FILED U.S. COURT OF AP P EALS E LEVEN T HC IRC U IT APR 5, 2007 THOMAS K. KAH

N CLERK

P urs uant t o Fed .R .Ap p. P . 4 3(c) , we hav e subs ti tutedMi chaelJ . As tr ue fo r J o Anne B. 1 Ba rnhar t as the name d defendant-a ppellee. [ DO NO T P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 06- 15667 N on -A rgum entC al endar

________________________ D . C . D ocketN o. 05 -009 77 -C V -M -N J E N N I F E R D . P E T T U S , P la in tif f - A p p e lla n t, v ersu s M I CHAEL J . ASTR UE, 1 C o m m is s io n e r , S o c ia l S e c u r ity A d m in is tr a tio n , D e f e n d a n t- A p p e lle e .

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f o rth e M i d d l e D i s tr i c to f A l ab a ma

_________________________ ( A p r i l5, 2007) B efo re T JO F L A T , H U L L an d F A Y , C i rcu i tJu d g es. P E R C U R I A M:2

J e nni f e rP e ttus appe a l s the di s tr i c tc our t ’ s or de ra f f i rm i ng the C om m i s s i one r ’ s de ni a l of he rappl i c a t i on f

ordi s abi l i ty i ns ur a nc e be ne f i t s , 42 U .S .C . § 4 0 5 ( g ) , a n d s u p p le m e n ta l s e c u r ity in c o m e , 4 2 U .S .C . § 1 3 8 3 ( c ) ( 3 ) . F ir s t, P e ttus a r gue s tha tthe A L J e rr e d i n f i ndi ng tha ts he di d notm e e tl i s t i ng 12. 05C because he r el i ed on i nv al i d IQ t es t s t o m ake the fi nd i ng . S ec on d, P ettus ar gu es thatthe A L J, i n eval uat i ng her r es i du al funct i on al capaci ty, shou l d n othave rel i ed o n th e ex p ertm ed i cal t est i m o n y o f D r. D o u g M cK eo w n atth e h eari n g b ecau se such t es t i m on y w as un i nform ed and b as ed on i nv al i d t es t s. F or the re as on s s et f o r th b e lo w , w e a f

f irm . O ur re vi ew of the C om m i ss i on er ’ s dec i si on i s l i m i t ed t o w hether s uch deci si on i s s up po rt ed by subst ant i al evi dence on the re cord as a w ho l e, and w hether the pr ope rl e ga l s t a nda r ds w e r e appl i e d. S e e L e w i s v. C a l l a ha n, 125 F . 3d 1436, 14 39 (11th C i r. 19 97 ). S ub st ant i al evi dence i s def i ned as “ such re l evantevi dence as a r ea sonabl e m i nd m i gh tac ce ptas adequat e t o sup po rta c on cl usi on , ” or “ m ore th a n am e r e s c in tilla .” F a lg e v . A p f e l, 1 5 0 F .3 d 1 3 2 0 , 1 3 2 2 ( 1 1 th C ir . 1 9 9 8 ) .

“ S ub st ant i al evi dence i s l es s than a prepon dera nce . . . , ” a nd “ [t ] hi s l i m i t ed re vi ew prec l ud es deci di ng the fa ct s a new , m aki ng cr edi bi l i ty det erm i nat i on s, or re w e ig h in g th e e v id e n c e .” M o o r e v . B a rn h a r t, 4 0 5 F .3 d 1 2 0 8 , 1 2 1 1 ( 1 1 th C ir . 2 0 0 5 ) . I n a ddi t i on, “ [ a ] s age ne r a l pr i nc i pl e , w e w i l l nota ddr e s s a n a r gum e nttha tha s not3

b een rai sed i n th e d i stri ctco u rt . ” S t ew artv . D ep t . o f H eal th an d H u m an S erv i ces, 2 6 F .3 d 1 1 5 , 1 1 5 ( 1 1 th C ir . 1 9 9 4 ) .

“ T he S oc i a l S e c ur i ty r e gul a t i ons pr ovi de af i ve - s t e p s e que nt i a l e va l ua t i on pr oc e s s f orde t e rm i ni ng i f

ac l a i m a ntha s pr ove n tha ts he i s di s abl e d. ” J one s v. A pf e l , 190 F . 3d 1224, 1228 ( 11th C i r . 1999) . T he e xa m i ne rm us tde t e rm i ne : ( 1) w hether the cl ai m anti s e ng aged i n sub st ant i al gai nful ac t i vi ty; i f s o, (2) w hether the c l a i m a ntha s as e ve r e i m pa i rm e nt ; i f y e s , ( 3) w he the rthe c l a i m a ntha s a ny im p a irm e n t w h ic h m e e ts o re q u a ls th o s e c o n ta in e d in alis t o f im p a irm e n ts ; if

n o t, ( 4) w he the rthe c l a i m a nti s unabl e t o pe r f orm he rpa s tr e l e va ntw ork; i f s o ( 5) w he the rthe c l a i m a ntc a n pe r f orm othe rw ork. I d. A ts t e p f i ve , the bur de n i s on the C om m i s s i one rt o s how tha tothe rw ork e xi s t s i n s i gni f i c a ntnum be r s i n the n a tio n a l e c o n o m y th a t th e c la im a n t is ab le to p e r f o rm . I d . P e ttus a r gue s tha tthe A L J e rr e d i n f i ndi ng tha ts he di d notm e e tl i s t i ng 12. 05C be c a us e he r e l i e d on i nva l i d I Q t e s t s t o m a ke the f i ndi ng. S pe c i f

i c a l l y , s he arg u es th atth e A L J rel i ed o n t estresu l t s th atw ere g en erat ed b y th e W A IS -R , th ese r e s ul t s w e r e notr e l i abl e , a nd the A L J s houl d ha ve us e d t e s tr e s ul t s ge ne r a t e d us i ng th e W A I S - I I I . L i st i ng 12 . 05 , the l i st i ng ca t egory f or m ent al re t ar dat i on , begi ns w i th an in tr o d u c to ry p a r a g r ap h , w h ic h s ta te s th a t “[ m ]e n ta l r e ta r d a tio n r e f e r s to4

s i gni f i c a nt l y s uba ve r a ge ge ne r a l i nt e l l e c tua l f unc t i oni ng w i th de f

i c i t s i n a dapt i ve funct i on i ng i ni t i al l y m ani fe st ed du ri ng the devel op m ent al peri od ; i . e. , the evi dence dem on stra t es or supp ort s onsetof the i m pai rm entbefore age 22. ” 20 C . F . R . P art 40 4, S ub partP , A pp endi x 1 , §1 2. 05 . T he l i st i ng further provi des thatthe “ re qu i re d l evel of se veri ty f

or thi s di sorderi s m etw hen the re qu i re m ent s i n A , B , C , or D ar e s a tis f ie d .” I d . S u b s e c tio n C r e q u ir e s ac la im a n t d e m o n s tr a te “av a lid v e rb a l, perf orm ance , or ful l sc al e I Q of 60 throu gh 70 and a ph ys i ca l or other m ent al i m pa i rm e nti m pos i ng a n a ddi t i ona l a nd s i gni f i c a ntw ork- r e l a t e d l i m i t a t i on of f unc t i on. ” I d. a t§ 12. 05( C ) . S e c t i on 12. 00A s t a t e s i n pe r t i ne ntpa r ttha t“ [ l ] i s t i ng 12 . 05 cont ai ns an i ntrodu ct ory par agraph w i th the di agno st i c des cr i pt i on for m ent al r e t a r da t i on. I ta l s o c ont a i ns f ours e t s of

c r i t e r i a( pa r a gr aphs A thr ough D ) . I f y our i m pa i rm e nts a t i s f

i e s the di a gnos t i c de s c r i pt i on i n the i ntr oduc t ory pa r a gr aph a nd a ny one of

the f ours e t s of

c r i t e r i a , w e w i l l f

i nd tha ty ouri m pa i rm e ntm e e t s the l i st i ng . ” I d. at§ 1 2. 00 A (e m ph as i s a dd ed). W e have det erm i ned that , t o b e c on si dere d for di sabi l i ty benef i t s und er L i st i ng 12 . 05 , a c l ai m antm ustatl ea st(1) have s i gn i fi ca nt l y s ub aver age genera l i nt e l l e c tua l f

unc t i oni ng; ( 2) ha ve de f i c i t s i n a dapt i ve f

unc t i oni ng; a nd ( 3) ha ve m a ni f e s t e d de f i c i t s i n a dapt i ve be ha vi orbe f or e a ge 22. C r a y t on v. C a l l a ha n, 120 F . 3d 12 17 , 12 19 (11th ci r. 19 97 ). In addi t i on , for pre sum pt i ve di sabi l i ty und er5

12. 05C , the c l a i m a ntm us tha ve ( 1) ava l i d I Q s c or e of 60 thr ough 70 i nc l us i ve , a nd ( 2) a n a ddi t i ona l m e nt a l orphy s i c a l i m pa i rm e nts i gni f i c a nt l y a f

f e c t i ng the c la im a n t’s ab ility to w o rk . I d . a t 1 2 1 9 - 1 2 2 0 . T o pr e va i l on appe a l , P e ttus ha s t o s how tha ts ubs t a nt i a l e vi de nc e di d not s uppor tthe A L J ’ s f

i ndi ng tha ts he di d notha ve the r e qui r e d de f i c i t s i n a dapt i ve fu n ctio n in g n ec es sa ry to sa ti sf y th e in tro d u cto ry p ar ag ra p h o f § 1 2 .0 5 . T h e A L J’s f i ndi ng a s t o a dapt i ve f

unc t i oni ng w a s the r e a s on w hy P e ttus di d notm e e tthe L i s t i ng. H ow e ve r , i n the di s tr i c tc our t , P e ttus di d notc ha l l e nge the A L J ’ s f i ndi ngs w i th r e ga r d t o P e ttus ’ s a dapt i ve f unc t i oni ng. I ns t e a d, P e ttus onl y a r gue d tha tthe A L J e rr e d in r e ly in g o n in v a lid te s tin g a n d u n in f o rm e d m e d ic a l e x p e r t te s tim o n y . T h e r e f o r e , th e is s u e is w a iv e d . S e e S te w a r t, 2 6 F .3 d a t 1 1 5 . I n a n y e v e n t, a s s um i ng tha tthe i s s ue i s notw a i ve d on appe a l , P e ttus ha s nota r gue d t o us on ap p e a l th a t th e A L J e rr e d in f in d in g th a t P e ttu s la c k e d th e r e q u is ite d e f ic its in a d ap tiv e f

u n c tio n in g n e c e s s a ry to s a tis f y th e in tr o d u c to ry p a r a g r ap h o f th e L is tin g . T hus , the i s s ue i s a l s o aba ndone d. S e e A l l i s on v. M c G ha n M e di c a l C orp. , 184 F . 3d 13 00 , 13 17 n. 17 (11th C i r. 19 99 ) ( st at i ng thati ss ues “ no tcl ea rl y out l i ned i n an ap p e lla n t’s in itia l b r ie f

a r e d e e m e d ab a n d o n e d .” ) . P ettus al so ar gu es thatthe A L J s ho ul d n othave rel i ed on the expertm edi ca l t es t i m on y of D r. M cK eow n atthe heari ng because s uch t es t i m on y w as un i nform ed6

a nd ba s e d on i nva l i d t e s t s . I n m a ki ng thi s a r gum e nt , P e ttus appe a r s t o be c ha l l e ngi ng the A L J ’ s f i ndi ngs a s t o e i the r , orboth, he rr e s i dua l f unc t i oni ng c apa c i ty , w hi c h i s s t e p f ouri n the f

i ve - s t e p s e que nt i a l pr oc e s s f orde t e rm i ni ng d is ab ility , o rh e rab ility to p e r f o rm o th e rw o rk th a t e x is ts in s ig n if ic a n t n u m b e r s in the nat i on al ec on om y, w hi ch i s the fi fth st ep. A l tho ug h i ti s notent i re l y c l ea r, P e ttu s ’s r e a s o n in g ap p e a r s to b e a s f o llo w s : ( 1 ) th e A L J g a v e c o n tr o llin g w e ig h t to testin g d o n e in 1 9 9 7 b y D r. K irk lan d ; (2 ) th e S o cial S ec u rity A d m in istratio n ’s c ons ul t a t i ve e va l ua t i on on w hi c h the A dm i ni s tr a t i on r e l i e d w a s i nva l i d; a nd ( 3) the r e f or e , D r . M c K e ow n’ s t e s t i m ony w a s uni nf orm e d a nd the A L J e rr e d i n r e l y i ng o n it. P e ttu s th e n m a k e s a d d itio n a l a r g u m e n ts r e g a r d in g th e in v a lid ity o f c e r ta in I Q te s ts . In m aki ng a di sabi l i ty det erm i nat i on , the re gu l at i on s s peci fythat , w here evi dence i n the re cord i s i ncon si st ent , al l of the evi dence w i l l be w ei gh ed t o see w h e th e rth e c la im a n t is d is ab le d . S e e 2 0 C .F .R . § § 4 0 4 .1 5 2 7 ( c ) ( 2 ) , 4 1 6 .9 2 7 ( c ) ( 2 ) . R e s i dua l f

unc t i oni ng c apa c i ty de t e rm i na t i ons a r e m a de “ ba s e d on a l l of the r e le v a n t m e d ic a l a n d o th e re v id e n c e .” 2 0 C .F .R . § § 4 0 4 .1 5 4 5 ( a ) ( 3 ) , 4 1 6 .9 4 5 ( a ) ( 3 ) . A m e d ic a l o p in io n o f

atr e a tin g s o u r c e is e n title d to c o n tr o llin g w e ig h t if it “is w e ll- s u p p o r te d b y m e d ic a lly a c c e p tab le c lin ic a l a n d lab o r a to ry d ia g n o s tic t e c hni que s a nd i s noti nc ons i s t e ntw i th the othe rs ubs t a nt i a l e vi de nc e ” i n the7

re cord. 20 C . F . R . §§ 40 4. 15 27 (d)( 2), 41 6. 92 7(d)(2). A tre at i ng source i s def i ned a s the c l a i m a nt ’ s ow n phy s i c i a n orps y c hol ogi s tw ho ha s pr ovi de d the c l a i m a nt w ith m e d ic a l tr e a tm e n t o re v a lu a tio n , a n d w h o h a s h a d a n o n g o in g r e la tio n s h ip w ith th e c la im a n t. 2 0 C .F .R . § 4 1 6 .9 0 2 . A p h y s ic ia n o rp s y c h o lo g is t is n o t a tr e a t i ng s our c e i f

the r e l a t i ons hi p “ i s notba s e d on [ the c l a i m a nt ’ s ] ne e d f or tr e a tm e n t o re v a lu a tio n , b u t s o le ly o n [ th e c la im a n t’s ] n e e d to o b ta in ar e p o r t in s uppor tof

[ the c l a i m ] f

ordi s abi l i ty . I d. A ddi t i ona l l y , the opi ni on of atr e a t i ng s our c e m a y be di s c ount e d by the A L J w he r e the opi ni on i s nots uppor t e d by obj e c t i ve m e di c a l e vi de nc e ori s m e r e l y c onc l us ory . S e e J ohns v. B ow e n, 821 F . 2d 5 5 1 , 5 5 5 ( 1 1 th C ir . 1 9 8 7 ) . In thi s c as e, the A L J w ei gh ed the vari ou s m edi ca l op i ni on s i n acc ordance w ith th e f

a c to r s c o n ta in e d in th e r e g u la tio n s . S e e 2 0 C .F .R . § § 4 0 4 .1 5 2 7 , 4 1 6 .9 2 7 . T he A L J ga ve “ gr e a tw e i ght ” t o the t e s t i m ony a nd opi ni on of D r . M c K e ow n. T he A L J f ou nd D r. M cK eow n’ s opi ni on t o b e “ strong l y s up po rt ed by the evi dence f r om e xa m i ni ng a nd tr e a t i ng s our c e s . ” T he A L J ga ve “ s ubs t a nt i a l w e i ght ” t o the opi ni ons of

D r . E s l a m i , D r . H a rr i s , a nd D r . S c hul m a n. T he A L J s t a t e d tha tthe op i ni on s of D r. K i rkl and, D r. B abb, D r. M aj ure, D r. H am m ac k, D r. R og er s, D r. R h o d e s , D r . W a rr e n , a n d th e p r a c titio n e r s a t B ap tis t M e d ic a l C e n te r , H e a lth S e rvi c e s I nc . , a nd L i s t e rH i l l C l i ni c H e a l th C e nt e rw e r e of c ons i de r abl e pr oba t i ve8

v a lu e . Th e ALJ g a v e l i tt l e we i g h tt o Dr . St o r j o h a n n ’ s o p i n i o n b e c a u s e th e ALJ fo u n d , an d D r. M cK eo w n p o in ted o u t du rin g th e h ea rin g , th at D r. S to rjo h an n ’s opi ni on w a s i nc ons i s t e ntw i th hi s ow n r e por t . F ore xa m pl e , D r . S t or j oha nn r e p o r te d th a t P e ttu s ’s “th o u g h ts a n d s p e e c h w e r e lo g ic a l, c o h e r e n t, a n d g o a ldi r e c t e d, ” “ [ h] e rthi nki ng s ty l e w a s qui t e c onc r e t e , ” a nd “ [ s ] he i s abl e t o m a ke s i m pl e w ork de c i s i ons . ” D r . S t or j oha nn, how e ve r , the n c onc l ude d tha tP e ttus

“ appears t o h ave m od er at e t o m arked d ef i ci t s i n h erabi l i ty t o u nd er st and, ca rry ou t , and rem em ber i nstruct i on s i n a w ork sett i ng . S he appears t o h ave m arked de f i c i t s i n he rabi l i ty t o r e s pond appr opr i a t e l y t o s upe rvi s i on, c o- w orke r s , a nd w o rk p r e s s u r e s in aw o rk s e ttin g .” I n m a k in g th e d e c is io n to a c c o r d little w e ig h t to D r. S t orj oh ann’ s opi ni on , the A L J app ropri at el y poi nt ed t o cas e l aw prov i di ng that even the op i ni on of a tre at i ng ph ys i ci an, w hi ch D r. S t orj oh ann w as no tbecause, a m o n g o th e rr e a s o n s , h e d id n o t h a v e a n o n g o in g tr e a tm e n t r e la tio n s h ip w ith P ettus, ca n b e di sc ou nt ed w here the op i ni on i s notsupp ort ed by obj ec t i ve m edi ca l e vi de nc e ori s m e r e l y c onc l us ory . T he A L J a l s o c ons i de r e d the t e s t i m ony of the vo ca t i on al expert . P ettus’ s obj ec t i on t o the w ei gh tac corded t o the m edi ca l op i ni on s, i ncl ud i ng thatof D r. M cK eow n, i s bas ed on her a rgum entthat control l i ng w ei gh tw as gi ven t o the 19 97 consul t at i ve eval uat i on perf orm ed by D r.9

K i rkl a nd. T he r e c or d s how s tha tthe A L J di d notgi ve c ontr ol l i ng w e i ghtt o the e v a lu a tio n p e r f

o rm e d b y D r . K irk la n d a n d P e ttu s d o e s n o t m a k e a n y o th e rs p e c if ic obj e c t i ons t o the m a nne ri n w hi c h the A L J w e i ghe d the num e r ous opi ni ons i n the re cord. T he A L J c ar ef

ul l y r evi ew ed and eval uat ed al l of the m edi ca l evi dence expl ai ni ng w hy m ore w ei gh tw as bei ng ac corded t o som e. T hese expl anat i on s a re supp ort ed by the re cord. T he A L J then con si dere d the t es t i m on y of the vo ca t i on al e xpe r ttha tP e ttus w a s c apabl e of pe r f orm i ng a l l of

he rpa s tr e l e va ntw ork, a nd, ad d i t i o n al l y, o th er j o b s ex i st i n g i n th e reg i o n al eco n o m y. U pon c a r e f

ul r e vi e w of

the a dm i ni s tr a t i ve pr oc e e di ngs , the m e di c a l r e c or d, th e p ro ceed i n g s i n th e d i stri ctco u rt , an d u p o n co n si d erat i o n o f th e p art i es’ b ri efs, w e di s c e rn no r e ve r s i bl e e rr or . B e c a us e P e ttus ha s w a i ve d oraba ndone d a ny obj e c t i on t o the A L J ’ s f i ndi ng tha ts he l a c ks the r e qui s i t e de f i c i t s i n a dapt i ve f unc t i oni ng tha ta r e ne c e s s a ry t o m e e tthe i ntr oduc t ory pa r a gr aph of L i s t i ng 12 . 05 C , and b ec ause subst ant i al evi dence s up po rt s the A L J’ s f i nd i ng s w i th regard to P e ttu s ’s r e s id u a l f

u n c tio n in g c ap a c ity a n dab ility to p e r f o rm jo b s e x is tin g in s i g n i f i c a n tn u mb e r s i n th e n a t i o n a l e c o n o my , w e a f f i rm. AF F I RME D.