Lockwood v. Comm'r of Soc. Sec. Admin.
Opinion of the Court
Plaintiff-Appellant Stephen Lockwood appeals from a June 21, 2017 judgment of the United States District Court for the Northern District of New York (Christian F. Hummel, Magistrate Judge ), upholding the decision of Defendant-Appellee Commissioner of Social Security ("Commissioner") to deny Lockwood's application for disability insurance benefits. On appeal, Lockwood argues among other things that the District Court should have set aside the benefits denial as unsupported by substantial evidence because the denial relied on expert testimony that contained an unexamined apparent conflict with an authoritative Department of Labor publication, the Dictionary of Occupational Titles . We agree with Lockwood on this point and therefore REVERSE the District Court's judgment and REMAND for further proceedings.
I. BACKGROUND
A. Factual Background
On November 11, 2011, Lockwood was injured in an automobile accident while working as a landscaper. In the following months, Lockwood experienced abnormal sensation in his hands and severe pain in his neck and was, according to Drs. Srinivasan Mani and Mark Smith, disabled from performing his regular job as a consequence. In terms of diagnosis, the doctors believed that the unusual feeling in Lockwood's hands might be a result of carpal tunnel syndrome and that the neck pain might be attributable to herniated disks in Lockwood's cervical spine.
To address the neck pain, Dr. Smith advised Lockwood to undergo disk-repair surgery. Dr. Richard Tallarico, an orthopedic surgeon, concurred in this advice, and he performed the recommended surgery on November 7, 2012.
*89Following the surgery, Lockwood consulted several times with Nurse Practitioner Catherine Tomaiuoli. In an early consultation, Nurse Tomaiuoli observed that Lockwood's neck pain persisted and that he had a reduced range of motion in his left shoulder, as well as difficulty with certain arm movements. She recommended that Lockwood receive a magnetic resonance imaging ("MRI") scan and that he restrict the amount of weight he lifted.
In June 2013, Lockwood received the recommended MRI. Based on the results, Nurse Tomaiuoli referred Lockwood to Dr. John Cannizzaro, an orthopedic surgeon, who examined Lockwood and on July 16, 2013, concluded that his shoulder was 30% disabled. During a subsequent consultation, Dr. Tallarico, the surgeon who had operated on Lockwood's neck, deemed Lockwood to be 75% impaired as a result of his continuing neck and shoulder pain and his limited range of motion. Dr. Tallarico considered Lockwood's disability to be permanent.
Meanwhile, Lockwood was following up on his doctors' suggestion that he suffered from carpal tunnel syndrome. On May 22, 2013, he received carpal tunnel release surgery on his right wrist from Dr. Kevin Setter. During a follow-up examination with Nurse Practitioner Carmelita Woods, however, Lockwood reported that he was continuing to experience tenderness and abnormal sensation in his hands. After examining Lockwood, Nurse Woods concluded that Lockwood had 50% and 25% impairments in his right and left hands, respectively, and that carpal tunnel release surgery on the left hand would be appropriate. Dr. Setter performed that surgery on July 1, 2013.
B. Administrative Proceedings
On July 26, 2013, Lockwood submitted an application to the Commissioner pursuant to the Social Security Act,
Lockwood then requested a hearing before an Administrative Law Judge ("ALJ"). At the resultant June 2, 2014 hearing, the ALJ heard testimony from Lockwood and from Dian Heller, a vocational expert. Heller offered her opinion that a person of Lockwood's age, education, and experience could perform the physical tasks associated with three specific jobs that collectively number around 154,000 nationally, as long as he retained the ability to perform light work that did not require any overhead reaching.
On October 27, 2014, the ALJ issued a written opinion denying benefits. Although the ALJ found that Lockwood suffered from severe impairments, she concluded that he was nonetheless capable of performing certain physical activities that, among other things, did not involve any "overhead reaching." R. 19-20. Relying on Heller's testimony regarding the three jobs that people with comparable limitations *90are capable of performing, and finding that these jobs exist in significant number in the national economy, the ALJ concluded that Lockwood was not entitled to benefits.
Lockwood sought review from the Social Security Appeals Council. The Appeals Council granted review and, in a May 3, 2016 decision, adopted the ALJ's opinion as its own in all relevant respects. With that decision, the Commissioner's denial of Lockwood's benefits application became final.
C. Federal Court Proceedings
Dissatisfied by the result of the agency proceedings, Lockwood turned to federal court. On June 7, 2016, Lockwood filed a complaint in the United States District Court for the Northern District of New York, seeking review of the benefits denial. See
In support of his motion, Lockwood advanced two arguments that are relevant here. First, he argued that the Commissioner had relied on Heller's testimony without first probing into an apparent conflict between that testimony and an authoritative Department of Labor publication, the Dictionary of Occupational Titles (the "Dictionary ").
The District Court rejected both of Lockwood's arguments. As for the first argument, the District Court held that even if there had been a conflict between Heller's testimony and the Dictionary , the conflict was "reconciled because [Heller's] testimony indicate[d] that she based her opinion on her own experience observing the performance of the identified jobs." Lockwood v. Comm'r of Soc. Sec. , No. 6:16-CV-0648,
As for Lockwood's second argument, the District Court held that the omission of Nurse Woods's opinion had been harmless. See id. at *6-8. In the District Court's view, Nurse Woods's opinion was "ambiguous as to what precisely [Lockwood] is limited to doing with his hands" and so did not undermine the Commissioner's conclusion that Lockwood could perform the jobs Heller had identified. Id. at *7.
Having so reasoned, the District Court granted the Commissioner's motion for judgment on the pleadings and denied Lockwood's. This appeal followed.
II. DISCUSSION
On appeal, Lockwood renews his arguments that the benefits denial must be set *91aside because the Commissioner (1) failed to examine an apparent conflict between Heller's testimony and the Dictionary and (2) failed to address Nurse Woods's opinion regarding Lockwood's hand impairments. We agree with Lockwood on the first point and therefore reverse the District Court's judgment and remand for further proceedings. In light of that holding, we need not address Lockwood's second argument.
A. Standard of Review
We may reverse the District Court's decision to uphold the Commissioner's denial of benefits only if our "plenary review of the administrative record" reveals that "the [Commissioner's] factual findings are not supported by 'substantial evidence' " or that "the [benefits] decision is based on legal error." Shaw v. Chater ,
B. Analysis
Our analysis begins and ends with Lockwood's argument that the Commissioner's finding that he is capable of performing the three jobs identified by Heller was not based on substantial evidence. In Lockwood's view, the evidence upon which the Commissioner relied in determining what physical demands those jobs entail-Heller's testimony-cannot constitute substantial evidence because it contains an apparent, unresolved conflict with the Dictionary . We agree and therefore conclude that the District Court erred in declining to set aside the Commissioner's benefits denial.
Under the Social Security Act, a claimant is ineligible for disability insurance benefits unless, among other things, he suffers an impairment "of such severity that he ... cannot, considering his age, education, and work experience, engage in any ... kind of substantial gainful work which exists in the national economy."
A 2000 Social Security Administration Policy Interpretation Ruling (the "Ruling") governs the Commissioner's assessment of whether any particular job can accommodate a given claimant's physical limitations. Under the Ruling, the Commissioner "rel[ies] primarily on the [Dictionary ] ... for information about the [job's] requirements" but "may also use [vocational experts] ... to resolve complex vocational issues." SSR 00-4p,
Lockwood now argues, as he did in the District Court, that the Commissioner in this case neglected the Ruling's requirements.
*92In denying Lockwood's benefits application, the Commissioner concluded that Lockwood was "not disabled" within the meaning of the Social Security Act because "there [were] jobs that exist[ed] in significant numbers in the national economy that [he could] perform." R. 6-7. The Commissioner reasoned that even though Lockwood suffered an impairment that required him to "avoid all overhead reaching tasks," Heller's testimony had established that at least three specific jobs existing collectively in significant number in the national economy would accommodate this limitation. R. 6. But, as Lockwood points out, the Dictionary establishes that each of these three jobs requires occasional or frequent "reaching." See Dictionary of Occupational Titles 295.357-018,
We agree. As the Fourth Circuit has persuasively explained, the Ruling mandates that whenever the Commissioner intends to "rely[ ] on [a] vocational expert's testimony," she must identify and inquire into all those areas "where the expert's testimony seems to ... conflict with the Dictionary ." Pearson v. Colvin ,
The Commissioner's arguments to the contrary do not persuade us. First, she suggests that there is no conflict between the expert testimony and the Dictionary because describing a job as requiring "reaching" does not necessarily establish that it requires overhead reaching. See Gutierrez v. Colvin ,
Second, the Commissioner contends that the Dictionary 's narrative descriptions of the three jobs at issue contain no express reference to overhead reaching. Thus, the Commissioner invites us to disregard the apparent conflict between Heller's testimony and the physical requirements enumerated in the Dictionary 's occupational descriptions. See Burgess v. Colvin , No. 13-CV-6177,
Third and finally, the Commissioner argues that even if-as we have now concluded-the apparent conflict between Heller's testimony and the Dictionary triggered her duty to probe further, the ALJ adequately carried out that duty. After Heller had identified three jobs that, in her view, a person with Lockwood's limitations could perform, the ALJ asked whether this opinion "was consistent with [the Dictionary ]." R. 41. Heller replied, in relevant part, "It is."
We disagree. As the Eleventh Circuit has recently explained, the Commissioner's duty "to identify and resolve apparent conflicts between [the Dictionary ] and [vocational expert] testimony ... is not fulfilled simply by taking the [vocational expert] at his word that his testimony comports with the [Dictionary ] when the record reveals an apparent conflict." Washington ,
In the end, the Commissioner failed to reconcile Heller's testimony that a person with an overhead reaching limitation can perform the three jobs at issue here with the Dictionary 's indication that all three jobs require "reaching." Heller's testimony cannot, then, represent substantial evidence capable of demonstrating that Lockwood can successfully perform work in the national economy. It may well be that the apparent conflict between Heller's testimony and the Dictionary is susceptible to easy resolution-if, for example, the reaching involved in the three jobs at issue consists exclusively of lateral or downward reaching. But it is not our role to speculate as to how or whether that conflict might have been resolved had the Commissioner carried out her responsibility to probe such matters. Instead, we must reverse and remand for further proceedings so that the Commissioner may have the opportunity to conduct the requisite inquiry in the first instance.
In light of this result, the Court has no occasion to reach Lockwood's argument that the Commissioner failed to address Nurse Woods's opinion regarding Lockwood's hand impairments. Neither the ALJ nor the Appeals Council explicitly addressed Nurse Woods's opinion when denying Lockwood's benefits application. See R. 4-7, 17-24. The Commissioner maintains that this omission is of no moment: She argues that the record makes clear that the nurse's opinion was in fact considered, if not explicitly remarked upon, and that any failure to consider the opinion would have been harmless in any event. Lockwood disagrees on both points. Because Lockwood's case must return to the agency either way for the reasons already given, the Commissioner will have the opportunity on remand to obviate this dispute altogether by giving express consideration to Nurse Woods's opinion and by making clear what, if any, weight it merits.
III. CONCLUSION
To summarize, we hold that the District Court erred in determining that substantial evidence supported the Commissioner's denial of Lockwood's disability insurance benefits application. This is because the Commissioner's denial was based on evidence that contained an apparent conflict with the Dictionary 's authoritative guidance, and yet the Commissioner failed to take any steps to explore or resolve that conflict. In light of this holding, we decline to address Lockwood's argument that reversal is independently warranted as a consequence of the Commissioner's failure to expressly consider Nurse Woods's medical opinion.
For the foregoing reasons, we REVERSE the District Court's judgment and REMAND for further proceedings.
The Administrative Record is available at Docket Number 8 of the District Court docket. Lockwood v. Commissioner , No. 6:16-CV-0648 (N.D.N.Y.).
This opinion's references to the Dictionary also include where relevant the Dictionary 's companion publication, the Selected Characteristics of Occupations Defined in the Revised Dictionary of Occupational Titles .
To the extent that other courts have understood the Ruling's reference to an "apparent conflict" to refer to a conflict that is "obvious," see, e.g. , Gutierrez v. Colvin ,
For the same reason, we decline to follow the District Court in "infer[ring]" that Heller's personal observations of the jobs about which she testified led her to conclude that those jobs do not entail overhead reaching. Lockwood ,
Reference
- Full Case Name
- Stephen LOCKWOOD v. COMMISSIONER OF SOCIAL SECURITY ADMINISTRATION
- Cited By
- 154 cases
- Status
- Published