Lindell Washington v. Commissioner of Social Security
Opinion
The disability programs administered under the Social Security Act "are of a size and extent difficult to comprehend."
Richardson v. Perales
,
This appeal is about the legal standards by which Administrative Law Judges (ALJ) within the SSA adjudicate whether a claimant is "disabled" under Title II of
*1356
the Social Security Act,
How we resolve these issues depends on the meaning and application of Social Security Ruling 00-4p (SSR 00-4p). In SSR 00-4p, the SSA offered a "policy interpretation" of its regulations governing the adjudication of disability claims. SSR 00-4p,
Central to our holding is the recognition that in the context of a Social Security disability adjudication we are dealing with an inquisitorial proceeding. Few, if any, agency adjudications depart more markedly from the adversarial customs that define the American legal tradition than do SSA hearings. In processing disability claims, the ALJs do not simply act as umpires calling balls and strikes. They are by law investigators of the facts, and are tasked not only with the obligation to consider the reasons offered by both sides, but also with actively developing the record in the case. Accordingly, although independently identifying and resolving the points of apparent conflict between expert testimony and other evidence would be out of character for most judges, for a Social Security ALJ it can be fairly said to come with the territory. Here, the ALJ failed to meet his obligations to identify, explain, and resolve an apparent conflict between the testimony of the VE and the DOT on a matter of considerable importance, and, therefore, we are required to reverse the judgment of the district court and remand the case with instructions to send it back to the Commissioner to resolve the apparent conflict evident in this record.
I.
Lindell Washington has type 2 diabetes. Because of his diabetes, he suffers from diabetic neuropathy -a type of nerve damage that can occur as a consequence of diabetes that causes pain and numbness in the extremities-and decreased visual acuity. He is also obese, and has a history of alcohol abuse. In the past, Washington has worked as a dishwasher, auto detailer, sander, and warehouse worker. He has a high school education, and served in the Army for a time. Washington says he is disabled on account of his illnesses.
In November of 2012, Washington filed a claim for disability benefits with the SSA. His claim was initially denied in December of that year and again on reconsideration *1357 in March of 2013. Appellant then sought a hearing before an ALJ, which was held on August 5, 2014. He was represented by counsel during the proceeding. At the hearing, Washington provided extensive testimony and offered documentary evidence about his various health problems. Among other things, he testified about pain and swelling in his hands and feet on account of his diabetes. He also explained that he has difficulty with certain basic tasks, such as buttoning his shirts and tying his shoes. During the hearing, the ALJ asked Washington to pick up a pen, which he was unable to do.
After Washington testified, the ALJ called a Vocational Expert 1 (VE) to provide evidence about the availability of jobs that Washington could perform. The ALJ posed a hypothetical question about an individual with all of Washington's relevant characteristics, including that, because of his neuropathy, he would not be able to engage in "fine manipulation" with his fingers, and because of his visual impairments he would not be able to work around hazardous equipment or heights. In response, the VE testified there were no jobs the individual could perform because all such jobs required at least occasional fine manipulation. The ALJ then posed the same hypothetical except he proffered that the individual could perform occasional fine manipulation, also referred to as "occasional fingering." In response, the VE identified two available jobs: table worker and bagger. The VE further opined that the table worker job involved inspecting larger items such as DVD cases or aspirin bottles for defects, and thus, would not involve fine detail work. He also explained that the bagger job entailed placing items-such as clothing or jewelry-into bags.
The ALJ then asked the VE if his testimony was consistent with the Dictionary of Occupational Titles (DOT). 2 The VE responded that his testimony was consistent and that he based his testimony on his experience, including having conducted onsite analyses of the jobs he identified. Washington's attorney declined the invitation to question the VE.
The ALJ followed a five-step sequential process and concluded that Washington was not disabled. The ALJ determined that Washington could find work as a bagger or table worker despite his impairments. On this basis, the ALJ denied his claim for benefits. In his decision, the ALJ also stated that, "[p]ursuant to SSR 00-4p, the undersigned has determined that the vocational expert's testimony is consistent with the information in the Dictionary of Occupational Titles." The order contained no other discussion of whether or how the *1358 VE's testimony was consistent with the DOT.
After exhausting his administrative remedies, Washington sought relief from the denial of benefits in the United States District Court for the Middle District of Florida. There, he challenged the ALJ's decision on the grounds that it was not supported by substantial evidence because the ALJ had failed to properly identify, explain, and resolve an apparent conflict between the VE's testimony and the DOT, as required by SSR 00-4p. In particular, Washington observed that the VE expressly said that a person who is capable of only occasional fingering could work the jobs of bagger and table worker. In sharp contrast, however, the DOT describes both of these jobs as requiring frequent fingering. See DOT § 734.687-014 (4th ed. 1991) (listing job requirements for table workers, including "Fingering: Frequently-Exists from 1/3 to 2/3 of the time"); DOT § 920.687-018 (4th ed. 1991) (listing job requirements for baggers, including "Fingering: Frequently-Exists from 1/3 to 2/3 of the time"). The district court rejected this challenge, concluding that the ALJ fulfilled his duties under SSR 00-4p simply by asking the VE if he had testified consistently with the DOT.
This timely appeal ensued.
II.
In reviewing the denial of Social Security disability benefits, "this Court and the district court must review the agency's decision and determine whether its conclusion, as a whole, was supported by substantial evidence in the record."
Dyer v. Barnhart
,
We are also required to review de novo whether the Commissioner's decision was based on a proper view of the law.
Ellison v. Barnhart
,
A.
"Under the Social Security Act, the [SSA] is authorized to pay disability insurance benefits and Supplemental Security Income to persons who have a 'disability.' "
Barnhart v. Thomas
,
To determine whether a claimant is disabled, the SSA conducts a "five-step sequential evaluation process."
If the claimant successfully establishes the existence of an impairment that prevents him from doing the kind of work that he has done in the past, the evaluation proceeds to step five. At step five the burden of going forward shifts to the SSA "to show the existence of other jobs in the national economy which, given the claimant's impairments, the claimant can perform."
Hale v. Bowen
,
The SSA's regulations establish how the agency may determine whether there is suitable work available in the national economy at step five.
See
When we determine that unskilled, sedentary, light, and medium jobs exist in the national economy (in significant numbers either in the region where you live or in several regions of the country), we will take administrative notice of reliable job information available from various governmental and other publications. For example, we will take notice of-
(1) Dictionary of Occupational Titles, published by the Department of Labor ...
If the issue in determining whether you are disabled is whether your work skills can be used in other work and the specific occupations in which they can be used, or there is a similarly complex issue, we may use the services of a vocational expert or other specialist. We will decide whether to use a vocational expert or other specialist.
Step five in the evaluation process-and in particular how to weigh conflicting VE and DOT evidence at that stage-was, for years, a source of contention.
See, e.g.
,
Tom v. Heckler
,
*1361
About a year after this Court decided
Jones
, the SSA issued a Policy Interpretation Ruling providing detailed guidance on how the ALJs should go about weighing VE testimony and data in the DOT. SSR 00-4p,
Both sides agree that SSR 00-4p governs the resolution of this case and thus we ought to apply it here. This is not to say that we are bound by agency rulings that interpret an agency's regulations. We are not.
B. B. v. Schweiker
,
Jones
had set a floor on SSA procedures. Thereafter, the SSA stepped in, explained and clarified the governing rules and exercised its prerogative to strengthen its own procedural requirements, and established an enhanced duty on the part of the ALJ to discern and resolve conflicts.
See
Chrysler Corp. v. Brown
,
B.
The meaning of SSR 00-4p is at the heart of this appeal. Washington argues that SSR 00-4p imposes a robust duty on the ALJs to independently identify and resolve VE-DOT conflicts. Conversely, the Commissioner says that the ALJ's duties under the Ruling are satisfied simply by asking the VE if he has testified consistently *1362 with the DOT, which is what occurred here. After close review, we conclude that Washington has the better of the argument.
SSR 00-4p imposes a duty on ALJs to identify and resolve apparent conflicts between DOT data and VE testimony, and this duty is not fulfilled simply by taking the VE at his word that his testimony comports with the DOT when the record reveals an apparent conflict between the VE's testimony and the DOT. Rather, as we see it, the ALJ has an affirmative obligation to identify any "apparent" conflict and to resolve it. The failure to properly discharge this duty means the ALJ's decision is not supported by substantial evidence. In reaching this conclusion, we are in agreement with at least four of our sister circuits that have addressed this question.
See, e.g.
,
Hackett v. Barnhart
,
Ordinarily we construe regulations and other regulatory materials in much the same way we interpret statutes.
See
KCMC, Inc. v. F.C.C.
,
To begin, SSR 00-4p's statement of purpose strongly suggests that the ALJ has an affirmative duty to ascertain the existence of conflicts. It declares that ALJs "must:
Identify
and
obtain a reasonable explanation for
any conflicts between occupational evidence provided by VEs or VSs and information in the Dictionary of Occupational Titles (DOT) ... and
[e]xplain
in the determination or decision how any conflict that has been identified was resolved." SSR 00-4p,
Next, in the section entitled "The Responsibility To Ask About Conflicts," the Ruling states that ALJs have "an affirmative responsibility to ask about any possible conflict between [ ] VE or VS evidence and information provided in the DOT." SSR 00-4p,
This section establishes a separate duty to explore any "apparent conflict," regardless of whether the VE identified the conflict for the ALJ when questioned.
See
Overman
,
The independent obligation of the hearing examiner to identify and resolve apparent conflicts between the VE and the DOT is reinforced in the final provision of the Ruling. This section describes how the ALJ is required to explain and resolve any conflict in a final decision. Notably, it provides that the ALJ "
must
explain the resolution of the conflict
irrespective of how the conflict was identified
." SSR 00-4p,
Our interpretation of the Ruling's text is further informed by the broader regulatory scheme of which it is a part.
Cf.
Smith v. United States
,
*1364
United States v. Rigel Ships Agencies, Inc.
,
Unlike judicial proceedings, disability hearings "are inquisitorial rather than adversarial."
Sims v. Apfel
,
The inquisitorial nature of disability hearings is prescribed by SSA regulations. In relevant part, the regulations provide that the ALJ must conduct the hearings "in an informal, non-adversarial manner."
This too is important to our resolution of the case. First, it reinforces the idea that SSR 00-4p imposes an independent, affirmative obligation on the part of the ALJ to undertake a meaningful investigatory effort to uncover apparent conflicts, beyond merely asking the VE if there is one. The Ruling is consonant with the nature of the entire Social Security regulatory scheme.
See
Rutherford v. Barnhart
,
We also note the importance the SSA attaches to the Dictionary of Occupational Titles as a source of jobs data. As SSR 00-4p itself explains, the SSA "rel[ies] primarily on the DOT ... for information about the requirements of work in the national economy." SSR 00-4p,
*1365
explicitly names the DOT as one of the main sources of jobs data the SSA relies on, and provides that ALJs "will take administrative notice of reliable job information available" in the DOT. This subsection places the DOT first in its list of reliable government sources.
The importance of the DOT, coupled with the robust nature of the ALJ's investigatory responsibilities, gives further meaning to the obligations imposed on the ALJ by the Ruling to identify, explain, and resolve "apparent conflicts." We add that, given the DOT's significance as a source of jobs data regularly relied on by the ALJ, it seems to us quite likely that the ALJs are familiar with and have ready access to it. This seems especially likely since the Social Security Administration requires the ALJs to take administrative notice of the DOT. Any apparent conflict, then, between the VE's testimony and DOT data is likely not something the ALJ will need much help in identifying. Nor does it seem consistent with the DOT's status as a primary source of jobs data that an ALJ could discharge his duty to gather the facts and develop arguments on both sides of a claim by simply taking a VE at his word that there is no conflict. An "apparent conflict" is thus more than just a conflict that is made apparent by the express testimony of the VE. It is a conflict that is reasonably ascertainable or evident from a review of the DOT and the VE's testimony. At a minimum, a conflict is apparent if a reasonable comparison of the DOT with the VE's testimony suggests that there is a discrepancy, even if, after further investigation, that turns out not to be the case. Since the ALJs frequently use the DOT, treat it as an authoritative source, and actively investigate the evidence for and against granting disability benefits, identifying these "apparent conflicts" falls well within their wheelhouse.
Finally, the structure of the Social Security Act also reinforces our reading of the Ruling. As the Supreme Court has observed, "Congress designed [the Social Security Act] to be unusually protective of claimants."
Bowen v. City of New York
,
Thus, we conclude that SSR 00-4p is properly understood to impose an affirmative duty on the ALJs to identify apparent conflicts, ask the VE about them, and explain how the conflict was resolved in the ALJ's final decision. The text of the Ruling strongly suggests as much, and the inquisitorial nature of disability proceedings practically demands it.
C.
Having established that the ALJ has an affirmative duty to identify and resolve any apparent VE-DOT conflict in a disability hearing, we turn to whether the ALJ who denied Washington's claim breached that duty. We conclude that he did.
*1366
The question boils down to whether the conflict was an "apparent" one that the ALJ had a duty to take notice of, ask about, and resolve. As we have explained in this context, "apparent" should be taken to mean apparent to an ALJ who has ready access to and a close familiarity with the DOT. Put another way, if a conflict is reasonably ascertainable or evident, the ALJ is required to identify it, ask about it, and resolve it in his opinion. We take the word "apparent" to mean "seeming real or true, but not necessarily so."
Pearson
,
By our lights, the difference here between the VE's testimony and the DOT presents one of the clearest examples of an "apparent conflict." The VE was asked whether there are any jobs in the national economy for someone with Washington's impairments, including the fact that he can only engage in "occasional fingering." The VE testified that such an individual could work as a
bagger
and a
table worker
. A review of the DOT's entries about these positions, however, indicates that both of these jobs can only be performed by a person who is capable of "frequent fingering." This means that both jobs require fingering, i.e. "fine manipulation," anywhere from ? to
2
/
3
of the time. Thus, while the VE unequivocally testified that there were jobs Washington could perform, the DOT says otherwise. This doesn't mean that the VE was wrong, but it does mean that there was a conflict, it was apparent, and it was important. The difference between the ability to occasionally perform a task and frequently perform a task is patent and significant in determining whether work exists in the national economy for a claimant.
See
Moore v. Colvin
,
Moreover, the ALJ's mistake was not harmless. For starters, the conflict between the VE and the DOT is an actual one. We can't disregard the error on the grounds that no conflict in fact existed.
See
Terry v. Astrue
,
III.
The long and short of it is that in this disability hearing there was an apparent-indeed glaring-conflict, and it passed by the ALJ unnoticed, and therefore unexamined. By failing to identify and resolve the conflict, the ALJ breached his duty to fully develop the record and offer a reasonable resolution of Washington's claim. This duty is imposed by SSR 00-4p. What's more, it is deeply consistent with the nature of SSA proceedings and the ALJ's responsibility as an investigator in this process. Accordingly, we reverse and remand to the district court so that it may, *1367 in turn, remand the matter to the Commissioner for further development of the record.
REVERSED and REMANDED.
At the hearings and appeals levels of Social Security proceedings, Vocational Experts are vocational professionals who provide impartial expert opinions either by testifying or by providing written responses to interrogatories. SSR 96-9p,
The DOT is an extensive compendium of data about the various jobs that exist in the United States economy, and includes information about the nature of each type of job and what skills or abilities they require. The Department of Labor was responsible for compiling it. As of 1999, the Department stopped producing new editions of the work, and much of the data contained in the DOT is now found in online databases. See generally Department of Labor, Revising the Standard Occupational Classification System (1999), https://www.bls.gov/soc/socrpt929.pdf. The SSA is currently developing a new Occupational Information System to replace the DOT and provide its ALJs with more up to date information about current occupations and their requirements. See Social Security Agency, Occupational Information System Project (2018), https://www.ssa.gov/disabilityresearch/occupational_info_systems.html.
We said in
Jones
that we "agree[d] with the Sixth Circuit," and explicitly relied on two Sixth Circuit precedents that gave the ALJ discretion to credit VE testimony over the evidence provided in the DOT.
See
In
Bonner v. City of Prichard
,
Reference
- Full Case Name
- Lindell WASHINGTON, Plaintiff-Appellant, v. COMMISSIONER OF SOCIAL SECURITY, Defendant-Appellee.
- Cited By
- 657 cases
- Status
- Published