rejecting the Commissioner’s argument that “apparent” conflict meant only “obvious” one
How later courts described this case
- rejecting the Commissioner’s argument that “apparent” conflict meant only “obvious” one
- holding that ALJ may “question a doctor’s credibility” when the claimant’s counsel solicited the opinion, but “may not automatically reject the opinion for that reason alone”
- observing that “[n]o principle of administrative law or common sense requires us to remand a case in quest of a perfect opinion unless there is reason to believe that the remand might lead to a different result”
- holding that phrase “production rate or demand pace” did not qualify as “especially common – certainly not common enough for [the court] to know what mean without elaboration”
Written by the judges who cited it.
The opinion
IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF NORTH CAROLINA
AARON MATHEW HUGHES, )
)
Plaintiff, )
)
v. ) 1:20CV547
)
ANDREW M. SAUL, )
Commissioner of Social )
Security, )
)
Defendant. )
MEMORANDUM OPINION AND RECOMMENDATION
OF UNITED STATES MAGISTRATE JUDGE
Plaintiff, Aaron Mathew Hughes, brought this action pursuant
to the Social Security Act (the “Act”) to obtain judicial review
of a final decision of Defendant, the Commissioner of Social
Security, determining that Plaintiff’s entitlement to Supplemental
Security Income (“SSI”) ended on April 1, 2016. (Docket Entry 1.)
Defendant has filed the certified administrative record (Docket
Entries 8, 12 (cited herein as “Tr. __”)), and both parties have
moved for judgment (Docket Entries 10, 14; see also Docket Entry
11 (Plaintiff’s Memorandum); Docket Entry 15 (Defendant’s
Memorandum)). For the reasons that follow, the Court should enter
judgment for Defendant.
I. PROCEDURAL HISTORY
Plaintiff applied for SSI, alleging a disability onset date
of September 4, 2006. (See Tr. 483.) Upon denial of that
application initially and on reconsideration (see id.), Plaintiff
requested a hearing de novo before an ALJ (see id.). Plaintiff
(represented by counsel), his mother LeeAnne Hughes, and a
vocational expert (“VE”) testified at the hearing. (Tr. 84-115.)
On November 8, 2012, the ALJ determined that Plaintiff qualified
as disabled under the Act as of September 30, 2010, but recommended
a Continuing Disability Review (“CDR”) within 24 months. (Tr.
480-90.)
On May 2, 2016, the Social Security Administration (“SSA”)
sent Plaintiff a Notice of Disability Cessation advising him that,
as a result of the CDR which showed medical improvement in his
condition, he stopped qualifying for SSI as of April 2016. (Tr.
137-39; see also Tr. 116-34.) Following denials of his challenge
to that determination at the reconsideration level (Tr. 135, 140-
41, 349-77) and by a Disability Hearing Officer (Tr. 145-54),
Plaintiff sought a hearing before an ALJ (Tr. 157).
A new ALJ held a hearing, at which Plaintiff (proceeding
through counsel), Plaintiff’s mother, and a VE testified. (Tr.
30-83.) The ALJ then determined that Plaintiff’s disability ended
as of April 1, 2016 (Tr. 9-25), and Plaintiff requested review
with the Appeals Council (Tr. 230-33, 318-21). The Appeals Council
thereafter denied Plaintiff’s request for review (Tr. 1-6), making
the ALJ’s ruling the Commissioner’s final decision for purposes of
judicial review.
2
In rendering that decision, the ALJ made the following
findings:
1. The most recent favorable medical decision finding
that [Plaintiff] was disabled is the decision dated
November 8, 2012. This is known as the “comparison point
decision” or CPD.
2. At the time of the CPD, [Plaintiff] had the
following medically determinable impairments: epilepsy
and anxiety. These impairments were found to result in
the residual functional capacity to perform medium work
except that he would have been off-task for more than
20% of the workday.
. . .
3. The medical evidence establishes that [Plaintiff]
did not develop any additional impairments after the CPD
through April 1, 2016. Thus, [Plaintiff]’s current
impairments are the same as the CPD impairments.
4. Since April 1, 2016, [Plaintiff] has not had an
impairment or combination of impairments which meets or
medically equals the severity of an impairment listed in
20 CFR Part 404, Subpart P, Appendix 1.
. . .
5. Medical improvement occurred as of April 1, 2016.
. . .
6. . . . [B]eginning on April 1, 2016, [Plaintiff] has
had the residual functional capacity to perform medium
work . . . except he is capable of occasional work around
exposure to bright lights, such as outdoor sunlight but
not flashing lights and no fluorescent light with work
tasks indoors or indoor lighting can be accommodated
with sunglasses. He [] is limited to no climbing of
ladders, ropes, or scaffolds as well as no exposure to
unprotected heights, moving mechanical parts or
hazardous work settings; and no concentrated exposure to
extremely hot or humid working environments. He is also
limited to simple, routine, and repetitive tasks with
3
the ability to remain on task for two hours at a time
before needing a fifteen minute break throughout a
normal work day with a low level of work pressure defined
as work not requiring multitasking, production rate
pace, assembly line work, or team work to complete a
task. He can understand, remember, and follow simple
instructions; is limited to frequent interaction with
coworkers and supervisors but no more than occasional
interaction with the public; can make simple work-
related decision[s] and adapt to simple and routine
changes in the work setting; and would likely miss work
on an unscheduled basis two times per year.
. . .
7. [Plaintiff]’s medical improvement is related to the
ability to work because it has resulted in an increase
in [Plaintiff]’s residual functional capacity.
. . .
8. Beginning on April 1, 2016, [Plaintiff]’s
impairments has [sic] continued to be severe.
. . .
9. [Plaintiff] has no past relevant work.
. . .
13. Beginning on April 1, 2016, considering [Plaintiff]’s
age, education, work experience, and residual functional
capacity, [Plaintiff] has been able to perform a significant
number of jobs in the national economy.
. . .
14. [Plaintiff]’s disability ended on April 1, 2016,
and [Plaintiff] has not become disabled again since that
date.
(Tr. 13-25 (bold font and internal parenthetical citations
omitted).)
4
II. DISCUSSION
Federal law “authorizes judicial review of the Social
Security Commissioner’s denial of social security benefits.”
Hines v. Barnhart, 453 F.3d 559, 561 (4th Cir. 2006). However,
“the scope of . . . review of [such a] decision . . . is extremely
limited.” Frady v. Harris, 646 F.2d 143, 144 (4th Cir. 1981).
Plaintiff has not established entitlement to relief under the
extremely limited review standard.
A. Standard of Review
“[C]ourts are not to try [a Social Security] case de novo.”
Oppenheim v. Finch, 495 F.2d 396, 397 (4th Cir. 1974). Instead,
“a reviewing court must uphold the factual findings of the ALJ
[underlying the denial of benefits] if they are supported by
substantial evidence and were reached through application of the
correct legal standard.” Hines, 453 F.3d at 561 (internal brackets
and quotation marks omitted).
“Substantial evidence means ‘such relevant evidence as a
reasonable mind might accept as adequate to support a conclusion.’”
Hunter v. Sullivan, 993 F.2d 31, 34 (4th Cir. 1992) (quoting
Richardson v. Perales, 402 U.S. 389, 390 (1971)). “It consists of
more than a mere scintilla of evidence but may be somewhat less
than a preponderance.” Mastro v. Apfel, 270 F.3d 171, 176 (4th
Cir. 2001) (internal brackets and quotation marks omitted). “If
5
there is evidence to justify a refusal to direct a verdict were
the case before a jury, then there is substantial evidence.”
Hunter, 993 F.2d at 34 (internal quotation marks omitted).
“In reviewing for substantial evidence, the [C]ourt should
not undertake to re-weigh conflicting evidence, make credibility
determinations, or substitute its judgment for that of the [ALJ,
as adopted by the Social Security Commissioner].” Mastro, 270
F.3d at 176 (internal brackets and quotation marks omitted).
“Where conflicting evidence allows reasonable minds to differ as
to whether a claimant is disabled, the responsibility for that
decision falls on the [Social Security Commissioner] (or the ALJ).”
Id. at 179 (internal quotation marks omitted). “The issue before
[the Court], therefore, is not whether [the claimant] is disabled,
but whether the ALJ’s finding that [the claimant] is not disabled
is supported by substantial evidence and was reached based upon a
correct application of the relevant law.” Craig v. Chater, 76
F.3d 585, 589 (4th Cir. 1996).
When confronting that issue, the Court must take note that,
in this context, “disability” means the “‘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,’” Hall v.
6
Harris, 658 F.2d 260, 264 (4th Cir. 1981) (quoting 42 U.S.C.
§ 423(d)(1)(A)).1 “To regularize the adjudicative process, the
[SSA] has . . . promulgated . . . detailed regulations
incorporating longstanding medical-vocational evaluation policies
that take into account a claimant’s age, education, and work
experience in addition to [the claimant’s] medical condition.”
Id.
After a claimant qualifies for benefits under the Act, no
presumption of continuing disability exists, see 42 U.S.C.
§ 423(f)(4); rather, the decision to award benefits remains
subject to a periodic CDR, 20 C.F.R. § 404.1589. The SSA utilizes
the prior determination granting benefits — the CPD — as a
reference to evaluate whether any medical improvement has occurred
relating to the claimant’s ability to work. See 42 U.S.C.
§ 423(f); 20 C.F.R. § 404.1594. To make this determination, the
Commissioner employs a seven-step sequential evaluation process
(“SEP”):
1) Do the claimant’s impairments meet or medically equal
the severity of any listed impairments in 20 C.F.R. Pt.
404, Subpt. P, App’x 1?
1 The Act “comprises two disability benefits programs. The Disability Insurance
Benefits Program . . . provides benefits to disabled persons who have
contributed to the program while employed. [SSI] . . . provides benefits to
indigent disabled persons. The statutory definitions and the regulations . . .
for determining disability governing these two programs are, in all aspects
relevant here, substantively identical.” Craig, 76 F.3d at 589 n.1 (internal
citations omitted).
7
2) If not, has there been any medical improvement in the
severity of the claimant’s impairments?
3) If medical improvement has occurred, does such
improvement relate to the claimant’s ability to work?
4) If no medical improvement has occurred, does an
exception apply?
5) If medical improvement relates to the claimant’s
ability to work, do the claimant’s current impairments,
singly or in combination, qualify as severe?
6) If severe impairments exist, does the claimant’s
residual functional capacity (“RFC”) permit the
performance of past relevant work?
7) If not, does the claimant have the RFC to perform
other work existing in significant numbers in the
national economy?
20 C.F.R. § 416.994(b)(5).2 If the Commissioner finds conclusively
that a claimant qualifies as disabled at any point in this process,
review does not proceed to the next step. See id.
B. Assignments of Error
Plaintiff asserts that the Court should overturn the ALJ’s
finding of no disability on these grounds:
2 “RFC is a measurement of the most a claimant can do despite [the claimant’s]
limitations.” Hines, 453 F.3d at 562 (noting that administrative regulations
require RFC to reflect claimant’s “ability to do sustained work-related physical
and mental activities in a work setting on a regular and continuing basis . . .
[which] means 8 hours a day, for 5 days a week, or an equivalent work schedule”
(internal emphasis and quotation marks omitted)). The RFC includes both a
“physical exertional or strength limitation” that assesses the claimant’s
“ability to do sedentary, light, medium, heavy, or very heavy work,” as well as
“nonexertional limitations (mental, sensory, or skin impairments).” Hall, 658
F.2d at 265. “RFC is to be determined by the ALJ only after [the ALJ] considers
all relevant evidence of a claimant’s impairments and any related symptoms
(e.g., pain).” Hines, 453 F.3d at 562-63.
8
1) “[t]he ALJ improperly discounted [Plaintiff’s] subjective
complaints of medication side effects, contrary to the [SSA]’s
regulations and longstanding precedent” (Docket Entry 11 at 6 (bold
font and single-spacing omitted));
2) “[t]he ALJ’s RFC explanation frustrates meaningful review
and is not supported by substantial evidence” (id. at 8 (bold font
and single-spacing omitted)); and
3) “[t]he Commissioner failed to his [sic] burden at step
five of the [SEP] because he failed to identify and resolve all
apparent conflicts of the VE’s testimony with the [Dictionary of
Occupational Titles (‘DOT’)]” (id. at 18 (bold font and single-
spacing omitted)).
Defendant contends otherwise and seeks affirmance of the
ALJ’s decision. (See Docket Entry 15 at 15-36.)
1. Subjective Complaints of Medication Side Effects
In Plaintiff’s first assignment of error, he contends that
“[t]he ALJ improperly discounted [Plaintiff’s] subjective
complaints of medication side effects, contrary to the [SSA]’s
regulations and longstanding precedent.” (Docket Entry 11 at 6
(bold font and single-spacing omitted).) More specifically,
Plaintiff maintains that, by finding that “‘the extent of
[Plaintiff]’s alleged side effects [we]re not supported by the
treatment notes of record’” (id. at 8 (quoting Tr. 20)), the ALJ
9
“‘improperly increased [Plaintiff’s] burden of proof’” (id. at 7
(quoting Lewis v. Berryhill, 858 F.3d 858, 866 (4th Cir. 2017)))
by requiring objective evidence to support his subjective
complaints of medication side effects (id. at 8 (citing Tr. 20)).
According to Plaintiff, he could “‘rely exclusively on subjective
evidence to prove’ his medication side effects were ‘so continuous
and/or so severe that [they] prevent[ed] him from working a full
eight hour day.’” (Id. (quoting Hines, 453 F.3d at 565 (certain
brackets omitted))).) For the reasons discussed below,
Plaintiff’s contentions lack merit.
Social Security Ruling 16-3p, Titles II and XVI: Evaluation
of Symptoms in Disability Claims, 2017 WL 5180304, at *5 (Oct. 25,
2017) (“SSR 16-3p”) (consistent with the Commissioner’s
regulations) adopts a two-part test for evaluating a claimant’s
statements about symptoms. See SSR 16-3p, 2017 WL 5180304, at
*3; see also 20 C.F.R. § 416.929. First, the ALJ “must consider
whether there is an underlying medically determinable physical or
mental impairment(s) that could reasonably be expected to produce
an individual’s symptoms, such as pain.” SSR 16-3p, 2017 WL
5180304, at *3. A claimant must provide “objective medical
evidence from an acceptable medical source to establish the
existence of a medically determinable impairment that could
reasonably be expected to produce [the] alleged
10
symptoms.” Id. Objective medical evidence consists of medical
signs (“anatomical, physiological, or psychological abnormalities
established by medically acceptable clinical diagnostic
techniques”) and laboratory findings “shown by the use of medically
acceptable laboratory diagnostic techniques.” Id.
Upon satisfaction of part one by the claimant, the analysis
proceeds to part two, which requires an assessment of the intensity
and persistence of the claimant’s symptoms, as well as the extent
to which those symptoms affect his or her ability to
work. See id. at *4. In making that determination, the ALJ must
“examine the entire case record, including the objective medical
evidence; an individual’s statements about the intensity,
persistence, and limiting effects of symptoms; statements and
other information provided by medical sources and other persons;
and any other relevant evidence in the individual’s case
record.” Id. Where relevant, the ALJ will also consider the
following factors in assessing the extent of the claimant’s
symptoms at part two:
1. Daily activities;
2. The location, duration, frequency, and intensity of
. . . symptoms;
3. Factors that precipitate and aggravate the symptoms;
4. The type, dosage, effectiveness, and side effects of
any medication an individual takes or has taken to
alleviate . . . symptoms;
11
5. Treatment, other than medication, an individual
receives or has received for relief of . . . symptoms;
6. Any measures other than treatment an individual uses
or has used to relieve . . . symptoms . . .; and
7. Any other factors concerning an individual’s
functional limitations and restrictions due to . . .
symptoms.
Id. at *7-8.
As an initial matter, Plaintiff overstates the reach
of Hines. That case holds only that, at part two of the subjective
symptom assessment, “subjective evidence of the pain, its
intensity or degree can, by itself, support a finding of
disability.” Hines, 453 F.3d at 563 (emphasis added). In other
words, under the appropriate circumstances, an ALJ may choose to
rely exclusively on a claimant’s subjective complaints to find
disabling pain at part two of the assessment. However, Hines does
not compel ALJs to consider only subjective evidence at part two,
as such a requirement would conflict with the regulations, which
plainly require ALJs to consider a variety of factors, including
objective medical evidence, in evaluating the intensity,
persistence, and limiting effects of symptoms. See 20 C.F.R.
§ 416.929(c) (directing ALJs to assess a claimant’s medical
history, medical signs and laboratory findings, daily activities,
testimony about nature and location of pain, medication and other
treatment used to alleviate pain, along with medical opinions from
12
examining and non-examining sources). As the analysis below
details, the ALJ’s evaluation of Plaintiff’s subjective symptom
reporting complies with SSR 16-3p and the applicable regulations.
The ALJ discussed Plaintiff’s statements on Disability
Reports as well as hearing testimony from Plaintiff and his mother
(see Tr. 16-17), specifically noting Plaintiff’s assertion that
“he has side effects from medication including extreme drowsiness,
frequent naps, lapses in thoughts, and difficulty remembering
certain things” (id.), as well as that “some of those side effects
have gotten worse” (Tr. 17). The ALJ then found at part one of
the subjective symptom analysis that Plaintiff’s “medically
determinable impairments could reasonably be expected to produce
the alleged symptoms” but found, at part two, that Plaintiff’s
“statements concerning the intensity, persistence and limiting
effects of th[o]se symptoms [we]re not credible to the extent they
[we]re inconsistent with the [RFC] assessment for the reasons
explained” in the ALJ’s decision. (Tr. 18.)3
3 Although not argued by Plaintiff (see Docket Entry 11), the ALJ’s finding that
Plaintiff’s “statements concerning the intensity, persistence and limiting
effects of [his] symptoms [we]re not credible” (Tr. 18 (emphasis added)) fails
to follow SSR 16–3p. That Ruling “eliminat[ed] the use of the term
‘credibility’ from . . . sub-regulatory policy, . . . [and] clarif[ied]
that subjective symptom evaluation is not an examination of [a claimant]’s
character.” SSR 16-3p, 2017 WL 5180304, at *1 (emphasis added). However, any
error by the ALJ in that regard remains harmless under the circumstances of
this case. See generally Fisher v. Bowen, 869 F.2d 1055, 1057 (7th Cir. 1989)
(observing that “[n]o principle of administrative law or common sense requires
us to remand a case in quest of a perfect opinion unless there is reason to
believe that the remand might lead to a different result”). Despite the ALJ’s
use of the term “credible” in his finding quoted above (Tr. 18), at the outset
of the RFC analysis, the ALJ stated that he had “considered all symptoms and the
13
The ALJ provided the following analysis to support his part
two finding:
[Plaintiff] essentially argues ongoing disability due to
side effects from his medication – including primarily
fatigue and memory difficulties. He reported that he
requires a three-hour nap daily – about six days out of
seven – despite sleeping almost twelve hours at night.
The record, however, documents medical improvement in
his condition since April 2016. . . . He acknowledged
. . . that he was able to stop several medications
. . . .
After the vagal nerve stimulator was installed, his
medications changed. As the stimulator was adjusted for
optimal therapy, his medications continued to be
reduced. . . .
Given this medication history, the alleged side effects
of drowsiness and difficulty concentration [sic] were
supported in 2012 by the prior ALJ’s finding of 20% off
task as well as medical opinions the ALJ relied upon.
However, since the vagal nerve stimulator and beginning
Aptiom, it is reasonable to expect that the severity of
the side effects has decreased.
It is noteworthy that [Plaintiff] has generally taken
the same dosage of [c]lonazepam and Vimpat since at least
2013. His dosage of Aptiom was reduced in January 2015
and has remained at the same level. . . . [I]t is
notable that from a historical perspective, there is
nothing mentioned in the primary care progress notes of
side effects or drowsiness from these two medications.
extent to which these symptoms can reasonably be accepted as consistent with
the objective medical evidence and other evidence, based on the requirements
of . . . SSR 16-3p” (Tr. 16 (emphasis added)). Moreover, in other material
portions of his subjective symptom analysis, the ALJ adhered to SSR 16-3p’s
requirement that such analysis focus on “the extent to which [a claimant’s]
symptoms can reasonably be accepted as consistent with the objective medical
and other evidence in the [claimant’s] record.” SSR 16-3p, 2017 WL 5180304, at
*2 (emphasis added). For example, in analyzing Plaintiff’s subjective reports
of medication side effects, the ALJ stated that Plaintiff’s “alleged drowsiness
[wa]s not consistent with the treatment note from March 2016.” (Tr. 19
(emphasis added).)
14
Similarly, when Aptiom was added, nothing is noted other
than he was “doing well” or having “no side effects.”
If his side effects were as limiting as claimed, it would
be reasonable to expect that he would have informed his
treating physician who would then note it and make
adjustments to the type or quantity of medication taken.
If side effects were as severe as alleged, it is also
reasonable to expect that his physician would observe
drowsiness during visits. However, there is no
indication in the treatment notes of constant drowsiness
or other apparent side effects. While his treatment
provider noted side effects in Exhibits B10F and B11F,
they are not fully supported by his own progress notes
where side effects are not mentioned. In fact, all the
physical examinations and mental status examinations
show normal language and cognition. It is also
noteworthy that [Plaintiff]’s alleged drowsiness is not
consistent with the treatment note from March 2016 where
there was a single complaint of insomnia.
The only other side effect noted included dizziness. It
was initially noted in December 2016, but by March 2017
[Plaintiff] reported only “one episode of rare
dizziness.” After that, there was no further mention of
it to his primary care provider, which suggests it
resolved. . . .
In sum, the extent of [Plaintiff]’s side effects are not
supported by the treatment notes of record.
(Tr. 18-20 (emphasis added) (internal parenthetical citations
omitted).)4
4 After considering and weighing the opinion evidence of record (see Tr. 20-
23), the ALJ reiterated and summarized his analysis of Plaintiff’s subjective
reports of medication side effects:
[W]hile [Plaintiff] reports ongoing debilitating side effects, the
primary care records do not document reports of limitations to the
extent as alleged. If his side effects were as limiting as claimed,
it would be reasonable to expect that he would have informed his
treating physician who would then note it and make adjustments to
the type or quantity of medication taken. However, as noted above,
15
As the above-quoted and -emphasized discussion makes clear,
in analyzing the extent of Plaintiff’s reported medication side
effects, the ALJ relied on factors other than purely objective
medical evidence. (See Tr. 18-19, 23.) In that regard, the ALJ
properly considered 1) the duration, frequency, and intensity of
Plaintiff’s side effects, 2) the type, dosage, and effectiveness
of medication taken by Plaintiff, expressly observing that the
dosage had remained the same despite Plaintiff’s reports of severe
side effects; and 3) measures other than treatment Plaintiff used
to relieve the side effects, i.e., daily naps. (Id.) The ALJ
also discussed and relied upon the absence of any reports by
Plaintiff to his treating physicians of drowsiness or problems
with his memory (id.), which does not constitute objective
evidence, but rather, subjective evidence of Plaintiff’s
statements (or lack thereof) to his medical providers.
In short, because the ALJ did not solely rely on the lack of
objective evidence to support Plaintiff’s subjective reports of
medication side effects, but properly considered such evidence
along with other permissible factors, Plaintiff’s first assignment
of error fails as a matter of law.
[Plaintiff] has been maintained on generally the same dosage of
medication for some time.
(Tr. 23 (emphasis added).)
16
2. RFC
Next, Plaintiff argues that “[t]he ALJ’s RFC explanation
frustrates meaningful review and is not supported by substantial
evidence.” (Docket Entry 11 at 8 (bold font and single-spacing
omitted).) In particular, Plaintiff challenges the ALJ’s RFC
analysis on four grounds: 1) “[t]he ALJ cherrypicked facts . . .
that support a finding of nondisability while ignoring evidence
that points to a disability finding” (id. at 9 (bold font and
single-spacing omitted)); 2) “[t]he ALJ failed to adhere to the
[SSA]’s ‘treating physician rule’ and failed to adequately explain
how he weighed the opinion evidence” from Plaintiff’s treating
neurologist, Dr. Andrew S. Braunstein (id. at 12 (bold font and
single-spacing omitted)); 3) “[t]he ALJ failed to build an accurate
and logical bridge from the evidence to his conclusion” (id. at 16
(bold font and single-spacing omitted)); and 4) “[t]he ALJ failed
to explain the meaning of ‘production rate pace’ work, which
frustrates meaningful review” (id. at 17 (bold font and single-
spacing omitted)). Those arguments fail to establish an
entitlement to relief.
a. Cherry-Picking Evidence
Plaintiff first faults the ALJ for “cherrypick[ing] facts
. . . that support a finding of nondisability while ignoring
evidence that points to a disability finding.” (Id. at 9 (bold
17
font and single-spacing omitted).) In particular, Plaintiff
claims that the ALJ 1) “ignored evidence provided by [Plaintiff]
and his mother” regarding the impact of his seizures and medication
side effects on his ability to function (id. at 10 (citing Tr. 41-
42, 44-45, 63, 65, 67-68, 282-85, 287)), 2) “ignored evidence from
[Plaintiff’s] primary care provider, Dr. James W. McNabb, [] which
stated [Plaintiff’s] condition was worsened by being in public,
hot weather, extertion [sic], sunlight, and lack of sleep” (id.
(citing Tr. 405)), 3) “failed to consider evidence from [Dr.
Braunstein]” concerning Plaintiff’s functional restrictions (id.
at 10-11 (citing Tr. 379, 388, 477)), and 4) “failed to properly
account for the opinions of the consultative examiners, Dr. Gregory
A. Villarosa[ ] and Dr. Bonny Gregory[ ]” (id. at 11 (citing Tr.
327, 349-50)). Plaintiff’s contentions fall short.
i. Statements from Plaintiff and his Mother
Plaintiff maintains that, in determining the RFC, the ALJ
“ignored” certain statements by Plaintiff at the hearing and by
his mother on a Third Party Function Report. (Id. at 10 (citing
Tr. 41-42, 44-45, 63, 65, 67-68, 282-85, 287).) That argument
glosses over the fact that the ALJ discussed Plaintiff’s statements
on Disability Reports as well as his hearing testimony in detail
(see Tr. 16-17), but discounted those statement as not fully borne
out by the record (see Tr. 18), a finding that, as discussed above,
18
the ALJ supported with substantial evidence. Plaintiff’s
contention also overlooks that the ALJ discussed both Plaintiff’s
mother’s testimony at the hearing (see Tr. 17), as well as her
statements on the Third Party Function Report (see Tr. 21), but
assigned those statements “little weight” (id.), a finding
unchallenged by Plaintiff (see Docket Entry 11). Moreover, given
the extensive restrictions in the RFC, including limitations
involving exposure to certain kinds of light, heat and humidity,
heights, and moving machinery, as well as an allowance to wear
sunglasses indoors and limits to simple, routine, and repetitive
tasks (“SRRTs”) and on interaction with others (see Tr. 15-16),
Plaintiff has not shown how a remand for the ALJ to further discuss
the statements in question would result in greater restrictions in
the RFC, let alone to a favorable outcome in his case. See
generally Bishop v. Commissioner of Soc. Sec., 583 F. App’x 65, 67
(4th Cir. 2014) (“[A]ny error is reviewed under the harmless error
doctrine.”); Fisher v. Bowen, 869 F.2d 1055, 1057 (7th Cir. 1989)
(observing that “[n]o principle of administrative law or common
sense requires us to remand a case in quest of a perfect opinion
unless there is reason to believe that the remand might lead to a
different result”).
19
ii. Evidence from Dr. McNabb
Plaintiff next accuses the ALJ of “ignor[ing] evidence” from
Dr. McNabb “which stated [Plaintiff’s] condition was worsened by
being in public, hot weather, extertion [sic], sunlight, and lack
of sleep.” (Docket Entry 11 at 10 (citing Tr. 405).) As a
threshold matter, the evidence at issue from Dr. McNabb, located
in the History of Present Illness (“HPI”) portion of a treatment
note, does not constitute his opinion regarding functional
restrictions arising from Plaintiff’s seizures and/or medication
side effects, but rather reflects Plaintiff’s own statements to
Dr. McNabb regarding aggravating factors for his seizures. (See
Tr. 405.) Furthermore, as the RFC contains an exertional
restriction to medium work, as well as limitations on interaction
with the public and on exposure to hot weather and sunlight (see
Tr. 15-16), Plaintiff has failed to demonstrate how remanding for
the ALJ to discuss this evidence would lead to a more favorable
result in his case. See generally Bishop, 583 F. App’x at 67
(“[A]ny error is reviewed under the harmless error doctrine.”);
Fisher, 869 F.2d at 1057 (observing that “[n]o principle of
administrative law or common sense requires us to remand a case in
quest of a perfect opinion unless there is reason to believe that
the remand might lead to a different result”).
20
iii. Opinions from Dr. Braunstein
Plaintiff additionally contends that “the ALJ failed to
consider evidence from [Dr. Braunstein] that [Plaintiff’s]
inability to maintain substantial gainful employment was ‘not just
related to seizures’ but also due to ‘side effects from medication
and other,’ [that] ‘he is limited in activity [in] that he cannot
drive, operate heavy machinery, engage in activities which require
heights and other,’ and [that he] ‘has many side effects from his
epilepsy medications.’” (Docket Entry 11 at 10-11 (citing Tr.
379, 388, 477).) Again, Plaintiff fails to acknowledge that the
ALJ expressly considered and assigned “little weight” to Dr.
Braunstein’s opinions that Plaintiff remained “‘incapable of
maintaining gainful employment’” and “‘limited in activity, cannot
drive, operate heavy machinery, or engage in activities that
require heights’” (Tr. 22 (quoting Tr. 388)), as well as to Dr.
Braunstein’s opinion that Plaintiff’s medication side effects left
him “‘disabled’” from any kind of work (id. (quoting Tr. 488)).
As discussed in more detail below, the ALJ did not err in his
evaluation of Dr. Braunstein’s opinions. Moreover, Plaintiff’s
argument ignores the fact that the RFC crafted by the ALJ already
precludes exposure to moving mechanical parts and unprotected
heights (see Tr. 15) and thus Plaintiff has not shown how remand
for additional discussion of Dr. Bronstein’s opinions would change
21
the outcome of his case. See generally Bishop, 583 F. App’x at 67
(“[A]ny error is reviewed under the harmless error doctrine.”);
Fisher, 869 F.2d at 1057 (observing that “[n]o principle of
administrative law or common sense requires us to remand a case in
quest of a perfect opinion unless there is reason to believe that
the remand might lead to a different result”).
iv. Opinions from Dr. Villarosa
Plaintiff also challenges the ALJ for “fail[ing] to properly
account for Dr. Villarosa’s opinion” that Plaintiff “‘was quite
slow regarding pace of tasks” and “‘would likely have some
difficulty handling the stress and pressures associated with day-
to-day work activity.’” (Docket Entry 11 at 11 (quoting Tr. 327).)
Plaintiff neglects to recognize that, in rating Plaintiff’s degree
of limitation in concentration, persistence, or pace, the ALJ
explicitly acknowledged that, “[o]n consultative examination,
[Plaintiff] did perform tasks more slowly, but had not [sic]
apparent issues with concentration” and that “treatment notes
d[id] not consistently document any observed deficits in
concentration or maintaining pace.” (Tr. 15.) Plaintiff makes no
attempt to explain why the ALJ’s restrictions to SRRTs “with the
ability to remain on task for two hours at a time before needing
a fifteen minute break throughout a normal work day with a low
level of work pressure defined as work not requiring multitasking,
22
production rate pace, assembly line work, or team work to complete
a task” (Tr. 15-16), as well as to “simple instructions,” “simple
work-related decision[s],” and “simple and routine changes in the
work setting” (Tr. 16) would not sufficiently account for Dr.
Villarosa’s opinions regarding Plaintiff’s abilities to maintain
pace and handle work pressures. That failure precludes relief on
this front. See United States v. Zannino, 895 F.2d 1, 17 (1st
Cir. 1990) (“[A] litigant has an obligation to spell out its
arguments squarely and distinctly, or else forever hold its peace.”
(internal quotation marks omitted)); Hughes v. B/E Aerospace,
Inc., No. 1:12CV717, 2014 WL 906220, at *1 n.1 (M.D.N.C. Mar. 7,
2014) (unpublished) (Schroeder, J.) (“A party should not expect a
court to do the work that it elected not to do.”).
v. Opinions from Dr. Gregory
Lastly (on this front), Plaintiff asserts that “[t]he ALJ []
failed to properly account for Dr. Gregory’s opinion that
[Plaintiff] was moderately limited in his ability to understand
and remember detailed instructions and carry out detailed
instructions; make simple work-related decisions; . . . complete
[a] work-day and workweek without interruptions from
psychologically based symptoms and to perform at a consistent pace
without an unreasonable number and length of rest periods.”
(Docket Entry 11 at 11 (citing Tr. 349-50).) Plaintiff’s argument
23
brushes aside the fact that, despite finding moderate limitation
in those areas (see Tr. 349-50), Dr. Gregory nevertheless concluded
that Plaintiff remained “capable of [SRRTs] in [a] low stress, low
production setting with limited social interactions” (Tr. 365).
The ALJ accorded “great weight” to Dr. Gregory’s opinions,
expressly noting that, despite finding moderate limitations in
Plaintiff’s abilities to maintain social functioning and
concentration, persistence, or pace, Dr. Gregory opined that
Plaintiff could “perform [SRRTs] in a low stress, low production
setting with limited social interactions.” (Tr. 22 (referencing
Tr. 363, 365).) Significantly, the ALJ included all of those
restrictions in the RFC. (See Tr. 15-16.)
b. Dr. Braunstein’s Opinions
Plaintiff next argues that “the ALJ [] improperly failed to
give the opinion of [Dr. Braunstein] controlling weight as required
by the [SSA]’s regulations and longstanding precedent.” (Docket
Entry 11 at 13 (citing Tr. 22).) The treating source rule
generally requires an ALJ to give controlling weight to the opinion
of a treating source regarding the nature and severity of a
claimant’s impairment. See 20 C.F.R. § 416.927(c) (“[T]reating
sources . . . provide a detailed, longitudinal picture of [a
claimant’s] medical impairment(s) and may bring a unique
perspective to the medical evidence that cannot be obtained from
24
the objective medical findings alone or from reports of individual
examinations, such as consultative examinations or brief
hospitalizations.”). The rule also recognizes, however, that not
all treating sources or treating source opinions merit the same
deference. The nature and extent of each treatment relationship
appreciably tempers the weight an ALJ affords an opinion. See 20
C.F.R. § 416.927(c)(2)(ii). Moreover, as subsections (2) through
(4) of the rule describe in great detail, a treating source’s
opinion, like all medical opinions, deserves deference only if
well-supported by medical signs and laboratory findings and
consistent with the other substantial evidence in the case record.
See 20 C.F.R. § 416.927(c)(2)-(4). “[I]f a physician’s opinion is
not supported by clinical evidence or if it is inconsistent with
other substantial evidence, it should be accorded significantly
less weight.” Craig, 76 F.3d at 590 (emphasis added).
Dr. Braunstein observed, at the end of a treatment note dated
March 16, 2017, that Plaintiff remained “limited in activity” and
could not “drive, operate heavy machinery, engage in activities
which require heights and other,” as well as that Plaintiff could
not “maintain[] gainful employment.” (Tr. 388.) Shortly
thereafter, Dr. Braunstein dated a “To Whom It May Concern” letter
October 17, 2018, in which he opined that Plaintiff “ha[d] many
side effects from his epilepsy medications” and that his
25
“refractory seizures and medication side effects leave him
disabled from any kind of work.” (Tr. 477.) On January 24, 2019,
Dr. Braunstein completed a pre-printed form entitled “Seizures
Medical Source Statement” (“MSS”) (Tr. 478-79) on which he opined
that Plaintiff had convulsive, grand mal seizures on average once
per month and that, following those seizures, Plaintiff
experienced confusion, severe headaches, muscle strain,
exhaustion, and difficulties communicating for approximately six
hours (see Tr. 478). Dr. Braunstein listed Plaintiff’s medication
side effects as dizziness, eye focusing problems, and coordination
disturbance. (See id.) As a result of Plaintiff’s medication
side effects and “unpredictable” seizures, Dr. Braunstein
concluded that Plaintiff could not work. (Tr. 479.)
The ALJ accorded Dr. Braunstein’s opinions “little weight”
based upon the following rationale:
The [ALJ] has [] given little weight to Dr. Braunstein’s
opinion found in Exhibit B9F [(Tr. 388)] - that
[Plaintiff] is “incapable of maintaining gainful
employment” and that he is “limited in activity, cannot
drive, operate heavy machinery, or engage in activities
that require heights.” While Dr. Braunstein is a
treating doctor and a specialist, he did not provide an
opinion as to [Plaintiff]’s function by function
limitations. Additionally, there is no evidence that
the provider has performed functional testing, and it is
unclear if his opinion is based on symptoms reported to
him or clinical examinations. His opinion that
[Plaintiff] is “incapable of maintaining gainful
employment” is conclusory and an opinion on an issue
ultimately reserved for the Commissioner. Further, the
provider does not clarify whether limitations are due to
26
seizures or side effects of medication. It also appears
that the opinion was prompted by [Plaintiff]’s mother
telling the provider that a disability evaluation was
upcoming. . . .
The [ALJ] has also given little weight to Dr.
Braunstein’s opinion found in Exhibit Bl0F [(Tr. 477)].
While it is an opinion from a treating provider and
specialist, Dr. Braunstein does not list or state what
side effects cause [Plaintiff] to be “disabled” or
document whether such side effects were clinically
noted. There is also no evidence this provider performed
any functional testing and the provider did not provide
an assessment of [Plaintiff]’s function by function
limitations. It is also unclear if the opinion is based
on symptoms reported to the provider or a clinical
examination. The opinion that [Plaintiff] is “disabled
from any kind of work” is also an opinion on an issue
reserved for the Commissioner. It is also not consistent
with the medical evidence of record and testimony
showing [Plaintiff]’s seizures have reduced to occurring
only once to twice per year and Dr. Braunstein’s
treatment records that show stable, improved condition,
and no recent mention of adverse side effects.
As for Dr. Braunstein’s opinion found in Exhibit BllF
[(Tr. 478-79)], while this is an opinion from a treating
provider and specialist, he did not identify what
specific side effects would cause limitations. There is
also no evidence of functional testing in this regard
and Dr. Braunstein did not provide a function by function
assessment of [Plaintiff]’s limitations. It is also
unclear if the opinion is based on reported symptoms or
clinical examinations. The opinion that [Plaintiff]
“can’t work” is also an opinion on an issue ultimately
reserved for the Commissioner. Additionally, the
opinion that [Plaintiff] has one seizure per month is
inconsistent with the testimony and other medical
evidence that indicates [Plaintiff] has had more like
one to two seizures per year. Some weight has been
attributed to the opinion in regard to the need for
[Plaintiff] to avoid hazards and heights and the period
of post-seizure recovery of six to seven hours. To
27
account for these limitations, the [ALJ] found
[Plaintiff] would miss work two days per year.
(Tr. 22-23 (internal parenthetical citations omitted).)
Plaintiff first faults the ALJ for discounting Dr.
Braunstein’s opinions that Plaintiff qualified as disabled and/or
could not work as matters reserved to the Commissioner, arguing
that the ALJ must still “consider” such opinions. (Docket Entry
11 at 14 (citing Social Security Ruling 06-03p, Titles II and XVI:
Considering Opinions and Other Evidence from Sources Who Are Not
“Acceptable Medical Sources” in Disability Claims; Considering
Decisions on Disability by Other Governmental and Nongovernmental
Agencies, 2006 WL 2329939, at *6 (Aug. 9, 2006) (“SSR 06-03p”),
for the proposition that the SSA must “‘evaluate all the evidence
in the case record that may have a bearing on [their] determination
or decision of disability . . . by other nongovernmental agencies’”
and that “‘evidence of a disability decision by another
governmental or nongovernmental agency cannot be ignored and must
be considered’” (bold font added by Plaintiff)).)
That argument fails for two reasons. First, Dr. Braunstein
constitutes neither a “governmental” nor a “nongovernmental
agency” and thus the quoted passage from SSR 06-03p lacks
applicability to his opinions. Second, and more significantly,
the ALJ did provide other reasons for discounting Dr. Braunstein’s
opinions that Plaintiff qualified as disabled and/or could not
28
work – the ALJ noted that “[t]he opinion that [Plaintiff] is
‘disabled from any kind of work’ . . . is also not consistent with
the medical evidence of record and testimony showing [Plaintiff]’s
seizures have reduced to occurring only once to twice per year and
Dr. Braunstein’s treatment records that show stable, improved
condition, and no recent mention of adverse side effects.” (Tr.
22 (emphasis added).)
Plaintiff additionally objects that the ALJ discredited Dr.
Braunstein’s opinions because they lacked function by function
limitations, arguing that his “opinion clearly outlines the
following functional limitations: ‘cannot drive, operate heavy
machinery, engage in activities which require heights.’” (Docket
Entry 11 at 14 (quoting Tr. 388).) However, although Dr.
Braunstein’s March 2017 opinion did contain such limitations (two
of which the ALJ incorporated into the RFC (see Tr. 15-16)), Dr.
Braunstein did not provide an opinion regarding the impact of
Plaintiff’s seizures and medication side effects on Plaintiff’s
abilities to engage in exertional activities such as lifting,
carrying, pushing, pulling, sitting, standing, or walking,
postural activities such as balancing, stooping, kneeling,
crouching, or crawling, and manipulative activities such as
handling, fingering, or reaching. (See Tr. 388, 477, 478-79.)
29
Regarding the ALJ’s rationale that Dr. Braunstein’s opinions
lacked clarity as to whether “the opinion [wa]s based on reported
symptoms or clinical examinations” (Tr. 23), Plaintiff observes
that “there is no requirement that an opinion specifically state
which aspects are based on subjective complaints, clinical
examination or both” (Docket Entry 11 at 14). Although the
regulations do not require medical providers to explicitly
categorize their opinions as reflecting clinical findings versus
a patient’s subjective reports, controlling precedent and the
regulations make abundantly clear that, “if a physician’s opinion
is not supported by clinical evidence[,] . . . it should be
accorded significantly less weight.” Craig, 76 F.3d at 590; see
also 20 C.F.R. § 416.927(c)(2)-(4). Thus, to the extent Dr.
Braunstein did not clarify whether he based his opinions on
Plaintiff’s subjective symptom reports, the ALJ did not err in
citing such lack of clarity as one factor among many in his
decision to discount Dr. Braunstein’s opinions. See Bishop, 583
F. App’x at 67 (affirming ALJ’s rejection of medical opinion
because that opinion “appeared to mirror [the claimant]’s
subjective statements” and conflicted “with the mild to moderate
diagnostic findings, the conservative nature of [the claimant]’s
treatment, and the generally normal findings during physical
examinations”).
30
Plaintiff further takes issue with “the ALJ’s suggestion that
Dr. Braunstein only stated [his March 2017] opinion because
[Plaintiff’s] mother suggested [Dr. Braunstein] do so,” deeming
such a rationale “without merit, conjecture, and frustrat[ing to]
meaningful review.” (Docket Entry 11 at 14 (emphasis added)
(citing Tr. 22, 388).) The ALJ, in fact, did not find that Dr.
Braunstein “only” offered his March 2017 opinion because
Plaintiff’s mother requested he do so. Rather, the ALJ merely
noted, as one consideration among many others, that the report of
Plaintiff’s mother to Dr. Braunstein on March 16, 2017, that
Plaintiff’s “disability evaluation [wa]s coming up for review”
(Tr. 388) appeared to prompt Dr. Braunstein’s disability opinion
at the conclusion of that treatment note. (Tr. 22.) An ALJ may
permissibly consider whether a claimant solicited a disability
opinion in support of his or her benefits claim as one factor among
others in weighing the opinion. See Hinton v. Massanari, 13 F.
App’x 819, 824 (10th Cir. 2001) (holding that ALJ may “question a
doctor’s credibility” when the claimant’s counsel solicited
the opinion, but “may not automatically reject the opinion for
that reason alone”); Berry-Hobbs v. Colvin, No. 1:15CV01103, 2016
WL 4621080, at *9 (M.D.N.C. Sept. 6, 2016) (unpublished) (“So long
as the ALJ relies on other factors in addition to the source of
the examination to support his or her decision to discount the
31
opinion in question, the ALJ does not commit
error.”), recommendation adopted, 2016 WL 5922312 (M.D.N.C. Oct.
11, 2016) (unpublished) (Schroeder, J.); McCummings v. Colvin, No.
CIV.A. 5:12-3315, 2014 WL 108356, at *13 (D.S.C. Jan. 10, 2014)
(unpublished) (finding no error where ALJ stated that “combination
of [] factors” caused him to discount physician’s opinion, and ALJ
did not discount the opinion merely because counsel solicited it),
aff’d sub nom., McCummings v. Commissioner of Soc. Sec. Admin.,
585 F. App’x 28 (4th Cir. 2014).
c. Accurate and Logical Bridge
Plaintiff also attacks the ALJ’s RFC analysis by asserting
that, “similar to Monroe[ v. Colvin, 826 F.3d 176, 189-90 (4th
Cir. 2017)], the ALJ [] failed to build an accurate and logical
bridge from the evidence to his conclusion that [Plaintiff’s]
medication side effects are not as severe as alleged.” (Docket
Entry 11 at 16.) In particular, Plaintiff faults the ALJ for 1)
“assert[ing] that [Plaintiff’s] medication side effects [we]re not
documented” in the record “because . . . Dr. Braunstein[] did note
his medication side effects on several occasions” (id. at 17
(citing Tr. 379, 388, 390, 477, 479)), and 2) “inserti[ng the
ALJ’s] own opinion as to what action by [Plaintiff’s] physician
would have been ‘reasonable’ regarding the medications” as
32
“[im]proper and frustrat[ing to] meaningful review” (id. (citing
Tr. 23)). Neither of those assertions carries the day.
Plaintiff’s contention that “Dr. Braunstein[] did note his
medication side effects on several occasions” (id. at 17 (citing
Tr. 379, 388, 390, 477, 479)) falls short. The ALJ explained that
Plaintiff “essentially argue[d] ongoing disability due to side
effects from his medication – including primarily fatigue and
memory difficulties” (Tr. 18 (emphasis added)), but found that,
“[i]f side effects were as severe as alleged, it [wa]s []
reasonable to expect his physician would observe drowsiness during
visits,” but that “there [wa]s no indication in the treatment notes
of constant drowsiness,” and that “all the physical examinations
and mental status examinations show[ed] normal language and
cognition” (Tr. 19). Consistent with that analysis, the transcript
pages upon which Plaintiff relies do not document drowsiness or
fatigue as a medication side effect but rather contain only generic
mentions of “side effects from medication” (Tr. 379; see also Tr.
477 (asserting Plaintiff “has many side effects from his epilepsy
medications”), 479 (listing “[side effects] from meds” as among
“limitation that would affect [Plaintiff]’s ability to work at a
regular job on a sustained basis”)), or list the side effects as
“dizziness and other” (Tr. 388 (emphasis added)) or “several bouts
of dizziness of unclear etiology” (Tr. 390 (emphasis added)).
33
Indeed, Dr. Braunstein noted on his MSS that Plaintiff’s medication
side effects included “[d]izziness,” “[e]ye focusing problems,”
and “[c]oorindation disturbance,” and did not check the boxes for
“[l]ethargy” and “[l]ack of alertness.” (Tr. 478.) Under such
circumstances, Plaintiff has not shown that the ALJ erred by
finding that the record failed to support Plaintiff’s claim of
disabling drowsiness and memory problems from his medications.
Plaintiff’s argument that the ALJ erred by “inserti[ng ] his
own opinion as to what action by [Plaintiff’s] physician would
have been ‘reasonable’ regarding the medications” (Docket Entry 11
at 17 (citing Tr. 23)) fares no better. Given that the pre-printed
MSS form expressly asked Dr. Braunstein to indicate which side
effects Plaintiff experienced from his epilepsy medications, and
pre-printed boxes existed for “[l]ethargy,” “[l]ack of alertness,”
and “[o]ther” (with a space to write-in a side effect not otherwise
listed) which Dr. Braunstein did not check (Tr. 478), the ALJ did
not err by observing that, “[i]f side effects were as severe as
alleged, it [wa]s [] reasonable to expect his physician would
observe drowsiness during visits,” but that “there [wa]s no
indication in the treatment notes of constant drowsiness” (Tr.
19).
34
d. Production Rate Pace
Plaintiff next maintains that the ALJ erred by using the term
‘production rate pace’ in [Plaintiff’s] RFC evaluation, but
fail[ing] to explain what the term means.” (Docket Entry 11 at 18
(citing Thomas v. Berryhill, 916 F.3d 307, 312 (4th Cir. 2019)
(holding that phrase “production rate or demand pace” did not
qualify as “especially common – certainly not common enough for
[the court] to know what mean without elaboration”)).) However,
a review of recent decisions from the United States Court of
Appeals for the Fourth Circuit addressing non-production
restrictions bolsters the conclusion that the ALJ sufficiently
explained the meaning of the phrase “production rate pace” to
permit meaningful judicial review.
As another judge of this Court recently reasoned:
In [Perry v. Berryhill, 765 F. App’x 869 (4th Cir.
2019)], the Fourth Circuit found fault with “the ALJ’s
reference to a ‘non-production oriented work setting,’”
as the Fourth Circuit “d[id] not know what the ALJ
intended when she used that phrase,” making it
“difficult, if not impossible, to evaluate whether
restricting [the plaintiff] to a ‘non-production
oriented work setting’ properly accounted for [his]
well-documented limitations in concentration,
persistence, or pace.” Perry, 765 F. App’x at 872. In
so doing, the Fourth Circuit specifically distinguished
its decision in Sizemore v. Berryhill, 878 F.2d 72 (4th
Cir. 2017), where it “found that an ALJ had adequately
explained a[n RFC] assessment that restricted the
claimant, in part, to ‘non-production jobs,’” as “the
ALJ in Sizemore provided additional context, explaining
that the claimant could perform work only in a ‘low
stress’ setting, without any ‘fast-paced work’ or
35
‘public contact,’ to account for moderate limitations in
concentration, persistence, or pace,” which “descriptors
helped to explain the restriction intended by the ALJ,
and allowed [the Fourth Circuit] to evaluate whether
that restriction adequately accounted for the claimant’s
limitations.” Perry, 765 F. App’x at 872 n.1.
Ross v. Berryhill, No. 1:17CV1145, 2019 WL 1430129, at *1 (M.D.N.C.
Mar. 29, 2019) (unpublished) (Schroeder, C.J.) (emphasis added);
see also Thomas, 916 F.3d at 312 (finding that ALJ’s preclusion of
“work ‘requiring a production rate or demand pace’” and “‘crisis
situations, complex decision making, or constant changes in a
routine setting’” did not suffice under facts of that case). As
in Ross (and consistent with Sizemore, as construed in Perry), the
ALJ here defined “a low level of work pressure” to mean work
requiring no “multitasking, production rate pace, assembly line
work, or team work to complete a task,” and provided the further
descriptors of “simple instructions,” “simple work-related
decisions,” “simple and routine changes in the work setting,” as
well as “frequent interaction with coworkers and supervisors” and
“no more than occasional interaction with the public” (Tr. 15-16).
Those descriptors “help[] to explain the restriction intended by
the ALJ, and allow[ the Court] to evaluate whether that restriction
adequately accounted for [Plaintiff’s] limitations,” Perry, 765 F.
App’x at 872 n.1.
In sum, Plaintiff’s second issue on review fails as a matter
of law.
36
3. Conflicts Between VE and DOT
In his third and final assignment of error, Plaintiff contends
that “[t]he Commissioner failed to his [sic] burden at step five
of the [SEP] because he failed to identify and resolve all apparent
conflicts of the VE’s testimony with the [DOT].” (Docket Entry 11
at 18 (bold font and single-spacing omitted).) In that regard,
Plaintiff asserts that “the VE note[d] several conflicts[] which
the ALJ failed to properly resolve” (id. (citing Tr. 80-81)), as
well as that “the jobs [cited by the VE and adopted by the ALJ at
step five] require the use of machinery and equipment or working
around machinery and equipment” (id. (citing Dictionary of
Occupational Titles (“DOT”), No. 311.677-018 (“Dining Room
Attendant”), 1991 WL 672696 (G.P.O 4th ed. rev. 1991), DOT, No.
761.684-026 (“Polisher”), 1991 WL 680432, DOT, No. 389.683-010
(“Sweeper-Cleaner, Industrial”), 1991 WL 673279)) in contravention
of the RFC’s preclusion of “exposure to moving mechanical parts”
(Tr. 15). According to Plaintiff, “the ALJ failed to ask the VE
any follow up questions as to how these conflicts m[ight] impact
the numbers of these jobs that would be available for a claimant
like [Plaintiff].” (Docket Entry 11 at 18 (citing Tr. 79-81).)
Those contentions fail on both fronts.
Social Security Ruling 00-4p, Policy Interpretation Ruling:
Titles II and XVI: Use of Vocational Expert and Vocational
37
Specialist Evidence, and Other Reliable Occupational Information
in Disability Decisions, 2000 WL 1898704 (Dec. 4, 2000) (“SSR 00-
4p”), places an affirmative duty on an ALJ to elicit an explanation
from the VE as to any “apparent unresolved conflict” between the
VE’s testimony and the DOT:
Occupational evidence provided by a VE . . . generally
should be consistent with the occupational information
supplied by the [DOT]. When there is an apparent
unresolved conflict between VE . . . evidence and the
[DOT], the [ALJ] must elicit a reasonable explanation
for the conflict before relying on the VE . . . evidence
to support a determination or decision about whether the
claimant is disabled. At the hearings level, as part of
the [ALJ’s] duty to fully develop the record, the [ALJ]
will inquire, on the record, as to whether or not there
is such consistency.
SSR 00-4p, 2000 WL 1898704, at *2 (emphasis added). “[A]n ALJ has
not fulfilled his affirmative duty merely because the [VE] responds
‘yes’ when asked if her testimony is consistent with the [DOT],”
Pearson v. Colvin, 810 F.3d 204, 208 (4th Cir. 2015) (internal
quotation marks omitted); thus, “[t]he ALJ independently must
identify . . . where the [VE’s] testimony seems to, but does not
necessarily, conflict with the [DOT],” id. at 209 (emphasis added);
see also id. (rejecting the Commissioner’s argument that
“apparent” conflict meant only “obvious” one).
Here, the ALJ asked the VE whether her opinion remained
“consistent with the [DOT] and its companion publication, the
[Selected Characteristics of Occupations Defined in the Revised
38
Dictionary of Occupational Titles (‘SCO’)],” to which the VE
responded as follows:
Yes, sir, your honor. With the exception of such
characteristics as an individual being off task,
interacting with coworkers and supervisors, unscheduled
absences, and individual multitasking, production rate
pace, an individual remaining on task, breaks,
accommodations with sunglasses, as well as the
references to exposure to light, outdoor sunlight,
fluorescent light, flashing lights. Those
characteristics are not mentioned or cited in the [DOT]
or supplement publications, but the information that I
provided in regards to those characteristics is based on
a reasonable degree of vocational certainty that is a
result of my education and training, and also experience
with employers, job search, and placement.
(Tr. 80-81.)
As the above-quoted testimony makes clear, the VE did not
testify that conflicts existed between her testimony and the DOT
(or SCO) with respect to subject areas at issue, but rather that
the DOT (and SCO) did not address such subjects, such that the VE
based her testimony that the jobs she cited could accommodate
restrictions in those areas on her “education and training, and
also experience with employers, job search, and placement.” (Tr.
81.) Thus, the ALJ did not fail to identify and resolve any
apparent conflicts in those areas. See Burns v. Barnhart, 312
F.3d 113, 128 (3d Cir. 2002) (noting that, because DOT does not
address aptitude levels, DOT and VE testimony “w[ere] not
necessarily inconsistent in this regard, so the duty on the part
of the ALJ to inquire into conflicts did not arise”); Finnegan v.
39
Berryhill, No. 1:16CV1012, 2017 WL 2224332, at *6 (M.D.N.C. May
19, 2017) (unpublished) (“[T]he mere silence of the DOT on a matter
does not create, per se, an apparent conflict between the VE’s
testimony and the DOT.”), recommendation adopted, slip op.
(M.D.N.C. June 16, 2017) (Schroeder, J.); Manley v. Colvin, No. ED
CV 16–1179–E, 2016 WL 7191541, at *4 (C.D. Cal. Dec. 12, 2016)
(unpublished) (“There is no obvious or apparent conflict between
the [DOT] and a [VE’s] testimony that a particular job can
accommodate a sit/stand option. To hold otherwise would mean that
[VEs] always create conflicts with the [DOT] whenever they mention
any of the multitude of things about a job not expressly addressed
in the [DOT].” (internal citation, quotation marks, and brackets
omitted)). Moreover, the DOT flatly contradicts Plaintiff’s
unsupported argument that the jobs cited by the VE and adopted by
the ALJ at step five “require the use of moving machinery or
equipment” (Docket Entry 11 at 18) – each job listing in the DOT
reflects the following entry: “Moving Mech. Parts: Not Present -
Activity or condition does not exist.” DOT, No. 311.677-018
(“Dining Room Attendant”), 1991 WL 672696; DOT, No. 761.684-026
(“Polisher”), 1991 WL 680432; DOT, No. 389.683-010 (“Sweeper-
Cleaner, Industrial”), 1991 WL 673279 (emphasis added).
Put simply, Plaintiff has not shown entitlement to relief
with regards to this assignment of error.
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III. CONCLUSION
Plaintiff has not established any errors warranting relief.
IT IS THEREFORE RECOMMENDED that the Commissioner’s decision
finding no disability be affirmed, that Plaintiff’s Motion for
Summary Judgment (Docket Entry 10) be denied, that Defendant’s
Motion for Judgment on the Pleadings (Docket Entry 14) be granted,
and that this action be dismissed with prejudice.
/s/ L. Patrick Auld_______
L. Patrick Auld
United States Magistrate Judge
May 28, 2021
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