Andersen v. Astrue

319 F. App'x 712
Court of Appeals for the Tenth Circuit·Decided April 3, 2009·No. 05-4305·Unpublished·Cited by 58 cases

Opinions

ORDER AND JUDGMENT**

JEROME A. HOLMES, Circuit Judge.

Claimant Terry D. Andersen appeals from the district court’s order affirming the decision of the Social Security Commissioner to deny his application for disability insurance benefits (“DIB”). Mr. Andersen argues on appeal that the administrative law judge (“ALJ”) failed to properly evaluate the opinions of his treating physicians, posed inadequate hypothetical questions to the vocational expert, and erred in finding Mr. Andersen not totally credible. We exercise jurisdiction under 28 U.S.C. § 1291 and 42 U.S.C. § 405(g) and conclude that the ALJ erred by failing to follow the proper procedures for considering the opinions of Mr. Andersen’s treating physicians. Accordingly, we REVERSE and REMAND for further proceedings.

I. BACKGROUND

Mr. Andersen protectively filed for DIB under Title II of the Social Security Act in [716] August of 2000. He claimed he had been unable to work since May 4, 1993, primarily due to fatigue and shortness of breath following three open heart surgeries and related impairments that include aortic valve disease, several mini-strokes, and blindness in his left eye. After his application was denied both initially and upon reconsideration, he requested and received a hearing before an ALJ.

The hearing focused on the evidence surrounding Mr. Andersen’s abilities on December 31, 1998, which was the date on which Mr. Andersen’s insurance for disability benefits expired, in determining Mr. Andersen’s residual functional capacity (“RFC”) for purposes of steps four and five of the now-familiar sequential evaluation process. See, e.g., Williams v. Bowen, 844 F.2d 748, 750-52 (10th Cir.1988). Following the hearing, the ALJ agreed that Mr. Andersen had severe impairments due to his history of mitral valve disease and rheumatic heart disease, his chronic obstructive pulmonary disease, and left eye blindness. However, the ALJ concluded that Mr. Andersen could perform a significant range of light work, and because there were jobs in the national economy that he could perform, he was not under a disability as defined in the Social Security Act.

In reaching this conclusion, the ALJ embraced the opinion of the non-examining, agency physician, who discounted “several disability forms” from “the remote past” that indicated Mr. Andersen could perform no work or was limited to sedentary work. ApltApp. at 18. The agency physician also concluded that these forms “were not substantiated by the objective evidence and were entitled to little weight.” Id. The agency physician found Mr. Andersen to have an RFC for light exertional work based solely on a review of his medical records. The ALJ appeared to concur with all of these opinions of the agency physician.

The ALJ also reviewed reports from Mr. Andersen’s treating physicians, although not accepting the conclusions of these physicians as the ALJ had done with the agency physician’s opinion. The ALJ observed that the medical records from Mr. Andersen’s treating physician for 1998 were “very vague, sparse, and not suggestive of disability.” ApltApp. at 20. The ALJ also described — and apparently rejected — two treating physician opinions from June 1999 and September 2000. In June 1999, Mr. Andersen’s primary care physician opined that Mr. Andersen was disabled. However, the ALJ determined “there are no clinical reports to show this,” noting as well that the form showed only mild or moderate symptoms. Id. In September 2000, Mr. Andersen’s cardiologist completed a form indicating severe restrictions with respect to how much Mr. Andersen could stand or walk in the workplace, but the ALJ described the assessment as “very confusing” and “inconsistent.” Id.

In light of these assessments, the ALJ concluded, at the fifth step of the applicable sequential process, that Mr. Andersen had an RFC for a limited range of light work and was capable of performing jobs that are available in significant numbers in the national economy.1 The ALJ cited “the sparse and mild medical reports” and Mr. Andersen’s lack of specific memory of his capabilities in 1998 during his testimony in 2002 in reaching the conclusion that [717] Mr. Andersen had failed to provide proof of total disability. Id.

The Appeals Council denied Mr. Andersen’s request for review, rendering the ALJ’s decision the final decision of the Commissioner. Bowman v. Astrue, 511 F.3d 1270, 1272 (10th Cir.2008). Mr. Andersen then filed this action in federal court, and the district court affirmed the ALJ’s decision. In part, the district court held that the ALJ sufficiently discussed the opinions of Mr. Andersen’s treating physicians and provided specific, legitimate reasons for rejecting them.' The district court also concluded that there was no duty to recontact Mr. Andersen’s cardiologist about inconsistencies in his opinion because the record as a whole was adequate for a decision. The district court found sufficient indication that the ALJ reviewed the numerous echocardiogram and heart catheterization results, noting both that the ALJ appeared to rely on these results at step two in the applicable process and that the ALJ found that Mr. Andersen had severe impairments. This appeal followed.

II. DISCUSSION

In our review of the ALJ’s decision, we must determine if the ALJ has “applied the correct legal standards” and also if the ALJ’s “factual findings are supported by substantial evidence in the record viewed as a whole.” Frantz v. Astrue, 509 F.3d 1299, 1300 (10th Cir.2007) (internal quotation marks omitted). “The agency’s failure to apply correct legal standards, or show us it has done so, is [ ] grounds for reversal.” Hamlin v. Barnhart, 365 F.3d 1208, 1214 (10th Cir.2004).

In reviewing the ALJ’s decision, we may “neither reweigh the evidence nor substitute our judgment for that of the agency.” Frantz, 509 F.3d at 1300 (internal quotation marks omitted). We must avoid a “post hoc effort to salvage the ALJ’s decision,” lest we “overstep our institutional role and usurp essential functions committed in the first instance to the administrative process.” Robinson v. Barnhart, 366 F.3d 1078, 1084-85 (10th Cir.2004) (internal quotation marks omitted). Indeed, we should evaluate an ALJ’s decision “based solely on the reasons stated in the decision.” Id. at 1084.

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Andersen v. Astrue, 319 F. App'x 712 (10th Cir. 2009).

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