Banks v. Commissioner of Social Security, 1:14-cv-00098

Background

Banks (b.1958) applied for Disability Insurance Benefits (DIB), alleging cervical spinal cord injury and related limitations; protective filing July 14, 2011; amended onset date October 16, 2011.
Extensive medical history: prior multi‑level cervical fusion (2004), subsequent C6‑7 diskectomy/fusion (Dec. 2010), ongoing myelomalacia/myelopathy with intermittent weakness/numbness, left rotator cuff repair (2011), conservative pain management and PT thereafter.
Treating neurosurgeon Dr. Yalamanchili described permanent spinal cord injury and work restrictions (e.g., lifting/pushing/pulling >10 lbs), and later noted persistent extremity weakness/numbness; other treating notes often document 4/5 to 5/5 strength and largely normal sensation.
State agency reviewers assessed capacity for light work with postural and environmental limits and occasional overhead reaching with the left upper extremity; ALJ adopted a similar RFC: light work with specified postural, environmental, and limited left overhead reaching restrictions.
Administrative hearing: Banks testified to limited standing/walking (15–20 minutes), lifting ≤10 lbs, falls, need for recliner several days a week; VE identified representative light and some sedentary jobs transferable from prior skills.

Issues

Issue	Plaintiff's Argument	Defendant's Argument	Held
Did ALJ err by omitting neck/head movement limitations in the RFC?	Banks: ALJ failed to include any neck/head movement restriction despite four‑level fusion and treating notes.	Commissioner: Record does not support functional neck/head movement limitations; treating notes do not link ROM findings to specific functional limits.	Court: No error — claimant failed to meet burden to show functional limits; evidence did not support additional RFC restrictions.
Did ALJ improperly weigh treating physician opinions (Dr. Yalamanchili)?	Banks: ALJ failed to evaluate or afford controlling weight to treating opinions restricting lifting to ≤10 lbs and stating permanent disability.	Commissioner: Treating opinions pre‑date/are consistent with ALJ's findings; opinions lacked specific functional detail and are contradicted by other evidence.	Court: No reversible error — ALJ gave reasons for limited weight to 2012 letter; omission of some treating letters was harmless because they would not change outcome and ALJ properly relied on other evidence.
Was ALJ required to perform a different transferable‑skills/VE analysis if treating opinion restricted to sedentary work?	Banks: Had Dr. Yalamanchili been credited, transferable‑skills analysis would need to support only sedentary jobs.	Commissioner: VE and ALJ already identified transferable jobs including one sedentary example; testimony showed jobs existed in significant numbers.	Court: Held against Banks — ALJ and VE addressed transferable skills and identified suitable light and sedentary jobs, so no prejudice.
Was any error harmless due to onset date and substantial gainful activity?	Banks: N/A (argues substantive RFC/treating weight errors).	Commissioner: Banks worked at SGA through Oct. 15, 2011; claims before Oct. 16, 2011 could not be found disabled regardless of opinions.	Court: Noted harmlessness — inability to find disability prior to amended onset date limits impact of some earlier treating opinions.

Key Cases Cited

Hays v. Sullivan, 907 F.2d 1453 (4th Cir. 1990) (scope of review: substantial evidence standard)
Smith v. Schweiker, 795 F.2d 343 (4th Cir. 1986) (substantial evidence rather than de novo review)
Richardson v. Perales, 402 U.S. 389 (1971) (definition of substantial evidence)
Consolidated Edison Co. v. NLRB, 305 U.S. 197 (1938) (quoted in Richardson on substantial evidence)
Hunter v. Sullivan, 993 F.2d 31 (4th Cir. 1992) (claimant bears burden to prove RFC)
Laws v. Celebrezze, 368 F.2d 640 (4th Cir. 1966) (substantial evidence explained)
Coffman v. Bowen, 829 F.2d 514 (4th Cir. 1987) (improper legal standards vitiate factual findings)
Craig v. Chater, 76 F.3d 585 (4th Cir. 1996) (treating‑physician rule and factors for weighing opinions)
Mitchell v. Schweiker, 699 F.2d 185 (4th Cir. 1983) (weight of treating physician opinion)
Gordon v. Schweiker, 725 F.2d 231 (4th Cir. 1984) (requirement to state weight given to evidence)
Arnold v. Secretary of Health, Education & Welfare, 567 F.2d 258 (4th Cir. 1977) (need for explanation of evidentiary weight)
DeLoatch v. Heckler, 715 F.2d 148 (4th Cir. 1983) (treating physician opinion not binding)
Tommasetti v. Astrue, 533 F.3d 1035 (9th Cir. 2008) (harmless error doctrine in disability cases)
Keys v. Barnhart, 347 F.3d 990 (7th Cir. 2003) (harmless error doctrine applicable to ALJ decisions)