cure. minister stated that FACTS supported he her decision to rely on divine (claimant) years
Lewis is 55 old. She healing. Claimant testified that she be- clerk-typist worked as a for the Common- lieved divine because she had wealth of Pennsylvania from 1955 until been relieved aof back ailment in 1967 1967, when she left рrob- work due to back without the aid of medical science. She lems. From 1969 until February 1977 she power attributed this cure to the prayer. was employed as a cafeteria assistant for The ALJ stated that claimant indi- “[t]he Harrisburg District, working School ap- hearing cated at the that she is reluctant to proximately per 2!/2 hours day preparing undergo surgery as a result of her religious frozen cleaning up lunches and after lunch. Although beliefs.” defendant does not challenge belief as the cause of The medical by evidence examined claimant’s refusal of surgery for a condition ALJ reports consisted of mediсal from sev- surgery,” “remediable with neither the ALJ eral doctors. These reports indicated that Appeals nor the specific Council made a claimant has had a massive uterine tumor finding that claimant was sincere in her since 1967. A 1974 report medical noted religious objection stated on her difficulty moving claimant had (Ap. 15). abdomen breathing because of pressure created 14— by April tumor. An letter of The ALJ also noted claimant’s physical Dr. Charles Delone stated that the tumor appearance part of the evidence availa- was larger than a full-term July fetus. A determining ble for disability. The ALJ 14, 1977, report Clayton, of Dr. S. who hearing appeared stated that “[a]t works for the Dauphin County Board of healthy questions to be and answered the Assistance and saw claimant at request clearly intelligently. She was soft- authorities, of the welfare concluded that spoken, pleasant very woman who did not claimant could not work as a result of her appear to be disabled.” This was the final condition. piece of the ALJ. evidence noted hearing
Claimant testified at the that she evidence, After reviewing the ALJ had pain, substantial weakness and short- concluded that the claimant was not dis- ness (Ap. 31-33). of breath Claimant also abled. The ALJ stated that: of Dr. who was age, report Clayton, mitted claimant’s
“Having considered the
As-
County Board of
Dauphin
hired
education,
experience,
and work
whether claimant was
to determine
sistance
reports
testimony, medical
light of her
obtaining welfare
to her
regard
disabled
opinions, it is
Adminis-
and doctor’s
claimant
Clayton
Dr.
found that
benefits.
that the
Judge’s
trative Law
conclusion
the find-
This doctor made
“cannot work.”
problem
Her
claimant
not disabled.
agency, and
ing
government
for another
it
severe that would
significantly
not so
weight.
finding is entitled to substantial
working.
from
The condition
prevent her
evidence,
has
Clearly,
from this
surgery.
Therefore in
is remediable
to prove
carried her
burden
disabili-
initial
light of
facts it is this Administra-
these
ty.
tive
Judge’s
Law
conclusion
Secretary
claimant is not entitled to
in-
shifts
The burden now
supplemental
no
security
non-disability.
surance benefits or
ALJ offers
prove
*4
rejected
Clayton’s
Dr.
explanation why he
income benefits..”
subjective complaints
or
finding
claimant’s
was
adopted by
The
Sec-
opinion
ALJ’s
The
review
concerning
health.
ALJ’s
retary.
only two fac-
the evidence demonstrates
The
on the basis of lack
appeals
to
conclu-
might
justify
which
serve
his
tors
finding of non-
support
of evidence to
First,
describing petitioner’s
sion.
after
that,
Secretary
argues
disability by the
routine,
abili-
daily
he concludes that “[h]er
disabled,
if we conclude that claimant is
we
normally
get
and function
ty to
around
must
her benefits because her reli-
award
In
unimpeded.”
to
appears
generally
be
justifiable
is
gious
belief in faith
difficulty
view of the fact that claimant has
to
remedial sur-
refusing
accept
cause
feels too
moving
breathing,2 frequently
423,
gery
regulations
under the
to
which
§
house,4
go
to
clean
sick
to church3
deny disability benefits to claimants who
spends
shopping5
needs assistance to do
undergo
care
willfully refuse to
remedial
bed,6
a
the ALJ’s conclusion
day
12 hours
disability,
cure their
unless the claimant can
sup-
not
concerning
functioning is
normal
“justifiable
show
cause” for
refusal.
by
evidence.
ported
substantial
(1977).
20 C.F.R. 404.1507
§
noted
piece
The
of evidence
second
ultimate
might support
which
ALJ’s
DISABILITY
concerning her
his statement
conclusion is
In reviewing
Secretary’s finding
the hear
appearance. He stated
“[a]t
any
we are mindful that
find
healthy and answer
ing
appeared
she
to be
ings
Secretary
must be ac
by
fact
questions clearly
intelligently.
ed the
by
reviewing
cepted as
a
court
conclusive
pleasant woman
soft-spoken very
awas
She
supported
“if
evidence.” 42
by substantial
be
Al
appear
who did not
disabled.”
(1976).
405(g)
evi
U.S.C.
“Substantial
may be a factor
though physical appearance
as a
dence” is
relevant evidence
rea
“such
consider,
could not determine
the ALJ
adequate
sonable
might accept
mind
that she
appearance
from claimant’s
alone
v.
support a conclusion.” Richardson
Pe
Wil
by
not
her tumor. See
was
disabled
rales,
401,
389,
402
91
U.S.
S.Ct.
1971).
Finch,
(5th
Cir.
liams v.
440 F.2d
(1971),Dobrowolsky v.
3. 49. op. ALJ at 4. 6. Ap. 39 40. by his physician who testified before him.” On scribed treatment sources but his case, healthy record in impairment claimant’s has continued to nevertheless disabling expected constitute appearance does not substantial be or can be to be supporting evidence the ALJ’s ultimate for at disabling least 12 months. How- finding. ever, willfully an individual who fails to prescribed follow such treatment cannot Quite simply, had no evidence to the ALJ by virtue such failure found to be prima rebut the facie case claimant’s based disability. under a failure Willful does evidence, Secretary medical and the justifiable if there exist is cause for have should determined the claimant failure .to follow such treatment.” was disabled. raised is issue counsel whether OF
WILLFUL REJECTION
MEDICAL
“justifiable
claimant’s
belief is
ON
TREATMENT
declining
RELIGIOUS
surgery.
cause” for
GROUNDS
leading
determining
case in
whether
Having
that claimant
dis-
determined
a person may obtain benefits under a
record,
abled on this
we address the ques- government program,
refusal
despite
religious objec-
tion
whether claimant’s
comply
reasons to
with a condition
entitlement,
to surgery justify
Verner,
tions
her decision willful-
to the
Sherbert
to refuse
ly
treatment
correct a remedia-
“An individual with a disabling impair-
religion.
in the free exercise of her
The
ment which is amenable to
government
treatment
had two interests. The first
expected
could be
to restore his abili-
interest
payments
was
reduce the
made
ty to work shall
deemed to
a
compensation
be under
out of
unemployment
disability
undergoing
pre-
if he is
therapy
funds.9 The second
protect
interest
judge
quired.
7. We note that an administrative
The record
“[is
indicates that of the 150
required even
consider
Seventh-day
Spar-
not]
challenge
constitutional
[a
or more
Adventists in the
adjudicatory
area,
in an
See
tanburg
only appellant
context].”
and one other
319, 330,
Eldridge,
Mathews
have
unable
been
to find suitable non-Satur-
“This latest Neither a nоr the Federal Govern Court relative whether an individual state to a religious up pass be if ment can set church. Neither can may denied a benefit con- preclude complying prefer religion him laws which . victions from one 67-61, may though opportunity ruling their beliefs make benefits even vacate its SSR C.B.1967, 118, below, society. holding nonproductive p. them members of cited Christian Scientists are entitled
79
of,
sect,
another.’
Everson v. Board of Educa-
sistent with the views
is
over
a
tion,
1, 15, 67
protected
S.Ct.
91
religious
by
belief
the First
(1947).
permit
If we are to
Chris-
L.Ed.
Amendment.11
First Amendment was
benefits which
tian Scientists to have
claim-
designed
large part
to prоtect freedom of
denied,
preferring
ant
we would be
one
Note,
a
conscience.
“Toward Constitutional
(Christian Scientists)
religion
over another
Religion,”
Definition
of
91 Harv.L.Rev.
religious
which believes in faith heal-
group
1056,
(1979).
To
goal
fulfill
this
ade-
ing.10
quately,
may
the Amendment
be
read
the conscience of each indi-
accommodate
government
attempts
dis
Merel,
of
vidual.
“The Protection
Individu-
tinguish
ruling
by
from the ease at bar
al
Understanding
Choice: A
of
Consistent
noting
faith
a
not
tenet of
Amendment,”
Religion Under
the First
church,
Church of God. The
claimant’s
Chicago L.Rev. 805
Like the rest of
import
Secretary’s argument
is that
Amendment,
the First
the free exercise
a
an individual’s belief which is not
tenet of
should
sensitive
clause
conscience
worships
church
which she
is not
of
In
case
individuals.12
this
there was
protected by
belief
the First Amendment
evidence from
ALJ
which the
could have
and thus denial of benefits
to claimant
finding that claimant
sincerely
would not violate
establishment
made a
clause.
religious
presents
question
following
refusing
This
of whether
her
belief
an
belief,
adopted by,
individual’s
not
but
surgery.13
con-
Commission,
hearing
10. Walz v. Tax
indicated
at
“[t]he
surgery performed
L.Ed.2d
she was reluctant
to have
Supreme
upheld
religious
the New York deci-
abdomen because
rеasons.”
give
exemption
Subsequently,
sion to
an
(Ap.13).
to churches from
the ALJ
stated
tax,
paying property
pointing out
that New
undergo surgery
claimant is reluctant to
“[t]he
singled
particular
York
religious
“has not
out one
(Ap.14).
as a result of her
beliefs.”
religious group”
privilege.
church or
for the
interpret
We
at
are hesitant
time
“religious group”
The Court’s use of
term
by
finding
latter statement
the ALJ to be a
makes clear that the First Amendment extends
sincerity.
organized
officially
to more than
churches.
upon
We note that there is evidence
rec-
support
finding
sincerity
which
ord
could
It is noted that claimant’s beliefs are ones
testimony
in the
of both claimant and her min-
commonly
associated
fundamental Chris-
by
questioning
ister. Claimant testified on
minister,
tianity,
are sanctioned
ALJ,
alia,
inter
as follows:
were held to be
the ALJ. It is clear
Why
you
go along
did
with this
“Q.
that claimant’s beliefs are
and not
surgery?
suggestion of
presented
secular in nature. The court is not
“A. Well the reason I didn’t was because
problem
defining
types
with the
what
’67
when I was so ill
raised
Lord
religious.
beliefs are
*7
up,
everyone thought
me
because
I would be
gone,
attending
and I had been
the doctor
emphasized
12. Cases have
a
often
the tenets of
then,
going
going,
before
and
and
so I decid-
detеrmining
sect in
an
that
individual’s claim
ed,
I,
know,
you
just
well
Lord,
it
would
leave
to
under
free
the
exercise clause is sincere. See
up.” (Ap.33-34).
the
and He raised me
Yoder,
Wisconsin v.
92 S.Ct.
questioning
minister
on
Claimant’s
testified
(1972).
inquiry
13. The ALJ discussed claimant’s be- to if a is trust out that to liefs, stopped making finding infirmity but short of a that Lord him or ail- to heal of his ment, healing person her in faith beliefs were sincere. that should trust the Lord all evidence, reviewing way. May go stated that I ALJ on? the contention not detract from statements do religious be- claimant was motivated that Sure. “Q. “A. Divine to with- liefs. would have be Lewis, you when healing. earlier said This Mrs. the aid of man for divine “Q. out it; asking you questions Judge Law Brown Lewis about I have talked to Mrs. how prohibit you your religious beliefs didn’t touched her that had she stated that Lord now surgery. willing undergoing reli- ’67, okay, You have no to from gious feelings said that she’s in so she it, surgery? undergoing through not live about take her to trust the Lord to said, that, it, you I know my, like I “A. No. I feel this is it or with and with die was, her, willing I I know, I know how ill to where came from. that she decision with me, happened willing pray I’m to and I know what this. I’m to on the Lord for wait going (Ap.35-36) know He did on God. I what her.” not back with Subsequently testified as follows: me. he for specifically, you be a would it worked . . But Do believe that God “Q. “Q. something you, to be- the сhurch akin to a mira- for followers of on reasonable miracle way does in her that Mrs. Lewis lieve the cle? Yes, yes. particular situation? “A. you generally “A. Sure. mira- Do believe that “Q. your times, they that it’s the fact You mentioned or do “Q. are confined biblical cles wondering you personal if today? I’m own belief. exist little, why help my- today. on on They could elaborate a exist I’m miracle “A. —let your you first: Does church me ask this self. . any qualifications religious prohibit you question: or have If the Let me ask this “Q. surgery persons undergoing against or treat- you you were told to where situation arose ment medical science? undergo surgery, pressing not had undergo No. you “A. must but that medical reasons surgery then, Why, reasonable for growth your would it be in “Q. to have the order removed, Lewis case? you Mrs. in this how would feel? abdomen area ’67, Well, stated, that in just “A. I think as she I feel I I feel like now. “A. would she said? same decision. would have the you Yeah. Well, “Q. “A. refuse then You mean would “Q. pointed out that here go? particular during had this Lord touched “A. Yes. any medical sci- without intervention of you undergo surgery, time If were made to “Q. Now, basis, what the Lord surgery, gen- this that you actually undergo ence. on did and eral, during particular peri- done that you your had od, do feel that beliеfs on, willing to the Lord now you she’s trust be interfered with if were made would Bible, upon Bible and the and based undergo surgery? To remove this tumor? upon healing. Okay, based divine my religious teaches beliefs be inter- “A. Would this, say the Lord I’ll she want to trust fered with? manner, pastor, carry and as this they you would be? Do feel that “Q. her, Bible, knowing just believing I in the I faith But I also feel if have “A. No. highly. very sanction this to that. I I should be entitled believe think n way: Sup- put you Let it to me “Q. Now, you say . “A. when a mira- pose law that said to correct there were a cle, anything per- now like I feel that that a condition, undergo surgery, you your must Lord, son that is a believer in the that law, obeying that and any might person Lord do for that without the aid command, undergo you sur- sort of had man, a miracle. that’s That’s miracle your, you re- gery, moved, had the tumor had Now, itself. this is what I feel Mrs. Lewis you those circum- do feel under medication, has seen here. Without and the your would beliefs stances through prayer, I Lord traced and think she it interfered with? maybe said talking this time we was earlier — again? you repeat that “A. Would prayer it she had in ’67 —that Perhaps I’d I could back to it. come “Q. brought forth miracle. pursue at like to it Reverend Jackson *8 continuing “. . . also point (Ap.49-50) if I could.” just waiting through prayer, for the Lord and surgery performed note the in We (Ap.54-55) to continue to work with her.” opinion, dissenting was seven referred to in the ambiguous ques- answers to the Claimant’s healing” in years “miracle before claimant’s tions cited not seem to us to the dissent do testimony quoted to her 1967 which led 1978 insincerity. hearing require finding of above, magistrate’s report ex- and the repeatedly transcript shows that the claimant sincerity challenge pressly of the does religious refusing surgery asserted beliefs for (15a). religious “personal belief.” claimant’s posed questions hypothetical and that question simply comprehend, never addressed The ALJ her and her were difficult for light sincerity, answеrs, evidence out- gave upon of rise to confused some above, agree context, the dissent’s cannot with lined we relies. In those which the dissent
81
In his concurring opinion
Abington
stated that
the framers of the Consti-
203, 231,
Schempp,
Dist. v.
School
U.S.
Rights
tution and the Bill of
Justice Brennan said:
tance of accommodating individual beliefs.
In Davis v.
ment’s concern for individuals:
defined religion
S.Ct.
such matters are to be left
the citizen and his
of
basic
rights
deliberate and considered
“The constitutional mandate
science of the
nals of
during
[*]
in the First
S.Ct.
2 “Representative
“The term
299, 300,
peculiar delicacy,
[*]
gentlest
Supreme
postulate
debate
[*]
Cong.
of conscience
1560, 1576,
>
Beason,
Congress, August
burden of as a matter of law 82 note, majority Maj. Op., 36. As the App. at implicit and explicit and to the this case
in are sect n.12, 79 the tenets at Judge, Law of the Administrative findings sinceri- of Mrs. Lewis’ as evidence relevant Ap- which, turn, approved were however, is the claim- persuasive, ty. More peals Council. she testimony. testified that She ant’s own for an additional I would not remand church, Jackson’s of Reverend is a member litigant was although the hearing because God, App. of the Church congregation court, is not entitled day to a entitled 35, previously sub- and that she had at repair inept her factual to a return visit to surgery in 1960. gynecological mitted to her first presentation. presented That she and Indeed, undergone a dilatation she had the.hearing can- contention at amendment C) one of the (D procedure, сurettage ALJ summarized gainsaid. That the not be alleviate recommended to very procedures cannot be denied: “The claim- position her at 12. App. present her condition. See undergo surgery as ant is reluctant asked, separate on two specifically When at 14. religious App. her beliefs.” result of counsel, submitting if by her own occasions litigant this a second give I see no reason to with her reli- interfere surgery would her case. prove beliefs, chance to “No”: she answered gious Lewis, earlier when Q. you said Mrs. me convinces reading of the record My asking you Judge Law Brown to dem- in her burden that clаimant failed beliefs your religious questions, that to submit to sur- that her refusal onstrate undergoing prohibit you from didn’t religious strongly held gery was based on religious feel- You have no surgery. Verner, v. beliefs as discussed Sherbert surgery? undergoing ings about not 1790, 965 398, 10 L.Ed.2d 83 S.Ct. said, that, like I I know I feel A. No. v. District (1963); Abington School how ill I came from. I know where I 1560, 10 83 Schempp, 374 U.S. S.Ct. was, happened to I know what v. Bal- (1963); L.Ed.2d 844 United States me, back on God. going and I’m not 882, 886, lard, S.Ct. U.S. He for me. I know what did Beason, (1944); L.Ed. 1148 and Davis subsequently Her counsel App. at 49-50. 33 L.Ed. U.S. S.Ct. re- slightly question, returned majority opinion deems Sher Although the favorable an- for a more phrased, hoping neglects it controlling, bert v. Verner swer: importаnt Court’s observation “[n]o undergo sur- Q. were made to you If con in this case question has been raised undergo did actually you gery, sincerity appellant’s cerning the feel that you do general, surgery, n.1, 83 at at 399 beliefs.” inter- would be beliefs your religious 1791 n.1. un- made to you if were fered tu- To remove dergo surgery? that claim- this case shows The record in mor? proving ant to meet the burden failed surgery rests on sincere her aversion to be inter- beliefs my religious A. Would is, example, the There beliefs. fered with? minister, Reverend testimony of claimant’s would be? they Q. you Do feel Jackson, teachings of James I have faith to I also feel if A. No. But surgical proscribe do not particular church I be entitled I think should believe procedures: that. church, Well, your ALJ: would it does to show statements tend at 51. These Id. normally going frown on Mrs. Lewis’ forego that Mrs. Lewis’ decision surgery? a conflict between was not based on practice.* medical religion and conventional A: No. * put comprehend, gave questions, emphasis, confused were rise to some These it bears answers, Maj. upon majority relies.” which the dissent her counsel. The refer to questions Op., “hypothetical questions these at n.13. posed to her were difficult for her to [that] *10 record, I On the basis would hold
that claimant failed to sustain her burden proof compliance to excuse with 20 I
C.F.R. 404.1507 and would affirm judgment of the district court. INTERNATION- METROPOLITAN
In re Inc.; Mining,
AL, INC., Fran-Ru Metro Inc.; Inc.; Aviation,
Enterprises, MII Inc., Systems, its Restaurant
and MII subsidiaries,
wholly Debtors. owned Equibank, N.A.
Appeal of
No. 79-1282. Appeals,
United States
Third Circuit. Rule Circuit Third under
Submitted 16, 1980.
12(6) Oct. 22, 1980.
Decided Feb.
