2009 D e c i sion s O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit 12-7-2009 

# Li s a Mira bi le v . C omm S o c i al S ecurity P r e c e de nt i al or N on-P r e c e de nt i al : N on-P r e c e de nt i al D ocke t N o . 09-1446

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w . vi ll anova . e du . Re c omme nde d C it at ion " L i s a Mir a b i le v . C omm S oc i al S e c urity " (2009). 2009 D e cisio n s . P ape r 135. http://d i git alc ommon s .l a

w . vi ll anova . e du/thir dc ir c uit_2009/135NOT P RE CE DE NT I AL UN I TED STATES CO UR T OF A PP EALS F O R T H E T H IR D C IR C U IT N o. 09- 1446 LI SA M I RA BI LE, A ppel l ant v. CO M M I SS I ON ER O F S OC I AL SECU RI TY A p p ea l from the U n it ed S tat es D istri ct C o u rt forthe D i s tr i ctof N ew J er s ey ( D . C . C i vi l N o. 07- cv- 03102) D i s tr i ctJ udge: H onor abl e J oel A . Pi s ano Subm i t t ed U nderT hi r d C i r cui tL A R 34. 1( a)

N ovember17, 2009 B efore: R E N D E L L , B A R R Y and C H A G A R E S , C i rcui tJudg es.

( Fi l ed: D ece m ber7, 2009) OPI NI ON O F THE COURT R E N D E L L , C i r cui tJudge .

L i s a M i r abi l e appe al s fr om the D i s tr i ctC our t ’ s or deraff i r m i ng a fi nal admi ni s tr at i ve ac t i on of the C om m i s s i onerof Soci al Secur i ty( the “Com m i s s i oner ”) . T he D i s tr i ctC our taff

i r m ed the C om m i s s i oner ’ s deci s i on thatM i r abi l e w as notdi s abl ed andT h e D istric t C o u rt o p in io n m iss tate s th e a lleg e d o n se t d a te a s A p ril 1 , 2 0 0 4 . (D ist. 1 C t. O p . 2 . ) 2 th u s n o t en tit led to d isa b ili tyin su ra n c e b e n e f its u n d e r T itl e II o r S u p p lem e n tal S e c u rity I ncome underT i t l e X V I of the Soci al Secur i tyA ct . T he C om m i s s i oner ’ s deci s i on w as bas ed on the dec i s i on of A dm i ni s tr at i ve Law J udge ( “A L J ”) J ohn Far l eyon D ece m ber21, 2006, w hi ch found thatM i r abi l e, butforhers ubs t ance abus e di s or der , r et ai ned the r es i dual funct i onal capa ci ty( “R FC ”) t o per form herpas tr el evantw or k and s o w as not d isab led. M ir ab il e a p p ea ls th e D istri ct C o u rt ’s ord er o n the g rou n d s tha t th e A L J’s f in d in g w a s n o t s u p p o rt e d b ys u b s ta n tia l e v id e n c e . Th e ALJ ’ s f

i n d i n g wa s s u p p o r t e d b ys u b s t a n t i a l e v i d e n c e , a n d s o we wi l l a f f i r m. I. O n Oct ob e r27 , 20 04 , M i r a bi l e fi l e d a di s a bi l i tybe ne fi t s c l a i m and a n SSI appl i cat i on, i n w hi ch s he al l eged di s abi l i tydue t o a bi pol ardi s or der , depr es s i on, and a s oci al anxi etydi s or der , w i th an ons etdat e of A pr i l 1, 2003. T he C om m i s s i onerdeni ed 1 the di s abi l i tybenef

i t s cl ai m and the SSI appl i cat i on i ni t i al l yon J anuary31, 2005, and u p o n re c o n s id e ra tio n o n A p ri l 6 , 2 0 0 5 . M ir a b ile th e n re q u e s te d a h e a ri n g b e f o re a n A L J . A hear i ng w as hel d befor e A L J Far l eyon A ugus t2, 2006. A L J Far l eyconcl uded that M i r abi l e w as notdi s abl ed bec aus e he f ound thatbutforhers ubs t ance abus e di s or der , s he r et ai ned the R FC t o per form herpas tr el evantw or k as a mot or cy cl e s al es per s on, a j ob s he had hel d fr om 1992 t o 1999. T he A L J ’ s deci s i on beca m e the C om m i s s i oner ’ s fi nal3

deci s i on on M ay5, 2007, w hen the A ppeal s C ounci l deni ed M i r abi l e’ s r eques tforr evi ew o f th e A L J ’s d e c is io n . II. A n ind ividu al m ayo b tai n rev iew in f ed era l distri ct co u rto f th e C o m m issi o n er’s fi nal deci si on i f t he d eci si on w as m ade af t er a heari ng t o w hich the indi vidual w as a p a rt y . 4 2 U .S .C . § 4 0 5 (g ). W e h a v e a p p e lla te ju ri s d ic tio n p u rs u a n t to 2 8 U .S .C . § 1 2 9 1 . W e e x erc ise p lena ryrev iew o v er the A L J’s ap p li ca ti o n o f th e law , an d rev iew the A L J’s fi ndi ngs of fa ctt o det erm i ne i f theyar e s uppor t ed by“s ubs t ant i al evi dence . ” P oul os v. C om m ’ rof

Soc. Sec. , 474 F. 3d 88, 91 ( 3d C i r . 2007) . “Subs t ant i al evi dence ” nee d notbe a p re p o n d e ra n c e o f

th e e v id e n c e , b u t itm u st b e “ su c h re lev a n t ev id e n c e a s a re a so n a b le m i nd m i ghtacc eptas adequa t e t o s uppor ta conc l us i on. ” R i char ds on v. P er al es , 402 U .S . 3 8 9 , 4 0 1 (1 9 7 1 ). T he s t atut oryt erm “di s abi l i ty ” i ndi cat es an “i nabi l i tyt o engage i n anys ubs t ant i al gai nful act i vi tybyr eas on of anym edi cal l ydet erm i nabl e phy s i cal orm ent al i m pai r m ent w hi ch ca n be expe ct ed t o r es ul ti n death orw hi ch has l as t ed orcan be expec t ed t o l as tfor a c o n t i n u o u s p e r i o d o f

n o tl e s s th a n 1 2 mon th s . ” 4 2 U. S. C. § 4 2 3 ( d ) ( 1 ) ( A) . To det erm i ne i f a pe r s on i s “di s abl ed, ” the C om m i s s i onerappl i es a fi ve- s t ep s equent i al anal y s i s s etfor th i n 20 C . F. R . §§ 404. 1520 and 416. 920. I f a f i ndi ng of di s abi l i tyornondi s abi l i tycan be m ade a tanys t ep of the s equent i al anal y s i s , the cl ai m w i l l notbe rev iew ed fu rth er. 20 C . F . R . § § 4 0 4 . 1 5 2 0 (a) an d 4 1 6 . 9 2 0 (a). O n lythe f ir st fo u r st ep s are4

re le v a n t h e re . Ats t e p o n e , th e Co mm i s s i o n e rwi l l f i n d n o n - d i s a b i l i tyu n l e s s th e c l a i ma n ts h o ws thats he i s notengage d i n any“s ubs t ant i al gai nful act i vi ty . ” 20 C . F. R . §§ 404. 1520( b) and 416. 920( b) . I f the cl ai m anti s notengage d i n s ubs t ant i al gai nful act i vi ty , then the C om m i s s i onerw i l l fi nd non- di s abi l i tyats t ep tw o unl es s the cl ai m ants how s thats he has a “s ever e” i m pai r m entorcombi nat i on of i m pai r m ent s . 20 C . F. R . §§ 404. 1520( c) and 416. 920( c) . I f a s ever e i m pai r m entorcombi nat i on of i m pai r m ent s i s pr es ent , the C om m i s s i onerw i l l cons i derats t ep thr ee w hetherthe cl ai m anthas an i m pai r m entor combi nat i on of i m pai r m ent s w hi ch meet s orm edi cal l yequal s anyi m pai r m entl i s t ed i n 20 C . F. R . Par t404, Subpar tP, A ppendi x 1 ( the “Li s t i ngs ”) . 20 C . F. R . §§ 404. 1520( d) and 416. 920( d) . I f the cl ai m ant ’ s i m pai r m entdoes m eeta l i s t ed i m pai r m ent , then the cl ai m anti s pr es um pt i vel ydi s abl ed. I f the cl ai m ant ’ s i m pai r m entdoes notm eeta Li s t ed im p a irm e n t, th e n th e C o m m iss io n e r a ss e ss e s th e c laim a n t’s R F C to b e u se d in th e f o u rth a n d f if th s te p s o f

th e e v a lu a tio n . 2 0 C .F .R . § § 4 0 4 .1 5 2 0 (a )( 4 ),( e ) a n d 4 1 6 .9 2 0 (a )( 4 ),( e ). A ts t ep four , the C om m i s s i onerw i l l fi nd non- di s abi l i tyunl es s the cl ai m antdemonstr at es thatgi ven herR FC s he i s unabl e t o per form anyof herpas tr el evantw or k. 20 C . F. R . §§ 4 0 4 .1 5 2 0 (e ),( f

) a n d 4 1 6 .9 2 0 (e ),( f

). III . H e re , the A L J a p p lied th e sta n d a rd f iv e -ste p a n a ly sis f

o r e v a lu a tin g d isa b ili ty c laim s. W ith re g a rd to ste p o n e , the A L J f o u n d th a t M ira b ile h a d n o t en g a g e d in5

s ubs t ant i al act i vi tys i nce he ral l eged ons etof di s abi l i tydat e. W i th r egar d t o s t ep tw o, t he A L J fo u n d that M ir ab il e’s b ipo lar disord er a n d su b stan ce ab u se d isord er w ere sev ere i m pai rm ent s . W i th r egar d t o s t ep thr ee, the A L J det erm i ned thatherbi pol ardi s or derand su b sta n c e a b u se d iso rd e r m e t L istin g s 1 2 .0 4 A (3 )/B (1 ,2 ) (b ip o lar d iso rd e r re su lti n g in m arked r es tr i ct i on of ac t i vi t i es of dai l yl i vi ng and mar ked di ffi cul t i es i n m ai nt ai ni ng s oci al funct i oni ng) and 12. 09B ( s ubs t ance addi ct i on di s or derl eadi ng t o depr es s i ve s yn d ro m e ). 2 0 C .F .R . P a rt 4 0 4 , S u b p a rt P , A p p e n d ix 1 . H ow ever , ats t ep thr ee, the A L J al s o det erm i ned thatM i r abi l e coul d n o t be cons i der ed di s abl ed bec aus e hers ubs t ance abus e w as a contr i but i ng fac t orthatw as m at er i al t o herhavi ng m etthe Li s t i ngs . I n cas es i nvol vi ng drug oral cohol addi ct i on, “[a ] n i ndi vi dual s hal l notbe cons i der ed t o be di s abl ed . . . i f al cohol i s m ordrug addi ct i on w o u ld (b u t fo r th is sub p ara g rap h ) be a c o n tr ibu ti n g fa ctor m aterial to the C o m m issi o n er’s det erm i nat i on thatthe i ndi vi dual i s di s abl ed. ” 42 U . S. C . § 423( d) ( 2) ( C ) . I n as s es s i ng M ira b ile’s R F C f

o r p u rp o se s o f

ste p f o u r a n d f iv e , the A L J f

o u n d th a t if M ira b ile “sto p p ed the s u b stan ce u se, [sh e] w o u ld h av e the residu al fu n cti o n al ca p ac ityto p erf o rm the bas i c ment al demands of c om pet i t i ve, r emuner at i ve w or k on a s us t ai ned bas i s . ” ( J oi nt A pp. 18. ) B as ed on thi s fi ndi ng, ats t ep fourthe A L J concl uded thatM i r abi l e w oul d be abl e t o per form pas tr el evantw or k as a bookkee per , part s m anage r , and s al es per s on, and s o f o u n d th a t M ir a b ile w a s n o t d is a b le d . T h e issu e o n ap p ea l, there fo re, i s w h ethe r sub stan ti al ev iden ce su p p o rt s the A L J’s6

f in d in g th a t M ira b ile’s su b sta n c e a b u se p ro b lem s w e re a c o n trib u tin g f a c to r m a ter ial to the di s abi l i tydet erm i nat i on. I ti s cl earthatther e i s s ubs t ant i al evi dence t o s uppor tthe fi ndi ngs both t hatM i r abi l e had a s ubs t ance abus e di s or derdur i ng the r el evantper i od and thathers ubs t ance abus e w as a fa ct orthatw as m at er i al t o heri m pai r m ent s m eet i ng the L is tin g s . T he Soci al Secur i tyA dm i ni s tr at i on advi s es adj udi cat or s as s es s i ng w hetheran in d iv id u a l’s s u b sta n c e a b u se p ro b lem s w e re a f a c to r m a ter ial to th e d isa b ili ty det erm i nat i on that“[t ] he mostus eful evi dence . . . i s thatr el at i ng t o a per i od w hen the i ndi vi dual w as notus i ng drugs / al cohol . ” Soci al Secur i tyA dm i ni s tr at i on, Q ues t i ons and A ns w er s C oncerni ng D A A fr om the 07/ 02/ 96 T el econf er ence , N o. E M - 96200 ( A ug. 30, 1 9 9 6 ). T h e re is s u b sta n tial e v id e n c e in th e re c o rd th a t d e m o n stra tes th a t w h e n M ira b ile is notabus i ng drugs oral cohol s he i s capa bl e of w or ki ng. A l l thr ee r eport s compl et ed by doct or s thatar e i n t he r ecor d s uppor tthi s fi ndi ng, and ther e i s no m edi cal evi dence i n the re c o rd th a t s u g g e s ts o th e rw is e . Fi r s t , fr om M ar ch 2nd t o M ar ch 9th, 2004, M i r abi l e s penta w eek a tR i vervi ew M edi cal C ent er , dur i ng w hi ch t i m e s he w as s een byD r . M ohamm ed H y der i , a s t aff ps y chi atr i s t . H e r eport ed thatM i r abi l e w as “verydeep i nt o drugs . . . pol y s ubs t ance d e p e n d e n ta n d e v e r yc h a n c e s h e g e t s s h e u s e s th e d ru g s . . . th e p a t i e n th a s h a d p r o b l e ms w i th s ubs t ance abus e s i nce a ge 13 t o 18. ” ( J oi ntA pp. 78. ) H e al s o not ed, how ever , t hat aft ergoi ng i nt o a r ehabi l i t at i on fac i l i tyatei ght een s he “c ame outverys ucce s s ful l y ” and7

f o llo w e d th a t ti m e in th e re h a b ili tatio n f a c ili tyw ith “ 7 y e a rs o f

so b rie tyw ith f

in a n c ially and s oci al l ys ucce s s ful l i fe. ” ( J oi ntA pp. 78. ) D r . H y der i ’ s r eports uppor t s the fi ndi ng th a tM i r a b i l e ’ s s u b s t a n c e a b u s e wa s a ma t e r i a l f a c t o rt o th e d i s a b i l i tyd e t e r mi n a t i o n . He e v e n c o n c lu d e s h is re p o rt b yn o tin g th a t “w h e n sh e is in th e g o o d , so b e r p e rio d s, sh e is v erysu cc essf

u l and tho u g h tfu l and p rod u cti v e.” (Jo int A p p . 7 9 . ) S e c o n d , o n M a rc h 1 5 , 2 0 0 4 , M ira b ile w a s a d m itt e d to C P C B e h a v io ra l H e a lth C a re (“ C P C ” ) f

o r a n “ in te n s iv e o u tp a tie n t” tr e a tm e n t p ro g ra m f o r s u b s ta n c e a b u s e is s u e s . H e rp a t i e n ttyp e w a s l i s t e d a s “ A l c o h o l / D ru g A b u s e r . ” ( J o i n tA p p . 1 3 3 . ) H e r“ p r i m a r y” drug w as l i s t ed as “M ar i j uana/ H as hi s h” and the admi t t ance r eports t at es thats he us es her pr i m arydrug dai l y . ( J oi ntA pp. 135. ) H er“s econda ry ” drug i s l i s t ed as “C r ack” and the rep o rtstat es th at sh e u ses it “[l]ess tha n w ee k ly . ” (Jo int A p p . 1 3 5 . ) T h e a d m issi o n rep o rt al s o not es thatM i r abi l e had be en tr eat ed i n an emer gencyr oom foral cohol ordrug pr obl ems i n the pas t30 day s . ( J oi ntA pp. 136. ) A ft erthi s i ni t i al admi s s i on t o the tr e a tm e n t p ro g ra m , s h e s p e n t th e n e x t s e v e n m o n th s in o u tp a tie n t c a re th ro u g h C P C . M ir ab il e w as d isch arg ed fro m C P C in N o v em b er 2 0 0 4 , b ec au se, ac co rdin g to C P C ’s D i s char ge R eport , “[n] o cont i nui ng s ubs t ance abus e tr eatm ent[w as ] neede d. ” ( J oi nt A pp. 138. ) I n D ece m ber2004, atthe end of herper i od of outpat i enttr eatm entthr ough C PC , s he w as exami ned byD r . H ugh M oor e, l i cens ed ps y chol ogi s t . D r . M oor e not ed that M i r abi l e had va r i ous “s ym pt om s of depr es s i on and anxi ety . ” ( J oi ntA pp. 100. ) B uthe a lso f o u n d th a t M ira b ile w a s b a sic a llyc o m p e ten t to “ re late to a n d in ter a c t ap p ro p ria tely8

w i th other s ” and thatherpr obl ems w er e not“s i gni fi cantenough t o i nt er fer e w i th the claim an t’ s ab il ityto f

u n cti o n o n a d ail yb asis. ” (Jo int A p p . 1 0 2 . ) T h e f ac t th at D r. M o o re r eport ed thatM i r abi l e’ s m ent al heal th i s s ues di d notpr eventherfr om i nt er act i ng appr opr i at el yand func t i oni ng on a dai l ybas i s –aft ers he had gone thr ough s i gni fi cantdrug rehabi l i t at i on –p rovi des supp ortfor the finding t hat M i rabi l e’s subst ance a bu se w as a m a te ri a l f

a c to r t o th e in itia l d is a b ility d e te rm in a tio n . Fi nal l y , the Ps y chi atr i c R evi ew T echni que and M ent al R es i dual Funct i onal C a p a c ityA ss e ss m e n t co m p lete d b yD r. Ja n ice D ru c k e r in Ja n u a ryo f 2 0 0 5 , als o sh o rtly af ter th e se v en -m o n th stret ch o f d rug reh ab il it ati o n , co n clud es in a sim il ar f ash ion . D r. D ru c k e r c o n c lu d e s th a t M ira b ile is “ n o t sig n if ica n tlylim ited ” in a n yo f th e tw e n ty d iffe ren t abili ti es e v alua ted b ythe A sses sm en t. (Join t A p p . 1 0 4 -05 . ) D r. D ruc k er’s r eportal s o pr ovi des s uppor tforthe fi ndi ng thatM i r abi l e’ s s ubs t ance abus e w as a mat er i al f a c to r t o th e in itia l d is a b ility d e te rm in a tio n . T h ese three d o ctor rep o rt s are the o n lyev iden ce o f re co rd re g ard ing M ir ab il e’s l evel of di s abi l i tyw hen notus i ng drugs and/ oral cohol , and al l thr ee pr ovi de s ubs t ant i al s u p p o r tf o rth e f i n d i n g th a th e rd ru g a b u s e i s ma t e r i a l t o th e d i s a b i l i tyd e t e r mi n a t i o n . No m ed ical rep o rt s in the rec o rd su g g est o therw ise. T h ese rep o rt s also su p p o rtthe A L J’s fi nd i ng that, absent her s ub st ance a bu se, M i rabi l e ret ai ned the R F C t o p erform her past relev an t w o rk. G iven this, itsee m s clea r th at th ere w as “ su b stan ti al ev iden ce ” to s u p p o rt the A L J ’ s det erm i nat i on.9 I V. F o r th e re a so n s s e t f

o rth a b o v e , w e w ill A F F IR M th e O rd e r o f th e D istric t C o u rt.