R. STEVEN WHALEN, UNITED STATES MAGISTRATE JUDGE.
Plaintiff Jennifer Page ("Plaintiff") brings this action under 42 U.S.C. § 405(g), challenging a final decision of Defendant Commissioner ("Defendant") denying her application for Disability Insurance Benefits ("DIB") under Title II of the Social Security Act.
Plaintiff contends that "significant factual and legal developments" have occurred since she filed the complaint. Plaintiff's Brief, 2, Docket #20, Pg ID 852 (citing Lucia et al. v. SEC, ___ U.S. ___, 138 S.Ct. 2044, 201 L.Ed.2d 464 (2018); Jones Brothers v. Sec'y of Labor, 898 F.3d 669 (6th Cir. 2018)). Plaintiff seeks leave to add the allegation that the Administrative Law Judge ("ALJ") charged by Defendant to adjudicate the DIB claim was unconstitutionally appointed and that the hearing was "fundamentally insufficient." Plaintiff's Brief at 3.
Motions to amend are governed by Fed.R.Civ.P. 15(a)(2), which provides that a court may "freely give leave [to amend a pleading] when justice so requires." This Rule reaffirms the principle that cases should be tried on their merits "rather than [on] the technicalities of pleadings." Moore v. City of Paducah, 790 F.2d 557, 559 (6th Cir. 1986)(quoting Tefft v. Seward, 689 F.2d 637, 639 (6th Cir. 1982)). Notwithstanding this general rule of liberality, if a proposed amendment would not survive a motion to dismiss under Fed. R.Civ.P. 12(b)(6), the court may also disallow the amendment as futile. Thiokol Corp. v. Dept. of Treasury, 987 F.2d 376, 382 (6th Cir. 1993).
Plaintiff's motion for leave to amend her complaint is based on Lucia et al. v. SEC, ___ U.S. ___, 138 S.Ct. 2044, 201 L.Ed.2d 464 (2018) which holds that ALJs of the Securities and Exchange Commission are "Officers of the United States" within the meaning of the Appointments Clause of the Constitution and must be appointed by the President, a court of law, or department head.
Plaintiff seeks to amend the original complaint to account for "significant factual and legal developments that have occurred" since filing suit on November 15, 2017. Plaintiff's Brief at 2 (citing Lucia, supra; Jones Brothers v. Sec'y of Labor, 898 F.3d 669, 2018 WL 369059 (6th Cir. July 31, 2018)). She contends that she was unable to raise the Appointments Clause argument at the administrative level or earlier in the current briefing schedule due to the fact that Lucia was not filed until June 18, 2018 and because of "Defendant's continued concealment of facts" relating to whether the ALJ presiding at the SSA administrative hearing was constitutionally appointed. Id. Consistent with the remedy granted in Lucia, 138 S.Ct. at 2055, Plaintiff seeks remand to the administrative level before an "ALJ who has been appointed in a manner satisfying the Appointments
In Jones Brothers, a company hired to perform road repairs disputed civil penalties imposed by the Mine Safety and Health Administration for failing to comply with the agency's safety requirements. Id. at 671-672. The plaintiff did not raise an Appointments Clause argument before the ALJ assigned to its case but later in arguing before the Commission (appeal review within the administrative process), the plaintiff pointed out in a footnote that "there is currently a split among the Circuit Courts of Appeal as to whether administrative law judges, who are not appointed by the President, may constitutionally decide cases brought before them." Id. at 673.
The Sixth Circuit found that the plaintiff forfeited the Appointments Clause argument at the administrative level by acknowledging but failing to "press" the issue of whether the appointment procedure for ALJs was constitutional as applied. Id. at 677. However, the Court excused the forfeiture, noting that the plaintiff was uncertain as to whether the Commission had authority to rule on its constitutional claim. Id. at 678 ("That is a reasonable statement from a petitioner who wishes to alert the Commission of a constitutional issue but is unsure...just what the Commission can do about it"). The Court found that the plaintiff's reasonable uncertainty, coupled with its acknowledgment (if not developed argument) of the constitutional issue at the administrative level provided grounds for excusing the forfeiture. Id. at 678 Citing Lucia, the Sixth Circuit vacated the Commission's decision and remanded the case to the administrative level, "[b]ecause the administrative law judge was an inferior officer of the United States, and because she was not appointed by the President, a court of law, or the head of a department, as the Constitution demands." Jones Brothers at 672.
As in Jones Brothers, the current challenge pertains to the Defendant's appointment duties under the applicable statutes as applied. "Commissioner of Social Security is permitted to `assign duties, and delegate, or authorize successive redelegations of, authority to act and to render decisions, to such officers and employees of the Administration as the Commissioner may find necessary.'" Davidson v. Commissioner of Social Security, 2018 WL 4680327, at *2 (M.D.Tenn. September 28, 2018)(citing 42 U.S.C. § 902(a)(7)) (holding that the plaintiff had waived her "as applied" claim under the Appointments Clause by failing to raise it at the administrative level). "The Social Security Administration may `appoint as many administrative law judges as are necessary for proceedings required to be conducted....'" Id. (citing 5 U.S.C. § 3105). Because "`[t]he Social Security Administration has not published a regulation or rule that governs how it appoints judges,'" the current case is properly characterized as an "as applied" challenge. Id. (citing Lucia, 138 S.Ct. at 2058 (Thomas, J., concurring)).
The facts of this case do not warrant making an exception to the general rule that the failure to bring as-applied claims at the administrative level results in waiver. First, Plaintiff's argument that he was unaware of the constitutional inadequacy of the presiding ALJ while the case was at the administrative level is unavailing. Although the administrative process in Jones Brothers predates the current case, the Jones Brothers plaintiff noted a "circuit split" on the issue of the appointment of ALJs while its case was still at the administrative level. In contrast, current Plaintiff
Moreover, a regulation in effect long prior to the events in question states that claimants may receive an expedited appeals process to challenge a "provision in the law that you believe is unconstitutional."
As such, Plaintiff's motion to amend her complaint will be denied as futile.
Accordingly, Plaintiff's motion for leave to file an amended complaint [Docket #20] is DENIED.
IT IS SO ORDERED.