Istre v. Apfel

208 F.3d 517, 2000 U.S. App. LEXIS 6725, 2000 WL 328359
CourtCourt of Appeals for the Fifth Circuit
DecidedApril 13, 2000
Docket99-30136
StatusPublished
Cited by29 cases

This text of 208 F.3d 517 (Istre v. Apfel) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Istre v. Apfel, 208 F.3d 517, 2000 U.S. App. LEXIS 6725, 2000 WL 328359 (5th Cir. 2000).

Opinion

JERRY E. SMITH, Circuit Judge:

Elmo Istre appeals an order of the district court remanding his disability-benefits claim for further consideration by the Social Security Appeals Council. Because we agree with Istre that the remand comported with neither type of remand approved by the Social Security Act, we vacate and remand to the district court for further consideration.

I.

Istre applied for supplemental security income disability benefits. An administrative law judge (“ALJ”) determined that Istre suffers from chronic obstructive lung disease and chronic lower back pain, which are severe impairments, but, relying on the testimony of a vocational expert, held that Istre is not fully disabled, because he is able to perform certain sedentary work functions.

Istre requested review of the ALJ’s ruling by the Appeals Council and provided additional evidence- — a psychological assessment and hospital records. The Appeals Council denied review, noting that its consideration of the new evidence did not provide a basis for altering the ALJ’s determination. This rendered the ALJ’s determination the final decision of the Social Security Commissioner.

Istre sued, seeking review of the Commissioner’s decision. After the Commissioner answered, Istre moved for summary judgment, requesting reversal of the Commissioner’s decision and the award of benefits, or remand to the agency for further consideration of the evidence he had submitted to the Appeals Council. In response, the Commissioner moved for remand, pursuant to the fourth sentence of 42 U.S.C. § 405(g), for further administrative proceedings — namely, for the ALJ “to obtain consultative general medical and mental status examinations with pulmonary function studies and psychological testing and functional assessments.” The *519 Commissioner desired reevaluation of Is-tre’s residual functional, capacity in light of his mental impairments, which included alcoholism. Istre then opposed the motion for remand and requested reversal of the Commissioner’s decision, with any remand for the sole purpose of determining the amount of benefits.

The magistrate judge recommended granting the Commissioner’s motion for remand and denying Istre’s summary judgment motion, because Istre had “failed to prove his entitlement to benefits by a clear preponderance of the evidence.” The district court independently reviewed the record, adopted the magistrate judge’s report, denied Istre’s summary judgment motion, and remanded, purportedly pursuant to the fourth sentence of § 405(g), for further agency action.

II.

In this context — the appeal by a complainant to the district court of a denial of benefits by the Appeals Council — a district court may remand to the Appeals Council in only two circumstances:

[W]e [have] examined closely the language of § 405(g) and identified two kinds of remands under that statute: (1) remands pursuant to the fourth sentence, and (2) remands pursuant to the sixth sentence. The fourth sentence of § 405(g) authorizes a court to enter a judgment affirming, modifying, or reversing the decision of the Secretary, with or without remanding the case for rehearing....
The sixth sentence of § 405(g) ... describes an entirely different kind of remand. The district court does not affirm, modify, or reverse the Secretary’s decision; it does not rule in any way as to the correctness of the administrative determination. Rather, the court remands because new evidence has come to light that was not available to the claimant at the time of the administrative proceeding and that evidence might have changed the outcome of the prior proceedings. The statute provides that following a sentence six remand, the Secretary must return to the district court to file with the court any such additional or modified findings of fact and decision, and a transcript of the additional record and testimony upon which his action in modifying or affirming was based.
... While we did not state explicitly [in our former cases] that these were the only kinds of remands permitted under the statute, we do so today.

Melkonyan v. Sullivan, 501 U.S. 89, 97-99, 111 S.Ct. 2157, 115 L.Ed.2d 78 (1991) (internal citations and quotation marks omitted).

The Court also specified requirements for a remand under these two sentences of § 405(g) to be considered legally effective:

The parties agree that the remand order in this case was not entered pursuant to sentence four, as the District Court did not affirm, modify, or reverse the Secretary’s decision. We concur. The District Court did not make any substantive ruling; it merely returned the case to the agency for disposition, noting that both parties agreed to this course.
... [T]he sixth sentence of § 405(g) requires a showing of “good cause” for the failure to present the additional evidence in the prior proceeding^ here] the District Court did not rule explicitly that such a showing had been made. The Secretary also notes that the District Court did not manifest any intent to retain jurisdiction, as would be the case under sentence six, but rather remanded to the agency “for all further proceedings.”

Id. at 98-99, 111 S.Ct. 2157 (internal citations and some quotation marks omitted). Hence, certain requisites must be met if a remand is to fit under sentence four or sentence six, and the Supreme Court has explained firmly that, if the remand does *520 not fit into either category, it is not proper. See also Richard v. Sullivan, 955 F.2d 354 (5th Cir.1992) (following Melkonyan).

Accordingly, we must decide whether the district court’s remand fits within sentence four or six. The record illustrates that it does not fit within sentence six. The Commissioner explicitly asked for a determination under sentence four, and the magistrate judge and district judge explicitly granted remand under that sentence. The orders contained no explicit findings that good cause existed to consider new evidence or that the court retained jurisdiction. The remand did not therefore occur properly under sentence six.

Attention then turns to sentence four. In Melkonyan, the district court had issued an order stating, in its entirety, that “[djefendant’s motion to remand, concurred in by plaintiff, is granted. The matter is remanded to the Secretary for all further proceedings.” 501 U.S. at 92, 111 S.Ct. 2157. The Court found that this order did not satisfy the requirements of sentence four, because “the District Court did not make any substantive ruling; it merely returned the case to the agency for disposition.” Id. at 98, 111 S.Ct. 2157.

The instant ease presents a factually indistinguishable situation. The district court ordered that “[f]or the reasons stated in the Report and Recommendation of the Magistrate Judge ... It is [ordered] that ...

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208 F.3d 517, 2000 U.S. App. LEXIS 6725, 2000 WL 328359, Counsel Stack Legal Research, https://law.counselstack.com/opinion/istre-v-apfel-ca5-2000.