McLeod v. Astrue
640 F.3d 881
| 9th Cir. | 2011Background
- McLeod applied for supplemental security income at age 51 alleging disability from back, heart, and sleep apnea issues; ALJ found impairments existed but not disabling and discounted treating physicians' opinions on employability.
- VA records and disability status were not in the SSA record; McLeod testified he received a VA pension for unemployability, but no VA rating or basis was provided to SSA.
- ALJ relied on medical opinions that McLeod could perform sedentary work and rejected other opinions as conclusory on employability.
- Record included conflicting VA evaluations: one suggested unemployability, another limited McLeod to light sedentary work; VA rating status was unclear.
- McLeod argued the ALJ failed to develop the record regarding the VA rating and thus did not consider potentially binding VA findings under McCartey or Tonapetyan.
- The district court denied review, and on appeal the Ninth Circuit considered harmless-error framework and whether remand was appropriate under 42 U.S.C. § 405(g).
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Duty to develop VA rating evidence | McLeod asserts ALJ should have developed VA rating evidence. | Astrue contends ALJ had no duty to elicit VA rating absent ambiguity in record. | Remand appropriate; ALJ erred by not obtaining/considering VA rating. |
| Remand under sentence four and prejudice | Remand to obtain VA rating helps proper evaluation per McCartey and Tonapetyan. | Prejudice not automatically assumed; harmless-error analysis applies. | Remand under sentence four; prejudice shown; agency error probable impact. |
Key Cases Cited
- Tonapetyan v. Halter, 242 F.3d 1144 (9th Cir. 2001) (duty to inquire when record ambiguous or inadequate)
- McCartey v. Massanari, 298 F.3d 1072 (9th Cir. 2002) (VA rating must be considered and ordinarily given great weight)
- Shinseki v. Sanders, 129 S. Ct. 1696 (Supreme Court 2009) (harmless-error standard; burden on claimant to show prejudice; remand appropriate when uncertainty remains)
- Hoa Hong Van v. Barnhart, 483 F.3d 600 (9th Cir. 2007) (remand and consideration of VA rating in SSA decisions)
- Stout v. Comm'r, Soc. Sec. Admin., 454 F.3d 1050 (9th Cir. 2006) (harmless error in SSA context; framework for evaluation)
- Smolen v. Chater, 80 F.3d 1273 (9th Cir. 1996) (principle on evaluating treating physicians' opinions)
- Akopyan v. Barnhart, 296 F.3d 852 (9th Cir. 2002) (SSA and VA criteria need not be identical; weight considerations)