F I L E D United States Court of Appeals Tenth Circuit UNITED STATES COURT OF APPEALS OCT 14 1998 FOR THE TENTH CIRCUIT PATRICK FISHER Clerk
CALVIN W. ADAMS,
Plaintiff-Appellant,
v. No. 97-5234 (D.C. No. 96-CV-842-M) KENNETH S. APFEL, Commissioner, (N.D. Okla.) Social Security Administration,
Defendant-Appellee.
ORDER AND JUDGMENT *
Before PORFILIO , KELLY , and HENRY , Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1.9. The case is therefore
ordered submitted without oral argument.
* This order and judgment is not binding precedent, except under the doctrines of law of the case, res judicata, and collateral estoppel. The court generally disfavors the citation of orders and judgments; nevertheless, an order and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3. Plaintiff appeals from the district court’s order affirming the
Commissioner’s decision that he was not disabled before the expiration of his
insured status on December 31, 1991, and therefore was not eligible for disability
insurance benefits. On appeal, plaintiff argues that (1) the Administrative Law
Judge (ALJ) applied incorrect legal standards in analyzing the medical records for
the relevant period; and (2) the ALJ should have consulted a medical advisor to
determine his disability onset date. We exercise jurisdiction under 42 U.S.C.
§ 405(g) and 28 U.S.C. § 1291, and we affirm.
Plaintiff applied for disability benefits claiming he was disabled due to
chest pain, difficulty breathing, and lack of energy and stamina associated with
coronary artery disease; pain in his fingers and hands; skin cancers; high blood
pressure; and ulcers. 1 The Social Security Administration denied his application
initially and on reconsideration, finding on each review that he was not disabled
when his insured status expired on December 31, 1991. In its report denying
reconsideration, the Social Security Administration, however, did determine that
1 In his application for benefits, plaintiff alleged disability as of November 24, 1986. The ALJ determined that because plaintiff had failed to appeal an earlier denial of benefits dated February 5, 1988, and because no reason existed to reopen the prior application, the earlier decision was a final administrative decision. Plaintiff does not contest this determination. Moreover, we lack jurisdiction to review the Commissioner’s refusal to reopen. See Brown v. Sullivan , 912 F.2d 1194, 1196 (10th Cir. 1990). Thus, February 5, 1988, is the relevant date for determining when disability may have commenced.
-2- plaintiff met the listings for a disabling heart condition, see 20 C.F.R. pt. 404,
subpt. P, app. 1, § 4.04B, as of February 24, 1994. At plaintiff’s request, an ALJ
held an evidentiary hearing. After the hearing, the ALJ determined at step five of
the sequential evaluation process, see Williams v. Bowen , 844 F.2d 748, 750-52
(10th Cir. 1988); 20 C.F.R. § 404.1520, that plaintiff could perform a significant
number of enumerated light work jobs in the national economy as of
December 31, 1991. The ALJ therefore concluded that plaintiff was not disabled
as of that date. When the Appeals Council denied review, the ALJ’s decision
became the final decision of the Commissioner. See 20 C.F.R. § 404.981.
Plaintiff appealed, and the district court affirmed. This appeal followed.
We review the Commissioner’s decision that plaintiff was not disabled as
of December 31, 1991, “to determine whether his factual findings are supported
by substantial evidence and whether he correctly applied the relevant legal
standards.” Daniels v. Apfel , No. 98-5004, 1998 WL 515160, at *2 (10th Cir.
Aug. 18, 1998).
Plaintiff argues that the ALJ failed to properly evaluate the evidence at step
five and did not shift the burden of proof to the Commissioner until the ALJ
reached the vocational issues at step five. Plaintiff contends the ALJ allowed the
Commissioner to rely on the absence of medical evidence to effectively shift the
burden back to plaintiff. See Miller v. Chater , 99 F.3d 972, 976 (10th Cir. 1996)
-3- (determining absence of conclusive medical evidence cannot meet
Commissioner’s step five burden because reliance on paucity of medical evidence
effectively shifts burden back to claimant).
When a claimant proves, as plaintiff did here, that he cannot do his past
work due to disability, “the burden shifts to the [Commissioner] to show that the
claimant retains the residual functional capacity . . . to do other work that exists
in the national economy” before the expiration of his insured status. Id. at 975
(further quotation omitted). Thus, the evidence must be sufficient for the
Commissioner to prove that the claimant could perform work. See id. at 976.
Here, the ALJ expressly shifted the burden to the Commissioner. Also, the
ALJ considered the evidence in the record and correctly determined that it was
sufficient for the Commissioner to show that plaintiff could perform light work
with certain limitations.
Plaintiff questions whether the ALJ gave appropriate weight to or
considered all of the relevant medical evidence in the record. Plaintiff believes
that the ALJ should have given greater weight to the March 1987 opinion of Dr.
Conley, a consulting doctor, who indicated that plaintiff’s heart condition was
progressive and that he could not engage in work activities. Plaintiff also
believes that the 1990 emergency room records suggest that his heart condition
-4- seriously limited his activity at that time because he was encouraged to seek
cardiac treatment.
Although the ALJ did not specifically discuss this evidence, and is not
required to do so, he did indicate that he had examined the entire record. See
Clifton v. Chater , 79 F.3d 1007, 1009-10 (10th Cir. 1996) (requiring ALJ to
consider, but not specifically discuss, each piece of evidence). Dr. Conley’s
opinion had been rejected in the February 5, 1988, final decision denying
disability benefits for several reasons. See Appendix Vol. II at 236-37. With
respect to the 1990 emergency room visit for hemorrhoidal pain, the ALJ
correctly observed that the record stated that plaintiff’s cardiac disease was
asymptomatic. Further, the ALJ correctly noted that plaintiff did not seek
medical care for his heart problems from 1987 to 1993, albeit allegedly due to
financial constraints.
Free access — add to your briefcase to read the full text and ask questions with AI
F I L E D United States Court of Appeals Tenth Circuit UNITED STATES COURT OF APPEALS OCT 14 1998 FOR THE TENTH CIRCUIT PATRICK FISHER Clerk
CALVIN W. ADAMS,
Plaintiff-Appellant,
v. No. 97-5234 (D.C. No. 96-CV-842-M) KENNETH S. APFEL, Commissioner, (N.D. Okla.) Social Security Administration,
Defendant-Appellee.
ORDER AND JUDGMENT *
Before PORFILIO , KELLY , and HENRY , Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1.9. The case is therefore
ordered submitted without oral argument.
* This order and judgment is not binding precedent, except under the doctrines of law of the case, res judicata, and collateral estoppel. The court generally disfavors the citation of orders and judgments; nevertheless, an order and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3. Plaintiff appeals from the district court’s order affirming the
Commissioner’s decision that he was not disabled before the expiration of his
insured status on December 31, 1991, and therefore was not eligible for disability
insurance benefits. On appeal, plaintiff argues that (1) the Administrative Law
Judge (ALJ) applied incorrect legal standards in analyzing the medical records for
the relevant period; and (2) the ALJ should have consulted a medical advisor to
determine his disability onset date. We exercise jurisdiction under 42 U.S.C.
§ 405(g) and 28 U.S.C. § 1291, and we affirm.
Plaintiff applied for disability benefits claiming he was disabled due to
chest pain, difficulty breathing, and lack of energy and stamina associated with
coronary artery disease; pain in his fingers and hands; skin cancers; high blood
pressure; and ulcers. 1 The Social Security Administration denied his application
initially and on reconsideration, finding on each review that he was not disabled
when his insured status expired on December 31, 1991. In its report denying
reconsideration, the Social Security Administration, however, did determine that
1 In his application for benefits, plaintiff alleged disability as of November 24, 1986. The ALJ determined that because plaintiff had failed to appeal an earlier denial of benefits dated February 5, 1988, and because no reason existed to reopen the prior application, the earlier decision was a final administrative decision. Plaintiff does not contest this determination. Moreover, we lack jurisdiction to review the Commissioner’s refusal to reopen. See Brown v. Sullivan , 912 F.2d 1194, 1196 (10th Cir. 1990). Thus, February 5, 1988, is the relevant date for determining when disability may have commenced.
-2- plaintiff met the listings for a disabling heart condition, see 20 C.F.R. pt. 404,
subpt. P, app. 1, § 4.04B, as of February 24, 1994. At plaintiff’s request, an ALJ
held an evidentiary hearing. After the hearing, the ALJ determined at step five of
the sequential evaluation process, see Williams v. Bowen , 844 F.2d 748, 750-52
(10th Cir. 1988); 20 C.F.R. § 404.1520, that plaintiff could perform a significant
number of enumerated light work jobs in the national economy as of
December 31, 1991. The ALJ therefore concluded that plaintiff was not disabled
as of that date. When the Appeals Council denied review, the ALJ’s decision
became the final decision of the Commissioner. See 20 C.F.R. § 404.981.
Plaintiff appealed, and the district court affirmed. This appeal followed.
We review the Commissioner’s decision that plaintiff was not disabled as
of December 31, 1991, “to determine whether his factual findings are supported
by substantial evidence and whether he correctly applied the relevant legal
standards.” Daniels v. Apfel , No. 98-5004, 1998 WL 515160, at *2 (10th Cir.
Aug. 18, 1998).
Plaintiff argues that the ALJ failed to properly evaluate the evidence at step
five and did not shift the burden of proof to the Commissioner until the ALJ
reached the vocational issues at step five. Plaintiff contends the ALJ allowed the
Commissioner to rely on the absence of medical evidence to effectively shift the
burden back to plaintiff. See Miller v. Chater , 99 F.3d 972, 976 (10th Cir. 1996)
-3- (determining absence of conclusive medical evidence cannot meet
Commissioner’s step five burden because reliance on paucity of medical evidence
effectively shifts burden back to claimant).
When a claimant proves, as plaintiff did here, that he cannot do his past
work due to disability, “the burden shifts to the [Commissioner] to show that the
claimant retains the residual functional capacity . . . to do other work that exists
in the national economy” before the expiration of his insured status. Id. at 975
(further quotation omitted). Thus, the evidence must be sufficient for the
Commissioner to prove that the claimant could perform work. See id. at 976.
Here, the ALJ expressly shifted the burden to the Commissioner. Also, the
ALJ considered the evidence in the record and correctly determined that it was
sufficient for the Commissioner to show that plaintiff could perform light work
with certain limitations.
Plaintiff questions whether the ALJ gave appropriate weight to or
considered all of the relevant medical evidence in the record. Plaintiff believes
that the ALJ should have given greater weight to the March 1987 opinion of Dr.
Conley, a consulting doctor, who indicated that plaintiff’s heart condition was
progressive and that he could not engage in work activities. Plaintiff also
believes that the 1990 emergency room records suggest that his heart condition
-4- seriously limited his activity at that time because he was encouraged to seek
cardiac treatment.
Although the ALJ did not specifically discuss this evidence, and is not
required to do so, he did indicate that he had examined the entire record. See
Clifton v. Chater , 79 F.3d 1007, 1009-10 (10th Cir. 1996) (requiring ALJ to
consider, but not specifically discuss, each piece of evidence). Dr. Conley’s
opinion had been rejected in the February 5, 1988, final decision denying
disability benefits for several reasons. See Appendix Vol. II at 236-37. With
respect to the 1990 emergency room visit for hemorrhoidal pain, the ALJ
correctly observed that the record stated that plaintiff’s cardiac disease was
asymptomatic. Further, the ALJ correctly noted that plaintiff did not seek
medical care for his heart problems from 1987 to 1993, albeit allegedly due to
financial constraints. The evidence in the record as a whole sufficiently indicated
that plaintiff’s heart condition did not preclude him from working through
December 31, 1991. Accordingly, we conclude the ALJ properly evaluated the
evidence and properly shifted the burden of proof to the Commissioner.
Plaintiff next argues the ALJ erred by failing to obtain the testimony of a
medical advisor to establish the date of the onset of his disability. Social Security
Ruling 83-20, 1983 WL 31249, recognizes that an ALJ sometimes may need to
obtain the services of a medical advisor to infer a disability onset date. See Reid
-5- v. Chater , 71 F.3d 372, 374 (10th Cir. 1995). “However, a medical advisor need
be called only if the medical evidence of onset is ambiguous.” Id. Here, there
was no ambiguity. The medical evidence established that plaintiff could perform
work through the date of expiration of his insured status. We conclude the ALJ
did not err in failing to call a medical advisor.
Because there is substantial evidence to support the ALJ’s determination
that plaintiff was not disabled as of December 31, 1991, and because the ALJ
applied the correct legal standards in reaching his decision, the judgment of the
United States District Court for the Northern District of Oklahoma is
AFFIRMED.
Entered for the Court
John C. Porfilio Circuit Judge
-6-