Manuel Flores v. Margaret M. Heckler, Secretary of Health and Human Services

755 F.2d 401, 1 Fed. R. Serv. 3d 528, 1985 U.S. App. LEXIS 28346
CourtCourt of Appeals for the Fifth Circuit
DecidedMarch 18, 1985
Docket84-2583
StatusPublished
Cited by12 cases

This text of 755 F.2d 401 (Manuel Flores v. Margaret M. Heckler, Secretary of Health and Human Services) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Manuel Flores v. Margaret M. Heckler, Secretary of Health and Human Services, 755 F.2d 401, 1 Fed. R. Serv. 3d 528, 1985 U.S. App. LEXIS 28346 (5th Cir. 1985).

Opinion

PATRICK E. HIGGINBOTHAM, Circuit Judge:

Manuel Flores, an unsuccessful claimant for Social Security disability benefits, raises both procedural and substantive challenges to a district court order affirming *402 the Secretary, entered without notice to the parties and without a motion for summary judgment. We agree that the district court should have given the parties an opportunity to present their arguments before its ruling, but find that the error was harmless because Flores later developed his substantive argument to the court in a motion for new trial. On the merits,, we affirm the district court’s finding that substantial evidence supported the Secretary’s decision.

I

Flores is 40 years old, has the equivalent of a high school education, and has worked as a millwright, mechanic, truck driver, and laborer, all jobs requiring strenuous physical exertion. Since 1979, he has suffered recurrent episodes of lower back pain; he has been hospitalized three times and has been diagnosed and treated by several physicians. To relieve his back pain, he takes prescribed muscle relaxants and pain pills, exercises, lies on the floor once or twice a day, and uses a heating pad. He has, on occasions when his pain becomes severe, worn a back brace. Flores lives at home and does household chores such as cutting the grass (with a riding mower) and shopping for groceries. He has not worked since February of 1981.

Flores filed for disability benefits on September 29, 1981, alleging that he had been disabled since November 7, 1980. After the Secretary initially denied his claim, Flores, assisted by counsel, appeared before an Administrative Law Judge at a de novo hearing on June 11, 1982. On November 80, 1982, the AU issued a written decision denying benefits.

The AU, reviewing Flores’s medical records, found that Flores suffered from lower back syndrome with strain of the lumbar spine, along with hypertension that was under control with medication. The AU expressly stated that Flores’s assertion that his back pain was disabling was not “fully credible and convincing.” Based on Flores’s “assertions, manner, appearance, and signs,” and on the objective medical evidence, the AU found that Flores’s pain was “none to mild with occasionally moderate episodes which are controlled with medication and physical therapy.” The AU agreed that Flores could no longer undertake heavy manual labor, as he had in the past, but found that Flores could still perform “the full range of light and sedentary work” as defined in the Social Security Administration’s vocational regulations, 20 C.F.R. § 404.1567. The AU considered his finding of Flores’s residual functional capacity along with Flores’s age, educational level, and transferable skills learned in his job as a millwright, and concluded that Flores was not disabled under 20 C.F.R. subpart P, appendix 2, Rule 201.29.

On May 9, 1983, Flores filed a pro se petition for review in the district court under 42 U.S.C. § 405(g). The Secretary answered, attaching to her answer a copy of the administrative record. On April 10, 1984, Flores’s counsel filed a notice of appearance. On June 7, 1984, the court sua sponte entered a written order and judgment affirming the Secretary. Flores’s counsel promptly moved for a new trial and for summary judgment, complaining that he had been deprived of the opportunity to argue Flores’s case to the district court. On July 17, in an amended motion for new trial, Flores’s counsel submitted a 22-page memorandum arguing that the Secretary’s decision was not supported by substantial evidence.

In a written order dated September 17, the district court denied Flores’s motions for new trial and summary judgment. Citing 42 U.S.C. § 405(g), which expressly grants district courts reviewing disability decisions the power to enter judgment “upon the pleadings and transcript of the record,” the.court rejected Flores’s contention that the parties should have been allowed to move for summary judgment. The court then stated that “[a]fter considering the motion, the record, and the law,” it would deny the motions.

II

Flores attacks on two grounds the procedure used by the district court in de *403 ciding his case. First, he argues that district courts must follow the mechanism of Fed.R.Civ.P. 56 in disability review actions. The governing statute, 42 U.S.C. § 405(g), though, only authorizes review of the pleadings and the record. As we have noted, district courts in § 405(g) cases may not consider evidence outside the administrative record, and summary judgment is therefore “a problematic procedure” in disability appeals. Lovett v. Schweiker, 667 F.2d 1, 2-3 (5th Cir.1981); see also Igonia v. Califano, 568 F.2d 1383, 1389 (D.C.Cir. 1977) (summary judgment improper in disability cases); McMullen v. Celebrezze, 335 F.2d 811, 814 (9th Cir.1964) (motion for summary judgment “unnecessary”), cert. denied, 382 U.S. 854, 86 S.Ct. 106, 15 L.Ed.2d 92 (1965). Although Lovett noted that summary judgment is frequently used in disability cases, and permitted the use of summary judgment when the district court has not gone beyond the pleadings and record, Lovett certainly does not require the use of summary judgment.

Flores’s second contention, that the district court should not have entered judgment sua sponte, has more force. Myers v. Califano, 611 F.2d 980 (4th Cir.1980) held that a district court had erred in entering judgment in a § 405(g) action before either side had moved for it. 1 Citing Cali-fano v. Yamasaki, 442 U.S. 682, 699-700, 99 S.Ct. 2545, 2556-2557, 61 L.Ed.2d 176 (1979), the Myers court stated that district courts must follow the Federal Rules of Civil Procedure in disability cases just as in other civil actions, and that the lower court’s unilateral action was not sanctioned by the Federal Rules. The same result was reached in Kistner v. Califano, 579 F.2d 1004

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Bluebook (online)
755 F.2d 401, 1 Fed. R. Serv. 3d 528, 1985 U.S. App. LEXIS 28346, Counsel Stack Legal Research, https://law.counselstack.com/opinion/manuel-flores-v-margaret-m-heckler-secretary-of-health-and-human-ca5-1985.