Opinion
01-MC-50E
November 7, 2001
MEMORANDUM AND ORDER
Presently before this Court is a motion by Larry G. Massanari, the Acting Commissioner of Social Security (the "Commissioner") to enforce a subpoena duces tecum issued by Administrative Law Judge ("ALJ") Marilyn D. Zahm requiring Northwest Community Mental Health Center ("Northwest") to produce the medical records relating to its treatment of Bruce Lucca for mental illness. Lucca applied for Supplemental Security Income ("SSI") March 9, 1998 alleging that he was disabled due to polymyocitis, a neck fracture, sleep apnea and mental health problems — viz., schizophrenia, stress and anxiety. Zahm Decl. ¶ 3. On July 5, 2000 Lucca executed a signed authorization for Northwest to release his medical records to the Social Security Administration and the ALJ issued a subpoena duces tecum requiring Northwest to produce such records by July 17, 2000. Zahm Decl. Exs. B and C. Northwest has refused to comply with the ALJ's subpoena on the basis of N.Y. Mental Hyg. Law § 33.13 as a result of which the Commissioner requested the United States Attorney to seek an order from this Court requiring Northwest to comply with the subpoena pursuant to 42 U.S.C. § 405(e). In conjunction with his motion to enforce the subpoena, the Commissioner seeks to recover the costs incurred therewith.
To establish his entitlement to SSI disability benefits, Lucca must prove that he is in fact disabled. 42 U.S.C. § 423(d)(2)(A); Carroll v. Dept. of Health and Human Services, 872 F. Supp. 1200, 1204 (E.D.N.Y. 1995); 20 C.F.R. § 416.912 and 416.920. The medical records held by Northwest are necessary for Lucca to prove such disability because the ALJ has already determined that he is not disabled based upon his physical impairments alone. Zahm Decl. ¶ 10. The ALJ has an affirmative duty to develop a complete medical record upon which to determine if a claimant is in fact disabled, and to do so is authorized to issue a subpoena to the claimant's healthcare providers requiring them to provide copies of the medical records. 42 U.S.C. § 405(d); DeChirico v. Callahan, 134 F.3d 1177, 1184 (2d Cir. 1998); Jones v. Apfel, 66 F. Supp.2d 518, 523-524 (S.D.N.Y. 1999); Carroll, at 1204; 20 C.F.R. § 404.950(d) and 416.912(d). Accordingly, the ALJ properly subpoenaed Lucca's medical records from Northwest pursuant to federal law. Northwest has refused to comply with the subpoena on the basis of N.Y. Mental Hyg. Law § 33.13 which prohibits the disclosure of such records except in thirteen limited circumstances, none of which covers subpoenae issued by the Social Security Administration. Where there is a conflict between federal law which mandates an action and state law which prohibits that action such that compliance with both laws is impossible, then, pursuant to the Supremacy Clause, the state law is considered a nullity and the federal law governs. Hillsborough County, Florida v. Automated Medical Laboratories, 471 U.S. 707, 712-713 (1985). A "state law may not establish prerequisites to compliance with [an] administrative subpoena issued by a federal agency in accordance with and pursuant to federal statutory law, as such is prohibited [by] article VI, clause 2 of the United States Constitution ***." St. Luke's Regional Medical Center, Inc. v. United States, 717 F. Supp. 665, 666 (N.D.Iowa 1989). See also United States v. Wettstein, 733 F. Supp. 1212, 1213-1214 (C.D.Ill. 1990) (ordering disclosure of a psychologist's records pursuant to an IRS subpoena where state law forbade disclosure); United States v. MHC Surgical Centers Associates, Inc., 911 F. Supp. 358, 359 (N.D.Ind. 1995) (same); In re Grand Jury Subpoena for New York State Income Tax Records, 468 F. Supp. 575, (N.D.N.Y. 1979) ("by virtue of the supremacy clause, state legislation must yield whenever it comes into conflict with an Act of Congress").
"This Constitution, and the Laws of the United States which shall be made in Pursuance thereof *** shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding." U.S. Const. art VI, § 2.
Citation omitted.
Accordingly, Northwest may not, on the basis of N.Y. Mental Hyg. Law § 33.13, withhold mental health records properly subpoenaed by the Social Security Administration pursuant to federal law for use in determining a claimant's eligibility for SSI disability benefits.
Inasmuch as both the Commissioner and the United States Attorney attempted for over a year to obtain Lucca's medical records from Northwest without resorting to a proceeding before this Court and Northwest refused to comply on the basis of state law which, as noted above, is inapplicable because it is in conflict with federal law which requires compliance with the subpoena, the request of the Commissioner to recover the costs he incurred in connection with enforcing the subpoena will be granted.
Accordingly, it is hereby ORDERED that Northwest shall comply with the ALJ's subpoena by providing a complete copy of any and all responsive records held by it to the Commissioner by November 16, 2001 and that the Commissioner shall recover the costs he has incurred in connection with this motion.