Billie J. Woods v. Nancy Berryhill
Opinion
Billie Jean Woods appeals the Social Security Administration's denial of her application for disability insurance benefits. Because we conclude that the Administrative Law Judge erred by not according adequate weight to a prior disability determination by the North Carolina Department of Health and Human Services, we vacate and remand.
I.
Before turning to the facts of this case, we set forth the framework that an Administrative Law Judge ("ALJ") must use to determine a claimant's eligibility for Social Security disability insurance benefits.
"Disability" means "inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months."
After the ALJ determines the claimant's residual function capacity, the ALJ proceeds to step four, where the claimant must show that she cannot perform her past work.
II.
A.
In the years leading up to her alleged disability onset date, Woods held various production and manufacturing jobs that required her to lift up to 50 pounds and to walk, stand, and crouch for seven hours or more per day. In 2010, Woods began exhibiting symptoms consistent with inflammatory arthritis, osteoarthritis, and fibromyalgia. She also began complaining of persistent pain that limited her ability to perform her job. Her symptoms progressed over the next three years, and in April 2013, Woods stopped working. The next month, Woods applied for Social Security disability insurance benefits.
The SSA initially denied her application and her petition for reconsideration. Woods then requested a hearing before an ALJ.
Before the ALJ, Woods presented medical records from Dr. Aasheim (her primary care physician), Dr. de Wit (her rheumatologist through January 2013), and a prior decision by the North Carolina Department of Health and Human Services ("NCDHHS") that found that Woods was disabled and entitled to Medicaid benefits. The ALJ also reviewed the opinions of Drs. Burgess and Pardoll, who conducted consultative examinations at NCDHHS's request, and Dr. Clayton, the state agency medical consultant who reviewed Woods's medical record but did not treat or examine her in person. In addition, Woods submitted disability questionnaires and testified before the ALJ.
We briefly summarize the relevant evidence from each source.
• Beginning in 2010, Drs. de Wit and Aasheim documented various symptoms consistent with inflammatory arthritis, osteoarthritis, and fibromyalgia. In early 2013, both doctors concluded that because of her condition, Woods "should not do heavy manual labor" as required by her current job. In November 2013, Dr. Aasheim concluded that Woods could occasionally lift up to ten pounds but frequently could not lift any weight, she could stand one of eight hours, could sit one of eight hours, and could occasionally balance independently, but could not climb, stoop, crouch, kneel, or crawl.
• The NCDHHS decision found that Woods was eligible to receive Medicaid. The state hearing officer noted that Woods had several positive laboratory results and physical exams that supported her claims of pain. That officer also found that Woods's testimony at the state hearing was "wholly credible and substantiated the alleged disabilities."
• Dr. Burgess, who conducted a physical consultation, concluded that Woods's "ability to perform work-related activities such as bending, stooping, lifting, walking, crawling, squatting, carrying, traveling, pushing and pulling heavy objects ... appears to be mildly to moderately impaired.... Claimant's insight into and description of limitations appears not inconsistent with the objective findings."
• Dr. Pardoll, who conducted a psychological consultation, found that although Woods has "few mental health symptoms that interfere with her social and occupational functioning," it did not "appear that she would be able to tolerate the stressors and pressures associated with a day to day work activity since she is experiencing a lot of pain."
• Dr. Clayton, the state agency's non-treating, non-examining consultant, found Woods's "[a]llegations and statements ... partially credible," but concluded that the "evidence does not support the level of limitations alleged." He also concluded that Woods could occasionally lift 50 pounds and frequently lift 25 pounds, and could stand or sit for six hours of an eight-hour workday. Thus, he found that Woods could perform medium work.
• Woods wrote in her disability questionnaires that her typical activities varied daily depending on her pain. For example, although she could "prepare simple meals," it was difficult to "cut, chop, or dice." Woods also testified before the ALJ that she could lift approximately three to four pounds, could comfortably sit or stand for 20 minutes, walked with a limp and otherwise had poor balance and stumbled frequently, and had limited grip strength and dropped things "consistently."
B.
After reviewing the evidence, the ALJ found that Woods did not meet the legal definition of "disabled" and denied her claim for Social Security disability insurance benefits. At step one, the ALJ found that Woods was not employed since her onset date. At step two, he concluded that her impairments were "severe." Because her impairments did not meet the requirements of step three, the ALJ proceeded to the residual function capacity assessment.
The ALJ began his assessment of Woods's residual function capacity by summarizing the relevant medical evidence. For example, the ALJ found that certain tests showed only "mild degenerative changes" and that some reports indicated that Woods did not display other typical signs of her alleged impairments, such as swollen joints. The ALJ then concluded that Woods's "medically determinable impairments could reasonably be expected to cause the alleged symptoms," but that her "statements concerning the intensity, persistent and limiting effects of these symptoms are not entirely credible." In support of this adverse credibility finding, the ALJ noted that Woods's "daily activities are not those typically associated with an individual alleging the pain, severity, and limitations as posed by the claimant." The ALJ also identified the relative weight he accorded to the various medical experts: great weight to Dr. Clayton, some-to-great weight to Dr. Pardoll, some weight to Dr. Burgess, little weight to Drs. Aasheim and de Wit, and little weight to the NCDHHS decision. Based on this evidence, the ALJ found-consistent with Dr. Clayton's opinion-that Woods had the residual function capacity to perform "medium work" (subject to certain exceptions).
At step four, the ALJ concluded that Woods "is capable of performing past relevant work in production of manufacturing textiles," as that work "does not require the performance of work-related activities precluded by" her residual function capacity. At step five, he found that "other jobs exist[ ] in the national economy that [Woods] is also able to perform," like janitorial work. The ALJ therefore concluded that Woods did not meet the legal definition of "disabled" and denied her application for benefits.
C.
After exhausting her administrative appeals, Woods filed this action against the Acting Commissioner of Social Security. The parties filed cross-motions for summary judgment, and a magistrate judge recommended granting the Commissioner's motion, denying Wood's motion, and affirming the denial of benefits. The district court adopted this recommendation in full. Woods now appeals.
III.
We review
de novo
a district court's grant of summary judgment.
Martin v. Lloyd
,
We first address the ALJ's treatment of the prior NCDHHS disability decision.
A.
A disability decision by another entity does not bind the SSA.
See
Thus, we have previously held that in an SSA disability proceeding, "the [prior] disability determination of a state administrative agency is entitled to consideration."
DeLoatche v. Heckler
,
This court has not yet addressed the precise weight an ALJ must give to a state agency's disability determination. In a related context, however, we have held that "in making a disability determination, the SSA must give substantial weight to a [Veterans Affairs] disability rating."
Bird
,
We see no reason why this logic does not also apply to NCDHHS disability decisions. Both NCDHHS and Social Security disability insurance benefits "serve the same governmental purpose of providing benefits to persons unable to work because of a serious disability."
Of course, an ALJ may deviate from this default rule and accord an NCDHHS disability decision less than "substantial weight" if "the record before the ALJ clearly demonstrates that such a deviation is appropriate."
For example, an ALJ could explain which aspects of the prior agency decision he finds not credible and why, describe why he finds other evidence more credible, and discuss the effect of any new evidence made available after NCDHHS issued its decision. This list is not exclusive, but the point of this requirement-and of these examples-is that the ALJ
must adequately explain his reasoning; otherwise, we cannot engage in a meaningful review.
See
Radford v. Colvin
,
B.
The ALJ in this case concluded that the NCDHHS decision deserved only "little weight." Because this is less than the "substantial weight" such decisions are generally due, we must consider whether the ALJ adequately justified this "deviation."
The entirety of the ALJ's reasoning on this point is as follows:
The undersigned has considered the State of North Carolina Department of Health and Human Services' ruling finding the claimant met the criteria for Medicaid eligibility (Exhibit 11E). However, Social Security Ruling 06-03p states that:
"[a] decision by any ... other governmental agency about whether you are disabled to blind is based on its rules and is not our decision about whether you are disabled or blind. We must make a disability or blindness determination based on social security law. Therefore, a determination made by another agency that you are disabled or blind is not binding on us."
As such, the undersigned assigns this ruling little weight, as each program is independent and distinct enough to make it possible that even a disabled Medicaid recipient can be denied SSA benefits. Moreover, the Medicaid determination specifically states that "this decision in no way affects any pending or future claims for Social Security or Supplemental Security Income benefits."
This generic explanation, which could apply to every NCDHHS decision, is neither persuasive nor specific.
See
McCartey
,
The Commissioner raises two arguments for the ALJ's contrary approach. First, the Commissioner suggests that the NCDHHS hearing officer did not actually consider the "same underlying evidence" as the ALJ because the state hearing officer's report did not discuss Dr. Clayton's opinion.
See
Bird
,
Second, the Commissioner argues that because the ALJ's decision as a whole makes clear that he considered the same evidence on which the NCDHHS decision relied, the ALJ did not need to refer expressly to that evidence in discussing the NCDHHS decision. We cannot agree. It
may well be that the ALJ considered this evidence in deciding
both
which doctors and evidence to credit
and
whether the NCDHHS decision deserved substantial weight. But meaningful review cannot rest on such guesswork.
See
DeLoatche
,
We therefore conclude that the ALJ erred in failing to adequately explain why he accorded the prior NCDHHS disability decision less than substantial weight. For this reason, we must vacate the decision and remand the case to the ALJ.
IV.
Woods raises several other challenges to the ALJ's decision. Because these issues may recur on remand, we address them now.
See
Bird
,
A.
First, Woods contends that the ALJ did not adequately perform the residual function capacity assessment. In performing this assessment, an ALJ "must include a narrative discussion describing how the evidence supports each conclusion, citing specific medical facts (e.g., laboratory findings) and nonmedical evidence (e.g., daily activities, observations)."
Mascio
,
We agree with Woods that the ALJ did not do so here. The ALJ concluded that Woods could perform "medium work" and summarized evidence that he found credible, useful, and consistent. But the ALJ never explained how he concluded-
based on this evidence
-that Woods could actually perform the tasks required by "medium work," such as lifting up to 50 pounds at a time, frequently lifting or carrying up to 25 pounds, or standing or walking for six hours.
See
SSR 83-10,
B.
Woods also contends that the ALJ erred in finding Woods not credible because her "daily activities are not those typically associated with an individual alleging the pain, severity, and limitations as posed by the claimant."
An ALJ may not consider the
type
of activities a claimant can perform without also considering the
extent
to which she can perform them.
See
Brown v. Commissioner
,
On remand, the ALJ should consider not just the type of Woods's daily activities, but also the extent to which she can perform them in assessing her credibility.
C.
Finally, we note two additional problems with the ALJ's analysis as it pertains to his weighting of the various medical opinions.
An ALJ must include "a narrative discussion describing how the evidence supports" his "explanation of the varying degrees of weight he gave to differing opinions concerning [the claimant's] conditions and limitations."
Monroe
,
We are also skeptical about the ALJ's rationale for according great weight to the opinion of Dr. Clayton-who did not personally examine or treat Woods-while at the same time discounting the opinions of the doctors who did examine and treat her. In general, an ALJ should accord "more weight to medical opinions from [a claimant's] treating sources, since these sources are likely to be the medical professionals most able to provide a detailed, longitudinal picture of [a claimant's] medical impairment(s)."
It is not clear to us that Dr. Clayton's opinion satisfies this standard. For example, Dr. Clayton concluded that Woods could lift up to 50 pounds (something none of her treating physicians believed she was capable of), but failed to explain how he arrived at that specific number. The same is true of his conclusion that Woods can sit or stand for six hours in an eight-hour workday. As the ALJ himself acknowledged, these conclusions conflict with the opinions of Drs. Burgess, de Wit, Aasheim, and with Woods's own testimony. Nor is there any evidence in the record that Dr. Clayton is a specialist and therefore due additional deference. The ALJ should consider these potential shortcomings on remand in deciding what weight to accord the opinion of Dr. Clayton, and any other non-treating, non-examining physicians.
V.
For the foregoing reasons, we vacate the judgment of the district court and remand the case with instructions to vacate the denial of benefits and remand for further administrative proceedings consistent with this opinion.
VACATED AND REMANDED WITH INSTRUCTIONS
This regulation only applies to claims filed before March 27, 2017.
See
That the NCDHHS report does not specifically refer to Dr. Clayton's opinion does not necessarily mean that the hearing officer did not consider it. Nothing in the record indicates that Dr. Clayton's opinion-which the state agency ordered and which Dr. Clayton produced five months before NCDHHS issued its disability decision-was not available to the NCDHHS hearing officer.
Reference
- Full Case Name
- Billie J. WOODS, Plaintiff-Appellant, v. Nancy A. BERRYHILL, Acting Commissioner of Social Security, Defendant-Appellee.
- Cited By
- 787 cases
- Status
- Published