Goodwin v. Kijakazi ( 2021 )


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  • Case: 21-60225     Document: 00516083346          Page: 1    Date Filed: 11/05/2021
    United States Court of Appeals
    for the Fifth Circuit                           United States Court of Appeals
    Fifth Circuit
    FILED
    November 5, 2021
    No. 21-60225
    Lyle W. Cayce
    Clerk
    Kathryn Goodwin,
    Plaintiff—Appellant,
    versus
    Kilolo Kijakazi, Acting Commissioner of Social
    Security,
    Defendant—Appellee.
    Appeal from the United States District Court
    for the Northern District of Mississippi
    USDC No. 1:20-cv-38
    Before Higginbotham, Smith, and Ho, Circuit Judges.
    Per Curiam:*
    Kathryn Goodwin appeals the final administrative denial of her
    application for disability insurance benefits under Title II of the Social
    Security Act, 
    42 U.S.C. § 423
    (d). In her application, Goodwin alleged
    disability beginning January 15, 2017, as a result of the following physical
    *
    Pursuant to 5th Circuit Rule 47.5, the court has determined that this
    opinion should not be published and is not precedent except under the limited
    circumstances set forth in 5th Circuit Rule 47.5.4.
    Case: 21-60225      Document: 00516083346          Page: 2    Date Filed: 11/05/2021
    No. 21-60225
    conditions: back surgery, knee replacement surgery, high blood pressure,
    pain, depression, and acid reflux. After Goodwin’s application was denied,
    an administrative hearing was held at her request on January 30, 2019. At
    that hearing, Goodwin was represented by counsel and provided testimony,
    along with her husband and an impartial vocational expert, regarding the
    nature of Goodwin’s physical limitations, her past relevant work, and the
    feasibility of her working in the future. The administrative law judge
    subsequently issued another denial of Goodwin’s application, finding that
    she is not disabled as defined by sections 216(i) and 223(d) of the Social
    Security Act. The Appeals Council of the Social Security Administration
    declined to review the ALJ’s denial, making it the Commissioner’s final
    administrative decision. Goodwin then requested judicial review. The
    district court affirmed, and Goodwin timely appealed under 
    28 U.S.C. § 1291
    .
    The Commissioner’s final administrative decision to deny disability
    benefits under 
    42 U.S.C. § 405
    (g) is granted great deference and will only be
    reversed if the decision is not supported by substantial evidence in the record
    or is based on an error of law. See, e.g., Randall v. Astrue, 
    570 F.3d 651
    , 655
    (5th Cir. 2009); Estate of Morris v. Shalala, 
    207 F.3d 744
    , 745 (5th Cir. 2000);
    Leggett v. Chater, 
    67 F.3d 558
    , 564 (5th Cir. 1995); Martinez v. Chater, 
    64 F.3d 172
    , 173 (5th Cir. 1995). Under this standard, “[t]he agency’s findings of fact
    are conclusive unless any reasonable adjudicator would be compelled to
    conclude to the contrary.” Nasrallah v. Barr, 
    140 S. Ct. 1683
    , 1692 (2020)
    (citations and quotations omitted). “Substantial evidence” requires “more
    than a scintilla [of evidence], but it need not be a preponderance.” Leggett,
    
    67 F.3d at 564
     (quoting Anthony v. Sullivan, 
    954 F.2d 289
    , 295 (5th Cir.
    1992)).
    The doctrine of harmless error applies to administrative rulings. See
    Shinseki v. Sanders, 
    556 U.S. 396
    , 407–08 (2009). We will not reverse an
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    administrative judgment unless the substantive rights of a party have been
    affected. See, e.g., Jones v. Astrue, 
    691 F.3d 730
    , 734 (5th Cir. 2012); Audler
    v. Astrue, 
    501 F.3d 446
    , 448 (5th Cir. 2007); Castillo v. Barnhart, 
    325 F.3d 550
    , 552 (5th Cir. 2003).
    The primary question we must address here is whether the ALJ’s
    misunderstanding of a portion of the medical findings by the state agency
    medical consultant constitutes reversible error. For the reasons discussed
    below, we find that it does not.
    In response to Goodwin’s application, the state agency medical
    consultant, Dr. William Hand, reviewed the medical evidence of record to
    determine Goodwin’s residual functional capacity. Based on his review, Dr.
    Hand determined that although Goodwin suffers from various physical
    limitations, she is not disabled as defined by the Social Security Act. For
    instance, among other things, Dr. Hand specifically found that Goodwin is
    capable of occasionally lifting and carrying up to twenty pounds, frequently
    lifting and carrying up to ten pounds, standing and walking for up to two
    hours in an eight-hour workday, sitting for a total of approximately six hours
    in an eight-hour workday, and occasionally climbing stairs, stooping,
    kneeling, and crouching.
    During Goodwin’s administrative hearing on January 30, 2019,
    vocational expert Brenda White was called to testify regarding the nature of
    Goodwin’s past relevant work and whether an individual with Goodwin’s
    physical limitations could continue to perform in that capacity. White based
    her testimony on a review of the record and her professional expertise.
    Goodwin did not object to White’s testimony nor to her classification of
    Goodwin’s past relevant work as a background investigator, as described in
    the Dictionary of Occupational Titles (DOT) code 241.267-030, and real estate
    agent, as described in DOT code 250.257-018.            White opined that an
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    individual matching the characterization in Dr. Hand’s assessment is able to
    work as a background investigator.
    The Social Security Administration has established a five-step
    sequential evaluation process to determine whether a claimant is qualified to
    receive Social Security disability benefits. 
    20 C.F.R. § 404.1520
    (a). If it is
    determined that a claimant is or is not disabled at any step in the evaluation
    process, the evaluation is over and does not proceed to the next step. The
    five steps require analysis of the following: (1) whether the claimant is
    engaged in substantial gainful activity; (2) whether the claimant suffers from
    a “severe” medically determinable impairment or combination of
    impairments; (3) whether that severity rises to a level that medically equals
    the criteria of an impairment listed within Appendix 1 of the regulation; (4)
    whether the claimant has the residual functional capacity to perform her past
    relevant work from within the last 15 years; and (5) whether the claimant is
    capable of performing any other work, considering her residual functional
    capacity, age, education, and work experience. 
    Id.
    Based on the assessment by Dr. Hand and testimony of the vocational
    expert, the ALJ found that Goodwin is capable of performing the full range
    of “light work” as defined by the Social Security Administration. See Social
    Security Ruling (SSR) 83-10, 
    1983 WL 31251
    . This would include her past
    work as either a real estate agent or background investigator. Accordingly,
    the ALJ concluded that Goodwin fails to satisfy the disability requirements
    at step 4.
    In reaching this conclusion, the ALJ misunderstood one of Dr. Hand’s
    findings. While Dr. Hand determined that Goodwin was capable of standing
    or walking for up to two hours per workday, as consistent with sedentary
    exertion, the ALJ mistakenly read his assessment to have found that Goodwin
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    is capable of standing or walking for up to six hours per workday, as consistent
    with light exertion.
    But this error is not reversible. Had the ALJ correctly applied Dr.
    Hand’s assessment to find that Goodwin is capable of standing or walking for
    up to only two hours per workday, this would still qualify her to perform
    “sedentary work.” See SSR 83-10, 
    1983 WL 31251
    . As White testified during
    the administrative hearing, Goodwin’s past work as background investigator
    is defined as sedentary work under DOT code 241.267-030. This description
    matches the one provided by Goodwin in her application to the Social
    Security Administration, and she did not object to White’s characterization
    of it as such during her administrative hearing. Consequently, even in the
    absence of the ALJ’s error, Goodwin’s application still would have failed to
    satisfy the disability requirements at step 4 of the evaluation process on the
    basis of Dr. Hand’s findings and White’s testimony.
    Goodwin argues that the ALJ also erred in relying on Dr. Hand’s
    assessment rather than that of her own physician, Dr. Edwards. But Dr.
    Edwards’s assessments also support a finding that she is capable of sedentary
    work. On June 12, 2017, roughly five months after the alleged onset of
    Goodwin’s disability, Dr. Edwards evaluated her and concluded that:
    She can do sedentary work with some limitations on that. . . .
    Once again, she is disabled, but not completely disabled. She
    has severe limitations and restrictions on what she can do. I am
    not convinced that she will be able to pursue employment [at]
    an office type setting; however, if she had the opportunity to
    pursue gainful employment [at] her home environment where
    she can have her restrictions in combinations better managed.
    She will likely do really, really well with that.
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    This is the only medical assessment from Dr. Edwards after the
    alleged onset of Goodwin’s disability and before the Commissioner’s denial
    of her application. While Dr. Edwards did not make any new clinical findings
    at that appointment, his evaluation similarly supports a finding that Goodwin
    can perform sedentary work with certain limitations. This interpretation of
    Dr. Edwards’s valuation is corroborated by White’s testimony at the
    administrative hearing on January 30, 2019. At that hearing, White was asked
    a series of hypotheticals based on the distinct assessments by Dr. Hand and
    Dr. Edwards. White concluded that Goodwin’s past work as a background
    investigator would remain available to an individual who met the physical
    limitations and general characterization provided by either Dr. Hand or Dr.
    Edwards.
    For these reasons, we affirm.
    6