William E. Butts v. Jo Anne B. Barnhart, Commissioner of Social Security

388 F.3d 377, 2004 U.S. App. LEXIS 22790, 2004 WL 2453598
CourtCourt of Appeals for the Second Circuit
DecidedNovember 3, 2004
Docket03-6115
StatusPublished
Cited by861 cases

This text of 388 F.3d 377 (William E. Butts v. Jo Anne B. Barnhart, Commissioner of Social Security) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
William E. Butts v. Jo Anne B. Barnhart, Commissioner of Social Security, 388 F.3d 377, 2004 U.S. App. LEXIS 22790, 2004 WL 2453598 (2d Cir. 2004).

Opinion

WINTER, Circuit Judge.

William E. Butts appeals from Judge Kahn’s order remanding Butts’ claim for disability benefits to the Social Security Commissioner. The remand directs further proceedings pursuant to “sentence four” of 42 U.S.C. § 405(g) to determine whether adequate jobs exist in the national economy that Butts could perform. Butts asks us to remand only for a calculation of benefits because the Commissioner failed to sustain her burden of showing through the testimony of a vocational expert that there are jobs in the national economy that Butts could perform. The Commissioner agrees that a vocational expert was needed but argues that remand for an evidentiary hearing was within the district court’s discretion. We hold that a district court’s “sentence-four-remand order” is subject to review for abuse of discretion, that the district court did not abuse its discretion, but that any further proceedings must be completed within a time limit.

BACKGROUND

Butts is a high-school graduate who worked as an ironworker for a steel fabrication company from 1971 until September 30, 1991. At that time he suffered an injury to his back while lifting a heavy piece of steel on the job. Butts has since been treated for back and back-related problems by a host of doctors and has been diagnosed with a number of back conditions, including degenerative disk disease, congenital spinal stenosis, mild displacement of nerve root from disk bulging, moderate thecal sac compression, mild-to-moderate neural foraminal stenosis, mild intermittent radiculitis, and chronic lumbar syndrome and radiculopathy. Butts’ *380 problems began to subside in 1993, and a scheduled surgery was cancelled. However, Butts re-injured himself in 1995, and his condition again worsened. Butts’ most recent physician, Dr. Kamlesh S. Desai, diagnosed Butts with chronic lumbar syndrome, intermittent left L^4 radiculopathy, and disc degeneration at L5-S1 and L4-5 with facet arthropathy.

Butts’ job as an ironworker involved lifting up to 100 pounds on a regular basis. His doctors now agree that he can lift no more than half that weight and only from time to time. Based on his diagnoses in 1997 and 1998, Dr. Desai also placed Butts on permanent restrictions, directing him to “[ajvoid heavier bending, lifting, and twisting activities, prolonged sitting and prolonged driving, as well as prolonged standing in one position.”

Butts filed his first application for Social Security disability benefits in May, 1996. The application was denied both upon initial determination and upon reconsideration. Butts filed a request for an administrative hearing in connection with the denial of his claim but later withdrew that request. On January 1, 1998, Butts filed an amended application for disability insurance benefits. This application was also denied both upon initial determination and upon reconsideration. Butts again requested a hearing before an administrative law judge (“ALJ”). At the hearing on January 6, 1999, Butts, then 49 years old, testified that he has trouble standing and sitting for long periods of time and experiences sharp pains while bending and lifting objects. The ALJ denied Butts’ claim.

In his decision, the ALJ undertook the mandatory five-step sequential evaluation process for evaluating disability determinations. See 20 C.F.R. § 416.920. The ALJ first found that Butts had not engaged in substantial gainful employment since the onset of his impairment. Second, after reviewing the medical evidence, the ALJ concluded that Butts’ “back condition has resulted in a significant restriction of his ability to perform basic work activities” therefore constituting a “ ‘severe’ impairment.” Third, the ALJ determined that Butts’ impairment did not qualify under the Social Security Act’s “Listing of Impairments” in Appendix 1 to Subpart P of Section 404 of the Act. Had the ALJ found otherwise, Butts would have been deemed disabled without reference to vocational factors such as age, education, or work experience.

However, because Butts’ impairment did not qualify as a listed impairment under Appendix 1, the ALJ moved to step four of the sequential evaluation to determine Butts’ residual functional capacity for his work as an ironworker. Residual functional capacity involves the range of work activities Butts could still perform despite his impairment. Social Security regulations direct the ALJ to consider both objective medical evidence and any other evidence, including statements and reports from Butts and his physicians, relevant to how his impairments and related symptoms affect his ability to work. See 20 C.F.R. § 404.1529. The ALJ reviewed Butts’ testimony, the diagnoses and treatment recommendations of his physicians, and the opinion of a state agency review physician. The state agency physician, while not an examining physician, evaluated the evidence and opined that Butts could frequently lift ten pounds, could sit and/or stand for a total of six hours in an eight hour work day, could occasionally climb and balance, but could never stoop, kneel, crouch or crawl.

The ALJ concluded that although Butts could no longer perform his prior heavy lifting work — which includes “exertional” activities — he retained the residual func *381 tional capacity for the full range of light work — which includes “nonexertional” activities such as bending, kneeling, crouching, and crawling — as well as for sedentary work. 1 In reaching this conclusion the ALJ relied principally upon the state agency review physician’s opinion which it found to be supported by the opinions of Butts’ treating physicians. Based on Butts’ residual functional capacity to perform at most light work, the ALJ determined at step four of the sequential evaluation that Butts was incapable of returning to his former occupation as an ironworker.

At step five, the burden shifts to the Commissioner to show that there were a significant number of jobs in the national economy that Butts could perform based on his residual functional capacity, age, education, and prior vocational experience. See 20 C.F.R. § 404.1560. However, the Commissioner is not represented at an administrative hearing; rather, the ALJ marshals the evidence and makes the relevant determination. See Seavey v. Barnhart, 276 F.3d 1, 8 (1st Cir.2001) (citing Sims v. Apfel, 530 U.S. 103, 110, 120 S.Ct. 2080, 147 L.Ed.2d 80 (2000)). In Butts’ case, the ALJ used criteria from the Social Security Act’s table of medical-vocational guidelines, referred to as “grid rules” or “grids,” to conclude that Butts was capable of performing other jobs existing in significant numbers in the national economy and therefore did not meet the requirements for disability status.

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Bluebook (online)
388 F.3d 377, 2004 U.S. App. LEXIS 22790, 2004 WL 2453598, Counsel Stack Legal Research, https://law.counselstack.com/opinion/william-e-butts-v-jo-anne-b-barnhart-commissioner-of-social-security-ca2-2004.