53 F.4th 485
9th Cir.2022Background
- Farlow suffered a myocardial infarction in July 2013; initial ejection fraction (EF) was ~50% but a 2015 stress test showed normal heart function and EF of 77%.
- She applied for Social Security Title II disability benefits in February 2017, claiming post‑MI chest pain, shortness of breath, and limited stamina.
- State agency non‑examining physician Dr. Norman Staley reviewed records and opined Farlow was limited to light work (stand/walk 6 hours; lift ≤20 lbs).
- The ALJ rejected Dr. Staley’s opinion, credited other evidence, and found Farlow capable of medium work with restrictions, denying benefits at step four (could perform past relevant work).
- The Appeals Council denied review and the district court affirmed the ALJ. The Commissioner concedes Staley’s opinion—if credited—would limit Farlow to light work.
- The Ninth Circuit affirmed, holding the ALJ permissibly discounted the non‑examining opinion and properly rejected claimant’s symptom testimony.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether the ALJ erred in rejecting the uncontested non‑examining physician opinion | Farlow: ALJ needed "clear and convincing" reasons to reject the only functional assessment and improperly substituted a lay judgment for medical opinion | Commissioner/ALJ: Different, lower standard applies to non‑examining opinions; ALJ may reject by citing specific contradictory record evidence | Held: ALJ did not err; Sousa standard applies—ALJ may reject non‑examining opinion by reference to specific medical evidence, and ALJ gave permissible reasons (relied on 2013 EF and ignored 2015 normal EF; non‑examining, not persuasive, inconsistent with record) |
| Whether the ALJ properly discounted Farlow’s (and her husband’s) symptom testimony | Farlow: testimony of limiting symptoms should be credited | Commissioner/ALJ: Testimony inconsistent with objective medical record and daily activities; ALJ gave clear and convincing reasons to discount | Held: ALJ provided clear and convincing reasons to reject claimant’s testimony; any error as to husband’s similar statement was harmless |
Key Cases Cited
- Molina v. Astrue, 674 F.3d 1104 (9th Cir. 2012) (standard of review and substantial‑evidence/legal‑error framework)
- Biestek v. Berryhill, 139 S. Ct. 1148 (2019) (definition of substantial evidence)
- Consolidated Edison Co. v. NLRB, 305 U.S. 197 (1938) (classic formulation of substantial evidence)
- Burch v. Barnhart, 400 F.3d 676 (9th Cir. 2005) (review defers to reasonable ALJ interpretations)
- Lester v. Chater, 81 F.3d 821 (9th Cir. 1995) (weighting of treating/examining opinions; "clear and convincing" rule for rejecting treating/examining opinions)
- Sousa v. Callahan, 143 F.3d 1240 (9th Cir. 1998) (ALJ may reject non‑examining physician by referencing specific medical record evidence)
- Woods v. Kijakazi, 32 F.4th 785 (9th Cir. 2022) (discussing regulatory changes to medical‑opinion evaluation and their effect)
- Carmickle v. Commissioner, 533 F.3d 1155 (9th Cir. 2008) (standards for discounting claimant symptom testimony)
- Kaufmann v. Kijakazi, 32 F.4th 843 (9th Cir. 2022) (related tenure/constitutional discussion referenced by claimant)
