Martin v. Saul
Filing
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MEMORANDUM OPINION AND ORDER entered that the decision of the Commissioner of Social Security denying Plaintiff Edward Martin's claim for benefits is hereby REVERSED and REMANDED pursuant to sentence four of 42 U.S.C. § 405(g), for further proceedings not inconsistent with this decision. Signed by Magistrate Judge P. Bradley Murray on 3/31/2021. (eec)
IN THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF ALABAMA
SOUTHERN DIVISION
EDWARD MARTIN,
Plaintiff,
v.
ANDREW M. SAUL,
Commissioner of Social Security,
Defendant.
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CIVIL ACTION NO. 19-0993-MU
MEMORANDUM OPINION AND ORDER
Plaintiff Edward Martin brings this action, pursuant to 42 U.S.C. §§ 405(g) and
1383(c)(3), seeking judicial review of a final decision of the Commissioner of Social
Security (“the Commissioner”) denying his claim for a Period of Disability and Disability
Insurance Benefits (“DIB”). The parties have consented to the exercise of jurisdiction by
the Magistrate Judge, pursuant to 28 U.S.C. § 636(c), for all proceedings in this Court.
(Doc. 12 (“In accordance with the provisions of 28 U.S.C. 636(c) and Fed. R. Civ. P. 73,
the parties in this case consent to have a United States Magistrate Judge conduct any
and all proceedings in this case, … order the entry of a final judgment, and conduct all
post-judgment proceedings.”)). See Doc. 13. Upon consideration of the administrative
record, Martin’s briefs, and the Commissioner’s brief,1 it is determined that the
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The parties elected to waive oral argument. See Docs. 26, 28.
Commissioner’s decision denying benefits should be reversed and remanded under
sentence four of § 405(g) as set forth herein.2
I. PROCEDURAL HISTORY
On or about September 12, 2014, Martin applied for a Period of Disability and
DIB, under Title II of the Social Security Act, alleging disability beginning on August 3,
2011. (Tr. 315-18). His application was denied at the initial level of administrative review
on November 7, 2014. (Tr. 194-98). On November 13, 2014, Martin requested a hearing
by an Administrative Law Judge (ALJ). (Tr. 200-01). After a hearing was held on August
3, 2016 (Tr. 102-20), the ALJ issued an unfavorable decision finding that Martin was not
under a disability from the alleged onset date of his disability through his date last
insured (DLI), December 31, 2014. (Tr. 168-81). Martin appealed the ALJ’s decision to
the Appeals Council, which granted the request for review and remanded the case to an
ALJ for resolution of an issue concerning his Residual Functional Capacity (RFC) on
February 6, 2018. (Tr. 188-90). After a second hearing was held on October 31, 2018
(Tr. 121-55), the ALJ again issued an unfavorable decision finding that Martin was not
under a disability from the alleged onset date of his disability through his DLI, December
31, 2014. (Tr. 20-35). Martin appealed the ALJ’s decision to the Appeals Council, which
denied his request for review on October 10, 2019, thereby making the ALJ’s decision
the final decision of the Commissioner. (Tr. 1-6).
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Any appeal taken from this Order and Judgment shall be made to the Eleventh Circuit
Court of Appeals. See Doc. 12. (“An appeal from a judgment entered by a Magistrate
Judge shall be taken directly to the United States Court of Appeals for the judicial circuit
in the same manner as an appeal from any other judgment of this district court.”).
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After exhausting his administrative remedies, Martin sought judicial review in this
Court, pursuant to 42 U.S.C. §§ 405(g) and 1383(c). (Doc. 1). Both parties filed briefs
setting forth their respective positions. (Docs. 20, 21, 25). The parties waived oral
argument.
II. CLAIMS ON APPEAL
Martin alleges that the ALJ’s decision to deny him benefits is in error for the
following reasons: 1) the ALJ erred by failing to properly consider Martin’s chronic
respiratory disorder pursuant to Listing 3.02C(3); 2) new and material evidence warrants
remand; and 3) the ALJ’s RFC determination was not supported by substantial
evidence. (Doc. 20 at p. 1).
III. BACKGROUND FACTS
Martin was born on April 23, 1967 and was 47 years old at the time he filed his
claim for benefits. (Tr. 315). Martin initially alleged disability due to congestive heart
failure, chronic obstructive pulmonary disease (COPD), gout, and a back problem. (Tr.
341). Martin graduated from high school in 1986 and has received specialized training
in masonry. (Tr. 226). He has worked in the past as a mason, but he has not worked
since his alleged onset date. (Tr. 341-42). During the relevant period, he indicated that
he mainly sat around his house most of the day, except for dropping his son off at
school and picking him up. (Tr. 362). He stated that he could take care of his own
personal care and that he could iron, sweep, vacuum, mop, cut the grass with a riding
mower, and clean the car. (Tr. 147, 363-64). He also stated that he can drive a car,
shop for clothes and things for the house about once per month, attends church twice
per month, and has friends over to watch sports about every other Sunday. (Tr. 365-66).
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He reported that many of his activities had been hampered by shortness of breath. (Tr.
362-66). Martin alleged that he was unable to work due to his back pain and lung
issues. (Tr. 141-45).
IV. ALJ’S DECISION
After conducting a hearing on this matter, the ALJ made a determination that
Martin had not been under a disability during the relevant time period, and thus, was not
entitled to benefits. (Tr. 23-41). The ALJ found that Martin met the insured status
requirements through December 31, 2014. (Tr. 23). At step one of the five-step
sequential evaluation, the ALJ found that Martin had not engaged in substantial gainful
activity (“SGA”) during the period from August 3, 2011, the alleged onset date, through
December 31, 2014, the DLI. (Tr. 25). Therefore, he proceeded to an evaluation of
steps two and three. The ALJ found that Martin had severe impairments of chronic
thromboembolic disease with associated secondary pulmonary hypertension, chronic
systolic heart failure, chronic obstructive pulmonary disease, back disorder, sleep
apnea, and gout, but that considering all of his impairments individually and in
combination, Martin did not have an impairment or combination of impairments that met
or medically equaled the severity of a listed impairment. (Tr. 26-27). After considering
the entire record, the ALJ concluded that Martin had the RFC to perform sedentary work
as defined in 20 CFR 404.1567(a), except that he could not climb ladders ropes or
scaffolds; he could occasionally climb ramps and stairs and occasionally balance,
stoop, kneel ,crouch, crawl, and operate foot controls; he could tolerate occasional
exposure to extreme heat, cold, fumes, dust, gases, and poor ventilation; and he could
not tolerate exposure to unprotected heights or moving mechanical parts. (Tr. 27-33).
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After setting forth his RFC, the ALJ determined that Martin was not capable of
performing any past relevant work. (Tr. 33). The ALJ found that, considering Martin’s
age, education, work experience, and RFC, there were jobs that existed in significant
numbers in the national economy that he could have performed through the DLI. (Tr.
34-35). Accordingly, the ALJ concluded that Martin was not disabled within the meaning
of the Act from the alleged onset date through the DLI. (Tr. 35).
V. DISCUSSION
Eligibility for a Period of Disability and DIB requires that the claimant be disabled.
42 U.S.C. § 423(a)(1)(E). A claimant is disabled if the claimant is unable “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.” 42 U.S.C. §
423(d)(1)(A). The impairment must be severe, making the claimant unable to do the
claimant’s previous work or any other substantial gainful activity that exists in the
national economy. 42 U.S.C. § 423(d)(2); 20 C.F.R. §§ 404.1505-11. “Substantial
gainful activity means work that … [i]nvolves doing significant and productive physical or
mental duties [that] [i]s done (or intended) for pay or profit.” 20 C.F.R. § 404.1510.
In all Social Security cases, an ALJ utilizes a five-step sequential evaluation in
determining whether the claimant is disabled:
(1) whether the claimant is engaged in substantial gainful activity; (2) if
not, whether the claimant has a severe impairment; (3) if so, whether the
severe impairment meets or equals an impairment in the Listing of
Impairment in the regulations; (4) if not, whether the claimant has the
RFC to perform her past relevant work; and (5) if not, whether, in light of
the claimant’s RFC, age, education and work experience, there are other
jobs the claimant can perform.
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Watkins v. Comm’r of Soc. Sec., 457 F. App’x 868, 870 (11th Cir. 2012) (per curiam)
(citing 20 C.F.R. §§ 404.1520(a)(4), (c)-(f), 416.920(a)(4), (c)(f); Phillips v. Barnhart, 357
F.3d 1232, 1237 (11th Cir. 2004)) (footnote omitted). The claimant bears the burden of
proving the first four steps, and if the claimant does so, the burden shifts to the
Commissioner to prove the fifth step. Jones v. Apfel, 190 F.3d 1224, 1228 (11th Cir.
1999).
If the claimant appeals an unfavorable ALJ decision, the reviewing court must
determine whether the Commissioner’s decision to deny benefits was “supported by
substantial evidence and based on proper legal standards.” Winschel v. Comm’r of Soc.
Sec., 631 F.3d 1176, 1178 (11th Cir. 2011) (citations omitted); see 42 U.S.C. § 405(g).
“Substantial evidence is more than a scintilla and is such relevant evidence as a
reasonable person would accept as adequate to support a conclusion.” Winschel, 631
F.3d at 1178 (citations omitted). “In determining whether substantial evidence exists,
[the reviewing court] must view the record as a whole, taking into account evidence
favorable as well as unfavorable to the [Commissioner’s] decision.” Chester v. Bowen,
792 F.2d 129, 131 (11th Cir. 1986). The reviewing court “may not decide the facts anew,
reweigh the evidence, or substitute [its] judgment for that of the [Commissioner].” Id.
When a decision is supported by substantial evidence, the reviewing court must affirm
“[e]ven if [the court] find[s] that the evidence preponderates against the Secretary’s
decision.” MacGregor v. Bowen, 786 F.2d 1050, 1053 (11th Cir. 1986).
As set forth above, Martin has asserted three grounds in support of his argument
that the Commissioner’s decision to deny him benefits is in error. However, because the
Court concludes herein that the ALJ’s cursory and conclusory statement at step three
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prevents the Court from conducting a meaningful review and, thus, warrants remand,
the Court pretermits its discussion of the remaining issues. See Jenkins v. Colvin, CA
2:12-00465-N, 2013 WL 3465190, at *2 (S.D. Ala. July 10, 2013).
In Wilson v. Barnhart, 284 F.3d 1219 (11th Cir. 2002), the court discussed the
listing of impairments:
The Listing of Impairments describes, for each of the major body systems,
impairments which are considered severe enough to prevent a person
from doing any gainful activity. See 20 C.F.R. § 404.1525(a). Part A of
the Listing of Impairments contains medical criteria that apply to adults
age 18 and over. See 20 C.F.R. § 404.1525(b); see also 20 C.F.R. §
404, Subpt. P, App.1. To “meet” a Listing, a claimant must have a
diagnosis included in the Listings and must provide medical reports
documenting that the conditions meet the specific criteria of the Listings
and the duration requirement. Id. 20 C.F.R. § 404.1525(a)-(d). To
“equal” a Listing, the medical findings must be ‘at least equal in
severity and duration of the listing findings.’ See 20 C.F.R. §
404.1526(a). If a claimant has more than one impairment, and none
meets or equals a listed impairment, the Commissioner reviews the
impairments’ symptoms, signs, and laboratory findings to determine
whether the combination is medically equal to any listed impairment.
See id.
Id. at 1224 (emphasis added). A claimant who is not currently engaging in substantial
gainful activity and who has a severe impairment which meets or equals a listing is
entitled to disability benefits. Edwards v. Heckler, 736 F.2d 625, 628 (11th Cir. 1984).
In this case, the ALJ, at step three of the sequential analysis, stated:
All listings were analyzed. No listing was met or equaled, whether the
impairment was analyzed individually or in combination, including
the respiratory listing in effect during the adjudication period,
cardiovascular listings, and musculoskeletal listings. No examining
or treating source reported that the claimant had an impairment
that met or medically equaled the criteria of a listing impairment.
(Tr. 27). The ALJ did not state which listings were considered nor did he provide any
analysis or reasoning for rejecting all listings. Martin argues that the ALJ’s conclusion is
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erroneous because the medical evidence demonstrates that Martin’s severe respiratory
impairments equal Listing 3.02C(3). To meet Listing 3.02C(3), in this case, Martin was
required to exhibit a chronic respiratory disorder with chronic impairment of gas
exchange demonstrated by SpO2 measured by pulse oximetry either at rest, during a
6MWT, or after a 6MWT, less than or equal to 87 percent. See 20 C.F.R. § 404, Subpt.
P. App. 1 § 3.02C(3). It is undisputed that Martin has chronic respiratory disorders. (Tr.
26). During an ambulatory pulse oximetry test on September 17, 2014, Martin’s SpO2
desaturated to 85%. (Tr. 989, 1037). On October 21, 2014, Dr. Berez performed a sleep
study on Martin in which the “minimum SpO2 value during sleep was 80%.” (Tr. 1022).
Based on these findings, Martin contends that the ALJ erred by not finding that he met or
equaled Listing 3.02C(3).
The Commissioner contends that Martin failed to prove that his condition met or
equaled a listed impairment. (Doc. 21 at pp. 4-5). Specifically, the Commissioner argues
that Martin did not meet the specific requirements for pulse oximetry under Listing
3.02C(3). Listing 3.00H2 states that the following requirements must be met for pulse
oximetry under 3.02C(3): 1) claimant must be medically stable at the time of the test, 2)
claimant’s pulse oximetry measurement must be recorded while claimant is breathing
room air, 3) claimant’s pulse oximetry measurement must be stable, meaning that the
range of SpO2 values during any 15-second interval cannot exceed 2 percentage points,
and 4) the pulse oximetry report must include the claimant’s name, the date of the test,
either the altitude or the city and state of the test cite, and a graphical printout showing the
claimant’s SpO2 value and a concurrent, acceptable pulse wave. 20 C.F.R. § 404, Subpt.
P, App. 1, § 3.00H2. The Commissioner asserts that substantial evidence supports the
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ALJ’s finding that Martin’s respiratory impairment did not meet or equal a listing because
Martin failed to demonstrate that the pulse oximetry measurement was stable or that the
pulse oximetry report included a graphical printout showing the SpO2 value and a
concurrent, acceptable pulse wave. (Doc. 21 at p. 6).
Martin counters that while he may not have met the specific requirements with
regard to his pulse oximetry tests, because there was nothing in the record that indicated
that the pulse oximetry was invalid or unstable, he did show evidence of equal medical
significance to the requirements of Listing 3.02C(3). He contends that the ALJ erred by
failing to evaluate or explain how this evidence did not equal the listing pursuant to his duty
to consider medical equivalence. (Doc. 25 at p. 3). See Davis v. Shalala, 985 F.2d 528,
533-34 (11th Cir. 1993) (holding that “[i]n applying the regulations on the Listing of
Impairments, an ALJ must determine both whether a claimant ‘meets’ and whether a
claimant ‘equals’ a listed impairment”).
In Himes v. Comm’r of Soc. Sec., 585 F. App’x 758, 764-65 (11th Cir. 2014), the
court held that an “ALJ has a duty to make clear the weight accorded to each item of
evidence and the reasons for those decisions, so as to enable a reviewing court to
determine whether the ultimate decision is based on substantial evidence.” (citing
Cowart v. Schweiker, 662 F.2d 731, 735 (11th Cir. 1981). As noted above, in analyzing
step three of the required sequential process, the ALJ here merely stated:
All listings were analyzed. No listing was met or equaled, whether the
impairment was analyzed individually or in combination, including
the respiratory listing in effect during the adjudication period,
cardiovascular listings, and musculoskeletal listings. No examining
or treating source reported that the claimant had an impairment
that met or medically equaled the criteria of a listing impairment.
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(Tr. 27). This is substantially the same brevity of analysis with which a sister court was
faced in Edwards v. Colvin, No. 5:12cv124/EMT, 2013 WL 4041605, at *7-8 (N.D. Fla.
Aug. 8, 2013). Like the ALJ in Edwards, the ALJ here did not indicate which respiratory
listing or listings he considered in making his step three determination nor did he
discuss the particular evidence on which he relied or explain why he reached his
conclusion at step three. Instead, he summarily concluded that Martin’s impairments did
not meet or equal a listing. This bare conclusion prevents meaningful review. See
Clifton v. Chater, 79 F.3d 1007, 1009 (10th Cir. 1996) (reversing a decision denying
disability benefits because the ALJ “did not discuss the evidence or his reasons for
determining that [the claimant] was not disabled at step three,” but instead “merely
stated a summary conclusion that [the claimant’s] impairments did not meet or equal
any Listed Impairment”); see also Winschel v. Comm’r of Soc. Sec., 631 F.3d 1176,
1170 (11th Cir. 2011) (holding that “when the ALJ fails to ‘state with at least some
measure of clarity the grounds for his decision, [the court] will decline to affirm ‘simply
because some rationale might have supported the ALJ’s conclusion’”) (quoting Owens
v. Heckler, 748 F. 2d 1511, 1516 (11th Cir. 1984)).
While in some cases, the ALJ’s analysis of the claimant’s RFC might lend
support or enable the reviewing court to determine whether a listing was met or equaled
without assuming the role of the ALJ as fact finder, this unfortunately, is not such a
case. Because Martin’s pulse oximetry results were not discussed anywhere in the
ALJ’s decision, the Court cannot determine whether they were considered or what stead
may have been placed on them. Because it is not the role of this Court to make such
determinations, the Court hereby finds that this case should be remanded to the
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Commissioner for a specific determination of whether Martin’s impairments meet or
medically equal Listing 3.02C(3).
CONCLUSION
Based on the foregoing, the decision of the Commissioner of Social Security
denying Plaintiff Edward Martin’s claim for benefits is hereby REVERSED and
REMANDED pursuant to sentence four of 42 U.S.C. § 405(g), see Melkonyan v.
Sullivan, 501 U.S. 89 (1991), for further proceedings not inconsistent with this decision.
DONE and ORDERED this 31st day of March, 2021.
/s/ P. Bradley Murray
P. BRADLEY MURRAY
UNITED STATES MAGISTRATE JUDGE
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