Filed: Feb. 01, 2005
Latest Update: Feb. 12, 2020
Summary: UNPUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 04-1168 DORSEY V. HUFF, Plaintiff - Appellant, versus JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY, Commissioner, Social Security Administration, Defendant - Appellee. Appeal from the United States District Court for the Western District of Virginia, at Roanoke. Glen E. Conrad, District Judge. (CA-02-1304) Argued: December 3, 2004 Decided: February 1, 2005 Before WILKINS, Chief Judge, and NIEMEYER and DUNCAN, Circuit J
Summary: UNPUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 04-1168 DORSEY V. HUFF, Plaintiff - Appellant, versus JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY, Commissioner, Social Security Administration, Defendant - Appellee. Appeal from the United States District Court for the Western District of Virginia, at Roanoke. Glen E. Conrad, District Judge. (CA-02-1304) Argued: December 3, 2004 Decided: February 1, 2005 Before WILKINS, Chief Judge, and NIEMEYER and DUNCAN, Circuit Ju..
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UNPUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
No. 04-1168
DORSEY V. HUFF,
Plaintiff - Appellant,
versus
JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL
SECURITY, Commissioner, Social Security
Administration,
Defendant - Appellee.
Appeal from the United States District Court for the Western
District of Virginia, at Roanoke. Glen E. Conrad, District Judge.
(CA-02-1304)
Argued: December 3, 2004 Decided: February 1, 2005
Before WILKINS, Chief Judge, and NIEMEYER and DUNCAN, Circuit
Judges.
Affirmed by unpublished per curiam opinion.
ARGUED: Charles Dodson Bennett, Jr., Roanoke, Virginia, for
Appellant. Rafael Melendez, Assistant Regional Counsel, SOCIAL
SECURITY ADMINISTRATION, Office of General Counsel, Region III,
Philadelphia, Pennsylvania, for Appellee. ON BRIEF: Patricia M.
Smith, Acting Regional Chief Counsel, Region III, SOCIAL SECURITY
ADMINISTRATION, Philadelphia, Pennsylvania; John L. Brownlee,
United States Attorney, Julie C. Dudley, Assistant United States
Attorney, OFFICE OF THE UNITED STATES ATTORNEY, Roanoke, Virginia,
for Appellee.
Unpublished opinions are not binding precedent in this circuit.
See Local Rule 36(c).
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PER CURIAM:
Dorsey Huff petitions for review of the final decision of the
Commissioner of Social Security (the "Commissioner") refusing to
reopen Huff's earlier application for disability insurance benefits
under the Social Security Act, 42 U.S.C. § 401 et seq. (the
"Act"). The district court upheld the Commissioner's decision on
the grounds that the court lacked subject matter jurisdiction under
42 U.S.C. § 405(g). Finding no error, we affirm.
I.
On February 14, 1995, Huff filed his first application for
disability insurance benefits, alleging disability as of December
31, 1981. The West Virginia State Disability Agency denied Huff's
initial application. In June of 1995, the agency denied Huff's
claim again upon reconsideration.
Huff subsequently requested and was granted an administrative
hearing before an Administrative Law Judge ("ALJ"). On January 31,
1997, the ALJ issued an opinion concluding that Huff was not
eligible to receive disability insurance benefits. In particular,
the ALJ noted that, in order to receive disability benefits, a
claimant must establish that disability onset during a period of
time in which the claimant enjoyed insured status. See 42 U.S.C.
§ 423(a)(1)&(c). The ALJ found that Huff's insured status expired
on December 31, 1982, and therefore, that Huff needed to prove he
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became disabled on or before that date. The ALJ ultimately
determined that Huff was not disabled on or before December 31,
1982, and that Huff was therefore ineligible to receive disability
benefits under the Act. The agency Appeals Council declined to
review the ALJ's decision, and adopted the ALJ's opinion as the
Commissioner's final decision denying Huff's application for
disability benefits.
Huff thereafter filed a civil action under 42 U.S.C. § 405(g),
seeking judicial review of the Commissioner's decision. On March
18, 1999, a federal magistrate judge issued a memorandum opinion
and order upholding the decision. We affirmed the magistrate
judge's order on appeal. Huff v. Apfel, No. 99-1483, 1999 U.S.
App. LEXIS 23487 (4th Cir. Sept. 27, 1999).
On November 29, 1999, Huff filed a second claim for disability
insurance benefits, again alleging an inability to work since
December 31, 1981. The state agency dismissed Huff's second
application, both initially and upon reconsideration, on the
grounds of res judicata. Huff was then granted a second
administrative hearing based on his representation that he could
offer "new and material" evidence in support of his claim.
On September 28, 2001, the ALJ issued an opinion dismissing
Huff's benefits claim, which he construed as a request to reopen or
revise the Commissioner's prior determination that Huff was
ineligible to receive disability benefits. In particular, the ALJ
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noted that, absent circumstances not present in Huff's case, a
claim may not be reopened or revised if more than four years has
elapsed between the initial denial of benefits and the subsequent
request to reopen. 20 C.F.R. § 404.988(b). The Commissioner
denied Huff's initial application no later than June of 1995;
however, the request to reopen was not filed until November of
1999. Thus, the ALJ concluded that he was without authority to
reopen or revise the Commissioner's initial determination that Huff
was ineligible to receive disability benefits. Having concluded
that no grounds existed to reopen or revise the prior application,
the ALJ dismissed Huff's second application for benefits on the
grounds of res judicata.
After the Appeals Council affirmed the ALJ's decision, Huff
filed a second lawsuit under 42 U.S.C. § 405, seeking judicial
review of the agency's decision. On December 4, 2003, the district
court issued a final judgment and opinion upholding the
Commissioner's decision. In particular, the court observed that
Huff's second application for benefits was rightly construed (both
by the agency and by the parties to this litigation) as a request
to reopen Huff's initial application for disability benefits. The
district court further noted that, under Califano v. Sanders,
430
U.S. 99, 107-08 (1977), federal courts are without jurisdiction to
review the Commissioner's refusal to reopen claims for disability
benefits unless the claimant challenges the refusal on
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constitutional grounds. Because Huff raised no constitutional
challenges in his petition to reopen, the district court concluded
that it lacked subject matter jurisdiction to review the
Commissioner's decision.
The district court also rejected Huff's argument that the ALJ
"constructively reopened" his prior benefits claim. Specifically,
Huff contended that, by granting a hearing and considering new
evidence on the merits, the ALJ exercised his administrative
discretion to reopen Huff's earlier claim. See McGowan v. Harris,
666 F.2d 60, 65-66 (4th Cir. 1981) (if ALJ considers second
application on merits, first application deemed constructively
reopened and res judicata is waived). Huff also argued that,
despite the ALJ's written denial of his second application, the ALJ
made a statement at the hearing that amounted to a "finding" of
disability, and that this finding constituted further evidence that
Huff's prior application had been constructively reopened.1
1
At the administrative hearing, the following exchange took
place between the ALJ and the vocational expert:
ALJ: Can an individual who was required to elevate his leg at least
waist high, three or four hours out of an eight-hour workday,
is there anything that you can think of that such a person
could do?
A: Not without accommodation. No, sir.
ALJ: Okay. Now we've gotten over that hump. Or that hurdle for
Mr. Huff. . . .
Tr. at 76.
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The district court reasoned, however, that even if the ALJ had
been inclined to reopen the prior application, he would have been
powerless to do so, since the Act precludes the reopening of an
application for benefits when more than four years has elapsed
since the initial claim was denied. See King v. Chater,
90 F.3d
323, 325 (8th Cir. 1996) (reopening more than four years after
initial denial, absent clear error, would exceed ALJ's authority).
Accordingly, the district court dismissed Huff's petition to reopen
for lack of subject matter jurisdiction.
II.
On appeal, we review de novo the district court's
determination that it lacked subject matter jurisdiction to review
Huff's petition to reopen. National Taxpayers Union v. U.S. Social
Security Admin.,
376 F.3d 239, 241 (4th Cir. 2004). Huff raises
two arguments that require some attention on appeal. First, Huff
contends that, pursuant to 20 C.F.R. § 404.988(c)(8),2 the initial
determination that he was not disabled can be reopened at any time
because the ALJ would have found him disabled if a medical expert
had testified at the administrative hearing. Appellant's Br. at
33-35. We find this argument unpersuasive, inasmuch as we have
previously held that "an error on the face of the evidence does not
2
Section 404.988(c)(8) authorizes the reopening of a benefits
claim at any time "to correct clerical error or an error that
appears on the face of the evidence."
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encompass a disputed issue of fact since, almost as a matter of
definition, when facts are in dispute no single answer is
evidence." Kasey v. Sullivan,
3 F.3d 75, 78-79 (4th Cir. 1993)
(internal quotation omitted). Second, Huff claims that the ALJ
found him disabled at the September 2001 administrative hearing,
but "reversed" this finding when the ALJ issued his written
decision dismissing Huff's second benefits application.
Appellant's Br. at 36. Huff claims that the reversal of the ALJ's
earlier "finding" constitutes an error on the face of the record
that permits reopening at any time under § 404.988(c)(8). We
disagree. Even assuming that the ALJ's comments at the hearing
could fairly be construed as a finding of disability, "the ALJ's
written decision, not his questions at the hearing, control the
findings subject to review." Woods v. Barnhart, No. 03-2592-KJV,
2004 U.S. District LEXIS 12969, at *22 (D. Kan. July 12, 2004).
Thus, this argument for reopening under § 404.988(c)(8) is also
without merit.
After hearing oral argument in this case, and carefully
reviewing the record, briefs, and applicable case law, we conclude
that the district court correctly decided all the issues before it.
Accordingly, we affirm the district court's judgment on the
reasoning articulated in its memorandum opinion and order.
AFFIRMED
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