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SMITH v. SAUL (2021)

United States Court of Appeals, Ninth Circuit.2021-04-27No. No. 18-15033

Summary

Holding. The court affirmed the district court's judgment, finding that the ALJ's weighing of the medical evidence was supported by substantial reasons and substantial evidence in the record, and that the ALJ did not exceed the scope of the remand order.

James Smith appealed the denial of his application for Social Security Disability Insurance Benefits after a district court upheld the Commissioner's decision. The appellate court reviewed the case and affirmed the lower court's judgment, finding that the Administrative Law Judge properly conducted proceedings on remand and appropriately weighed conflicting medical evidence.

The core dispute involved how much weight to give to opinions from different physicians about Smith's functional limitations. The ALJ gave less weight to opinions from examining physicians Dr. Hsia and Dr. Johnson because those opinions conflicted with medical findings from a treating physician (Dr. Yen) and a non-examining physician (Dr. Schmitter). The ALJ's approach was supported by substantial evidence in the record, including Smith's daily activities, and did not violate applicable legal standards for evaluating medical testimony.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether the ALJ exceeded the scope of a remand order by holding a new hearing and considering new evidence
  • Whether the ALJ provided specific and legitimate reasons to discount opinions of examining and consultative physicians
  • Whether medical findings from a workers' compensation context could properly inform Social Security disability determinations
  • How an ALJ should resolve conflicts between examining, treating, and non-examining physicians' opinions

Procedural posture

Smith appealed a district court judgment affirming the Commissioner's denial of disability benefits, which the appellate court reviewed de novo.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

MEMORANDUM **

James D.A. Smith appeals the district courts judgment affirming the Commissioner of Social Securitys denial of Smiths application for Disability Insurance Benefits under Title II of the Social Security Act. We have jurisdiction under 28 U.S.C. § 1291 and 42 U.S.C. § 405(g). We review de novo, Molina v. Astrue, 674 F.3d 1104, 1110 (9th Cir. 2012), and we affirm.

The Administrative Law Judge (“ALJ”) did not exceed the scope of the remand order by holding a new hearing and reviewing new evidence on remand from the district court because the terms of the remand order, as the district court itself explained, did not foreclose these actions and therefore did not run afoul of the law of the case doctrine or rule of mandate. See Stacy v. Colvin, 825 F.3d 563, 567-568 (9th Cir. 2016) (defining the law of the case and rule of mandate doctrines).

The ALJ provided specific and legitimate reasons supported by substantial evidence for giving less weight to the opinion of Dr. Hsia, an examining physician, because Dr. Hsias determinations were not consistent with medical evidence in the record, including the opinions of Dr. Yen, a treating physician, and Dr. Schmitter, a non-examining physician. See Meanel v. Apfel, 172 F.3d 1111, 1113-1114 (9th Cir. 1999) (examining physicians well-supported conclusions were substantial evidence sufficient to reject treating physicians conclusory and minimally supported opinion); Andrews v. Shalala, 53 F.3d 1035, 1041 (9th Cir. 1995) (ALJ may reject the opinion of an examining physician that is contradicted by the opinion of the non-examining physician and not based on independent clinical findings if the ALJ provides specific and legitimate reasons that are based on substantial evidence); see also Magallanes v. Bowen, 881 F.2d 747, 750 (9th Cir. 1989) (“The ALJ is responsible for determining credibility and resolving conflicts in medical testimony ․ [and] for resolving ambiguities.”).

Smith argues that the opinion of Dr. Yen, on which the ALJ relied to give less weight to the opinion of Dr. Hsia, was issued in the context of Smiths application for workers’ compensation and therefore concerned lifting limitations rather than lifting capacity in the work setting. Although Smith is correct that “[t]he categories of work under the Social Security disability scheme are measured quite differently” than under the California workers compensation scheme, Desrosiers v. Sec. of Health & Human Servs., 846 F.2d 573, 576 (9th Cir. 1988), here, the portion of Dr. Yens report that the ALJ relied upon represented medical findings rather than Dr. Yens conclusions under the workers compensation scheme. The ALJ also properly relied on the opinion of Dr. Schmitter to give less weight to the opinion of Dr. Hsia because Dr. Schmitters opinion was consistent with other evidence in the record discussed by the ALJ. See Andrews, 53 F.3d at 1041.

The ALJ provided specific and legitimate reasons supported by substantial evidence for giving little weight to the opinion of Dr. Johnson, a consultative examiner, regarding Smiths ability to lift and carry because it was not consistent with the opinions of Drs. Yen and Schmitt. See Meanel, 172 F.3d at 1113-1114; Andrews, 53 F.3d at 1041. The ALJ also provided specific and legitimate reasons supported by substantial evidence for giving less weight to the opinion of Dr. Johnson regarding Smiths ability to sit during the workday because it was not consistent with substantial evidence in the record, including Smiths daily activities and the testimony of Dr. Schmitter. See Morgan v. Commr of the Soc. Sec. Admin., 169 F.3d 595, 601-02 (9th Cir. 1999) (ALJ may reject a physicians opinion if it conflicts with the claimants activities of daily living); Meanel, 172 F.3d at 1113-1114; Andrews, 53 F.3d at 1041.

AFFIRMED.