Filed: Mar. 02, 2015
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Summary: Case: 14-13325 Date Filed: 03/02/2015 Page: 1 of 15 [DO NOT PUBLISH] IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT _ No. 14-13325 Non-Argument Calendar _ D.C. Docket No. 4:13-cv-00073-BAE-GRS BARRY L. JONES, Plaintiff-Appellant, versus COMMISSIONER OF SOCIAL SECURITY, SOCIAL SECURITY ADMINISTRATION, Defendants-Appellees. _ Appeal from the United States District Court for the Southern District of Georgia _ (March 2, 2015) Before MARCUS, WILLIAM PRYOR and FAY, Circuit Judges. PER
Summary: Case: 14-13325 Date Filed: 03/02/2015 Page: 1 of 15 [DO NOT PUBLISH] IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT _ No. 14-13325 Non-Argument Calendar _ D.C. Docket No. 4:13-cv-00073-BAE-GRS BARRY L. JONES, Plaintiff-Appellant, versus COMMISSIONER OF SOCIAL SECURITY, SOCIAL SECURITY ADMINISTRATION, Defendants-Appellees. _ Appeal from the United States District Court for the Southern District of Georgia _ (March 2, 2015) Before MARCUS, WILLIAM PRYOR and FAY, Circuit Judges. PER C..
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Case: 14-13325 Date Filed: 03/02/2015 Page: 1 of 15
[DO NOT PUBLISH]
IN THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
________________________
No. 14-13325
Non-Argument Calendar
________________________
D.C. Docket No. 4:13-cv-00073-BAE-GRS
BARRY L. JONES,
Plaintiff-Appellant,
versus
COMMISSIONER OF SOCIAL SECURITY,
SOCIAL SECURITY ADMINISTRATION,
Defendants-Appellees.
________________________
Appeal from the United States District Court
for the Southern District of Georgia
________________________
(March 2, 2015)
Before MARCUS, WILLIAM PRYOR and FAY, Circuit Judges.
PER CURIAM:
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Barry L. Jones appeals the district judge’s order affirming partial denial by
the Social Security Commissioner of his application for a period of disability
insurance benefits commencing on March 31, 2009. We affirm.
I. BACKGROUND
Jones, a construction worker, first noticed symptoms of low-back pain that
radiated down his left leg in 2008. He had lumbar-fusion surgery in May 2009
with some relief, but his symptoms recurred. In October 2009, Jones filed an
application for disability benefits under Title II and Part A of Title XVIII of the
Social Security Act and alleged he became disabled on March 31, 2009, when he
was 48. His application was denied initially and upon reconsideration.
Through counsel, Jones requested and was granted an administrative hearing
before an administrative law judge (“ALJ”). In proceedings before the ALJ, Jones
asserted he suffered chronic pain that significantly affected his daily function. He
represented he spent most of the day lying on a couch.
A. Evidence in ALJ Proceedings
The treatment notes of Dr. Raphael R. Roybal, who treated Jones for his
back pain and began seeing him in June 2008, provided a description of Jones’s
back condition. Dr. Roybal’s treatment notes from March 2009 state Jones
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suffered from “isthmic spondylolysis with a retrospondylolisthesis at
L4-L5.” 1 Rawle
at 468. On May 4, 2009, Dr. Roybal and Dr. Christopher Senkowski performed
anterior-lumbar, interbody-fusion surgery on Jones to correct the problem. Dr.
Roybal saw Jones on May 15, 2009, approximately ten days after surgery, and
noted Jones was doing very well, his back pain had resolved significantly at that
juncture, and Jones was not taking any pain medication.
On June 12, 2009, shortly more than one month after surgery, Dr. Roybal
found Jones was doing well and had significant reduction in his lower back pain.
At that time, Jones was not taking any pain medication. Dr. Roybal recommended
Jones begin isometric core strengthening and protective lifting, as long as he did
not lift weights over 30 pounds.
On July 17, 2009, Dr. Roybal recorded that Jones was not taking any pain or
anti-inflammatory medication. Jones reported he still had back pain but he was
exercising on his own and walking significantly. Dr. Roybal recommended that
Jones take anti-inflammatory medication for his back pain.
1
“Spondylolysis” is a condition where there is a defect in a portion of the spine called
the “pars interarticularis,” which is a small segment of bone joining the facet joints in the back of
the spine. See http://www.spine-health.com/conditions/spondylolisthesis/spondylolysis-and-
spondylolisthesis. With the condition of “spondylolisthesis,” the pars interarticularis defect can
be on one or both sides of the spine.
Id. “Isthmic spondylolisthesis” is when one vertebral body
is slipped forward over another.
Id. “Retrospondylolisthesis” is the slipping posteriorly of a
vertebra, bringing it out of line with adjacent vertebrae.
http://www.medilexicon.com/medicaldictionary.php?t=78077.
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Dr. Roybal saw Jones again on October 16, 2009. Jones again reported
having back pain but he still was not taking any pain or anti-inflammatory
medication. Dr. Roybal stated that Jones had no deficit in motion with flexion or
extension and recommended Jones maximize his core strengthening rehabilitation.
Dr. Roybal stated his opinion Jones could begin transitioning to light duty at that
time, and he again recommended anti-inflammatory medication.
Jones next saw Dr. Roybal on January 15, 2010, and reported Jones was
relatively unchanged since his October 2009 visit. Jones still had back pain, which
he rated at six out of ten, and he complained of pain in his left leg extending in his
anterior and posterior thigh down to his knee. Jones’s physical examination results
showed he had appropriate sensation in his bilateral and lower extremities and “5/5
range of motion and muscular strength” in his hips, knees, and ankles. R. at 635.
Dr. Roybal prescribed Mobic to manage the “flare up” of Jones’s symptoms; Jones
was advised to follow up on an as needed basis. R. at 635.
On December 17, 2009, State Agency Medical Consultant Dr. Sherry Crump
completed a Physical Residual Functional Capacity (“RFC”) Assessment of Jones
based on the record evidence, including Dr. Roybal’s treatment notes. Dr. Crump
determined Jones could (1) occasionally lift or carry up to 20 pounds,
(2) frequently lift or carry up to 10 pounds, (3) stand, walk, or sit with normal
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breaks for a total of about 6 hours in an 8-hour day, and (4) push or pull within the
stated weight limitations.
On August 10, 2010, State Agency Medical Consultant Dr. Stephen Burge
completed another RFC Assessment of Jones and reached the same conclusions.
Dr. Burge noted, however, Jones had a speech impediment, stuttering and a
moderate fluency disorder, that would limit his ability to engage in public
speaking, customer service, sales, telephone, and complex verbal interactions.
At the June 1, 2011, hearing before the ALJ, Jones was represented by
counsel. Jones testified he was a high-school graduate. At the time of the hearing,
he was taking meloxicam, a non-narcotic prescription pain medication. He
represents the pain medication did not help him at all. After his May 4, 2009
surgery, Jones felt better for a short time, but the pain eventually became
increasingly worse. At the time of the hearing, his back pain was worse than it had
been before the surgery.
Jones stated that his back pain affected his sleep, and he slept for only about
four hours without interruption. Additionally, Jones had difficulty showering,
especially stepping in and out of the shower. Jones had trouble dressing himself,
and his mother, who lived with him, had to put his shoes and socks on him because
he could not bend down far enough to do so himself.
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Jones said he spent most of his days lying on a couch and in bed. He could
walk about 50 feet before having to stop because of back pain. Jones drove
occasionally, and the longest distance he had driven in the past year was about 12
miles to his doctor’s office. He testified that amount of driving caused him pain.
A vocational expert (“VE”) classified Jones’s past work as “medium to very
heavy” and unskilled to low-end, semi-skilled. R. at 86. The VE testified that
Jones did not have any skills transferrable to a sedentary job. Jones’s counsel
asked what positions would be available to someone of Jones’s age, with similar
education and past relevant work, who could do light work that did not involve
vibrating machinery, too much oral communication, or any bending, squatting,
stooping, or climbing. The VE responded that such a person could obtain the
positions of ticket taker, office helper, or assembler. Of those positions, the VE
explained, ticket taker and office helper would be able to sit or stand at will.
B. ALJ Decision
In a written decision, the ALJ determined Jones was not disabled prior to
January 28, 2011, his 50th birthday, but became disabled as of that date. The ALJ
concluded that, prior to January 28, 2011, Jones had RFC sufficient to perform
light work as defined in 20 C.F.R. § 404.1567(b), with the limitations he (1) had to
avoid vibrating machinery, (2) could do occasional squatting, stooping, bending,
and climbing of ropes and scaffolds; and (3) could do no work involving oral
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reports and communication. The ALJ noted Jones’s testimony was that he had
experienced some relief for a short period after his May 2009 surgery.
The ALJ also determined the medical evidence of record supported the RFC
assessment. In relevant part, the ALJ noted, in October 2009, Dr. Roybal had
released Jones to light duty, and, at Jones’s January 2010 appointment, Dr. Roybal
saw his condition was relatively unchanged. The ALJ concluded Jones’s
statements, regarding the intensity, persistence, and limiting effects of his
symptoms were not credible prior to January 28, 2011, to the extent they were
inconsistent with the RFC assessment.
Prior to January 28, 2011, the ALJ noted Jones was a “younger individual
age 18-49,” but, as of January 28, his age category changed to “an individual
closely approaching advanced age,” under 20 C.F.R. §
404.1563. 2 Rawle at 66.
Before January 28, 2011, there were jobs Jones could have performed that existed
in significant numbers in the national economy. Based on the VE’s testimony, the
ALJ explained, Jones could have made a successful adjustment to other work that
existed in significant numbers in the national economy prior to January 28, 2011.
2
The regulations state that the Commissioner considers a claimant’s chronological age,
in combination with other facts, to determine whether he is disabled under 20 C.F.R.
§ 404.1520(g)(1). See 20 C.F.R. § 404.1563(a). For a person in the age category of “[p]erson
closely approaching advanced age,” 50 to 54, the Commissioner will “consider that [a
claimant’s] age along with a severe impairment(s) and limited work experience may seriously
affect [a claimant’s] ability to adjust to other work.”
Id. § 404.1563(d).
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Beginning January 28, 2011, however, considering Jones’s age, education, work
experience, and RFC, no jobs existed in significant numbers he could perform.
C. Appeals Council Proceedings
Jones requested that the Appeals Council (“AC”) review the ALJ’s decision.
He argued remand was required for consideration of new material evidence that
was not available at the time of the ALJ’s decision. In support of his argument,
Jones relied upon a post-hearing letter addressed to his counsel from Dr. Roybal,
dated August 26, 2011, which stated:
Barry Jones was under my care from June 12, 2008, until
January 15, 2010, for treatment of the lumbar spine. On
May 4, 2009, after conservative treatment failed, I
performed anterior lumbar interbody fusion at 4-5. I
never assigned an impairment rating because payment for
Mr. Jones’s medical care was not handled through
Workers Compensation. Had I been asked to assign a
rating, I would have assigned a whole body impairment
rating of not less than 20% based on his pathology,
course of treatment, and response to treatment. I do not
believe Mr. Jones would have been able to tolerate
employment requiring prolonged walking or standing at
least two-thirds of an 8-hour work day during the period
that he was under my care. Further, I do not believe he
would have been able to tolerate employment that did not
allow him to change positions amongst sitting, standing,
and moving around at will.
R. at 1010.
Based on Dr. Roybal’s letter, Jones argued the ALJ’s conclusion he was not
disabled because he could perform a full range of light work before January 28,
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2011, was contrary to the weight of the evidence. The AC found no reason to
review the ALJ’s decision and denied Jones’s request for review. In reaching its
decision, the AC stated it had considered Dr. Roybal’s August 26, 2011, letter.
The district judge affirmed the AC’s decision.
II. DISCUSSION
Based on Dr. Roybal’s August 26, 2011, letter, Jones argues on appeal the
AC improperly denied review of the ALJ’s determination he was entitled to
disability insurance benefits beginning January 28, 2011, rather than from his
requested beginning date of March 31, 2009. Jones contends the AC merely
acknowledged he had submitted new evidence but failed to determine whether his
treating physician’s letter was material and entitled to more weight than the
opinions of contrary, non-examining physicians.
We review the Commissioner’s decision to determine if it is supported by
substantial evidence and based upon proper legal standards. Crawford v. Comm’r
of Soc. Sec.,
363 F.3d 1155, 1158 (11th Cir. 2004). “Substantial evidence is more
than a scintilla and is such relevant evidence as a reasonable person would accept
as adequate to support a conclusion.”
Id. (citation and internal quotation marks
omitted). “We may not decide the facts anew, reweigh the evidence, or substitute
our judgment for that of the Commissioner.” Mitchell v. Comm’r of Soc. Sec.,
771
F.3d 780, 782 (11th Cir. 2014) (citations and internal quotation marks omitted).
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“[C]redibility determinations are the province of the ALJ, and we will not disturb a
clearly articulated credibility finding supported by substantial evidence.”
Id.
(citations and internal quotation marks omitted).
“Even if the evidence preponderates against the Commissioner’s findings,
we must affirm if the decision reached is supported by substantial evidence.”
Crawford, 363 F.3d at 1158-59 (citation and internal quotation marks omitted).
Even in light of new evidence, the AC may deny review if the record shows no
error in the ALJ’s decision. See
Mitchell, 771 F.3d at 784-85 (affirming where the
AC accepted the claimant’s new evidence “but denied review because the
additional evidence failed to establish error in the ALJ’s decision”). Moreover, the
AC is not required to explain its reasons for denying a request for review.
Id.
In evaluating a claim for disability benefits, an ALJ uses a five-step process
to analyze the following issues: whether the individual (1) is performing
substantial gainful activity; (2) has a severe impairment; (3) has a severe
impairment that meets or equals an impairment specifically listed in 20 C.F.R. Part
404, Subpart P, Appendix 1; (4) can perform his past relevant work; and (5) based
on his age, education, and work experience, can perform other work of the sort
found in the national economy. Phillips v. Banhart,
357 F.3d 1232, 1237 (11th
Cir. 2004). At the fourth step, the ALJ assesses the claimant’s RFC.
Id. at 1238.
“[T]he regulations define RFC as that which the individual is still able to do
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despite the limitations caused by his or her impairments.”
Id. (citing 20 C.F.R.
§ 404.1545(a)). The ALJ makes the RFC determination based on all relevant
medical and other evidence presented.
Id. In relevant part, the RFC determination
is used to decide whether the claimant “can adjust to other work under the fifth
step.”
Id.
“It is well-established that the testimony of a treating physician must be
given substantial or considerable weight unless good cause is shown to the
contrary.”
Crawford, 363 F.3d at 1159 (citation and internal quotation marks
omitted). Nevertheless, “[a] treating physician’s report may be discounted when it
is not accompanied by objective medical evidence or is wholly conclusory.”
Id.
(citations and internal quotation marks omitted). Federal regulations define
“sedentary work” as work involving “lifting no more than 10 pounds at a time and
occasionally lifting or carrying articles like docket files, ledgers, and small tools.”
20 C.F.R. § 404.1567(a). The regulations further explain, “[a]lthough a sedentary
job is defined as one which involves sitting, a certain amount of walking and
standing is often necessary in carrying out job duties. Jobs are sedentary if walking
and standing are required occasionally and other sedentary criteria are met.”
Id.
“Light work” is defined as work involving “lifting no more than 20 pounds at a
time with frequent lifting or carrying of objects weighing up to 10 pounds.”
Id.
§ 404.1567(b). A job in the light-work category may require “a good deal of
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walking or standing, or . . . sitting most of the time with some pushing and pulling
of arm or leg controls.”
Id. “To be considered capable of performing a full or
wide range of light work, [a claimant] must have the ability to do substantially all
of these activities.”
Id.
“If new and material evidence is submitted” to the AC, then it “shall
consider the additional evidence only where [the evidence] relates to the period on
or before the date of the” ALJ’s decision. 20 C.F.R. § 404.970(b). The AC “will
then review the case if it finds that the administrative law judge’s action, findings,
or conclusion is contrary to the weight of the evidence currently of record.”
Id.
“[A] reviewing court must consider whether that new evidence renders the denial
of benefits erroneous.” Ingram v. Comm’r of Soc. Sec.,
496 F.3d 1253, 1262 (11th
Cir. 2007).
Jones’s arguments on appeal pertain only to the ALJ’s decision at step five
of the analysis of his claim for disability benefits: whether Jones could perform
other work of the sort found in the national economy based on his age, education,
work experience, and RFC. See
Phillips, 357 F.3d at 1237-39. Jones does not
appear to dispute the ALJ’s initial RFC assessment. Instead, his argument on
appeal concerns only the potential effect of Dr. Roybal’s August 26, 2011, letter on
the ALJ’s RFC assessment.
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Dr. Roybal’s August 26, 2011, letter is not inconsistent with his clinical
notes. In his letter, Dr. Roybal opined that, during the period that he treated Jones,
Jones could not have walked or stood for at least two-thirds of an eight-hour day or
tolerated employment where he would not have been allowed to change positions
from sitting, standing, and moving around at will. That opinion does not conflict
with his earlier treatment notes that Jones was walking on his own significantly,
had no deficit in motion with flexion and extension, could lift up to 30 pounds, and
could transition back to light duty. Dr. Roybal’s clinical notes do not express an
opinion about what portion of an eight-hour work day Jones could sit, stand, or
walk, or whether he could tolerate a job that required him to remain in a single
position without the ability to sit, stand, or move around at will.
Jones’s interpretation that Dr. Roybal’s letter expressed an opinion that
Jones could not perform light work is inconsistent with Dr. Roybal’s October 16,
2009, treatment notes, wherein Dr. Roybal stated Jones could transition to light
duty. To the extent Dr. Roybal’s August 26, 2011, letter expressed an opinion
Jones could not have transitioned to light duty at any time during the relevant
period, March 31, 2009, until January 28, 2011, the letter contradicts Dr. Roybal’s
October 16, 2009, treatment notes, stating Jones could begin transitioning to light
duty. Accordingly, the ALJ would have been entitled to disregard Dr. Roybal’s
letter, because the letter was unaccompanied by objective medical evidence and
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contradicted by other record evidence by Dr. Roybal. See
Crawford, 363 F.3d at
1159.
Significantly, Dr. Roybal’s August 26, 2011, letter does not undermine the
ALJ’s determination of Jones’s RFC for the period prior to January 28, 2011,
before Jones turned 50; thus, it did not render the denial of benefits erroneous. See
Ingram, 496 F.3d at 1262. The ALJ determined, prior to January 28, 2011, Jones
could perform the full range of “sedentary work” and “light work” with some
limitations as those terms are defined in 20 C.F.R. § 1567(a) and (b). In reaching
that conclusion the ALJ relied upon Dr. Roybal’s treatment notes, the opinion of
the state agency medical consultants, and Jones’s own testimony that he felt relief
temporarily after undergoing surgery. Because neither of those categories of work
necessarily involves sitting, standing, or walking more than two-thirds of an
eight-hour day or remaining in a single position for an extended period, Dr.
Roybal’s August 26, 2011, letter does not cast doubt on the ALJ’s determination.
See 20 C.F.R. § 404.1567(a), (b);
Ingram, 496 F.3d at 1262. In addition, Dr.
Roybal’s letter provides no basis to doubt the ALJ’s credibility determination that
Jones’s subjective allegations about his symptoms were not credible prior to
January 28, 2011, to the extent they were inconsistent with the RFC assessment.
See
Mitchell, 771 F.3d at 782.
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The ALJ identified three specific jobs for which Jones was otherwise
qualified and potentially could have performed prior to January 28, 2011, based on
the VE’s testimony: (1) ticket taker, (2) office helper, and (3) assembler. The VE
testified that the jobs of ticket taker and office helper included the ability to sit or
stand at will. Therefore, those two jobs, did not require that a worker walk, stand,
or sit more than two-thirds of an eight-hour day or prevent him from changing
positions amongst sitting, standing, and moving around at will. Consequently, Dr.
Roybal’s August 26, 2011, letter does not suggest Jones could not have performed
either of those two jobs prior to January 28, 2011; therefore, it does not render the
denial of benefits prior to that date erroneous. See
Ingram, 496 F.3d at 1262.
Jones’s argument the AC erred in failing to explain adequately its decision
denying review is unavailing. Our case law makes clear that the AC did not need
to explain its reasons for denying a request for review when the claimant puts forth
new evidence. See
Mitchell, 771 F.3d at 784-85.
On this record, Jones has failed to show his new evidence, Dr. Roybal’s
August 26, 2011, letter, rendered his denial of benefits prior to January 28, 2011,
erroneous. Therefore, the AC did not deny review improperly. We affirm the
AC’s denial of review of the ALJ’s determination that Jones was entitled to
disability insurance benefits as of January 28, 2011, rather than March 31, 2009.
AFFIRMED.
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