F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
MAR 6 2003
FOR THE TENTH CIRCUIT
PATRICK FISHER
Clerk
MARJORIE R. SMITH, Widow of
Harry A. Smith,
Plaintiff - Appellant,
v. No. 02-3110
(D.C. No. 00-CV-2466-DJW)
JO ANNE B. BARNHART, (D. Kansas)
Commissioner of Social Security
Administration,
Defendant - Appellee.
ORDER AND JUDGMENT *
Before KELLY , McKAY , and O’BRIEN , Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1(G). The case is therefore
ordered submitted without oral argument.
*
This order and judgment is not binding precedent, except under the
doctrines of law of the case, res judicata, and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
Appellant Marjorie Smith challenges the decision of the Commissioner
denying her benefits as a widow or surviving divorced spouse. We reverse and
direct the award of benefits.
Background
Marjorie Smith was married to Harry Smith in Kansas on September 28,
1957. They had four children, born on September 15, 1958, June 19, 1962,
April 13, 1966, and January 12, 1971, respectively. Harry was a wanderer and
spent extended periods of time away from home. Harry and Marjorie last lived
together in April of 1970, when their last child was conceived. This last child
was listed on her birth certificate as Harry’s legitimate child. Although Harry
and Marjorie separated, Marjorie was never aware of any efforts by Harry to
divorce her.
Nonetheless, during a prior period of separation, Harry purported to marry
Earlene Pratt on November 11, 1966. Harry and Earlene were then divorced on
October 19, 1969. They had no children together. After this divorce, Harry
returned for a period of time to Marjorie, when they conceived their last child
together.
Following Harry and Marjorie’s separation in April of 1970, Harry married
Elva Calbraith on March 27, 1971. They had a child together. Harry remained
married to Elva until his death on June 10, 1977, in Oklahoma.
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Upon Harry’s death, both Marjorie and Elva applied for benefits for their
children. Only Harry’s legitimate children were eligible for benefits. Because
Harry resided in Oklahoma at the time of his death, the Social Security
Administration (SSA) applied Oklahoma law to determine the relationship of the
parties. Oklahoma law presumes the validity of the latest in a series of marriages,
such that earlier marriages are presumed to have ended in divorce absent evidence
to the contrary. See Norton v. Coffield , 357 P.2d 434, 437 (Okla. 1960). In this
proceeding, there was no evidence Marjorie and Harry had divorced, but because
of his itinerant lifestyle, neither was there conclusive evidence that he had not
obtained a divorce in one of the many counties where he had resided.
Accordingly, the SSA presumed that Marjorie’s marriage had ended in divorce
prior to Harry’s second marriage on November 11, 1966. This meant that all of
Marjorie’s minor children except her last child were eligible for benefits. Elva
was determined to be Harry’s legal widow, and her child was determined to be
eligible for benefits. Marjorie did not appeal this ruling.
In 1996, the SSA informed Marjorie that she was eligible for widow’s
benefits. The SSA later realized it had made an error and revoked the benefits,
and Marjorie sought a hearing to determine whether she should be eligible for
either widow’s benefits or surviving divorced spouse benefits. To be eligible for
benefits as a surviving divorced spouse, Marjorie would need to show that she
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had been married to Harry for at least ten years. See 42 U.S.C. § 416(d)(2). The
Administrative Law Judge (ALJ) denied the request for a hearing on grounds of
res judicata, reasoning that the 1978 SSA decision precluded a finding that
Marjorie was Harry’s legal widow, as well as a finding that their marriage had
lasted ten years.
The Appeals Council determined that res judicata did not prevent
adjudication of whether Marjorie was a surviving divorced spouse, as this issue
had not been explicitly addressed in the 1978 SSA decision. The 1978 decision
did not directly weigh the equities of Harry’s (first) marriage to Marjorie against
Harry’s (second) marriage to Earlene. Rather, the comparison there was with
Harry’s (third) marriage to Elva, which lasted through his death and produced a
child. The Appeals Council determined that it would not be inconsistent with this
earlier adjudication to weigh the presumption differently when comparing Harry’s
first and second marriages versus comparing his first and third marriages.
The Appeals Council ordered the ALJ to hold a hearing on the matter, and
specifically directed the ALJ to (1) determine the length of Marjorie’s marriage to
Harry and (2) search the records of a number of counties where Harry was known
to have lived to determine if there was any record of divorce.
On remand, the ALJ found no record of a divorce in any of the counties
where Harry was known to have resided. However, the ALJ determined that it
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was impossible to know with certainty all the counties in which Harry lived and to
search for a divorce record in those counties. While there was some equivocation
in the ALJ’s analysis, in the body of the decision the ALJ predicted that the
Oklahoma courts would have presumed the validity of the second marriage and
accordingly presumed that Harry’s marriage to Marjorie ended prior to
November 11, 1966, citing Marcum v. Zaring , 406 P.2d 970 (Okla. 1965). The
Appeals Council then adopted this conclusion.
Analysis
We review the ALJ’s decision to determine if the factual findings are
supported by substantial evidence and if the correct legal standards were applied.
Castellano v. Sec’y of Health & Human Servs. , 26 F.3d 1027, 1028 (10th Cir.
1994). We need not defer to an ALJ’s interpretation of state law. Smereczynski
v. Sec’y of Health & Human Servs. , 944 F.2d 296, 299 (6th Cir. 1991). When an
ALJ declines review based on res judicata principles, this court lacks jurisdiction
to review that decision. Brown v. Sullivan , 912 F.2d 1194, 1196 (10th Cir. 1990).
Here, however, while the ALJ initially cited administrative res judicata, the
Appeals Council directed the ALJ to consider new evidence, thus effectively
reopening the matter. Taylor ex rel. Peck v. Heckler , 738 F.2d 1112, 1114-15
(10th Cir. 1984). Accordingly, we are free to review the ALJ’s decision on the
merits. Id.
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We conclude that while Marcum v. Zaring does share some similarities with
the instant case, the differences are more significant, especially in light of the
policy rationale behind Oklahoma’s presumption. When viewed in the context of
other case law applying the presumption, we conclude that Oklahoma courts
would have found Marjorie and Harry to have been married at least through April
of 1970. Therefore, Marjorie should have been found eligible for benefits as a
surviving divorced spouse.
Both Marcum and the earlier case of Norton v. Coffield applied the
presumption to conclude that an earlier marriage was ended by divorce, thus
permitting a valid second marriage. However, in both cases the court emphasized
(1) the length of the marriage, and (2) whether there were children born into the
marriage as determinative factors. See Norton , 357 P.2d at 438 (“[T]he passage
of time and recognition and acknowledgment of the validity of the marriage under
attack strengthens the presumption that said marriage is valid, and when the
legitimacy of children of said marriages is at stake the presumption is further
strengthened.”); Marcum , 406 P.2d at 973 (presumption of validity of second
marriage increases with passage of time and the birth of children).
In those cases, the latter marriage carried greater weight with respect to
these factors. See Norton , 357 P.2d 436 (finding last marriage valid where it
lasted thirty-three years and resulted in three children, as opposed to earlier
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marriage which lasted under two years and resulted in one child); Marcum ,
406 P.2d at 971, 972-73 (finding second marriage valid where it lasted ten years
and resulted in four children, as opposed to first marriage which produced no
children).
By contrast, in Puntka v. Puntka , 50 P.2d 1092 (Okla. 1935), a husband
successfully argued that he had never been married to his common-law wife
because she had never ended her prior, ceremonial marriage. Id. at 1092-93.
There had been a child in the prior marriage. Id. The second husband’s
presentation of competent evidence that there had been no divorce in that first
marriage was sufficient to defeat the presumption of validity with respect to the
second marriage. Id. at 1093.
In Harrison v. Burton , 303 P.2d 962 (Okla. 1954), the husband and wife
had been divorced but then reunited, and they held themselves out as husband and
wife. Id. at 963. The husband then married another woman in a ceremony
approximately five days before a fatal car accident in which both the husband and
his second wife were killed. Id. Inheritance issues required determination of the
validity of the second marriage. In concluding that the existence of the first
marriage precluded a valid second marriage, the court emphasized that the
presumption in favor of the validity of a second marriage is rebuttable, and that
the party opposing the validity of the second marriage “is not required to make
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plenary proof of a negative averment.” Id. at 964 (quotation marks and citation
omitted).
In Harrison , the testimony establishing the common-law marriage of
husband and wife (following their reunion) was uncontradicted, therefore the
court concluded that the parties alleging the validity of the second marriage were
not entitled to rely on the presumption. Id.
Similarly, in the instant case, the factors of duration (at a minimum nine
years as opposed to three) and children (four children as opposed to zero) weigh
heavily in Marjorie’s favor. Further, there was no testimony or evidence
contradicting Marjorie’s assertion that there had never been a divorce.
It is also worth noting that Oklahoma courts have been somewhat
inconsistent in assessing the burden of proof against the party attacking the
marriage. Compare Puntka , 50 P.2d at 1093 (some, competent evidence sufficient
to eliminate the presumption), with Norton , 357 P.2d at 439 (evidence must be
“clear, strong, and unequivocal”). The consistent rationale underlying these
different applications, however, is that the presumption is rebuttable, and the
strength of the rebuttal evidence must mirror the apparent strength of the validity
of the marriage. See Norton , 357 P.2d at 439 (“[W]hether the person attacking a
marriage has introduced sufficient evidence to overcome the presumption of
validity of the marriage depends upon the length of time that the attacked
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marriage has continued, whether a successful attack will in effect bring about an
adjudication that children of the marriage under attack are illegitimate, and other
facts.”). Here, the evidence of the validity of Harry’s second marriage is not so
overwhelming (in that it lasted only three years and produced no children) that
Marjorie should be required to meet it with overwhelming rebuttal evidence.
As expressed in the above decisions, one of the central policy rationales for
Oklahoma’s presumption in favor of the validity of marriages is to promote a
finding that children of a union are legitimate. Application of that rationale in
this case supports the conclusion that Harry and Marjorie were married at least
through the conception of their last child in April of 1970.
Accordingly, the judgment of the United States District Court for the
District of Kansas is REVERSED, and the district court shall enter an order
granting surviving divorced spouse benefits to Marjorie Smith.
Entered for the Court
Monroe G. McKay
Circuit Judge
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