Quang v. NGUYEN, Plaintiff-Appellant, v. Donna E. SHALALA, Secretary of Health and Human Services, Defendant-Appellee

43 F.3d 1400, 1994 U.S. App. LEXIS 36782, 1994 WL 719713
CourtCourt of Appeals for the Tenth Circuit
DecidedDecember 30, 1994
Docket94-6177
StatusPublished
Cited by83 cases

This text of 43 F.3d 1400 (Quang v. NGUYEN, Plaintiff-Appellant, v. Donna E. SHALALA, Secretary of Health and Human Services, Defendant-Appellee) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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Quang v. NGUYEN, Plaintiff-Appellant, v. Donna E. SHALALA, Secretary of Health and Human Services, Defendant-Appellee, 43 F.3d 1400, 1994 U.S. App. LEXIS 36782, 1994 WL 719713 (10th Cir. 1994).

Opinion

EBEL, Circuit Judge.

Social security claimant Quang Nguyen appeals the district court judgment reversing the Secretary’s denial of disability benefits and remanding the case for additional medical evidence. Because the record contains substantial evidence to support the Secretary’s decision, and because the case was improperly remanded under 42 U.S.C. § 405(g), we reverse and remand to the district court, with directions to vacate its remand order and to enter judgment in favor of the Secretary. 1

Mr. Nguyen applied for disability benefits in September 1990, alleging that he was unable to work due to a visual impairment. Mr. Nguyen remained substantially employed, however, until at least June 15, 1991. Medical reports were submitted dating back to 1986. In August 1986, Dr. Roland Walters reported that Mr. Nguyen’s vision was 20/25 in the right eye and 20/20 in the left eye, without correction. R. II at 184.

In May 1987, Dr. Lawrence diagnosed Mr. Nguyen with a detached retina in his left eye and performed surgery. A week later, Mr. Nguyen was released to return to work. Id. at 212, 220. In July 1987, Dr. Lawrence’s *1402 examination revealed that Mr. Nguyen was suffering from postoperative astigmatism in the left eye. Dr. Lawrence indicated that he could refract Mr. Nguyen to 20/25 in his left eye, with some astigmatism remaining. Id. at 221. At that time, Dr. Lawrence refused to sign a form declaring Mr. Nguyen legally blind in his left eye, explaining that with correction, the vision in his left eye was 20/25. Id. at 222. In November 1987, Dr. Lawrence found Mr. Nguyen’s visual acuity to be 20/200 in the left eye with correction, and 20/40 in his right eye without correction. Id. at 225.

Dr. Lawrence again examined Mr. Nguyen in May 1988. The results of this examination are not entirely clear, as the record contains conflicting information. One report states that, without correction, Mr. Nguyen’s eyesight was 20/800 in his left eye and 20/200 in his right eye, but that with correction his vision was 20/25 in the left eye and 20/20 in the right eye. Id. at 227. Other documents state that his corrected vision was 20/800 in the left eye and 20/200 in the right eye. Id. at 228-29.

In October 1990, Mr. Nguyen was examined by Dr. Shepherd, who found his vision to be 20/200 in the left eye and 20/100 in the right eye, with correction. Dr. Shepherd noted that there was no fundoscopic abnormality in Mr. Nguyen’s right eye, and no objective reason for decreased vision in that eye. Id. at 232-34. The record also contains an optometrist’s notation, dated January 2, 1991, that Mr. Nguyen’s vision was 20/800 OS and 20/200 OD, but there is no indication whether this was based on an independent examination. Id. at 235.

Dr. Lawrence reexamined Mr. Nguyen in May 1991 and found his corrected vision to be 20/400 in both the left and right eyes. All other tests were normal, and Dr. Lawrence stated that he could not explain the decreased vision in either eye based on any obvious clinical pathology. Id. at 237, 248. He later opined, based on his examination, that there was no physiological problem with Mr. Nguyen’s right eye, and suggested a consultative examination with a neuro-op-thamologist. Id. at 181.

A hearing was held before an administrative law judge (ALJ) in February 1992. After the hearing, the ALJ notified Mr. Nguyen that further information was necessary, and requested that he undergo examinations by an ophthalmologist and a mental health specialist. Mr. Nguyen refused to attend both examinations. Id. at 251-54. The ALJ then issued his decision, finding that Mr. Nguyen failed to show that he suffered from a visual impairment, and that, therefore, he was not disabled. The Appeals Council denied review.

Mr. Nguyen brought this action in the United States District Court for the Western District of Oklahoma, and the case was referred to a magistrate judge. Approximately four months after filing her answer, the Secretary moved to remand the case to obtain additional evidence. Noting the equivocal nature of Mr. Nguyen’s evidence, the magistrate judge found that the Secretary had shown good cause for her motion and recommended that judgment be entered in favor of Mr. Nguyen and that the case be remanded “pursuant to 42 U.S.C. § 405(g), sentence 4.” . R.I., doc. 23. The district court adopted the magistrate judge’s report and recommendation, reversing the Secretary and remanding, pursuant to sentence four of § 405(g), for further proceedings. Id., doc. 25. This appeal followed. 2

We review de novo the district court’s decision to reverse the Secretary, applying the same standards as those employed by the district court. See Sierra Club v. Lujan, 949 F.2d 362, 367 (10th Cir.1991). Judicial review of the Secretary’s decision is limited to a determination whether her factual findings are supported by substantial evidence and whether she applied the correct legal standards. Castellano v. Secretary of Health & Human Servs., 26 F.3d 1027, 1028 (10th Cir.1994).

*1403 By statute, the district court’s authority to remand a social security case is limited to three carefully delineated circumstances. See 42 U.S.C. § 405(g); Melkonyan v. Sullivan, 501 U.S. 89, 99, 111 S.Ct. 2157, 2168, 115 L.Ed.2d 78 (1991). The court may remand the case after passing on its merits and issuing a judgment affirming, reversing, or modifying the Secretary’s decision, a “sentence four” remand. Id. at 98, 111 S.Ct. at 2163; 42 U.S.C. § 405(g). Alternatively, the court may remand the case without ruling on the merits if (a) the Secretary requests remand, for good cause, prior to filing her answer; or (b) new and material evidence comes to light, and there is good cause for failing to incorporate such evidence in the earlier proceeding. 42 U.S.C. § 405(g). These are “sentence six” remands. Melkonyan, 501 U.S. at 100 & n. 2, 111 S.Ct. at 2164 & n. 2.

It is not immediately clear whether the remand in this case was made pursuant to sentence four or sentence six of § 405(g). Mr. Nguyen contends that because the remand was made in response to the Secretary’s motion, it was a “sentence six” remand.

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43 F.3d 1400, 1994 U.S. App. LEXIS 36782, 1994 WL 719713, Counsel Stack Legal Research, https://law.counselstack.com/opinion/quang-v-nguyen-plaintiff-appellant-v-donna-e-shalala-secretary-of-ca10-1994.