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Timestamp: 2019-09-18 11:56:44
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Young v. Secretary of Health Human Services, 957 F.2d 386 | Casetext
Young v. Secretary of Health Human Services
957 F.2d 386 (7th Cir. 1992)
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Youngv.Secretary of Health Human Services
United States Court of Appeals, Seventh CircuitFeb 28, 1992
Decided February 28, 1992.
Judge Wood, Jr. assumed senior status on January 16, 1992, after oral argument in this case.
Mr. Young also asserts that his ability to work quickly, or even properly, was affected by medication and surgeries. At General Motors, Mr. Young was asked by his supervisors to take sick leave in 1979 because he could not adequately perform his job. Notably, Mr. Young did not perceive his work performance in the same light as his supervisors. He felt, apparently erroneously, that his work performance was satisfactory. After a year of sick leave, he was put on disability retirement and has not been employed since 1980. The relevant time period encompassed by his current application is from June 4, 1981, to September 30, 1985, the final date of his eligibility.
Mr. Young filed a previous application for benefits that was denied on June 3, 1981. He did not request that this decision be reopened pursuant to 20 C.F.R. § 404.987 (1991).
The Seventh Circuit decides disability cases, as does the district court, by reviewing the final decision of the Secretary to ensure that it is supported by substantial evidence. Key v. Sullivan, 925 F.2d 1056, 1061 (7th Cir. 1991). The Secretary has delegated authority to make the final decision to the Council. Arbogast v. Bowen, 860 F.2d 1400, 1402 (7th Cir. 1988). Thus, we review the factual findings of the Council, not those of the ALJ. Pitts v. Sullivan, 923 F.2d 561, 564 (7th Cir. 1991). When reviewing those findings, we do not determine if the claimant is disabled, nor do we reweigh the evidence. Stuckey v. Sullivan, 881 F.2d 506, 508 (7th Cir. 1989). However, when evaluating whether substantial evidence exists to support the decision, we consider the relevant evidence that a reasonable person might accept as adequate to support a conclusion, taking into account anything in the record that fairly detracts from its weight. Arbogast, 860 F.2d at 1403. Substantial evidence may be something less than the greater weight or preponderance of the evidence. Delgado v. Bowen, 782 F.2d 79, 83 (7th Cir. 1986).
When considering whether a claimant is eligible for benefits, the Secretary uses a five-step inquiry: 1) is the claimant presently unemployed; 2) is the claimant's impairment or combination of impairments severe; 3) does the impairment meet or exceed any of the list of specific impairments (the grid) that the Secretary acknowledges to be so severe as to preclude substantial gainful activity; 4) if the impairment has not been listed by the Secretary as conclusively disabling, is the claimant unable to perform his or her former occupation; and 5) if the claimant cannot perform the past occupation, is the claimant unable to perform other work in the national economy in light of his or her age, education and work experience. A negative conclusion at any step (except for step three) precludes a finding of disability. An affirmative answer at steps one, two or four leads to the next step. An affirmative answer at steps three or five results in a finding of disability. 20 C.F.R. § 404.1520 (1991); Bowen v. Yuckert, 482 U.S. 137, 140-42, 107 S.Ct. 2287, 2290-92, 96 L.Ed.2d 119 (1987); Arbogast, 860 F.2d at 1403 n. 1. The claimant bears the burden of proof in steps one through four. If that burden is met, the burden shifts to the Secretary to prove that the claimant cannot perform other work in the economy. Ray v. Bowen, 843 F.2d 998 (7th Cir. 1988).
The Council reviewed the medical evidence to make its findings. In those findings, the Council briefly stated that Mr. Young was not disabled under each step of the inquiry. The Council also concluded that during the period of claimed disability Mr. Young could perform work as a shipping and receiving clerk, as a scheduler or as a checker. Mr. Young raises several arguments to refute these conclusions.
The Secretary challenges these arguments on the grounds that the claimant has waived all but one by not raising them in the district court. Cf. Cheshier v. Bowen, 831 F.2d 687, 689 (7th Cir. 1987). An issue on appeal of the Secretary's decision not raised in the district court is waived. Id. Mr. Young has waived two of the issues he attempts to raise on appeal: 1) whether the hypothetical question posed to the vocational expert included all relevant factors; and 2) whether a decision by an ALJ in Mr. Young's earlier application is res judicata with respect to the Council's finding that Mr. Young can perform past relevant work. We believe Mr. Young raised all his other issues in the district court.
Mr. Young claims to suffer from an organic mental disorder as defined in the regulations. 20 C.F.R. Part 404, Subpart P, Appendix 1, 12.02 (1991). The Council disagreed. To reach its conclusion, the Council performed a multi-level analysis. First, it determined that Mr. Young suffers from a severe mental impairment. 20 C.F.R. § 404.1520a(c)(1) (1991). Next, the Council examined the mental impairments that, if shown, the Secretary presumes disabling. 20 C.F.R. Part 404, Subpart P, Appendix 1, 12.02-12.08 (1991). The Council determined that Mr. Young suffered from none of these listed impairments.
If Mr. Young were to suffer from any of those impairments, no consideration of his age, education or work experience would be required. Disability would be presumed for statutory purposes. 20 C.F.R. § 404.1520(d).
One of the listed disabilities describes "organic mental disorders." 20 C.F.R. Part 404, Subpart P, Appendix 1, 12.02. To qualify for benefits pursuant to this regulation, the claimant must fulfill the criteria in both section A and section B of the statute. The Council found that Mr. Young fulfills the section A criteria. The Council found, however, that Mr. Young does not fulfill the criteria under section B. Section B lists four functional limitations related to "organic mental disorders." Two of the four must be present to fulfill the requirements of section B. These limitations are: 1) marked restriction of activities of daily living; 2) marked difficulties in maintaining social functioning; 3) deficiencies of concentration, persistence or pace resulting in frequent failure to complete tasks in a timely manner (in work settings or elsewhere); or 4) repeated episodes of deterioration or decompensation in work or work-like settings which cause the individual to withdraw from a particular situation or to experience exacerbation of signs and symptoms (which may include deterioration of adaptive behaviors). 20 C.F.R. Part 404, Subpart P, Appendix 1, 12.02(B)(1)-(4). These are superficially the same four criteria by which the Council determined that Mr. Young had a "severe mental impairment." However, the criteria for finding a "severe mental impairment" do not demand as great a degree of limitation as do the criteria for an "organic mental disorder."
6. Emotional liability (e.g., explosive temper outbursts, sudden crying, etc.) and impairment in impulse control; or
7. Loss of measured intellectual ability of at least 15 I.Q. points from premorbid levels of overall impairment index clearly within the severely impaired range on neuropsychological testing, e.g., the Luria-Nebraska, Halstead-Reitan, etc.
Second, the Council decided that the appellant has a moderate degree of impairment of social skills. The Council considered physicians' reports and affidavits submitted by some of Mr. Young's relatives, as well as statements made by Mr. Young and a causal social acquaintance. These statements and affidavits detailed his social problems and discussed his ability to interact with others.
Third, the Council decided that Mr. Young seldom suffered from "deficiencies of concentration, persistence or pace resulting in frequent failure to complete tasks in a timely manner." This conclusion was supported by the report of Dr. Uematsu, the surgeon who performed the appellant's lobotomy. Dr. Uematsu stated that Mr. Young "appeared to be confident mentally" but that he needed to be evaluated further by cortical function and psychiatric consultation. (Report of October 28, 1977). On another occasion, Dr. Uematsu reported after a brief exam that Mr. Young had clear mentation and was "very much normal intellectually, mentally, as anyone else." (Report of December 17, 1977). However, Mr. Young's other physicians do not agree with Dr. Uematsu.
Apparently the doctor was referring to the cerebral cortex, the outer layer of cerebrum.
Four doctors' reports indicate that Mr. Young suffers from concentration and memory deficiencies (Dr. Taylor, Dr. Panic, Dr. Spies and Dr. Limcaco). Dr. Panic, medical director at the General Motors division where Mr. Young worked, reported that his deficiencies were preventing Mr. Young from completing tasks in a timely manner. In addition, Mr. Young stated that he was unable to perform work quickly and competitively due to the medication. The management staff at General Motors considered Mr. Young's job performance inadequate and offered him disability retirement. Their actions and Mr. Young's statements indicate that Mr. Young did indeed have a problem completing tasks in a timely manner. The reports of Drs. Taylor, Spies and Limcaco do not address the timeliness issue.
The doctors stated the following: Dr. Taylor: "There may also be early signs of dementia as [Mr. Young's] memory and cognitive ability are slightly impaired, and [Mr. Young] is prone to catastrophic reaction to stress." (Report of November 4, 1977).
Moreover, the Council's conclusion that Mr. Young was only "seldom" impaired by deficiencies of concentration, persistence or pace (referring to criterion number three) is arguably not supported by substantial evidence. Functional limitations of this sort are categorized by degrees of "never, seldom, often, frequent, and constant." 20 C.F.R. § 404.1520a(b)(3). Thus, the Council has determined that Mr. Young displays the least frequent degree of limitation (short of "never") that is recognized by the regulations. Our interpretation of the medical evidence on this subject is difficult to reconcile with the Council's. We believe that the evidence may indicate a greater frequency of impairment than "seldom". Our review as to evidentiary support considers anything in the record that fairly detracts from the weight of the evidence supporting the Council's decision. Arbogast, 860 F.2d at 1403. Dr. Uematsu's report, although not cited by the Council, seems to support its finding. Instead, the Council cited Dr. Spies' report, commenting that the doctor did not note any specific difficulty with concentration. However, the doctor did note the claimant's difficulty in performing tasks requiring mental flexibility or logical ordering of data. Unlike the Council, we must view Dr. Spies' statement as raising a question whether the difficulty with mental flexibility and logical ordering of data is associated with a failing of concentration. Additionally, the Council made no mention of the reports of three other doctors indicating limitations linked to criterion three. Further, the Council did not address Mr. Young's testimony or the affidavits by his former wife and his relatives. The Council may have a sound basis for rejecting the plentitude of evidence bolstering Mr. Young's claim, but the record reveals no such basis. We are unable to adequately review the Council's decision without a clear articulation of the reason it rejected this evidence. Zblewski v. Schweiker, 732 F.2d 75, 78-79 (7th Cir. 1984).
Mr. Young argues that the ALJ did not make clear credibility findings with respect to his subjective complaints. Hence, he says that the Council incorrectly decided that these complaints were not credible. An ALJ's credibility determinations are, of course, entitled to considerable weight. Cheshier v. Bowen, 831 F.2d at 690. If the Council rejects credibility findings of the ALJ, the grounds for rejection or for the making of inconsistent findings should be articulated. Bauzo v. Bowen, 803 F.2d 917, 922 (7th Cir. 1986). Again, this presentation allows the reviewing court to determine if substantial evidence supports the Council's conclusion. Id. In this case, the ALJ found that the claimant's subjective claims were not substantiated by the medical evidence. The ALJ did not state specifically that Mr. Young's subjective complaints were not credible, but the implication is clear: that the claimant was not credible in light of the medical evidence. The Council did not reject this implied finding but simply made it explicit. The Council added that the vocational expert's testimony also weighed against Mr. Young's credibility. Thus, in light of the expert testimony and the medical reports, the Council did not find Mr. Young's complaints credible.
The record does not indicate that Dr. Barkhaus accurately assessed the characteristics of Mr. Young's former jobs. In this respect, the Secretary relies on several sources in determining what duties are required by a particular job. The Dictionary of Occupational Titles is one of those sources. 20 C.F.R. § 404.1566(d)(1) (1991); Tom v. Heckler, 779 F.2d 1250, 1255 (7th Cir. 1985). The Dictionary provides generalized job descriptions for the positions that Mr. Young formerly held and that the vocational expert reported were within Mr. Young's capabilities. These job descriptions are not consistent with the restrictions on Mr. Young's capabilities as determined by the Council.
United States Department of Labor, United States Employment Service; Volume 1, Fourth Edition, Revised 1991.
In addition, Mr. Young submitted a vocational report indicating that some analysis and concentration may be required in his former positions. The Council failed to note whether it considered Mr. Young's report. Even the government's brief states that Mr. Young's jobs involve filing and keeping records — functions that may require analysis and concentration. (Appellee's Brief 24). Interestingly, the regulations recommend filing index cards as one of the procedures to be used to test concentration, persistence and pace. 20 C.F.R. Part 404, Subpart P, Appendix 1, 12.00(C)(3) (1991). The regulations go on to state that strengths and weaknesses in concentration can be reflected in frequency of errors and in the time required to complete tasks, as well as in the assistance required. Id. There is no discussion of these points, although the Council acknowledges that Mr. Young's employer recommended he retire because his work was inadequate.
We must defer to the determinations of the fact-finder. Nonetheless, within reasonable limits, the reasons for rejecting evidence must be articulated if there is to be meaningful appellate review. Zblewski, we 732 F.2d at 78-79. In Zblewski, we remanded to the ALJ to give a minimal articulation of why the claimant's line of evidence was rejected. "In the absence of an explicit and reasoned rejection of an entire line of evidence, the remaining evidence is `substantial' only when considered in isolation." Id. In the case before us, the Council did not explicitly reject claimant's evidence. Although the Council recapitulated both the claimant's and the Secretary's evidence in commenting on Mr. Young's physical limitations, the Council does not articulate its reasons for rejecting evidence favorable to him in discussing Mr. Young's mental limitations.