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[DO NOT PUBLISH]
IN THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
________________________
No. 13-11466
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D.C. Docket No. 4:11-cv-00231-HLM
EDUARDO PATRICIO CACES,
Plaintiff-Appellant,
versus
COMMISSIONER, SOCIAL SECURITY
ADMINISTRATION, Defendant-Appellee.
________________________
Appeal from the United States District Court
for the Northern District of Georgia
________________________
(March 27, 2014)
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Before WILSON, Circuit Judge, and BUCKLEW, * and LAZZARA, ** District
Judges.
PER CURIAM:
Eduardo Caces appeals from the district court’s judgment affirming the
administrative law judge’s (“ALJ”) denial of his application for disability
insurance benefits, 42 U.S.C. § 405(g). He first argues that the ALJ erred in failing
to call a medical adviser to testify about the onset date of his disability. Second, he
argues that the ALJ erred in making a credibility conclusion without articulating
his reasons, and that he erred in his credibility determination because the medical
evidence supports Caces’s symptoms and because the ALJ gave too much weight
to the opinions of the non-examining medical consultants. Finally, Caces argues
that the Appeals Council erred in failing to make specific findings about newly
submitted evidence and in denying review.
A. ALJ’s Failure to Call A Medical Expert
Although Social Security Rulings are not binding, we accord the rulings
great respect and deference if the underlying statute is unclear and the legislative
history offers no guidance. B. B. ex rel. A. L. B. v. Schweiker, 643 F.2d 1069, 1071
*
Honorable Susan C. Bucklew, United States District Judge for the Middle District of
Florida, sitting by designation.
**
Honorable Richard L. Lazzara, United States District Judge for the Middle District of
Florida, sitting by designation.
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(5th Cir. 1981).1 Social Security Ruling 83-20 prescribes the policy and procedure
by which the Commissioner should determine the onset date of a disability. See
SSR 83-20. It defines the onset date as “the first day an individual is disabled as
defined in the Act and the regulations.” SSR 83-20. “In addition to determining
that an individual is disabled, the decisionmaker must also establish the onset date
of disability,” which may be critical to determinations such as the period for which
the individual will be paid. Id.
Caces filed for disability benefits on August 3, 2007, alleging that the date of
onset of disability was June 22, 2006, the same day he underwent spinal fusion
surgery. Caces initially enjoyed overall improvement after the surgery.
Approximately three months after the surgery, physical therapy caused increased
back pain for which he received various types of injections. The injections and
other pain medication proved moderately successful with an injection in November
2006 providing immense relief. He did not seek or receive any other treatment or
undergo further surgery until after the date he was last insured, which was
December 31, 2006.
After a hearing, the ALJ found that his severe impairments relating to his
lumbar and obesity did not individually or in combination meet or equal a listed
1
In Bonner v. City of Prichard, 661 F.2d 1206, 1209 (11th Cir. 1981) (en banc), we
adopted as binding precedent all decisions of the former Fifth Circuit rendered prior to October
1, 1981.
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impairment through the date last insured. The ALJ further determined after careful
consideration of the entire record that Caces had the residual functional capacity to
perform limited light work through the date last insured, and was not under a
disability at any time from June 22, 2006, through December 31, 2006. None of
the medical records presented to the ALJ or the Appeals Council indicate that
Caces suffered a disability at any time before his insured status ended.
Despite the adequacy of the medical records in this case, Caces argues that
March v. Massanari, No. 00-16577, 265 F.3d 1065 (Table) (11th Cir. Jul. 10,
2001), an unpublished opinion,2 is controlling and therefore remand is appropriate
to determine the date of onset of disability. The ALJ in March found that the
claimant was not disabled before the date last insured, based on the absence of
sufficient medical evidence for the period of insurance from which to ascertain the
date of onset. All of March’s physicians who treated him several years after the
date he was last insured, however, determined that he evidenced signs of bipolar
disorder at least six years before his insured status ended. Thus, the uncertain date
of onset for March would need to be inferred, given the sparse medical record
predating the date last insured and the overwhelming evidence that came to light
after the date last insured from his then treating physicians. The circumstances of
2
Unpublished decisions of this Court are not binding precedent. See 11th Cir. R. 36-2.
We nevertheless address March because Caces claims his case is “on all fours” with March and
therefore mandates remand.
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March presented precisely the situation under SSR 83-20 calling for a medical
advisor to assist in determining an inferred onset date.
Unlike March, this case does not involve the uncertainty of an onset date of
disability based on the medical records, or lack thereof, generated during the
insured period. The file in this case before the ALJ and the Appeals Council is
replete with medical evidence that supported the finding that Caces was not
disabled at any time between the date of the alleged onset in June 2006 and the
date last insured of December 31, 2006. There was no need for assistance from a
medical advisor to determine the date of onset because the unambiguous medical
evidence shows Caces was not disabled before the date of last insured.
The plain language of SSR 83-20 indicates that it is applicable only after
there has been a finding of disability and it is then necessary to determine when the
disability began. See CBS Inc. v. PrimeTime 24 Joint Venture, 245 F.3d 1217,
1224-25 (11th Cir. 2001) (noting that in construing a statute, we look to the plain
meaning of the actual language). In this case, the ALJ found that Caces was not
disabled prior to the date last insured based on ample, unambiguous medical
evidence from both before and after the date last insured. Therefore, because the
ALJ did not find that Caces was disabled, and because that finding is supported by
the evidence, the ALJ did not err in failing to call a medical expert to determine an
onset date of such a disability. Accordingly, we affirm with respect to this issue.
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B. ALJ’s Credibility Determination
In order to be eligible for disability insurance benefits, a claimant must
demonstrate a disability on or before the last date on which he was insured. 42
U.S.C. § 423(a)(1)(A). Moore v. Barnhart, 405 F.3d 1208, 1211 (11th Cir. 2005)
(per curiam). Because Caces’s date last insured was December 31, 2006, his
appeal requires a showing of disability on or before that date. See Moore, 405 F.3d
at 1211. In Social Security appeals, we review the decision of an ALJ as the
Commissioner’s final decision when the ALJ denies benefits and the Appeals
Council denies review of the ALJ’s decision. Doughty v. Apfel, 245 F.3d 1274,
1278 (11th Cir. 2001). We review the Commissioner’s legal conclusions de novo
and consider whether the Commissioner’s factual findings are supported by
substantial evidence. Lewis v. Barnhart, 285 F.3d 1329, 1330 (11th Cir. 2002) (per
curiam). “Substantial evidence is more than a scintilla and is such relevant
evidence as a reasonable person would accept as adequate to support a
conclusion.” Lewis v. Callahan, 125 F.3d 1436, 1440 (11th Cir. 1997).
When a claimant attempts to establish disability through his own testimony
concerning pain or other subjective symptoms, we apply a three-part test, which
requires “(1) evidence of an underlying medical condition; and (2) either
(a) objective medical evidence confirming the severity of the alleged pain; or (b)
that the objectively determined medical condition can reasonably be expected to
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give rise to the claimed pain.” Wilson v. Barnhart, 284 F.3d 1219, 1225 (11th Cir.
2002) (per curiam).
If the record shows that the claimant has a medically determinable
impairment that could reasonably be expected to produce his symptoms, the ALJ
must evaluate the intensity and persistence of the symptoms in determining how
they limit the claimant’s capacity for work. 20 C.F.R. § 404.1529(c)(1). In doing
so, the ALJ considers all of the record, including the objective medical evidence,
the claimant’s history, and statements of the claimant and his doctors. Id.
§ 404.1529(c)(1)— (2). The ALJ may consider other factors, such as: (1) the
claimant’s daily activities; (2) the location, duration, frequency, and intensity of
the claimant’s pain or other symptoms; (3) any precipitating and aggravating
factors; (4) the type, dosage, effectiveness, and side effects of the claimant’s
medication; (5) any treatment other than medication; (6) any measures the claimant
used to relieve pain or symptoms; and (7) other factors concerning the claimant’s
functional limitations and restrictions due to pain or symptoms. Id.
§ 404.1529(c)(3). The ALJ then will examine the claimant’s statements regarding
his symptoms in relation to all other evidence, and consider whether there are any
inconsistencies or conflicts between those statements and the record. Id.
§ 404.1529(c)(4).
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“After considering a claimant’s complaints of pain, the ALJ may reject them
as not creditable, and that determination will be reviewed for substantial evidence.”
Marbury v. Sullivan, 957 F.2d 837, 839 (11th Cir. 1992) (per curiam). The ALJ
must explicitly and adequately articulate his reasons if he discredits subjective
testimony. Id. The testimony of a treating physician must be given substantial or
considerable weight unless “good cause” is shown to the contrary. Winschel v.
Comm’r of Soc. Sec., 631 F.3d 1176, 1179 (11th Cir. 2011). Nevertheless, we
upheld in Edwards v. Sullivan the ALJ’s reliance on a non-examining physician’s
report in denying disability benefits when the report did not contradict information
in examining physicians’ reports. 937 F.2d 580, 584-85 (11th Cir. 1991).
The ALJ specifically and adequately articulated his reasons for discrediting
Caces and substantial evidence supported that determination. Having found that
the objective medical findings were consistent with the residual functional capacity
assessment given near the end of the insured period, the ALJ properly determined
the magnitude of the complaints inconsistent to the extent the pain would impair
Caces from performing reduced light work. Throughout the insured period, the
medical findings indicate that the pain was controlled with medication and
injections without incident. During the first three months after the surgery, his
symptoms improved significantly, permitting him to walk normally with greater
ease.
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In discrediting the subjective complaints, the ALJ correctly gave “little
weight” to the medical evidence presented by Dr. Chappuis because he did not
begin treating Caces until March 2008, long after his date last insured had passed.
The ALJ gave appropriate weight to the two state medical consultants whose
opinions supported a finding that Caces was able to perform limited light work
prior to and through the date last insured. Although the evidence showed a
progressive worsening of Caces’s condition over a time period extending past his
date last insured, the record did not support Caces’s assertions of pain so severe,
persistent, and limiting such that he was rendered disabled before his date last
insured. Accordingly, we affirm as to this issue.
C. Denial of Review by the Appeals Council
The Appeals Council has discretion not to review the ALJ’s denial of
benefits; however, if the claimant submits new noncumulative and material
evidence to the Appeals Council after the ALJ’s decision, it must consider such
evidence where it relates to the period on or before the date of the ALJ’s hearing
decision. 20 C.F.R. § 404.970(b); see also Keeton v. Dep’t of Health & Human
Servs., 21 F.3d 1064, 1066 (11th Cir. 1994). The Appeals Council must
adequately evaluate the new evidence. Epps v. Harris, 624 F.2d 1267, 1273 (5th
Cir. 1980). Where the Appeals Council does not adequately evaluate new
evidence, but instead perfunctorily adheres to the ALJ’s decision, the
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Commissioner’s findings are not supported by substantial evidence. Bowen v.
Heckler, 748 F.2d 629, 634 (11th Cir. 1984).
Apart from the Appeals Council’s decision, we review de novo the district
court’s judgment. See Ingram v. Comm’r of Soc. Sec., 496 F.3d 1253, 1260 (11th
Cir. 2007). When new evidence is submitted to and accepted by the Appeals
Council and it denies review, the district court conducts a new review of the
evidence independently of the Appeals Council. Id. at 1266. The district court
must consider the new evidence submitted to the Appeals Council and determine
whether the Commissioner’s decision is contrary to the weight of the evidence
currently of record. 20 C.F.R. § 404.970(b); Id. “[B]ecause a reviewing court
must evaluate the claimant’s evidence anew, the [Appeals Council] is not required
to provide a thorough explanation when denying review.” Burgin v. Comm’r of
Soc. Sec., 420 F. App’x 901, 903 (11th Cir. 2011) (per curiam) (citing Ingram, 496
F. 3d at 1262).3
The new evidence submitted by Caces to the Appeals Council consisted of
additional treatment notes from Dr. Kabakibou, a surgeon and pain management
specialist, from 2002 through 2007. Caces argues that Dr. Kabakibou’s repeated
diagnosis of failed back syndrome before December 31, 2006, remained
3
See also Mansfield v. Astrue, 395 F. App’x 528, 530 (11th Cir. 2010) (per curiam)
(holding same); Robinson v. Astrue, 365 F. App’x 993, 997 (11th Cir. 2010) (per curiam)
(determining that Appeals Council did not err in failing to make specific findings).
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unchanged, as did the reports of pain, through October 2007, when he told Caces to
apply for disability benefits. This additional evidence, however, does not change
the substantial evidence that the medication and injections moderately controlled
the pain, with the injection given on November 8, 2006, helping “tremendously.”
Even though Dr. Kabakibou diagnosed Caces with failed back syndrome, low back
pain, and other conditions before and after the insured status expired, he never
indicated any functional limitations or work restrictions, nor did he consider Caces
disabled, at any time on or before December 31, 2006.
The Appeals Council did not err in denying review in light of Caces’s new
evidence. The Appeals Council adequately considered the new evidence and
expressly found that it did not provide a basis for changing the ALJ’s decision.
Caces’s newly submitted evidence would not have changed the ALJ’s conclusion.
Nothing in the record suggests that, with respect to the time period of June 2006
through December 31, 2006, Caces was functionally limited such that he could not
perform at a reduced range of light work. Accordingly, we affirm.
AFFIRMED.
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