Thomas v. Social Security Administration, Commissioner
MEMORANDUM OPINION. Signed by Judge L Scott Coogler on 3/24/2014. (KAM, )
2014 Mar-24 PM 02:45
U.S. DISTRICT COURT
N.D. OF ALABAMA
IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ALABAMA
CAROLYN W. COLVIN,
Commissioner of Social Security,
MEMORANDUM OF OPINION
The plaintiff, Sonja Thomas, appeals from the decision of the Commissioner
of the Social Security Administration (“Commissioner”) partially denying her
application for Disability Insurance Benefits (“DIB”).1 More specifically, after two
Ms. Thomas also originally appealed the ALJ’s denial of her application for Supplemental
Security Income (“SSI”). Subsequently, a motion was filed in this action indicating that Ms.
Thomas died and seeking substitution of her two daughters, Laconya Denae Thomas and LaShara
Thomas, as plaintiffs. (Doc. 11.) After a telephone conference was held in which the Commissioner
expressed no objection to Plaintiff’s motion regarding DIB, but expressed objection to Plaintiff’s
motion regarding SSI because her SSI claim has been extinguished by her death, the Court granted
the motion in part and substituted Laconya Denae Thomas and LaShara Thomas for Ms. Thomas
as plaintiffs on the DIB claim. (Doc. 14.) Plaintiff subsequently expressed no objection to the SSI
claim being dismissed with prejudice, and the Court so ordered on May 8, 2013 (doc. 17), leaving
only the DIB claim being appealed. Hereafter, Plaintiff will still be referred to as “Ms. Thomas.”
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administrative hearings, the Administrative Law Judge (“ALJ”) issued a partially
favorable decision finding Plaintiff not disabled from July 30, 2007 through December
18, 2010, but disabled as of December 19, 2010, when her age category changed. (Tr.
at 6-27, 32-54, 56-105.) Ms. Thomas appeals the denial of benefits for the July 30,
2007 through December 18, 2010, period, and she has timely pursued and exhausted
her administrative remedies. The decision of the Commissioner is ripe for review
pursuant to 42 U.S.C. §§ 405(g), 1383(c)(3).
Ms. Thomas was forty-nine years old at the time of the ALJ’s decision, and she
has a twelfth grade education. (Tr. at 15.) Her past work experiences include
employment as a nurse’s aide, grinder, machine operator, loom starter, and quality
control checker. (Tr. at 24.) Ms. Thomas claims that she became disabled on July 30,
2007, due to congestive heart failure, high blood pressure, asthma, tendonitis, and
chronic obstructive pulmonary diseases. (Tr. at 208-13, 236.)
When evaluating the disability of individuals over the age of eighteen, the
regulations prescribe a five-step sequential evaluation process. See 20 C.F.R. §§
404.1520, 416.920; see also Doughty v. Apfel, 245 F.3d 1274, 1278 (11th Cir. 2001). The
first step requires a determination of whether the claimant is “doing substantial
gainful activity.” 20 C.F.R. §§ 404.1520(a)(4)(i), 416.920(a)(4)(i). If he or she is, the
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claimant is not disabled and the evaluation stops. Id. If he or she is not, the
Commissioner next considers the effect of all of the physical and mental impairments
combined. 20 C.F.R. §§ 404.1520(a)(4)(ii), 416.920(a)(4)(ii). These impairments
must be severe and must meet the durational requirements before a claimant will be
found to be disabled. Id. The decision depends on the medical evidence in the record.
See Hart v. Finch, 440 F.2d 1340, 1341 (5th Cir. 1971). If the claimant’s impairments
are not severe, the analysis stops. 20 C.F.R. §§ 404.1520(a)(4)(ii), 416.920(a)(4)(ii).
Otherwise, the analysis continues to step three, which is a determination of whether
the claimant’s impairments meet or equal the severity of an impairment listed in 20
C.F.R. pt. 404, Subpart P, Appendix 1. 20 C.F.R. §§ 404.1520(a)(4)(iii),
416.920(a)(4)(iii). If the claimant’s impairments fall within this category, he or she
will be found disabled without further consideration. Id. If they do not, a
determination of the claimant’s residual functional capacity (“RFC”) will be made
and the analysis proceeds to the fourth step. 20 C.F.R. §§ 404.1520(e), 416.920(e).
The fourth step requires a determination of whether the claimant’s
impairments prevent him or her from returning to past relevant work. 20 C.F.R. §§
404.1520(a)(4)(iv), 416.920(a)(4)(iv). If the claimant can still do his or her past
relevant work, the claimant is not disabled and the evaluation stops. Id. If the claimant
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cannot do past relevant work, then the analysis proceeds to the fifth step. Id. Step five
requires the court to consider the claimant’s RFC, as well as the claimant’s age,
education, and past work experience in order to determine if he or she can do other
work. 20 C.F.R. §§ 404.1520(a)(4)(v) 416.920(a)(4)(v). If the claimant can do other
work, the claimant is not disabled. Id.
Applying the sequential evaluation process, the ALJ found that Ms. Thomas
“meets the insured status requirements of the Social Security Act through December
21, 2012.” (Tr. at 12.) He further determined that Ms. Thomas has not engaged in
substantial gainful activity since the alleged onset of her disability. (Tr. at 13.)
According to the ALJ, Plaintiff’s substance abuse, hypertension, congestive heart
failure, chronic obstructive pulmonary disease, edema, obesity, back pain of uncertain
etiology, and asthma are considered “severe” based on the requirements set forth in
the regulations. (Id.) In contrast, the ALJ determined that Ms. Thomas suffers from
non-severe diabetes mellitus; and despite its non-severe nature, the ALJ considered
the resulting functional limitations when determining Ms. Thomas’s RFC. (Id.) The
ALJ found that these impairments neither meet nor medically equal any of the listed
impairments in 20 C.F.R. Part 404, Subpart P, Appendix 1. (Id.) The ALJ determined
that Ms. Thomas has the RFC to perform a range of sedentary work as defined in 20
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CFR 404.1567(a) and 416.967(a),2 specifically:
The claimant can occasionally lift ten pounds, and can frequently lift
items of negligible weight. She can stand or walk at one time for no more
than one hour; and can stand or walk for a total of two hours. She can sit
at one time for no more than one hour and can sit for a total of six hours.
The claimant can occasionally perform pushing and pulling with the
upper extremities. She can perform unlimited pushing and pulling with
the lower extremities. She can frequently balance. She can occasionally
stoop; occasionally kneel; occasionally crouch; and occasionally climb
ramps and stairs. She cannot crawl. She cannot climb ladders ropes or
scaffolds. She can frequently reach, bilaterally. She can perform
unlimited handling, bilaterally. She can perform unlimited fingering,
bilaterally. She should avoid all exposure to extreme heat, humidity, and
wetness. She should avoid all exposure to pulmonary irritants. She
should avoid all exposure to unprotected heights and dangerous
According to the ALJ, Ms. Thomas is unable to perform any of her past relevant
work. (Tr. at 24.) Proceeding to step five, the ALJ found Plaintiff was not disabled
prior to December 19, 2010, because she could perform a significant number of jobs
Sedentary work involves lifting no more than ten pounds at a time and occasionally lifting
or carrying articles like docket files, ledgers, and small tools. 20 C.F.R §§ 404.1567(a), 416.967(a).
Although a sedentary job is defined as one which involves sitting, a certain amount of walking and
standing is often necessary in carrying out job duties. Id. Jobs are sedentary if walking and standing
are required occasionally and other sedentary criteria are met. Id. Occasionally means occurring
from very little up to one-third of the time. Social Security Ruling (SSR) 83-10,
http://www.socialsecurity.gov.OP_Home/rulings/di/02/SSR83-10-di-02.html. Since being on
one’s feet is required “occasionally” at the sedentary level of exertion, periods of standing or
walking should generally total no more than about two hours of an eight-hour workday, and sitting
should generally total approximately six hours of an eight-hour workday. Id.
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in the national economy given her work-related limitations and vocational profile, such
as order clerk, stringing machine tender, and carding machine operator. (Tr. at 2426.) The ALJ stated that Plaintiff “was capable of making a successful adjustment to
other work that existed in significant numbers in the national economy” before the
alleged onset date, and as such, “[p]rior to December 19, 2010, a finding of ‘not
disabled’ is appropriate.” (Tr. at 26.) However, the ALJ found that, as of December
19, 2010, Plaintiff was disabled after her age category changed from a “younger
individual” to a “person closely approaching advanced age.” (Tr. at 26.) Relying
directly on Medical-Vocational Rule 201.14, the ALJ therefore determined that Ms.
Thomas was “disabled” as of that date and that her disability continued through the
date of the decision. (Id.)
Standard of Review
This Court’s role in reviewing claims brought under the Social Security Act is
a narrow one. The scope of its review is limited to determining (1) whether there is
substantial evidence in the record as a whole to support the findings of the
Commissioner, and (2) whether the correct legal standards were applied. See
Richardson v. Perales, 402 U.S. 389, 390, 401 (1971); Wilson v. Barnhart, 284 F.3d
1219, 1221 (11th Cir. 2002). The Court approaches the factual findings of the
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Commissioner with deference, but applies close scrutiny to the legal conclusions. See
Miles v. Chater, 84 F.3d 1397, 1400 (11th Cir. 1996). The Court may not decide facts,
weigh evidence, or substitute its judgment for that of the Commissioner. Id. “The
substantial evidence standard permits administrative decision makers to act with
considerable latitude, and ‘the possibility of drawing two inconsistent conclusions
from the evidence does not prevent an administrative agency’s finding from being
supported by substantial evidence.’” Parker v. Bowen, 793 F.2d 1177, 1181 (11th Cir.
1986) (Gibson, J., dissenting) (quoting Consolo v. Fed. Mar. Comm’n, 383 U.S. 607,
620 (1966)). Indeed, even if this Court finds that the evidence preponderates against
the Commissioner’s decision, the Court must affirm if the decision is supported by
substantial evidence. Miles, 84 F.3d at 1400. No decision is automatic, however, for
“despite this deferential standard [for review of claims] it is imperative that the Court
scrutinize the record in its entirety to determine the reasonableness of the decision
reached.” Bridges v. Bowen, 815 F.2d 622, 624 (11th Cir. 1987). Moreover, failure to
apply the correct legal standards is grounds for reversal. See Bowen v. Heckler, 748 F.2d
629, 635 (11th Cir. 1984).
Ms. Thomas alleges that the ALJ’s decision should be reversed and remanded
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for two reasons. First, she believes that the ALJ failed to give proper weight to the
opinion of the consultative examiner, Dr. Ghanshyam Patel. Second, Plaintiff
contends that the ALJ committed reversible error in relying exclusively on the
medical-vocational guidelines (“the grids”) and not eliciting testimony from a
Vocational Expert (“VE”).
Weight to Consultative Examiner’s Opinion
The weight to be afforded a medical opinion regarding the nature and severity
of a claimant’s impairments depends, among other things, upon the examining and
treating relationship the medical source had with the claimant, the evidence the
medical source presents to support the opinion, how consistent the opinion is with the
record as a whole, and the specialty of the medical source. See 20 C.F.R. §§
404.1527(d), 416.927(d). Within the classification of acceptable medical sources are
the following different types of sources which are entitled to different weights of
opinion: 1) a treating source, which is defined in the regulations as “your physician,
psychologist, or other acceptable medical source who provides you, or has provided
you, with medical treatment or evaluation and who has, or has had, an ongoing
treatment relationship with you;” 2) a non-treating source, which is defined as “a
physician, psychologist, or other acceptable medical source who has examined you but
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does not have, or did not have, an ongoing treatment relationship with you;” and 3)
a non-examining source, which is a “a physician, psychologist, or other acceptable
medical source who has not examined you but provides a medical or other opinion in
your case . . . includ[ing] State agency medical and psychological consultants . . . .”
20 C.F.R. § 404.1502. The regulations and case law set forth a general preference for
treating sources’ opinions over those of non-treating sources, and non-treating
sources over non-examining sources. See 20 C.F.R. § 404.1527(d)(2); Ryan v. Heckler,
762 F.2d 939, 942 (11th Cir. 1985). However, an ALJ “may reject the opinion of any
physician when the evidence supports a contrary conclusion.” McCloud v. Barnhart,
166 F. App’x 410, 418–19 (11th Cir. 2006) (citing Bloodsworth v. Heckler, 703 F.2d
1233, 1240 (11th Cir. 1983)).
Plaintiff takes issue with the ALJ’s decision to give Dr. Patel’s opinion
substantial, but not significant, weight. At the request of the ALJ, Dr. Patel examined
Plaintiff on August 18, 2010. Plaintiff reported she had difficulty breathing, difficulty
walking and standing, and constant shortness of breath, and she complained of
peripheral swelling (Tr. at 464). On examination, Dr. Patel reported Plaintiff’s chest
was clear, she had no significant heart murmurs, she had no swelling of the
extremities, and she had poor r-wave progression per ECG (Tr. at 465). Dr. Patel
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assessed severe shortness of breath, severe airway disease, morbid obesity, chronic
back pain, and hypertension (Tr. at 465). He also noted Plaintiff had difficulty
standing and walking and extreme shortness of breath (Tr. at 465). Based on this
examination, Dr. Patel completed a functional assessment form in which he opined
Plaintiff could lift up to 10 pounds frequently and 20 pounds occasionally; sit for three
hours in an eight-hour workday; stand for three hours in an eight-hour workday; walk
for four hours in an eight-hour workday; and occasionally reach and never feel or
push/pull. (Tr. at 467-72).
Plaintiff points out that at the hearing when the VE was asked a hypothetical
question incorporating Dr. Patel’s limitations, the VE testified Plaintiff could not
perform any jobs. (Tr. at 49-50.) The VE testified that the limitations to reaching
occasionally and no ability to feel eliminated all jobs. (Tr. at 49-50.) However,
although the ALJ asked the VE to consider Dr. Patel’s limitations, the ALJ was not
required to accept the limitations as set out by Dr. Patel. The Eleventh Circuit has
held that the Commissioner can disregard responses to hypothetical questions not
supported by the record. Graham v. Bowen, 790 F.2d 1572, 1576 (11th Cir. 1986).
Substantial evidence in the record supports the ALJ’s decision to afford Dr.
Patel’s opinion substantial but not significant weight. As an initial matter, the opinion
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of Dr. Patel was not entitled to any deference because, as a one-time examiner, he was
not a treating physician. See 20 C.F.R. § 404.1527(d)(I); Crawford v. Comm’r of Soc.
Sec., 363 F.3d 1155, 1160 (11th Cir. 2004) . In any event, the ALJ noted in his decision
the medical treatment notes in the record and Dr. Patel’s examination did not support
the limitation of occasional reaching. (Tr. at 23.) The ALJ also suggested that the
evidence did not support Dr. Patel’s limitation of no feeling with the hands. (Tr. at
23.) Indeed, in the functional assessment form, Dr. Patel provided no specific findings
to support the limitation of occasional reaching and no feeling. (Tr. at 469.) In
addition, Dr. Patel’s findings from his examination do not support such limitations.
(Tr. at 465.) Moreover, as the ALJ noted, the other objective evidence in the record
did not support such limitations. (Tr. at 23.) James Anderson, M.D., a medical
expert, testified at the hearing after reviewing all the evidence in the record except Dr.
Patel’s report, and concluded Plaintiff could perform light work and did not provide
any limitations for reaching or feeling. (Tr. at 16, 23, 95, 97). The ALJ reasonably gave
Dr. Anderson’s less restrictive opinion substantial weight (Tr. at 23). The ALJ further
noted that several progress notes from various sources showed Plaintiff’s extremities
appeared generally normal. (Tr. at 18-19, 394, 397, 402, 405, 408, 411, 413, 419, 422,
476, 480). Given the record as a whole, the ALJ was not required to accept all the
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limitations from Dr. Patel. See Crawford, 363 F.3d at 1161 (“the ALJ was not required
to include findings in the hypothetical that the ALJ had properly rejected as
unsupported”); Sullivan v. Comm’r of Soc. Sec., 353 Fed. App’x 394, 397 (11th Cir.
2009) (per curiam) (unpublished) (ALJ was not required to include findings from a
consultative examiner in the hypothetical question that he had properly rejected).
Thus, the ALJ was not required to accept VE testimony based on Dr. Patel’s opinion.
Reliance on “the Grids” as Opposed to VE Testimony
Plaintiff argues that it was error for the ALJ to rely exclusively on the grids to
find her not disabled from July 30, 2007 to December 18, 2010. However, the ALJ did
not rely exclusively on the grids—he enlisted the testimony of a VE in determining
whether there were a significant number of jobs in the national economy that she
could have performed before December 19, 2010. Normally, when nonexertional
limitations are alleged, “the preferred method of demonstrating that the claimant can
perform specific work is through the testimony of a vocational expert.” MacGregor v.
Bowen, 786 F.2d 1050, 1054 (11th Cir. 1986) (affirming district court reversal of ALJ
who applied grids). “ ‘It is only when the claimant can clearly do unlimited types of
light work, . . . that it is unnecessary to call a vocational expert to establish whether the
claimant can perform work which exists in the national economy.’ ” Allen v. Sullivan,
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880 F.2d 1200, 1202 (11th Cir. 1989) (quoting Ferguson v. Schweiker, 641 F.2d 243,
248 (5th Cir. Unit A, March 1981)). “The burden of showing by substantial evidence
that a person who can no longer perform his former job can engage in other substantial
gainful activity is in almost all cases satisfied only through the use of vocational expert
testimony.” Chester v. Bowen, 792 F.2d 129, 132 (11th Cir. 1986).
appropriately utilized VE testimony in this case, and insofar as Plaintiff contests that,
her argument is belied by the record.
Upon review of the administrative record, and considering all of Ms. Thomas’s
arguments, the Court finds the Commissioner’s decision is supported by substantial
evidence and in accord with the applicable law. A separate order will be entered.
Done this 24th day of March 2014.
L. Scott Coogler
United States District Judge
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