Donna J. Clifford, Plaintiff-Appellant, v. Kenneth S. Apfel, Commissioner of Social Security, Defendant-Appellee.
No. 99-3831
United States Court of Appeals For the Seventh Circuit
Argued May 18, 2000--Decided September 14, 2000
Appeal from the United States District Court for the Southern District of Indiana, Indianapolis Division. No. IP 98-1695-C-Y/S--Richard L. Young, Judge.
Before Posner, Diane P. Wood, and Williams, Circuit Judges.
I
A. Administrative Hearing
At the time of the administrative hearing, Clifford was 53 years old, 5‘3” tall, and weighed 199 pounds. She testified that she has a twelfth grade education. Her only work experience was as a waitress in 1965. She stated that she shared a three room apartment with her husband, where she
According to Clifford, she is unable to work because of nerve and vision problems and her inability to lift significant weight or sit, stand or walk on a sustained basis. She explained that she is nervous around people and often cries for no apparent reason. She further reported that she wears an eye patch to avoid double vision. She testified that she experiences pain in both hands and often drops things due to numbness in her left hand. She also testified that she can lift a 20 pound sack of potatoes. She stated that she experiences pain in both her legs, which requires her to sit or lie down periodically throughout the day. However, she testified that she can sit for about two hours at a time. Clifford further reported that she is taking prescription medications for depression, sinus, arthritis, and pain problems.
B. Medical Evidence
1. Ball Memorial Hospital
From 1994 to 1996, Clifford made frequent visits to the emergency room (“ER“) at Ball Memorial Hospital.1 In 1994, she made several ER visits because she experienced symptoms of high blood pressure; each time she was treated with medication and released. In January 1995, Clifford returned to the ER complaining of shoulder and back pain. The attending ER physician, Dr. Gary Gaddis, M.D., prescribed pain medication and released her. Six months later (in July), she made another ER visit, this time complaining of knee pain. On examination, Dr. Iguban Querubin, M.D., found positive tenderness in both of her knees. Dr. Querubin diagnosed arthralgia (joint pain) in Clifford‘s right knee and prescribed medication. Later that month, Clifford returned to the ER complaining of arm pain. She received a diagnosis of radiculopathy (nerve root disease) with cervical and left arm pain.
The following January (1996), Clifford went to
2. Dr. Jeffrey A. Heavilon, M.D.
On August 10, 1995, Clifford saw Dr. Jeffrey A. Heavilon at Central Indiana Orthopedics, P.C., complaining of left arm and neck pain. At that examination, Clifford wore a cervical collar and a wrist splint. Dr. Heavilon described Clifford as a “healthy appearing” woman who was in no acute distress. He reviewed x-rays of her cervical spine and noted that they showed degenerative arthropathy (joint disease), with some radiculopathy (nerve root disease) in her left shoulder. He recommended continued conservative treatment, including use of a Prednisone Dosepak. Dr. Heavilon later reported that Clifford‘s left shoulder pain improved with the use of the Prednisone Dosepak, but noted that Clifford also complained about pain in her right foot.
3. Dr. Cheryl Keech, M.D.
At the request of the Social Security Administration, Clifford saw Dr. Cheryl Keech, a consulting physician, on August 16, 1995. Dr. Keech described Clifford as an “obese” woman who moved about the examination room without difficulty and showed no signs of shortness of breath or fatigue. Dr. Keech indicated that Clifford had no anatomical deformities, inflammation, or swelling. She noted that Clifford‘s range of bodily motions was normal and that her grip strength was intact. She also recorded Clifford as having no loss of hand functioning. Dr. Keech did find pain with palpation in Clifford‘s right ankle and both knee joints. She also found mild muscle spasm in Clifford‘s upper cervical area across her shoulder. She reported that Clifford had arthritis and “very high” blood pressure. She further stated that Clifford had a pinched nerve in her neck that caused pain, but indicated that
4. Open Door Health Clinic/Dr. Arnold L. Carter, M.D.
In February 1996, Clifford saw Dr. Arnold L. Carter at the Open Door Health Clinic, a community health clinic where she sought medical treatment from 1981 until the hearing. On examination, Dr. Carter diagnosed arthritis in Clifford‘s knee joints and probable carpal tunnel syndrome in her left wrist (but a treatment note from a prior visit to the clinic indicated that Clifford had “good grip” strength in her left hand). Dr. Carter recommended that Clifford continue taking medication for arthritis and that she continue using her carpal tunnel brace. A month later, Dr. Carter noted that Clifford still had problems with pain in her wrists and knees. That April, Dr. Carter examined Clifford and found tenderness in her knee joints. Dr. Carter observed that Clifford had “marked excessive weight” and recommended that she monitor her dietary fat intake. Three weeks later, Clifford returned to Dr. Carter complaining about bilateral knee pain and swelling and shortness of breath. The following December, Dr. Carter observed that Clifford walked with an unsteady gait and noted that she could not perform tandem walking. A treatment note from the clinic dated December 30, 1996, indicated that Clifford experienced pain in her left knee that extended to her thigh after she walked three blocks. Clifford also complained about numbness in her left hand and tightening of her fingers.
5. Dr. Andrew H. Combs, M.D.
In September 1996, Clifford saw her treating physician, Dr. Andrew H. Combs, an orthopedic specialist at Central Indiana Orthopedics, P.C., for pain in her right knee. Following an examination, Dr. Combs diagnosed right knee arthritis and suggested that Clifford would eventually require a total knee replacement. Four months later (January 1997), Clifford returned to Dr. Combs for left knee and bilateral hand pain that had persisted for at least a year. On examination, Dr. Combs opined that Clifford‘s history of bilateral knee osteoarthritis limited her ability to stand. Based on x-rays, he stated that her left knee showed degenerative arthritis in the medial joint space. Dr. Combs noted that this finding was similar to Clifford‘s right knee osteoarthritis. He also reviewed x-rays of both
Consistent with his examination in September 1996, Dr. Combs indicated that Clifford would eventually require a knee replacement. According to him, Clifford‘s medical condition severely limited her ability to perform any work that required standing or walking. Dr. Combs also opined that Clifford was unable to perform work that required repetitive use of her hands. He further predicted that her double vision would severely limit her ability to perform reading and computer monitor work.
6. Dr. S.L. Rumschlag, O.D.
Following the hearing before the ALJ (but while the record remained open), Clifford saw Dr. S.L. Rumschlag on February 3, 1997. Dr. Rumschlag reported that Clifford‘s prior stroke had paralyzed the third and fourth nerve to her left eye. He opined that she had permanent double vision with no depth perception, which required her to wear a patch on each eye alternatively. He further indicated that Clifford could not see to her left or right depending upon which eye has the patch.
C. Other Evidence
1. Psychological Evaluations
In May 1995, Clifford saw Bob B. Hatfield, Ph.D., and Barbara Umberger, Ph.D., for a psychological evaluation in order to determine her eligibility for medicaid benefits. Clifford was tearful throughout the evaluation. Based on the results of the evaluation, which included a Weschsler Adult Intelligence Scale-Revised (WAIS-R IQ) test, Clifford was found to have a verbal IQ of 82 and a performance IQ of 88, which put her in the “low average” range of global intelligence. Clifford was also diagnosed as suffering from major depression, for which she was prescribed the anti-depressant medication Paxil.
In January 1997, Clifford saw Bill Frederick, Ph.D., a social worker and case coordinator at Comprehensive Mental Health Services for an emotional/behavioral assessment. Dr. Frederick described Clifford as an “overweight” woman. He
2. Activity Reports
During the SSI eligibility determination process, Clifford filled out a number of reports that described her daily activities. She indicated that she cooks “simple” meals that do not require her to read a recipe. According to her, the meals she cooks only take thirty to sixty minutes to prepare. She also reported that she dusted and did laundry and that her household chores took about two hours to complete. She indicated that she had to rest while doing her household chores because of discomfort in her legs. She further indicated that her husband helps her cook and do household chores whenever possible.
D. The Administrative Law Judge‘s Decision
In determining whether Clifford suffered from a disability as defined in the Social Security Act, the ALJ conducted the standard five-step inquiry. See
(1) whether the claimant is currently employed; (2) whether the claimant has a severe impairment; (3) whether the claimant‘s impairment meets or equals one of the impairments listed by the [Commissioner], see
20 C.F.R. sec. 404, Subpt. P, App. 1 ; (4) whether the claimant can perform her past work; and (5) whether the claimant is capable of performing work in the national economy.
Knight v. Chater, 55 F.3d 309, 313 (7th Cir. 1995). “An affirmative answer leads either to the next step, or, on Steps 3 and 5, to a finding that the claimant is disabled. A negative answer at any point, other than Step 3, ends the inquiry and leads to a determination that a claimant is not disabled.” Zalewski v. Heckler, 760 F.2d 160, 162 n.2 (7th Cir. 1985) (citation omitted). The burden of proof is on the claimant through step four; only at step five does the burden shift to the Commissioner. Knight, 55 F.3d at 313.
In conducting the sequential analysis, the ALJ determined that Clifford had not engaged in
The ALJ then went on to discredit Clifford‘s testimony regarding her subjective complaints of pain, as well as her allegation of a total inability to work. Next, he determined that Clifford had no past relevant work or transferable work skills, which, in turn, led him to find that Clifford had the residual functional capacity to perform low stress light work,2 but with certain limitations.3 Because of Clifford‘s residual functional capacity, her age, education, and work experience, the Medical-Vocational Guidelines (“guidelines“) directed a conclusion that Clifford was not “disabled” as defined in the Social Security Act. Since Clifford‘s limitations did not allow her to perform the full range of light work, the ALJ alternatively relied on the guidelines as a framework for decision-making in conjunction with vocational expert testimony at step five of the evaluation. The ALJ found that there are significant jobs in the national economy that Clifford could perform. These jobs in Indiana include a hand packer, cook helper, and assembly worker.
On appeal, Clifford argues that (1) the ALJ improperly rejected the opinion of her treating physician, Dr. Andrew Combs; (2) the ALJ improperly evaluated her testimony regarding her subjective pain symptoms; (3) the ALJ erred in determining that she had the residual functional capacity to perform light work; and (4) the ALJ erred in failing to afford appropriate weight to the findings of other agencies regarding disability.
II
The Social Security Act,
A. Dr. Combs‘s Opinion
Clifford contends that the ALJ improperly rejected the disability findings of her treating physician, Dr. Combs. In his January 1997 report, Dr. Combs opined that Clifford was severely limited in her ability to perform any work requiring standing and walking. He also stated that Clifford could not perform any repetitive work due to her hand osteoarthritis and paresthesias. The ALJ declined to accord controlling weight to Dr. Combs‘s 1997 report on the grounds that it was unsupported by medical evidence and inconsistent with Clifford‘s description of her daily activities.
Prior to reaching this determination, the ALJ properly noted that more weight is generally given to the opinion of a treating physician because of his greater familiarity with the claimant‘s conditions and circumstances. See Whitney v. Schweiker, 695 F.2d 784, 789 (7th Cir. 1982);
Here, the ALJ stated that Clifford‘s description of her daily activities did not appear to preclude “all competitive work.” In support of this contention, the ALJ noted that Clifford walks six blocks, performs household chores, and shops. According to the ALJ, these activities were inconsistent with Dr. Combs‘s opinion
We have likewise insisted that an ALJ must not substitute his own judgment for a physician‘s opinion without relying on other medical evidence or authority in the record. Rohan, 98 F.3d at 968 (“[A]s this Court has counseled on many occasions, ALJs must not succumb to the temptation to play doctor and make their own independent medical findings.“); see
The ALJ also declined to give controlling weight to Dr. Combs‘s finding that Clifford is unable to perform repetitive work due to her hand osteoarthritis and paresthesisas. The ALJ noted that Dr. Combs indicated that Clifford has “mild” hand osteoarthritis and that her paresthesisas did not warrant an EMG test. The ALJ further noted that Clifford had no loss of hand functioning when examined August 16, 1995 (by Dr. Keech), and that a treatment note (from the Open Door Health Clinic) indicated that Clifford had “good grip” on January 18, 1996.
We note that Dr. Combs‘s 1997 report indicated that Clifford‘s bilateral hand pain had persisted for a year and a half before her examination (January 31, 1997). Dr. Keech‘s examination of Clifford apparently fell within that time period. In her report, Dr. Keech noted Clifford‘s
While internal inconsistencies may provide good cause to deny controlling weight to a treating physician‘s opinion, Knight, 55 F.3d at 314 (“Medical evidence may be discounted if it is internally inconsistent or inconsistent with other evidence” in the record), the ALJ here did not adequately articulate his reasoning for discounting Dr. Combs‘s opinion. Diaz, 55 F.3d at 308. In particular, the ALJ did not explain why these statements were necessarily inconsistent with Dr. Combs‘s finding regarding the disabling effect of Clifford‘s combined hand osteoarthritis and paresthesisas. Moreover, the ALJ did not, but should have, considered all relevant evidence (including Clifford‘s complaints of disabling pain) in weighing whether Clifford is disabled from repetitive work as found by Dr. Combs. Herron, 19 F.3d at 333 (noting that ALJ may not “select and discuss only that evidence that favors his ultimate conclusion“). In light of these errors, the ALJ must reevaluate whether Dr. Combs‘s disability findings are entitled to controlling weight.
B. Clifford‘s Testimony
Clifford contends that the ALJ improperly evaluated her testimony regarding her disabling pain. The ALJ supposedly did not find Clifford‘s testimony credible because it was contradicted by her daily activities and the medical evidence of record. However, the ALJ must consider a claimant‘s subjective complaint of pain if supported by medical signs and findings. Scivally, 966 F.2d at 1077;
If the allegation of pain is not supported by the
objective medical evidence in the file and the claimant indicates that pain is a significant factor of his or her alleged inability to work, then the ALJ must obtain detailed descriptions of claimant‘s daily activities by directing specific inquiries about the pain and its effects to the claimant. She must investigate all avenues presented that relate to pain, including claimant‘s prior work record information and observations by treating physicians, examining physicians, and third parties. Factors that must be considered include the nature and intensity of claimant‘s pain, precipitation and aggravating factors, dosage and effectiveness of any pain medications, other treatment for the relief of pain, functional restrictions, and the claimant‘s daily activities.
Luna, 22 F.3d at 691 (citation omitted). Although an ALJ‘s credibility determination is usually entitled to deference, “when such determinations rest on objective factors or fundamental implausibilities rather than subjective considerations [such as a claimant‘s demeanor], appellate courts have greater freedom to review the ALJ‘s decision.” Herron, 19 F.3d at 335.
Here, the ALJ stated, in a conclusory manner, that Clifford‘s testimony regarding the limitations placed on her daily activities was unsupported by the medical evidence. However, the record is replete with instances where Clifford sought medical treatment for pain symptoms related to her physical impairments, including the arthritic condition for which she is taking pain medication. While the ALJ is not required to address every piece of evidence, he must articulate some legitimate reason for his decision. See id. at 333. Most importantly, he must build an accurate and logical bridge from the evidence to his conclusion. Green v. Apfel, 204 F.3d 780, 781 (7th Cir. 2000); Groves v. Apfel, 148 F.3d 809, 811 (7th Cir. 1998).
In this case, the ALJ does not explain why the objective medical evidence does not support Clifford‘s complaints of disabling pain. Rather, the ALJ merely lists Clifford‘s daily activities as substantial evidence that she does not suffer disabling pain. This is insufficient because minimal daily activities, such as those in issue, do not establish that a person is capable of engaging in substantial physical activity. See Thompson v. Sullivan, 987 F.2d 1482, 1490 (10th Cir. 1993) (ruling that the ALJ may not rely on minimal daily activities as substantial evidence that claimant does not suffer disabling pain). For example, Clifford testified that her typical household chores took her only about two hours to complete. Clifford indicated that she had to rest
At this juncture, we lack a sufficient basis upon which to uphold the ALJ‘s credibility determination. On remand, the ALJ must conduct a reevaluation of Clifford‘s complaints of pain, with due regard for Dr. Combs‘s opinion and the full range of medical evidence.
C. Residual Functional Capacity
Clifford further contends that the ALJ‘s finding that she had the residual functional capacity7 to perform light work is unsupported by the record evidence. Before we address this argument, however, we revisit step three of the sequential analysis because we believe further proceedings are necessary for a redetermination of a multiple impairments analysis.
From the record, it appears that the ALJ failed to consider at step three the disabling effect of Clifford‘s weight problem on her overall condition. The regulations require the agency to consider the combined effect of all of the claimant‘s ailments, regardless of whether “any such impairment, if considered separately, would be of sufficient severity.”
Because the record does not indicate that the ALJ properly considered the aggregate effect of all Clifford‘s ailments, we believe a redetermination of a multiple impairments analysis is necessary. If the ALJ believes that he lacks sufficient evidence to make a decision, he must adequately develop the record and, if necessary, obtain expert opinions. See Nelson v. Apfel, 131 F.3d 1228, 1235 (7th Cir. 1997); Luna, 22 F.3d at 692-93.
Turning to Clifford‘s argument on the residual functional capacity, once the ALJ determined that Clifford had no past relevant work, he was required to establish that Clifford has the capability of performing other work in the national economy. Tom v. Heckler, 779 F.2d 1250 (7th Cir. 1984). The ALJ determined that Clifford retained the residual functional capacity to do a limited range of light work during an eight-hour workday. This finding must be supported by substantial evidence in the record. Here, the ALJ, without sufficient reason, disregarded significant conflicting evidence--for example, Dr. Combs‘s opinion, Clifford‘s complaints of pain, her weight problem, and her limited activities--in making his residual functional capacity determination. For meaningful appellate review, however, we must be able to trace the ALJ‘s path of reasoning. See Rohan, 98 F.3d at 971 (noting that ALJ‘s explanation must take into account significant evidence that would support
Because we believe that the ALJ erred in giving little or no weight to (1) Dr. Combs‘s opinion and (2) Clifford‘s complaints of pain (as well as other conflicting evidence), further proceedings are necessary for redetermination of Clifford‘s residual functional capacity should the ALJ‘s reevaluation reach step five.
D. Disability Finding of Other Agencies
Clifford finally contends that the ALJ should have assigned some weight to the fact that an Indiana state agency found her disabled and eligible for medicaid benefits. However, the ALJ is not bound by findings made by either a governmental or nongovernmental agency concerning whether the claimant is disabled. See
III
For the reasons stated above, the judgment of the district court, upholding the Commissioner‘s decision to deny benefits to Clifford, is REVERSED, and the case is REMANDED for further proceedings consistent with this opinion. We also suggest that the Social Security Administration transfer the case to a different ALJ on remand. See Sarchet v. Chater, 78 F.3d 305, 309 (7th Cir. 1996).
