Opinion ID: 754642
Heading Depth: 2
Heading Rank: 2

Heading: Right to Subpoena a Reporting Physician

Text: 26 Yancey argues that because diagnosing SLE is difficult and there is contradictory medical evidence in this case, the Fifth Amendment of the Constitution and notions of fundamental fairness compel the issuance of a subpoena requiring Dr. Wong to testify so as to allow Yancey to cross-examine him concerning his medical findings. The specific issue of whether a disability claimant has an absolute right to have a reporting physician subpoenaed appears to be one of first impression in this Circuit. But see Townley v. Heckler, 748 F.2d 109, 114 (2d Cir.1984) (ALJ violated claimant's right to due process by basing his decision on evidence that the claimant was not allowed to challenge or rebut); Treadwell v. Schweiker, 698 F.2d 137, 143-44 (2d Cir.1983) (ALJ's reliance on uncorroborated hearsay testimony and failure to enforce subpoenas constituted a denial of due process); Gullo v. Califano, 609 F.2d 649, 650 (2d Cir.1979) (ALJ's reliance on a post-hearing report without giving the claimant an opportunity to examine or challenge that report constituted a violation of due process). 27 For the following reasons, we hold that the right to due process in a social security disability hearing does not require that a reporting physician be subpoenaed any time a claimant makes such a request. 28 The issuance of subpoenas in social security administrative proceedings is governed primarily by 20 C.F.R. § 404.950(d)(1), which provides, in pertinent part, as follows: 29 When it is reasonably necessary for the full presentation of a case, an administrative law judge or a member of the Appeals Council may, ... at the request of a party, issue subpoenas for the appearance and testimony of witnesses and for the production of books, records, correspondence, papers, or other documents that are material to an issue at a hearing. 30 (emphasis added). The plain language of this section clearly places the decision to issue a subpoena within the sound discretion of the ALJ. See also Wallace v. Bowen, 869 F.2d 187, 194 (3d Cir.1988) (The question of whether to issue a subpoena to compel cross-examination of a reporting physician is a question entrusted to the ALJ who is obligated to develop the record fully. (quotation omitted)). 31 Yancey acknowledges that the ALJ generally has discretion in deciding whether to issue a subpoena, but contends that the claimant has an absolute due process right to subpoena a reporting physician whenever the claimant seeks to cross-examine that physician. Yancey relies on the Supreme Court case of Richardson v. Perales, 402 U.S. 389, 91 S.Ct. 1420, 28 L.Ed.2d 842 (1971), and cases from other circuits that see Perales as supportive of such an absolute right. See Lidy v. Sullivan, 911 F.2d 1075 (5th Cir.1990); Coffin v. Sullivan, 895 F.2d 1206 (8th Cir.1990). 32 The government counters by arguing that we should accept the reasoning of Flatford v. Chater, 93 F.3d 1296 (6th Cir.1996). Citing certain pragmatic factors, the case of Mathews v. Eldridge, 424 U.S. 319, 96 S.Ct. 893, 47 L.Ed.2d 18 (1976), as well as the Perales case, the Flatford court held that due process does not require an ALJ to subpoena a reporting physician whenever a claimant so requests. The court reasoned that the issuance of subpoenas should be left to the sound discretion of the ALJ, who is charged with the obligation to develop the record fully. See Flatford, 93 F.3d at 1307. 33 In Perales, the Supreme Court addressed the question of what process was due with regard to the use of physician's reports in a social security disability hearing. See 402 U.S. at 389-408, 91 S.Ct. 1420. Generally, due process requires that a social security disability hearing must be full and fair. See id. at 401-02, 91 S.Ct. 1420. The Perales Court noted that, in one sense, there is a property right to a claim to social security benefits and went on to state that consideration of what procedures due process may require under any given set of circumstances must begin with a determination of the precise nature of the government function involved as well as of the private interest that has been affected by governmental action. Id. at 402-03, 91 S.Ct. 1420 (citation and quotation omitted). 34 The Perales Court held that a written report prepared by a physician who had examined the claimant may be received as evidence in a disability hearing, 35 and, despite its hearsay character and an absence of cross-examination, and despite the presence of opposing direct medical testimony and testimony by the claimant himself, may constitute substantial evidence supportive of a finding by the hearing examiner adverse to the claimant when the claimant has not exercised his right to subpoena the reporting physician and thereby provide himself with the opportunity for cross-examination. 36 Id. at 402, 91 S.Ct. 1420. Although the Court mentioned the right to subpoena, it never specifically addressed whether this right was limited or absolute. The Perales Court indirectly acknowledged the ALJ's discretion in these matters by noting that the admission of consultative physicians' reports did not threaten the integrity or fairness of the administrative proceeding in light of the fact that such reports are subject to cross-examination as may be required for a full and true disclosure of the facts. Id. at 410, 91 S.Ct. 1420. 37 As noted above, some circuits have relied on Perales as a basis for holding that when a claimant requests that a reporting physician be subpoenaed to testify, that claimant enjoys an absolute due process right to have the subpoena issued. See Lidy, 911 F.2d at 1077 (holding that a claimant requesting that a reporting physician be subpoenaed has an absolute due process right to cross-examine such physician); Coffin, 895 F.2d at 1212 (holding that due process requires that a claimant be given the opportunity to cross-examine and subpoena the individuals who submit reports). 38 In contrast, after reviewing Perales and analyzing the requirements of procedural due process within the framework set forth in Eldridge, the Sixth Circuit recently held that due process does not require the Commissioner to issue a subpoena and allow a claimant to cross-examine a reporting physician upon request. See Flatford, 93 F.3d at 1305. 39 Flatford involved a disability claimant who was deemed to have retained the ability to perform sedentary work and therefore was denied disability benefits. See 93 F.3d at 1299. Prior to this determination, Flatford had submitted interrogatories to a reporting physician and, after receiving the physician's answers, requested that the physician be subpoenaed for cross-examination. The ALJ denied the request pursuant to 20 C.F.R. § 404.950(d)(1) after finding that the record was fully developed. See id. Flatford appealed the denial of the subpoena to the Sixth Circuit, arguing that a claimant has an absolute due process right to subpoena and cross-examine a medical advisor. Id. 40 In resolving this question, the Sixth Circuit applied the analytical framework from Eldridge. 8 The court noted that the private interests involved in a disability case are the claimant's interest in a meaningful opportunity to present his case and a fair determination of whether he was qualified for disability benefits. See id. at 1306. Citing the non-adversarial nature of administrative adjudications, the court noted that the need to allow for cross-examination of every reporting physician is less crucial to the fairness and accuracy of the ALJ's decision than it would be in an adversarial context. See id. The court also found that the danger of inaccurate medical information or biased opinions was not so great as to cause concern that the claimant might erroneously be denied benefits if not given the opportunity to cross-examine the answering physician. See id. Finally, the court considered the burdensome effects of the costs of paying reporting physicians to testify in every case, as well as the likely decline in physicians willing to provide reports with the knowledge that a subpoena would follow virtually every report submitted. See id. 41 The Flatford court concluded that the requirements of due process are satisfied by providing a claimant with the opportunity to cross-examine a reporting physician where reasonably necessary to a full development of the evidence in the case. Id. at 1307; see also Wallace, 869 F.2d at 191 (holding that an ALJ must afford a claimant an opportunity to cross-examine the authors of any post-hearing medical reports where such cross-examination is necessary to the full presentation of the case); 20 C.F.R. § 404.950(d)(1). Recognizing that the issuance of a subpoena was a matter committed to the discretion of the ALJ, the Sixth Circuit went on to examine whether the ALJ abused his discretion in Flatford's case, and concluded that he had not. Flatford, 93 F.3d at 1307. 42 We agree with the rule adopted by the Sixth Circuit. Applying that rule to the case before us, we find no abuse of discretion by the ALJ. The ALJ (1) allowed Yancey a fair and meaningful opportunity to present her case and (2) had no indication that Dr. Wong's (or any physician's) reports were inaccurate or biased or that subpoenaing Dr. Wong would have added anything of value to the proceedings. Yancey was given ample opportunity to submit medical evidence to support her claim of disability. Indeed, Yancey submitted records from her first physician, Dr. Schoen, as well as from subsequent treating physicians, including Dr. Wong. 43 The ALJ provided an opportunity for Yancey to obtain and submit a final written report from Dr. Wong prior to the second administrative hearing. Dr. Wong replied to the request for this report and stated that, given the lack of objective symptoms, he did not believe Yancey suffered from SLE. The denial of Yancey's request to subpoena Dr. Wong did not threaten the fairness and accuracy of the ALJ's decision, which was expressly based on the entire record, including all of Dr. Wong's consistent reports. Significantly, Dr. Wong never diagnosed Yancey as having SLE and consistently found a lack of objective evidence to support such a finding. Dr. Wong's testimony therefore would have provided only redundant information and would not have aided the ALJ in making his determination. 44 Moreover, we agree that practical concerns strongly militate against adopting a rule establishing an absolute right to subpoena reporting physicians. We are particularly concerned that to accept, as a matter of law, that a disability claimant has an absolute right to subpoena a reporting physician would unnecessarily increase the financial and administrative burdens of processing disability claims while diluting the ALJ's discretion in how he develops the record. 45 In Yancey's case, the ALJ appropriately compiled the record, considered all the evidence and determined that the record was fully adequate to adjudicate the case and that there was no need to subpoena Dr. Wong. The ALJ had before him medical reports from numerous sources, including Dr. Schoen, who had first diagnosed SLE in 1989, as well as two physicians who, along with Dr. Wong, subsequently examined Yancey and opined that she did not suffer from disabling SLE or arthritis. After weighing the evidence, the ALJ found that although Yancey suffered from multiple pains and fatigue, she did not have an impairment or combination of impairments listed in the pertinent regulations. Under these circumstances, we believe that there was no deprivation of due process as the ALJ acted well within his discretion by refusing to subpoena Dr. Wong.