Wells v. Astrue

727 F.3d 1061, 2013 WL 4405723, 2013 U.S. App. LEXIS 17173
CourtCourt of Appeals for the Tenth Circuit
DecidedAugust 19, 2013
Docket12-6234
StatusPublished
Cited by416 cases

This text of 727 F.3d 1061 (Wells v. Astrue) 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.

Bluebook
Wells v. Astrue, 727 F.3d 1061, 2013 WL 4405723, 2013 U.S. App. LEXIS 17173 (10th Cir. 2013).

Opinion

BALDOCK, Circuit Judge.

In a social security disability or Supplemental Security Income (SSI) case, an administrative law judge (ALJ) must evaluate the effect of a claimant’s mental impairments on her ability to work using a “special technique” prescribed by the Commissioner’s regulations. 20 C.F.R. §§ 404.1520a(b)-(d), 416.920a(b)-(d). At step two of the Commissioner’s five-step analysis, 1 this special technique requires the ALJ to determine whether the mental impairment is “severe” or “not severe.” Id. §§ 404.1520a(d), 416.920a(d). But the regulations also instruct that even if the ALJ determines that a claimant’s medically determinable mental impairments are “not severe,” he must further consider and discuss them as part of his residual functional capacity (RFC) analysis at step four. See id. §§ 404.1545(a)(2), 416.945(a)(2). The question is, how much further discussion of a non-severe impairment is required at step four?

This issue, frequently encountered in social security disability appeals, has resulted in a number of recent unpublished dispositions in this court reaching divergent results. 2 Notwithstanding the divergence in these decisions, the Commis *1065 sioner’s regulations, together with the rulings interpreting those regulations, providers with the appropriate path to follow here. These regulations inform us, first, that in assessing the claimant’s RFC, the ALJ must consider the combined effect of all of the claimant’s medically determinable impairments, whether severe or not severe. See 20 C.F.R. §§ 404.1545(a)(2), 416.945(a)(2). Second, the Commissioner’s procedures do not permit the ALJ to simply rely on his finding of non-severity as a substitute for a proper RFC analysis. See Social Security Ruling (SSR) 96-8p, 1996 WL 374184, at *4 (July 2, 1996) (noting that criteria used at steps two and three of the analysis to evaluate mental impairments are “not an RFC assessment,” and that “[t]he mental RFC assessment used at steps 4 and 5 of the sequential evaluation process requires a more detailed assessment by itemizing various functions contained in the broad categories found in paragraphs B and C of the adult mental disorders listings in 12.00 of the Listing of Impairments, and summarized on the [Psychiatric Review Technique Form].”). Finally, and most importantly, the ALJ’s “RFC assessment must include a narrative discussion describing how the evidence supports each conclusion, citing specific medical facts ... and nonmedical evidence.” Id. at *7.

Here, the ALJ found that Ms. Wells’ alleged mental impairments were medically determinable but non-severe. He then used language suggesting he had excluded them from consideration as part of his RFC assessment, based on his determination of non-severity. The Commissioner urges us to “uphold the ALJ’s determination that ... [Ms.] Wells did not have a severe mental impairment” and that he therefore had no obligation “to include additional work restrictions in his RFC finding.” Aplee. Br. at 23. Under the regulations, however, a finding of non-severity alone would not support a decision to prepare an RFC assessment omitting any mental restriction. 3

The ALJ did go on to discuss Ms. Wells’ mental functioning, to some extent, in the credibility portion of his RFC analysis. His discussion, though far from systematic, may have been adequate to fulfill his duty at step four' to determine her mental RFC. In this particular case, however, the specific conclusions he reached in this portion of his analysis were unsupported by substantial evidence. Accordingly, we must reverse the district court’s affirmance of the ALJ’s decision and remand to the district court with instructions to remand to the Commissioner for further proceedings at step four.

*1066 In addition to our reversal and remand on the mental impairment issue, we conclude that the ALJ should re-evaluate Ms. Wells’ alleged physical limitations on reaching and handling. We find no reversible error in other aspects of the ALJ’s decision. These include his rejection of a physician’s assistant’s report, his evaluation of her past relevant work (PRW), and his evaluation of the effect of her symptoms, including pain, on her ability to work.

BACKGROUND

1. Prior History of this Case

This case has a complex procedural history. Ms. Wells filed her first application for disability and SSI benefits in 1994. The Commissioner denied benefits and she did not seek judicial review.

On April 7, 2000, Ms. Wells filed a second application for disability benefits. After her application was denied, she obtained a hearing before an ALJ. He determined that she was engaged in substantial gainful activity (SGA) during all time periods relevant to the application and issued an unfavorable step-one ruling in 2001. Ms. Wells requested review from the Appeals Council.

While her request for review was pending, Ms. Wells filed a third application for disability and SSI benefits with a protective filing date of October 8, 2002, alleging a disability onset date of December 1, 2001. An ALJ issued an unfavorable decision on this third application in December 2004. Ms. Wells requested review of the ALJ’s decision from the Appeals Council.

On December 19, 2005, the Appeals Council granted her requests for review from both the second and third applications. It vacated both hearing decisions, consolidated the cases, and remanded them for further proceedings.

On August 24, 2006,' an ALJ held a supplemental hearing on the consolidated cases. At the hearing, Ms. Wells amended her alleged onset date to April 25, 1997, based on the res judicata effect of the denial of her first application. The ALJ issued an unfavorable decision on the consolidated cases. Ms. Wells sought review from the Appeals Council. On May 19, 2008, the Appeals Council again vacated the ALJ’s decision and remanded for further proceedings.

2. Decision Currently on Review

In August 2009, Ms. Wells received a second supplemental hearing before yet another ALJ. At this hearing, Ms. Wells again amended her disability onset date, this time to October 31,1999.

On November 16, 2009, the ALJ issued the decision that is now before us. At step one of the five-step sequential evaluation process, he determined that during calendar year 2005, Ms. Wells had engaged in SGA. She was therefore ineligible for benefits for calendar year 2005. 4 For the time period October 31, 1999, to December 31, 2004, however, and for the time period beginning December 31, 2005 through the date of his decision, the record was insufficient to show that Ms. Wells had engaged in SGA. The ALJ therefore found that she had satisfied her step-one burden as to those time periods, and he proceeded to step two of the process. For steps two through five, he divided his decision into two parts, each containing a separate analysis.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Cite This Page — Counsel Stack

Bluebook (online)
727 F.3d 1061, 2013 WL 4405723, 2013 U.S. App. LEXIS 17173, Counsel Stack Legal Research, https://law.counselstack.com/opinion/wells-v-astrue-ca10-2013.