Duncan v. Apfel ( 1999 )

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
MAY 10 1999
FOR THE TENTH CIRCUIT
PATRICK FISHER
Clerk
CONNIE H. DUNCAN,
Plaintiff-Appellant,
v. No. 98-7089
(D.C. No. CV-97-305-S)
KENNETH S. APFEL, Commissioner, (E.D. Okla.)
Social Security Administration,
Defendant-Appellee.
ORDER AND JUDGMENT *
Before BALDOCK , BARRETT , 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(G). 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This order and judgment is not binding precedent, except under the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.
Claimant Connie H. Duncan appeals from the district court’s order adopting
the recommendation of the magistrate judge affirming the Commissioner of Social
Security’s denial of her applications for Social Security disability insurance and
supplemental security income benefits. Claimant, a forty-five-year-old woman
with a high school education and two years of nursing school, claimed disability
from April 7, 1990, due to degenerative disc disease and uncorrected left eye
blindness. 1
Claimant filed applications for benefits in September 1992, which were
denied initially and on reconsideration. She requested and received a hearing
before an administrative law judge (ALJ). After hearing testimony from claimant
and a vocational expert, the ALJ determined that claimant was unable to return to
her past relevant work as a registered nurse. The ALJ found at step five of the
five-step evaluation sequence, see Williams v. Bowen , 844 F.2d 748, 750-51 (10th
Cir. 1988), that claimant retained the residual functional capacity to perform the
full range of light work except for lifting or carrying more than twenty pounds
occasionally and ten pounds frequently; being able to stand or sit for prolonged
1
Even though claimant listed left eye blindness as an impairment to be
considered in her applications for benefits, she told the ALJ at the hearing that it
was her right eye, not the left, the problem had existed since childhood, the
problem was corrected with glasses, and the problem only had been listed on the
applications at the suggestion of the social security employee helping her with her
applications.
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periods without shifting position; and begin able to engage in more than
occasional stooping, crouching, and bending. The Appeals Council denied
claimant’s request for review, and the ALJ’s decision became the final decision of
the Commissioner. See 20 C.F.R. §§ 404.981, 416.1481. Claimant appealed the
ALJ’s decision, and the district court upheld the ALJ’s decision. This appeal
followed.
Our review of the Commissioner’s decision is limited to determining
whether the decision is supported by substantial evidence and whether the
Commissioner applied correct legal standards. See Castellano v. Secretary of
Health & Human Servs. , 26 F.3d 1027, 1028 (10th Cir. 1994). “To find that the
[Commissioner’s] decision is supported by substantial evidence, there must be
sufficient relevant evidence in the record that a reasonable person might deem
adequate to support the ultimate conclusion.” Bernal v. Bowen , 851 F.2d 297,
299 (10th Cir. 1988). We may neither reweigh the evidence nor substitute our
judgment for that of the Commissioner. See id.On appeal, claimant asserts that the ALJ erred (1) in assessing her residual
functional capacity and credibility; (2) in failing to develop the record as to her
mental impairments; and (3) in failing to ask the vocational expert a proper
hypothetical question. We conclude that the record contains substantial evidence
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supporting the ALJ’s denial of benefits in this case, and we affirm the district
court’s decision.
In September 1988, claimant fell from a sidewalk, landing on her buttocks.
Two months later, she was hospitalized by Dr. Rick L. Robbins complaining of
lower back pain radiating down her left hip and leg. X-rays taken at that time
revealed a possible herniation of the disc at L4-L5 with no other abnormalities.
Her CT scan showed no sign of a ruptured disc. Claimant was treated with
traction, a 1200-calorie diet, and medication. She was released four days later
much improved.
Claimant was subsequently hospitalized by Dr. Robbins in April 1990, with
acute lumbar strain resulting from an automobile accident in March 1990. She
was again treated with traction and medication. A CT of her lumbar spine taken
at that time showed “a distinct possibility of recurrent left perimedian disc
herniation.” Appellant’s App. Vol. II at 232. At the time of her discharge, she
expressed a desire to be treated with conservative therapy instead of surgery, and
Dr. Robbins ordered medication, hot packs, no driving, no lifting over twenty
pounds, and no working until released to do so. The record does not indicate that
Dr. Robbins continued to treat claimant following her discharge from the hospital.
In October 1992, claimant was examined by Dr. Mark Wellington of the
Oklahoma Department of Human Services for the purpose of evaluating her level
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of disability due to back pain. Dr. Wellington diagnosed claimant with lumbar
degenerative disc disease. He recommended an MRI and a rheumatoid evaluation.
Dr. Wellington noted that claimant was not taking her anti-inflammatory
medications.
In June 1994, Dr. B. Don Schumpert of Heavener Medical Services opined
in a short letter that claimant was precluded from “work requiring lifting, bending
and things of this nature.” Id. at 243. Although Dr. Schumpert’s letter stated that
claimant was a patient on June 15, 1994, his opinion as to claimant’s limitations
was not supported by any medical or clinical evidence.
On June 22, 1994, claimant was seen by Dr. Robert C. Williams at Holt
Krock Clinic, who diagnosed claimant with low back pain “probably secondary to
lumbar disc disease.” Id. at 246. Dr. Williams prescribed Xanax for rest, Lodine
for back pain, and referred her to neurosurgery. On November 17, 1994, Dr.
Williams opined in a short letter that claimant’s “chronic low back pain with
history of lumbar disc disease” rendered her unable to work or seek employment
at that time. Id. at 255. On April 24, 1995, Dr. Williams wrote a second two-
sentence letter which stated that he had treated claimant for “low back pain with
probable lumbar disc disease, anxiety, and chronic joint pain, which may be mild
arthritis,” and included a recent diagnosis of hypertension. Id. at 256. On August
4, 1995, Dr. Williams opined that claimant’s condition had not changed over the
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past year, and he did not expect it to do so. See id. at 263. The record contains
no medical or clinical evidence supporting Dr. Williams’ conclusions. 2
On referral from Dr. Williams, claimant was examined by Dr. Timothy R.
Best, who also diagnosed chronic back pain secondary to lumbar disc disease. Dr.
Best opined that claimant’s excess weight was exacerbating her back pain and
recommended a weight loss. He also recommended that she receive steroid
injections and a referral to a pain clinic. On October 11, 1995, Dr. Williams
indicated that he referred claimant to the Holt Krock Clinic Neurosurgery. The
record, however, does not indicate the outcome, if any, of that referral.
Claimant broadly asserts that the ALJ’s determination that claimant was
capable of a full range of light work except for certain limitations was not
supported by substantial evidence. More specifically, she argues that the ALJ
erred in finding her assertions of pain incredible, in disregarding the opinions of
her treating physicians, and in assessing the medical evidence.
In analyzing evidence of allegedly disabling pain,
2
“An ALJ has the duty to develop the record by obtaining pertinent,
available medical records which come to his attention during the course of the
hearing.” Carter v. Chater , 73 F.3d 1019, 1022 (10th Cir. 1996). Here, counsel
for claimant did not indicate during the hearing that any additional medical
records were available. Moreover, claimant does not argue on appeal that the
ALJ failed in his duty to develop the record as to available medical records. See
Crow v. Shalala , 40 F.3d 323, 324 (10th Cir. 1994).
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[w]e must consider (1) whether Claimant established a pain-
producing impairment by objective medical evidence; (2) if so,
whether there is a “loose nexus” between the proven impairment and
the Claimant’s subjective allegations of pain; and (3) if so, whether
considering all the evidence, both objective and subjective,
Claimant’s pain is in fact disabling.
Musgrave v. Sullivan , 966 F.2d 1371, 1375-76 (10th Cir. 1992). Here, the ALJ
determined that although claimant established a pain-producing impairment linked
to her subjective allegations of pain, she failed to establish that her pain was
disabling. The ALJ found her claims of pain to be credible only to the extent that
they were consistent with her ability to do light work with limitations. The ALJ
found that claimant, the single parent of two young children, drives, does her own
housework and shopping, and visits and helps her elderly mother daily. The ALJ
noted that claimant did not use a cane or other aide for walking, chose
conservative treatment rather than surgical intervention for her back problem, and
although she complained that certain of her medications make her drowsy, she did
not allege that the side effects outweigh the benefits. See Luna v. Bowen , 834
F.2d 161, 165-66 (10th Cir. 1987) (listing factors to be considered by ALJ in
evaluating claimant’s subjective complaints of pain).
Because credibility determinations are better made by the fact finder, we
will not interfere with the ALJ’s credibility determination unless such
determination is without substantial evidentiary support. See Diaz v. Secretary of
Health & Human Servs. , 898 F.2d 774, 777 (10th Cir. 1990). Here, contrary to
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claimant’s assertions, the ALJ adequately articulated his reasons for his
credibility determination, and linked his conclusion to the evidence. Cf. Kepler v.
Chater , 68 F.3d 387, 391 (10th Cir. 1995) (ALJ’s credibility findings should be
linked to evidence and not just a conclusion). We therefore conclude that
claimant has not presented any grounds for overturning the ALJ’s credibility
determination.
Next, claimant asserts that the ALJ erred in failing to follow the
November 17, 1994 letter opinion of Dr. Williams that claimant was not able to
work or seek employment. In considering Dr. Williams’ opinion, the ALJ opined
that this conclusory statement was not entitled to great weight and consideration
unless there was an absence of conflict in the evidence and all the evidence
supported this conclusion. The ALJ then concluded that without objective
medical or laboratory data supporting this conclusion, Dr. Williams’ opinion need
not be given probative weight. We agree.
An ALJ is required to give substantial weight to a treating physician’s
opinion as long as “‘it is well supported by clinical and laboratory diagnostic
techniques and if it is not inconsistent with other substantial evidence in the
record.’” Bean v. Chater , 77 F.3d 1210, 1214 (10th Cir. 1995) (quoting
Castellano , 26 F.3d at 1029). While other examining physicians concurred with
Dr. Williams’ diagnosis, no other physician opined that claimant was permanently
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disabled. We acknowledge that the record indicates that Dr. Williams saw
claimant several times over a two-month period and was treating claimant for her
back pain. It appears that his treatment, however, was in response to claimant’s
recitation of her history of back injury and her complaints of back pain. There is
no supporting medical or laboratory data in the record upon which Dr. Williams
could have based his opinion that claimant was unable to work. Therefore,
because Dr. Williams’ judgment that claimant was unable to work was conclusory
and unsupported, the ALJ did not err in rejecting this opinion. See Bean , 77 F.3d
at 1214.
Claimant further alleges that the ALJ erred in failing to develop the record
as to claimant’s alleged mental impairment. Specifically, she alleges that the ALJ
should have ordered a consultative psychiatric examination based on the record
evidence that she suffered from anxiety. In her applications, claimant did not
claim disability due to a mental impairment. The record, however, indicates that
Dr. Williams prescribed Xanax for anxiety. When questioned by the ALJ,
claimant testified that, although she had attacks of anxiety about once a week,
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they were controlled by the Xanax. 3
She did not indicate that these bouts of
anxiety were at all limiting.
The Commissioner has a great deal of latitude in deciding whether to order
consultative examinations. See Diaz , 898 F.2d at 778. When a claimant is
represented by counsel at the hearing, the burden ordinarily is on counsel to
present issues in need of further exploration. See Hawkins. v. Chater , 113 F.3d
1162, 1167 (10th Cir. 1997). “In the absence of such a request by counsel, we
will not impose a duty on the ALJ to order a consultative examination unless the
need for one is clearly established in the record.” Id. at 1168. The ALJ’s duty to
develop the record is limited to those issues that are material. See Baca v.
Department of Health & Human Servs. , 5 F.3d 476, 479-80 (10th Cir. 1993).
Here, the ALJ found that claimant had never been referred for mental
health treatment nor had she sought treatment on her own; her anxiety had never
restricted her activities or social interactions; and her anxiety had never affected
3
The record contains evidence of claimant receiving treatment for anxiety on
two occasions. On May 2, 1992, she was treated in a hospital emergency room
for an accelerated heart rate. She related that these symptoms started during an
argument with her husband when he threatened to kill her if she left him. See
Appellant’s App. Vol. II at 234. In March 1995, it appears that claimant had an
attack of heart palpitations while being injected with Xylocaine with Epinephrine
by her dentist. Although Dr. Williams noted a history of palpitations, he
diagnosed a probable sensitivity to the Epinephrine. See id. at 259.
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her work or working environment. The ALJ then concluded that her anxiety was
mild and would have no adverse affect on her ability to work.
Because the ALJ’s conclusion that claimant’s anxiety was not a material
issue in her disability determination was supported by the evidence in the record,
we discern no error in the ALJ’s failure to develop the issue further or order a
consultative examination.
Despite counsel’s representation to this court to the contrary, 4
claimant’s
final contention of error, that the ALJ’s hypothetical question to the vocational
expert was incomplete and inaccurate, was not adequately raised or argued to the
district court. Therefore, we will not address the issue on appeal. See Crow v.
Shalala , 40 F.3d 323, 324 (10th Cir. 1994) (holding that generally issues not
preserved in the district court are waived on appeal).
4
Counsel has recently been sanctioned by this court for this kind of
misrepresentation. See Lail v. Apfel , No. 98-7079 (10th Cir. April 13, 1999).
Because the briefs in this case were filed prior to this court’s sanction order, we
take this occasion only to remind counsel that misrepresentation of the record on
appeal will not be tolerated.
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The judgment of the United States District Court for the Eastern District of
Oklahoma is AFFIRMED.
Entered for the Court
James E. Barrett
Senior Circuit Judge
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