Court Opinion

ID: 9467943
Source: CourtListenerOpinion
Date Created: 2023-08-05 02:00:22.630583+00
Date Added: 2024-06-11T17:40:36.342608
License: Public Domain

MESKILL, Circuit Judge
(dissenting):
The majority today relies on a concrescence of inapplicable and apparently unrelated judge-made rules to avoid the strictures of the “substantial evidence” scope of review. Because I believe that none of *117these rules is applicable, and because I fear that the Court is increasingly involving itself in the business of orthopedics, I dissent.
I.
Frank Aubeuf without question suffers from a bad back which prevents him from returning to the heavy work to which he is accustomed. This ailment manifests itself objectively, by restricting the claimant’s ability to lift, bend, sit and twist, and subjectively, by causing him pain. Other than the dispute concerning Aubeuf’s ability to walk without restriction — a point which I will discuss later — there seems to be little argument over the objective limitations upon the claimant’s movement. Instead, as the majority correctly points out, the question is whether his physical restrictions, together with the accompanying pain, constitute an “impairment” which prevents Aubeuf from returning to any form of substantial gainful activity. Unlike the majority, I believe that substantial evidence supports the AU’s finding that “[t]he claimant retains the residual functional capacity to engage in sustained work activity as a security person.”
Section 405(g), incorporated by § 421(d), states that “[t]he findings of the Secretary as to any fact, if supported by substantial evidence, shall be conclusive . . . . ” 42 U.S.C. § 405(g) (1976). Substantial evidence means “such relevant evidence as a reasonable man might accept as adequate to support a conclusion.” Consolidated Edison Co. v. NLRB, 305 U.S. 197, 229, 59 S.Ct. 206, 217, 83 L.Ed. 126 (1938). See Richardson v. Perales, 402 U.S. 389, 401, 91 S.Ct. 1420, 1427, 28 L.Ed.2d 842 (1971); Bastien v. Califano, 572 F.2d 908, 912 (2d Cir. 1978). Given these rather straightforward standards, one would imagine that the task of this Court would be to examine whether there was sufficient evidence in the record to substantiate the AU’s finding of disability. Instead, the majority invokes a series of inapplicable legal rules in an attempt to invert the statutory burden of proof on the issue of impairment.
First, the majority claims that the ALJ erred “by applying a requirement that the claimant ‘conclusively establish’ through objective clinical findings a ‘neurological abnormality’ or ‘mechanical derangement of the spine’ which would establish a cause for [Aubeuf’s] intense pain.” Had the ALJ so required, I would be in full support of reversal. It is settled that “subjective pain may serve as the basis for establishing disability, even if such pain is unaccompanied by positive clinical findings or other ‘objective’ medical evidence.” Marcus v. Califano, 615 F.2d 23, 27 (2d Cir. 1979); Hankerson v. Harris, 636 F.2d 893, 895 (2d Cir. 1980); McLaughlin v. Secretary of HEW, 612 F.2d 701, 704 (2d Cir. 1980). See generally Cutler v. Weinberger, 516 F.2d 1282, 1286-87 (2d Cir. 1975). But the assailed language, taken from one paragraph of the ALJ’s decision, was directed only at the claimant’s objective symptomology, and concludes only that there is no readily identifiable neurological basis for Aubeuf’s pain. The following paragraph, concerned with the existence of the pain itself, states in pertinent part:
The claimant’s chief problem then, stemming from his injury in August of 1975, has been lumbosacral strain, the consequence of which has been a certain degree of discomfort. The ultimate issue to be decided in this case, is whether the claimant would be precluded from returning to any form of substantial gainful activity, due to the existence of a disabling impairment, including pain. It is true that pain, in of itself, may be disabling. However, as is the case with any other allegation, the assertion of pain is subject to review in light of all of the evidence in the case.
This approach is perfectly consistent with our prior decisions. See Miles v. Harris, 645 F.2d 122, 124 (2d Cir. 1981); Vega v. Harris, 636 F.2d 900, 904 (2d Cir. 1981) (per curiam); Marcus v. Califano, supra, 615 F.2d at 27. Indeed, in Marcus this Court stated that while subjective evidence of pain should be considered,
[i]t also is clear, however, that the Secretary is not obliged to accept without *118question the credibility of such subjective evidence. The AU has discretion to evaluate the credibility of a claimant and to arrive at an independent judgment, in light of medical findings and other evidence, regarding the true extent of the pain alleged by the claimant.
Id. at 27 (citations omitted).
Second, the majority contends that “[djoubtless as a result of [the ALJ’s] erroneous view of the law” set forth above, he failed to follow the rule that “[t]he expert opinions of a treating physician as to the existence of a disability are binding on the fact finder unless contradicted by substantial evidence to the contrary.” Bastien v. Califano, supra, 572 F.2d at 912. In the first place, it is not at all clear that Drs. Smyth and Kalmarides were in fact Aubeuf’s “treating physicians”; indeed, the majority suggests that Dr. Brod occupied that role. Presumably, the reason that a treating physician’s opinion is given such weight is the experience gained from repeated observation and treatment of the patient. The record reveals that Drs. Smyth and Kalmarides were consulted only a few times in connection with a workman’s compensation claim arising out of a job-related injury at the plant of a previous employer. But putting that question aside, the more significant issue surrounds the word “disability.” “Disability” means different things to different people; to the Secretary, it means the “inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months .. . . ” 42 U.S.C. § 423(d)(1) (1976). The “expert medical opinions” in this case, which were issued in the context of a workmen’s compensation dispute, state that “[a]t the moment [Aubeuf] is partially disabled moderate to marked in degree” and that Aubeuf is “temporary [sic] totally disabled.” The latter opinion continues, almost incomprehensibly, “The prognosis should be good eventually for a basis for a permanent partial disability, mild in character.” The statute does not provide for such degrees of disability; it speaks in absolutes. Obviously, a treating physician’s opinion that a patient is disabled should be accorded weight only if there is some showing that the doctor was using the appropriate standard of disability. By the very language of the medical opinions in this case it is clear that we do not have apples and apples.
Having determined that the “expert opinions” in this case deserve no procedural favors, it is clear that substantial evidence supports the ALJ’s determination that Aubeuf does not suffer a “physical impairment” which prevents him from doing any work. The ALJ could have reasonably relied on Aubeuf’s ability to perform his daily routine,1 together with his testimony and demeanor2 at the hearing, to conclude that Aubeuf did not suffer from disabling pain.
*119II.
I agree with the majority that after Aubeuf demonstrated that his back injury prevented him from returning to his former work, the burden then shifted to the Secretary to “produce evidence to show the existence of alternative substantial gainful work which exists in the national economy and which the claimant could perform, considering not only his physical capability, but as well his age, his education, his experience and his training.” Parker v. Harris, 626 F.2d 225, 231 (2d Cir. 1980). The Secretary satisfied this burden by producing an expert witness who testified that Aubeuf could, despite his impairments, work as a security guard. The majority levels three criticisms at this determination; none is persuasive.
First, the majority points out that the vocational expert testified in response to hypothetical questions and argues that a “vocational expert’s testimony is only useful if it addresses whether the particular claimant, with his limitations and capabilities, can realistically perform a particular job.” To the extent that this criticism suggests that asking hypothetical questions is per se an inappropriate means for eliciting expert vocational testimony, I have found no decision in our Circuit to support this proposition. But more important, the hearing transcript reveals that the vocational expert in this case was clearly familiar with “the particular claimant”:
Q. Have you reviewed the exhibits in this case?
A. Yes, I have.
Q. And based on your review of those exhibits and the testimony of the claimant, what is his vocational background?
A. His vocational background is varied. He’s done farm work; he’s done cooking; he’s done stock handling; he was a set-up man, shop steward, utility man; and he ran a variety of machines; and also worked as — in landscaping.
The occupational significant [sic] of eye-hand coordination, making decisions concerning repairs, directing people, knowledge of machines.
From a physical demands point of view it involves bending, reaching, lifting, stooping, seeing, feeling, talking.
Q. Okay. Thank you. Now, I want you to assume that the claimant’s back impairment limits his ability to bend, severely, that his ability to sit for prolonged periods is limited, that he has a normal ability to use his arms and hands, and that he is capable of walking, that there’s no restriction on walking.
Now, given those limitations, are there any jobs he can perform, considering his background?
A. Yes.
Q. And what are these jobs?
A. It precludes all of the work that he’s had previously.
Q. Anything else he could do, notwithstanding those limitations?
A. Yes. He can work as a security person.
It is clear that this vocational expert was not offering merely abstract and hypothetical testimony.
Second, the majority suggests that the ALJ erred in positing that the claimant’s ability to walk was “unrestricted.” In the first place, the vocational expert, who was familiar with Aubeuf’s records and who was present during Aubeuf’s testimony, certainly understood that “unrestricted” did not mean literally “without any restriction.” Indeed, few persons could match such a physical profile. Rather, “unrestricted” was used in a vocational sense, with the demands of “light” work3 in mind. *120Viewed in this context, the ALJ’s statement concerning the absence of walking restrictions was proper and supported by the record. For example, Aubeuf testified that, although walking causes him pain, the pain does not limit his ability to walk:
Q. So when you walk you’re in pain?
A. Oh, yes. My pain never stops.
Q. Well, does it limit your ability to walk?
A. No, because I force myself.
When asked whether there was any job he could do despite his impairment, Aubeuf responded, “Well, the best thing, I think, is, you know, a job walking around . . . . ” On this basis, the ALJ could reasonably have accepted the expert’s conclusion that Aubeuf’s ailment, while causing him some pain during walking, did not restrict his ability to perform the walking duties of a security guard.
Finally, the majority states that the vocational expert’s description of the duties of a security guard “did not provide substantial evidence for the AU’s implicit conclusion that Mr. Aubeuf would not be required to bend during the course of his security guard duties, or for his explicit conclusion that Mr. Aubeuf would be able to alternate between sitting, standing, and walking” during the course of his security work. There is no authority for this novel proposition. Bastien v. Califano, supra, which is cited in support of the point, involved an AU’s vague conclusion, in the absence of expert vocational testimony, that the claimant appeared able to perform “jobs of a light and sedentary nature such as that of a checker.” 572 F.2d at 911. This Court held that an AU could not, on the basis of his own lay experience, reasonably conclude that a claimant has a given job capability “without providing a job description clarifying the nature of the job . . . . ” Id. at 912-13. The whole point, it seems to me, is to require the Secretary to produce expert vocational evidence that a claimant who cannot return to his former job can nevertheless do other work that exists in the national economy. See Parker v. Harris, supra, 626 F.2d at 233-34 (in absence of expert vocational testimony, Secretary’s conclusion that claimant could perform “light or sedentary” work was unjustified).
III.
As the district court observed, “[djenying statutory benefits to people in need of assistance is an unpleasant task.” Once again, in the name of compassion this Court has flouted statutorily imposed standards concerning our scope of review. As I recently stated in dissent:
The temptation to blur the distinction between individual need and statutory eligibility is strong; but our authority as judges often fails to match our sympathy for our fellow human beings. Absent constitutional transgressions, we have no more power to disregard the substantive and procedural eligibility limitations built into legislative benefit schemes than we have to change the nature and scope of the benefits themselves. It should not be otherwise. By in effect trying cases de novo at the district court and even court of appeals level, as the majority does here, we reduce the entire administrative process to a mere rehearsal for the actual determination, thereby ensuring that we will be seeing an ever-increasing number of these cases in the courts in the years to come.
Singletary v. Secretary of HEW, 623 F.2d 217, 220 (2d Cir. 1980) (Meskill, J., dissenting) (footnote omitted). This prophecy is fast becoming reality, and today’s decision will only serve to exacerbate the problem. I dissent.

. The majority observed that “[t]he activities described by Mr. Aubeuf are not inconsistent with the painful back injury observed by his treating physicians . .. . ” (Emphasis added.) While such an observation may be sufficient to warrant reversal where the ALJ is contradicting a treating physician’s opinion of disability, it is a patently inappropriate standard — certainly not the “substantial evidence” standard — by which to overturn the ALJ’s finding in the absence of such a medical opinion. Whatever this standard is, it is not the “substantial evidence” scope of review.

. The majority suggests that observation of a claimant’s demeanor “raises serious questions with respect to the propriety of subjecting claimants to a ‘sit and squirm index,’ and with respect to rendition by the ALJ of an expert medical opinion which is beyond his competence.” (Footnotes omitted.) Until now, it has been settled in this Circuit that, in assessing subjective pain, an ALJ may rely in part upon observations of a claimant’s outward appearance during the hearing. See Miles v. Harris, 645 F.2d 122, 124 (2d Cir. 1981); Vega v. Harris, supra, 636 F.2d at 904. Moreover, in Vega, the court specifically rejected the argument that the ALJ’s observation of the claimant results in a rendition of lay medical opinion:
In assessing the credibility of [the claimant’s] testimony as to pain, the ALJ, by observing her ability to move her joints, did not interject a lay medical opinion.
Id. at 904. In suggesting that such a policy fosters a “sit and squirm index” the majority *119seems to underestimate the ability of ALJs, who hear hundreds of these cases, to see through a claimant’s contrived limps and winces. An ALJ, like any other trier of fact, should be allowed to consider this factor for what it is worth; in many cases, of course, the ALJ will conclude that it is worth very little.

. The vocational expert classified the physical demands of various jobs as “light,” “medium,” or “heavy.” It is clear from the expert’s testimony that he was considering only “light” work for the claimant. ■