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Audler v. Astrue

United States Court of Appeals, Fifth Circuit
Sep 21, 2007
501 F.3d 446 (5th Cir. 2007)

Summary

holding the ALJ erred by summarily concluding that the claimant's impairments did not meet or equal a listed impairment, without identifying the listed impairment for which the claimant's symptoms failed to qualify or providing any explanation as to how she reached her conclusion

Summary of this case from Russo v. Saul

Opinion

No. 07-60187 Summary Calendar.

September 21, 2007.

John Frederick Ketcherside, Jackson, TN, for Audler.

Stephen E. Graben, Asst. U.S. Atty., Gulfport, MS, for Astrue.

Appeal from the United States District Court for the Southern District of Mississippi.

Before JOLLY, DENNIS and PRADO, Circuit Judges.


Justine Audler filed an application for disability insurance benefits on account of back and neck problems, migraine headaches, and depression. After a hearing, an Administrative Law Judge found that Audler was capable of performing her past work, and could also perform other sedentary level jobs, which exist in significant numbers in the national and local economy. The ALJ therefore denied Audler's claim, finding that Audler was not disabled within the meaning of the Social Security Act. The Appeals Council denied Audler's request for review and the district court, on recommendation from the magistrate judge, affirmed the Commissioner's decision. Audler then filed this appeal arguing that the decision denying her benefits was not supported by substantial evidence and that the Administration failed to follow its own legal standards in considering her claim.

In reviewing the Commissioner's determination, we consider only whether the Commissioner applied the proper legal standards and whether substantial evidence in the record supports the decision to deny benefits. See Greenspan v. Shalala, 38 F.3d 232, 236 (5th Cir. 1994). Substantial evidence is "more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Richardson v. Perales, 402 U.S. 389, 401, 91 S.Ct. 1420, 28 L.Ed.2d 842 (1971) (internal quotation marks and citation omitted). We may not reweigh the evidence or substitute our judgment for that of the Commissioner. Hollis v. Bowen, 837 F.2d 1378, 1383 (5th Cir. 1988).

I.

In evaluating a disability claim, the Commissioner conducts a five-step sequential analysis to determine whether (1) the claimant is presently working; (2) the claimant has a severe impairment; (3) the impairment meets or equals an impairment listed in appendix 1 of the social security regulations; (4) the impairment prevents the claimant from doing past relevant work; and (5) the impairment prevents the claimant from doing any other substantial gainful activity. If, at any step, the claimant is determined to be disabled or not disabled, the inquiry is terminated. Lovelace v. Bowen, 813 F.2d 55, 58 (5th Cir. 1987). The claimant bears the burden of showing she is disabled through the first four steps of the analysis; on the fifth, the Commissioner must show that there is other substantial work in the national economy that the claimant can perform.

At step three, the ALJ summarily concluded that "[t]he medical evidence indicates that the claimant has status post lumbar laminectomy, cervical disc herniation, headaches and chronic neck and back pain, impairments that are severe within the meaning of the Regulations but not severe enough to meet or medically equal one of the impairments listed in Appendix 1, Subpart P, Regulations No. 4." The ALJ did not identify the listed impairment for which Audler's symptoms fail to qualify, nor did she provide any explanation as to how she reached the conclusion that Audler's symptoms are insufficiently severe to meet any listed impairment. "Such a bare conclusion is beyond meaningful judicial review." Clifton v. Chater, 79 F.3d 1007, 1009 (10th Cir. 1996).

Indeed the magistrate judge and the district court both affirmed the Commissioner based on the finding that substantial evidence sup ported the ALJ's determination at steps 4 and 5, without first addressing her finding at step 3.

Under the Social Security Act,

[t]he Commissioner of Social Security is directed to make any findings of fact, and decisions as to the rights of any individual applying for a payment under this subchapter. Any such decision by the Commissioner of Social Security, which involves a determination of disability and which is in whole or in part unfavorable to such individual shall contain a statement of the case, in understandable language, setting forth a discussion of the evidence, and stating the Commissioner's determination and the reason or reasons upon which it is based.

42 U.S.C. § 405(b)(1). By the explicit terms of the statute, the ALJ was required to discuss the evidence offered in support of Audler's claim for disability and to explain why she found Audler not to be disabled at that step. Although the ALJ is not always required to do an exhaustive point-by-point discussion, in this case, the ALJ offered nothing to support her conclusion at this step and because she did not, "we, as a reviewing court, simply cannot tell whether her decision is based on substantial evidence or not." Cook v. Heckler, 783 F.2d 1168, 1172 (4th Cir. 1986).

Having determined that the ALJ erred in failing to state any reason for her adverse determination at step 3, we must still determine whether this error was harmless. Morris v. Bowen, 864 F.2d 333, 334 (5th Cir. 1988). "Procedural perfection in administrative proceedings is not required" as long as "the substantial rights of a party have not been affected." Mays v. Bowen, 837 F.2d 1362, 1364 (5th Cir. 1988). Audler contends, inter alia, that her disability meets the Listing level criteria as set forth in 20 C.F.R. Part 404, Subpart P, Appendix 1, § 1.04 with respect to spinal disorders, which, as applicable to this case, requires a "herniated nucleus pulposus . . . [w]ith [e]vidence of nerve root compression characterized by neuroanatomic distribution of pain, limitation of motion of the spine, motor loss (atrophy with associated muscle weakness) accompanied by sensory or reflex loss and, if there is involvement of the lower back, positive straight-leg raising test." To demonstrate the required loss of function for a musculoskeletal impairment, Audler must demonstrate either an "inability to ambulate effectively on a sustained basis . . ., or the inability to perform fine and gross movements effectively on a sustained basis." 20 C.F.R. Part 404, Subpt. P, App.1. § 1.00(B)(2).

The record indicates that Audler submitted a diagnostic checklist from her treating physician, Dr. Purser, an orthopedic surgeon, indicating that Audler had most of the symptoms of nerve root compression (including motor loss, limitation of motion of the spine, and sensory loss) and that she had a positive straight-leg raising test. Dr. Purser concluded that Audler cannot stand or walk for more than 10 or 15 minutes per day without experiencing lower back pain, that she must be able to recline at will during the day for relief of pain, and that she experiences severe migraine headaches once or twice a week that require her to recline in a quiet darkened room. No medical evidence was introduced to contradict these findings. Absent some explanation from the ALJ to the contrary, Audler would appear to have met her burden of demonstrating that she meets the Listing requirements for § 1.04A, and therefore her substantial rights were affected by the ALJ's failure to set out the bases for her decision at step three.

Audler submitted a second diagnostic checklist from Dr. Trieu, which supported Dr. Purser's findings.

The Administration suggests that the ALJ discredited Dr. Purser's opinion because he was not her "treating physician" and because his office notes do not record any clinical findings with respect to her complaints of migraines or neck pain. The ALJ's decision, however, specifically notes that Dr. Purser "treated the claimant between March 2001 and January 2002. . . ." and provides no rationale for discounting his opinion.

Because we vacate and remand for additional proceedings at step three, we need not reach Audler's additional arguments.

II.

The judgment of the district court is VACATED, and the case is REMANDED to the district court with directions to remand to the Commissioner for further proceedings consistent with this opinion.

VACATED and REMANDED.


Summaries of

Audler v. Astrue

United States Court of Appeals, Fifth Circuit
Sep 21, 2007
501 F.3d 446 (5th Cir. 2007)

holding the ALJ erred by summarily concluding that the claimant's impairments did not meet or equal a listed impairment, without identifying the listed impairment for which the claimant's symptoms failed to qualify or providing any explanation as to how she reached her conclusion

Summary of this case from Russo v. Saul

holding that a finding by an ALJ that a claimant did not have a listed impairment was not harmless when "[n]o medical evidence was introduced to contradict" plaintiff's evidence that she had an impairment

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holding that "procedural perfection in administrative proceedings is not required as long as the substantial rights of a party have not been affected"

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holding that "the ALJ erred in failing to state any reason for her adverse determination at step 3"

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holding that the "ALJ erred in failing to state any reason for her adverse determination at step 3"

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finding that the ALJ's failure to identify listed impairments or to "provide any explanation as to how she reached the conclusion that [the plaintiff's] symptoms [were] insufficiently severe to meet any listed impairment" prevented a meaningful judicial review

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finding that all musculoskeletal impairments under Listing 1.00 require such proof

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finding that the ALJ erred in failing to state any reason for her adverse step-three determination, but the court "must still determine whether this error was harmless"

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finding that all musculoskeletal impairments under Listing 1.00 require such proof

Summary of this case from Soles v. Colvin

finding error not harmless when plaintiff submitted a diagnostic checklist from her treating physician meeting elements of Listing 1.04A and no medical evidence contradicted these findings, stating that, "[a]bsent some explanation from the ALJ to the contrary, [plaintiff] would appear to have met her burden of demonstrating that she meets the Listing requirements for § 1.04A"

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finding legal error where "the ALJ offered nothing to support her conclusion at ... step [three]," and as a result, the Court "simply [could not] tell whether her decision [was] based on substantial evidence or not"

Summary of this case from Grays v. Colvin

concluding that although "an exhaustive point-by-point discussion" is not required, the ALJ's analysis must make clear that their decision is based on substantial evidence

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reversing when Plaintiff met burden to show that ALJ's error of not properly explaining the decision affected her substantial rights

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reversing because the ALJ provided no explanation for the conclusion that plaintiff's impairments were not severe, and "such a bare conclusion [was] beyond meaningful judicial review."

Summary of this case from Galvan v. Berryhill

reversing where "[t]he ALJ did not identify the listed impairment for which [the claimant's] symptoms fail to qualify, nor did she provide any explanation as to how she reached the conclusion that [the claimant's] symptoms are insufficiently severe to meet any listed impairment"

Summary of this case from Herreid v. Colvin

reversing a ALJ's decision on the basis that he failed to explain the reasons for his decision that the claimant did not meet a listing at step three in adequate detail to allow "meaningful appellate review"

Summary of this case from Harris v. Colvin

recognizing that, even if an error occurred, "it is harmless as long as 'the substantial rights of a party have not been affected'"

Summary of this case from Whitaker v. Colvin

recognizing that, even if an error occurred, it is harmless "as long as 'the substantial rights of a party have not been affected'"

Summary of this case from Whitaker v. Colvin

declining to find lack of step-three explanation harmless where claimant carried her burden of showing that she met a listing

Summary of this case from Forrest v. Comm'r of Soc. Sec.

explaining that 42 U.S.C. § 405(b) "explicit[ly]" required the ALJ to explain why she found the claimant not disabled at step three

Summary of this case from Forrest v. Comm'r of Soc. Sec.

noting that “ ‘procedural perfection in administrative proceedings is not required’ as long as ‘the substantive rights of a party have not been affected’ ”

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noting that “‘procedural perfection in administrative proceedings is not required' as long as ‘the substantive rights of a party have not been affected.'”

Summary of this case from Flores v. Kijakazi

In Audler, in considering whether a Step Three error was harmless, the Fifth Circuit reviewed the evidence to determine whether the claimant had demonstrated that she satisfied all the criteria of the Listing at issue. Audler, 501 F.3d at 448-49.

Summary of this case from Locker v. Comm'r of Soc. Sec. Admin.

In Audler v. Astrue, 501 F.3d 446 (5th Cir. 2007), the Fifth Circuit reversed the ALJ's determination of non-disabled and held that the plaintiff met her burden of demonstrating that she met the Listing requirements for § 1.04(A), where plaintiff submitted a diagnostic checklist from her treating physician indicating that she had most of the symptoms of nerve root compression.

Summary of this case from Lloyd v. Soc. Sec. Admin.

In Audler, the Fifth Circuit simply held that the plaintiff's prima facie showing that appeared to satisfy the Listing was sufficient.

Summary of this case from Frazier v. Saul
Case details for

Audler v. Astrue

Case Details

Full title:Justene M. AUDLER, Plaintiff-Appellant, v. Michael J. ASTRUE, Commissioner…

Court:United States Court of Appeals, Fifth Circuit

Date published: Sep 21, 2007

Citations

501 F.3d 446 (5th Cir. 2007)

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