Weston v. Colvin
1:16-cv-00272
W.D.N.Y.Sep 25, 2017Background
- Plaintiff Phadra V. Weston applied for SSI (Title XVI) on April 21, 2010, alleging disability from mental and physical conditions; ALJ Weir denied benefits after hearings and assigned an RFC permitting simple, repetitive work with limited contact.
- Appeals Council remanded, finding the administrative record incomplete and directing the ALJ to obtain additional evidence (including consultative psychological testing and clarity about past relevant work).
- On remand, the ALJ held a supplemental hearing (March 14, 2014); he called a state agency psychologist (Dr. Sharon Kahn) who testified from an incomplete record, and a vocational expert testified. ALJ again denied benefits on October 2, 2014.
- Plaintiff argued the ALJ failed to develop the record (missing Lake Shore Behavioral Health records from 2012–2014), improperly relied on Dr. Kahn’s stale and biased opinion, and improperly evaluated treating psychiatrist Dr. Hong Rak Choe’s opinions.
- The district court found the record incomplete, Dr. Kahn’s testimony unreliable and tainted by bias, and ordered remand for further development: obtain missing Lake Shore records, send MRFC questionnaires to treating psychiatrists, obtain updated records, and provide an in-person consultative psychological exam.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| 1. ALJ duty to develop the record / comply with Appeals Council remand | Weston: ALJ failed to obtain Lake Shore records (2012–2014) despite counsel notifying the ALJ and the Appeals Council’s remand directive; record therefore incomplete. | Commissioner: ALJ had no obligation beyond existing record or any step taken at hearing. | Court: ALJ failed to make reasonable efforts to obtain missing records; remand required to complete administrative record. |
| 2. Reliance on non-examining expert (Dr. Kahn) | Weston: Dr. Kahn’s opinion was based on an incomplete record and she admitted it would change if she reviewed missing records; thus it cannot be substantial evidence. | Commissioner: ALJ permissibly relied on Dr. Kahn’s state-agency opinion. | Court: Dr. Kahn’s opinion was based on an incomplete record and cannot constitute substantial evidence; ALJ erred by giving it great weight. |
| 3. Admissibility and weight of Dr. Kahn’s testimony (bias) | Weston: Dr. Kahn displayed hostility and sweeping, prejudicial generalizations about mental illness, undermining impartiality and fairness; ALJ should not have relied on her. | Commissioner: Testimony of an expert called by the ALJ is permissible; no reversible bias. | Court: Found Dr. Kahn’s testimony tainted by bias; ALJ’s reliance was manifestly prejudicial; reversal required. |
| 4. Treatment of treating psychiatrist opinion (Dr. Choe) | Weston: ALJ failed to properly develop facts about Dr. Choe’s treatment timeline and misapplied the treating-source rule without necessary clarifications. | Commissioner: Record reflects Dr. Choe’s treatment through April 2010 and ALJ sought clarification. | Court: Record ambiguous re chronology and continuity of treatment; remand required to clarify treatment history and to permit proper application of treating-source rules. |
Key Cases Cited
- Green-Younger v. Barnhart, 335 F.3d 99 (2d Cir. 2003) (standard for district-court review of Commissioner findings is substantial evidence and proper legal standards)
- Tejada v. Apfel, 167 F.3d 770 (2d Cir. 1998) (reviewing court must examine record supporting and detracting from administrative findings)
- Byam v. Barnhart, 336 F.3d 172 (2d Cir. 2003) (deferential review does not apply to legal conclusions)
- Moran v. Astrue, 569 F.3d 108 (2d Cir. 2009) (ALJ’s duty to develop the record even when claimant is represented)
- Peed v. Sullivan, 778 F. Supp. 1241 (E.D.N.Y. 1991) (Social Security hearings are non‑adversarial; ALJ must ensure a full hearing)
- Gold v. Secretary of Health, Educ. & Welfare, 463 F.2d 38 (2d Cir. 1972) (reiterating non‑adversarial nature of hearings)
- Echevarria v. Secretary of Health & Human Servs., 685 F.2d 751 (2d Cir. 1982) (ALJ obligation to ensure claimant receives full hearing)