Baillargeon v. Berryhill
Opinion of the Court
Lucas Baillargeon moves to reverse the decision of the Acting Commissioner of the Social Security Administration ("SSA") to deny his applications for Social Security disability insurance benefits, or DIB, under Title II of the Social Security Act,
I. Scope of Review
The scope of judicial review of the Acting Commissioner's decision is as follows:
The [district] court shall have power to enter, upon the pleadings and transcript of the record, a judgment affirming, modifying, or reversing the decision of the Commissioner of Social Security, with or without remanding the cause for a rehearing. The findings of the Commissioner of Social Security as to any fact, if supported by substantial evidence, shall be conclusive ....
II. Background
The parties have submitted a Joint Statement of Material Facts. That statement *175
Baillargeon applied for SSI and DIB in May of 2013, claiming that he became disabled in September of 2012 due to diabetes, weight, joint pain, neuropathy,
In June of 2012, approximately three months before his AOD, Baillargeon's primary-care physician, Dr. Brian Sponseller, referred him to an occupational therapist, Lynn Chauvette, for a Functional Capacity Evaluation. According to Ms. Chauvette, Baillargeon could perform each of the following activities occasionally (i.e., up to one third of the day): standing, walking, sitting, lifting 10 pounds, carrying 10 pounds, pushing 10 pounds, pulling 10 pounds, climbing, stooping, reaching forward, handling, working above his shoulders, pinching, and writing. Ms. Chauvette also opined that Baillargeon could never crouch, crawl, or kneel.
In an October 2012 letter, Dr. Sponseller wrote: "I have reviewed a functional capacity evaluation [by Ms. Chauvette] and I concur with its findings concerning [Baillargeon's] sitting, standing and manipulative limitations." Administrative Transcript (hereinafter "Tr.") 566.
In July of 2014, Dr. Sponseller completed a Medical Source Statement of Ability to do Work-Related Activities (Physical). In it, he opined that Baillargeon could frequently lift ten pounds, stand and/or walk for at least two hours in an eight-hour workday, and sit for about six hours in an eight-hour workday. He further opined that Baillargeon could occasionally climb ramps/stairs/ladders/ropes/scaffolds, kneel, and crouch, but could never balance, crawl, or stoop. Finally, he opined that Baillargeon had no manipulative, visual/communicative, or environmental limitations.
The SSA denied Baillargeon's applications. In November of 2014, he received a hearing before an Administrative Law Judge ("ALJ"). The ALJ ruled that Baillargeon was not disabled.
In her decision, the ALJ determined that Baillargeon had four severe impairments,
[T]he claimant has the residual functional capacity to perform sedentary work as defined in 20 CFR 404.1567(a) and 416.967(a) except he could lift and carry ten pounds; stand or walk for two hours and sit for six hours in an eight-hour day; [could] never climb ladders, ropes, or scaffold[s] and [needed to] avoid balancing *176on narrowing or elevated surfaces; [needed to] avoid crawling or stooping; [could] occasionally climb ramps or stairs, kneel, or crouch; and [could] rarely stoop with rarely defined as less than five percent of the workday.
Tr. 159. Based upon that RFC, the ALJ determined that Baillargeon could not perform his past work, all of which was performed at the medium exertional level.
The SSA's Appeals Council ("AC") vacated the ALJ's decision and remanded the matter for a new decision. It did so because the ALJ made two conflicting findings about the same postural activity when she determined that claimant: (1) could not stoop at all; but (2) could stoop up to five percent of the workday. In its remand order, the AC directed the ALJ to: (1) "[o]btain additional evidence concerning the claimant's impairments in order to complete the administrative record in accordance with the regulatory standards regarding consultative examinations and existing medical evidence ( 20 CFR 404.1512 - 1513 and 416.912 - 913 )," Tr. 175; (2) further consider claimant's RFC "and provide [a] rationale with specific references to evidence of record in support of the assessed limitations," id.; and (3) obtain evidence from a VE, if necessary.
On remand, claimant received a second hearing before the same ALJ who had conducted his previous hearing and who had issued the decision that resulted in the AC's remand. At that hearing, the ALJ took testimony from Dr. John Kwock.
[H]e still remains capable of doing light work. That is to say that he can lift and carry up to ten pounds on a frequent basis, between 11 and 20 pounds on an occasional basis, and anything above 21 pounds on a never basis.
... [H]e probably can still sit for four hours out of the eight ... stand for four hours out of the eight, and ... walk for four hours out of the eight.
Tr. 89-90.
After the ALJ heard from Dr. Kwock, she took testimony from a VE. First, she asked a hypothetical question that posited a person the ALJ described this way:
[T]he individual can occasionally lift and carry up to 20 pounds and frequently lift and carry up to 10 pounds. I want you to assume the individual could ... stand and/or walk for up to four hours [in] an eight-hour day and sit for four hours out of an eight-hour day, all with normal breaks. I want you to assume that the individual would not be able to climb ladders, ropes, or scaffolds, would not be able to crouch or crawl. Other postural activities could be performed on an occasional basis.
The individual would have to avoid exposure to hazards, such as unprotected heights, dangerous moving machinery, and balancing on narrow surfaces, on wet or slippery surfaces, or uneven surfaces. The individual could drive while on the job on an occasional basis.
Tr. 111-12.
According to the VE, the individual the ALJ described could not do claimant's past work as a delivery-truck driver, concrete-mixing-truck driver, fuel-oil delivery driver, heavy-equipment operator, dump-truck driver, or tractor-trailer truck driver, but could perform his past work as a security guard. The VE further testified that a person with the specified RFC would be able to perform the light-duty jobs of gate guard, merchandise marker, and cashier. After indicating the number of each of those jobs that exist in the national economy, the VE further explained: "I'm going to reduce the number of cashier's nationally by 50 percent to allow for that sit/stand option based on work assignment; convenience store cashiers, for example, may not be able to, but a retail clerk could certainly use a stool." Tr. 112.
The ALJ asked a second question in which the hypothetical individual was limited to uncomplicated tasks. The VE testified that the additional limitation would eliminate the security-guard and gate-guard jobs, but would allow the individual to perform the merchandise-marker and cashier jobs, along with the job of storage-facility rental clerk.
After the VE identified jobs that claimant could still perform, the following exchange took place between the ALJ and the VE:
Q And since the hypothetical limited the standing and walking to four hours out of an eight-hour day, I'm assuming that that's a deviation from the DOT [i.e., the Dictionary of Occupational Titles ].11 Is that correct?
*178A That's correct. DOT does not -
Q So upon what did you base your opinion?
A - specify the sit/stand option or talk about it at all.
Q Okay. So upon what did you base your opinion regarding that -
A I am basing that on my professional experience and my analysis of these particular positions as well as professional literature.
Tr. 113.
After claimant's hearing, the ALJ issued a decision. In it, she determined that claimant had five severe impairments,
[T]he claimant has the residual functional capacity to perform light work as defined in 20 CFR 404.1567(b) and 416.967(b) except he can stand and/or walk for four hours and sit for four hours total in an eight-hour workday with normal breaks; never climb ladders, ropes or scaffolds; never crouch or crawl; occasionally balance, stoop and kneel; must avoid exposure to hazards such as unprotected heights, dangerous moving machinery and balancing on narrow surfaces, wet/slippery surfaces or uneven surfaces; could drive while on the job on an occasional basis and he is limited to uncomplicated tasks (defined as tasks that can typically be learned in thirty days or less). Due to symptoms, the claimant's concentration, persistence, and pace would be diminished to the point that productivity would be reduced but would not be more than 10% below the norm.
Tr. 22.
Based upon the testimony of the VE, the ALJ determined that claimant could not perform his past work but retained the RFC to perform the light-duty jobs of merchandise marker, cashier, and storage-facility rental clerk. Accordingly, she ruled that claimant was not under a disability from September 15, 2012, through November 2, 2016, which was the date of her decision.
III. Discussion
A. The Legal Framework
To be eligible for DIB, a person must: (1) be insured for that benefit; (2) not have reached retirement age; (3) have filed an application; and (4) be under a disability.
To decide whether a claimant is disabled for the purpose of determining eligibility for either DIB or SSI, an ALJ is required to employ a five-step sequential evaluation process. See
*179The steps are: 1) if the [claimant] is engaged in substantial gainful work activity, the application is denied; 2) if the [claimant] does not have, or has not had within the relevant time period, a severe impairment or combination of impairments, the application is denied; 3) if the impairment meets the conditions for one of the "listed" impairments in the Social Security regulations, then the application is granted; 4) if the [claimant's] "residual functional capacity" is such that he or she can still perform past relevant work, then the application is denied; 5) if the [claimant], given his or her residual functional capacity, education, work experience, and age, is unable to do any other work, the application is granted.
Purdy,
At the first four steps in the sequential evaluation process, the claimant bears both the burden of production and the burden of proof. See Purdy,
[o]nce the [claimant] has met his or her burden at Step 4 to show that he or she is unable to do past work due to the significant limitation, the [Acting] Commissioner then has the burden at Step 5 of coming forward with evidence of specific jobs in the national economy that the [claimant] can still perform. Arocho v. Sec'y of Health & Human Servs.,670 F.2d 374 , 375 (1st Cir. 1982).
Seavey,
Under some circumstances, "the [Acting] Commissioner can meet her burden [at Step 5] through the use of a chart contained in the Social Security regulations." Seavey,
B. Baillargeon's Claims
Baillargeon claims that the ALJ erred by: (1) failing to find that his diabetic peripheral neuropathy was a severe impairment at Step 2; (2) relying upon Dr. Kwock's testimony when determining his RFC; (3) giving too little weight to Ms. Chauvette's opinion and Dr. Sponseller's 2012 opinion when determining his RFC;
*180and (4) relying upon the testimony of the VE at Step 5 of the sequential evaluation process. Baillargeon's fourth claim is meritorious, and dispositive.
Baillargeon's fourth claim bears this caption: "The ALJ erred by relying on vocational testimony given in response to a question based on a flawed RFC assessment." Cl.'s Mot. to Reverse (doc. no. 11) 14. But after devoting a paragraph to that argument, claimant shifts gears, and argues that the ALJ also erred by relying upon the VE's testimony that a person who could walk/stand for only four hours a day was capable of performing three different light-duty jobs. The second portion of Baillargeon's fourth claim merits a remand.
According to the SSA regulations that describe the exertional requirements of jobs:
Light work involves lifting no more than 20 pounds at a time with frequent lifting or carrying of objects weighing up to 10 pounds. Even though the weight lifted may be very little, a job is in this category when it requires a good deal of walking or standing, or when it involves sitting most of the time with some pushing and pulling of arm or leg controls.
As for what qualifies as "a good deal of walking or standing," the SSA has explained that "the full range of light work requires standing or walking, off and on, for a total of approximately 6 hours of an 8-hour workday." Trudnak v. Berryhill, No. 17-cv-195-LM,
In her hypothetical question to the VE, the ALJ posited an individual who could walk/stand for only four hours a day and who could sit for only four hours a day. The VE testified that such a person could perform three light-duty jobs. The ALJ identified a potential problem with the VE's testimony that a person who could walk/stand for only four hours was capable of light work. She described that testimony as "a deviation from the DOT," Tr. 113, and to her credit, she asked the VE about it, see SSR 00-4p,
The VE's invocation of a sit/stand option to mitigate claimant's inability to walk/stand for more than four hours a day is unavailing. With regard to the effect of a sit/stand option, the SSA has explained that "[i]n some disability claims, the medical *181facts lead to an assessment of RFC which is compatible with the performance of either sedentary or light work except that the person must alternate periods of sitting and standing." SSR 83-12,
Here, claimant's RFC allows for only four hours of walking/standing and four hours of sitting. There is nothing in SSR 83-12 to suggest that a sit/stand option may be used to make up for either of those functional deficits, and
That said, an inability to walk/stand for six hours does not necessarily preclude a person from having the RFC to perform light work, as Judge McAuliffe recognized in the case on which the Acting Commissioner relies, Putnam v. Astrue, No. 10-cv-371-SM,
In Putnam, the "claimant assert[ed] that the ALJ's determination that he could stand and walk for up to one hour each day, but only in increments of 15 minutes, [was] inconsistent with the conclusion that [he] could perform light work."
[T]he vocational expert ... explained that, notwithstanding their characterization as involving "light" work, the jobs she identified actually involved only a small amount of walking and standing. And, she explained the inconsistency between her testimony and the job descriptions set forth in the DOT as being "based on [her] knowledge of the way the jobs are performed, from working with individuals with varied work backgrounds, and from doing job placement with individuals." Additionally, when pressed by claimant's counsel about the job of "storage facility rental clerk," the vocational expert explained that she had conducted a job analysis and, therefore, understood that (at least in some situations)
*182the job requires less than two hours of standing and walking per day. No more was necessary, and the ALJ was entitled to rely upon the VE's expertise in concluding that claimant was capable of performing the specified jobs.
Here, by contrast, the VE said nothing about the amount of walking/standing or the amount of sitting that was necessary to perform any of the jobs she said claimant could do.
Rather, this case appears to have more in common with Beede v. Colvin, which resulted in a remand because the ALJ failed to " 'elicit a reasonable explanation for [a] conflict [between the VE's testimony and the DOT] before relying on the [VE's] evidence to support' his determination that Beede was [not] disabled," No. 16-cv-010-JL,
The ALJ in Beede recognized an inconsistency between the VE's testimony and the information in the DOT and attempted to resolve it by asking: "Now, these are all light jobs as well. And we're looking at primarily a seated-type position. And these jobs would tolerate that mix of sitting and standing?"
The vocational expert testified that "the Dictionary of Occupational Titles does not categorize the sit/stand option" that the ALJ included in Beede's RFC, but that "[t]he jobs provided today as examples do provide a sit/stand option for the individual as in the hypothetical." She drew this conclusion from her "experience in working with employers, human resource representatives, corporation[s], *183when writing job analyses, when observing individuals in the work place, also asking questions for research and labor market surveys."
Though the vocational expert outlined her experience, she offered no explanation for how or why (1) jobs listed as "light work" would be "primarily a seated-type position," or (2) these jobs in particular "would tolerate [the] mix of sitting and standing" described in the RFC. Absent such evidence, the ALJ has not satisfied his obligation to "elicit a reasonable explanation for the conflict before relying on the [vocational expert] evidence to support" his determination that Beede was disabled.
Here, the VE responded to the ALJ's question about a conflict between her testimony and the DOT by mentioning her "professional experience and [her] analysis of these particular positions as well as professional literature." Tr. 113. But she offered no explanation for how or why the three light-duty jobs she said claimant could do could be performed by a person who lacked the capacity to walk/stand for six hours per day and who lacked the capacity to sit for more than four hours per day. Thus, as in Beede, the ALJ in this case erred by determining, at Step 5, that claimant was not disabled because he was capable of performing the jobs identified by the VE. Thus, Beede counsels in favor of a remand in this case.
Further support for a decision to remand this matter may be found in Judge Talwani's decision in Gross. In that case, the ALJ found that the claimant had "the residual functional capacity to perform light work as defined in
The ALJ asked Dr. Lasky to identify "light jobs" that one would be able to perform given the additional restrictions assigned to Gross, most notably the restriction that he may only stand or walk for two hours in an eight hour work day. Dr. Lasky identified three such jobs: an inspector, a photocopy machine operator, and a mail clerk. During examination from Gross' attorney, Dr. Lasky stated that "there would be variability" as to the number of employers who would offer these positions to candidates who are limited to only two hours of standing a day. Dr. Lasky also testified that it would not be uncommon for these types of positions to have additional responsibilities, beyond their job description.
After characterizing the claimant as a person with "exertional limits that fall between two ranges of work [i.e., light and sedentary]," Gross,
[T]he Social Security regulations do not require claimants to be able to perform *184the full range of work within one category. It is in these situations that SSR 83-12 advises the ALJ [to] use a vocational expert to determine the impact the reduced exertional capacity has on the occupational base.
At Step 5, the Acting Commissioner bears the burden of identifying jobs that a claimant can still perform when he lacks the RFC to perform his past work. See Seavey,
IV. Conclusion
For the reasons detailed above, the Acting Commissioner's motion for an order affirming her decision
SO ORDERED.
Document no. 13.
Neuropathy is "[i]n contemporary usage, a disease involving the cranial nerves or the peripheral or autonomic nervous system." Stedman's Medical Dictionary 1313 (28th ed. 2006).
Those impairments are diabetes mellitus, obesity, obstructive sleep apnea, and degenerative disc disease of the lumbar spine.
"[R]residual functional capacity 'is the most [a claimant] can still do despite [his or her] limitations.' " Purdy,
"Medium work involves lifting no more than 50 pounds at a time with frequent lifting or carrying of objects weighing up to 25 pounds."
"Sedentary work involves lifting no more than 10 pounds at a time ...."
Of the three different spellings of this name that appear in the record, this is the one that appears most frequently.
Dr. Kwock considered "thoracolumbar scoliosis, ... lumbar spine degenerative disc and degenerative joint disease to a fairly significant degree ... bilateral hip osteoarthritis to a mild, at most moderate degree [and] morbid[ ] obes[ity]." Tr. 88.
"Light work involves lifting no more than 20 pounds at a time with frequent lifting or carrying of objects weighting up to 10 pounds [and generally] requires a good bit of walking or standing."
While the VE referred to "that sit/stand option" as if it had come up previously during the hearing, her remark appears to be the first mention of such a limitation anywhere in the record. No such limitation was included in the ALJ's hypothetical questions.
"The DOT is published by the United States Department of Labor, and the SSA regulations designate it as a source of vocational evidence for use in making disability determinations." Regalado v. Colvin, No. 15-cv-299-PB,
Those impairments are "thoralumbar scoliosis /degenerative changes of the lumbar spine; bilateral hip arthritis ; obesity status post bariatric surgery ; diabetes mellitus and obstructive sleep apnea." Tr. 18.
The only specific evidence she offered concerning those jobs was that about half of the cashier jobs in the national economy allowed for a sit/stand option.
Like the claimant in Putnam, but unlike claimant in this case, the claimant in Beede retained the RFC to meet the sitting requirement imposed by light-duty jobs that are performed primarily in a seated position.
Doc. no. 12.
Doc. no. 11.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.