Glover v. Astrue

835 F. Supp. 2d 1003, 2011 WL 6071360, 2011 U.S. Dist. LEXIS 140358
CourtDistrict Court, D. Oregon
DecidedDecember 6, 2011
DocketNo. 3:10-CV-824-PK
StatusPublished
Cited by2 cases

This text of 835 F. Supp. 2d 1003 (Glover v. Astrue) is published on Counsel Stack Legal Research, covering District Court, D. Oregon primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Glover v. Astrue, 835 F. Supp. 2d 1003, 2011 WL 6071360, 2011 U.S. Dist. LEXIS 140358 (D. Or. 2011).

Opinion

[1005]*1005OPINION & ORDER

HERNANDEZ, District Judge:

In a September 20, 2011 Order, 2011 WL 4442295, I adopted in part Magistrate Judge Papak’s Findings and Recommendation (# 29), in which he recommended that the Court affirm the decision of the Commissioner to deny Disability Insurance Benefits (DIB) and Supplemental Security Income (SSI) to plaintiff. I adopted all of Magistrate Judge Papak’s findings except his finding that the Administrative Law Judge (ALJ) had properly rejected lay witness testimony.

As I explained in the Order, cases in the Ninth Circuit appear to hold both that an ALJ may reject lay witness testimony that is inconsistent with the medical evidence and that an ALJ may not reject lay witness testimony that is unsupported or uncorroborated by the medical evidence. 2011 WL 4442295, at *2-3. I concluded that the cases were reconcilable based on where in the five-step sequential analysis the ALJ considered the lay testimony. Id. I held that the ALJ may reject lay testimony as unsupported by, or inconsistent with, the medical evidence when the lay testimony related to the existence of an impairment at step two of the five-step sequential analysis used to determine disability. But, I also held that the ALJ may not reject lay testimony as unsupported by, or inconsistent with, the medical evidence when the lay testimony was given in support of a claimant’s subjective limitations at step four and as part of ascertaining the claimant’s residual functional capacity (RFC).

Based on my legal conclusion, I held that the ALJ in the instant case erred when in determining the plaintiffs limitations at step four, he rejected lay testimony because it was inconsistent with, or unsupported by, the medical evidence. Simultaneously with my Order, a Judgment reversing the Commissioner’s decision was entered September 20, 2011.

Defendant moves to alter or amend the Judgment, arguing that my legal analysis on the lay witness issue was in error. Having now spent considerable time rereading the cases and further researching the regulatory framework, I agree with defendant.

The first relevant Ninth Circuit case concerning the ALJ’s handling of lay witness testimony is Vincent v. Heckler, 739 F.2d 1393 (9th Cir.1984). There, the court considered the ALJ’s rejection of certain lay testimony:

Mary Manser, a former employee of Vincent’s, testified that Vincent suffered serious mental impairment as a result of his second stroke. Additionally, Thomas Vincent testified that his father’s second stroke had left him impaired. The ALJ did not discuss this testimony in his hearing decision. Once again, this omission does not require reversal.
Although courts have upheld the use of lay testimony in some instances, see Singletary v. Secretary of HEW, 623 F.2d 217 (2d Cir.1980), it is not the equivalent of “medically acceptable ... diagnostic techniques” that are ordinarily relied upon to establish a disability. See 42 U.S.C. § 423(d)(3); Hall v. Secretary of HEW, 602 F.2d 1372 (9th Cir.1979). The ALJ properly discounted lay testimony that conflicted with the available medical evidence.

Vincent, 739 F.2d at 1395. Although the court did not expressly discuss where in the five-step sequential analysis the lay witnesses’ testimony was offered, the court’s discussion of the issue and its citation to 42 U.S.C. § 423(d)(3) indicate that the lay testimony in Vincent went to whether the plaintiff had an impairment in the first instance. The absence of a citation to Social Security Ruling (SSR) 82-58, [1006]*1006a policy statement regarding the evaluation of symptoms and pain and which was in effect at the time Vincent was decided, further indicates that the issue in Vincent was whether the plaintiff had an impairment at step two. The testimony was not being offered on the intensity, persistence, or limiting effects of symptoms produced by an impairment already established by the objective medical evidence.

Section 423(d)(3) of the Social Security Act provides, as it did at the time Vincent was decided, that a “physical or mental impairment” is “an impairment that results from anatomical, physiological, or psychological abnormalities which are demonstrable by medically acceptable clinical and laboratory diagnostic techniques.” 42 U.S.C. § 423(d)(3). As the statute makes clear, lay testimony cannot be used to establish an impairment. Thus, when such testimony is offered in support of the existence of an impairment, it is properly rejected if it conflicts with, or is unsupported by, the objective medical evidence.

SSR 82-58 provided that in making the RFC assessment, the functionally limiting effects of symptoms such as pain, “must be considered in terms of any additional physical or mental restrictions they may impose beyond those clearly demonstrated by the objective physical manifestations of disorders.” SSR 82-58, available at 1982 WL 31378, at *2. Although acknowledging that symptoms “are subjective and cannot be quantified by any reliable method,” SSR 82-58 instructed that symptom-related functional limitations “must largely be inferred from the history and the objective physical findings ... and from medical knowledge as to what symptom-related effects on functional capacity can be reasonably expected.” Id. The policy statement made clear that “[t]he absence of such history and objective clinical findings, with few exceptions, will be inconsistent with a conclusion that the symptom diminishes functional capacity.” Id.

Thus, at the time Vincent was decided, the relevant policy statement concerning the RFC assessment at step four suggested that evidence of symptom-related functional limitations which was inconsistent with the objective medical evidence was not entitled to much, if any, weight.

In 1988, SSR 88-13 superseded SSR 82-58. The purpose of SSR 88-13 was to reiterate the policy on the evaluation of pain and other symptoms and to provide guidance on the consideration to be given to symptoms, including pain, in the evaluation of disability. SSR 88-13, available at 1988 WL 236011, at *1. As with SSR 82-58, SSR 88-13 provided that if the claimant did not have a listed impairment, an RFC assessment was necessary to determine the effects of the impairment, including any additional limitations imposed by pain, on the claimant’s capacity to perform former work or other work. Id. at *2. Also, again similar to SSR 82-58, SSR 88-13 indicated that medical history and objective medical evidence are “reliable indicators” from which conclusions about the intensity and persistence of pain and its effect on the individual’s work capacity, may be drawn. Id. Although phrased somewhat differently than SSR 82-58, SSR 88-13 retained the idea that it was permissible to reject evidence of symptom-related functional limitations which was not consistent with the medical evidence. Id. (“statements ...

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Bluebook (online)
835 F. Supp. 2d 1003, 2011 WL 6071360, 2011 U.S. Dist. LEXIS 140358, Counsel Stack Legal Research, https://law.counselstack.com/opinion/glover-v-astrue-ord-2011.