Rucker v. Shalala

Decision Date06 July 1995
Docket NumberNo. IP94-1085-C-T/G.,IP94-1085-C-T/G.
Citation894 F. Supp. 1209
PartiesHelen L. RUCKER, Plaintiff, v. Donna E. SHALALA, Secretary of Health and Human Services, Defendant.
CourtU.S. District Court — Southern District of Indiana

COPYRIGHT MATERIAL OMITTED

COPYRIGHT MATERIAL OMITTED

Jamie Andree, Legal Services Organization of Ind., Bloomington, IN, for plaintiff.

Thomas E. Kieper, Asst. U.S. Atty., Office of U.S. Atty., Indianapolis, IN, for defendant.

ENTRY AFFIRMING SECRETARY'S DENIAL OF BENEFITS

TINDER, District Judge.

This matter comes before the court for review of a denial of Supplemental Security Income ("SSI") benefits and Disability Insurance Benefits ("DIB") to the Plaintiff, Helen Rucker ("Rucker"), by Donna E. Shalala, the Secretary of the Health and Human Services (the "Secretary"). The court, having considered the submissions and briefs of the parties, finds that the Secretary's denial of benefits should be AFFIRMED for the reasons set forth below.

I. PROCEDURAL AND FACTUAL BACKGROUND

This case involves the unique issue of administrative res judicata. Although the concept embodies the traditional notions of res judicata, its application is much more controversial and unique. Although the Administrative Law Judge ("ALJ") did consider this legal concept in arriving at his conclusion, the issue will be discussed in more depth in the instant entry.

Rucker was born July 23, 1940. She is a high school graduate and attended one year of nursing school, becoming a Licensed Practical Nurse ("LPN") in 1966. Rucker last worked on April 7, 1988 and has not looked for work since that date. Specifically, Rucker alleges that pain in her right hand, in combination with other symptoms, has prevented her from working since April of 1988 and, therefore, she should receive SSI and DIB.

Rucker originally applied for DIB and SSI on April 29, 1988. (R. 305.) This application was denied initially and on reconsideration. On June 14, 1989, a hearing was held regarding her claim for benefits. (R. 305-11.) On July 28, 1989, the ALJ issued a decision that Rucker was not "disabled" as defined by the Social Security Act ("SSA"). The ALJ found that Rucker suffered from obesity, bilateral patello femoral disease and possible tendinitis of the right arm. Although the ALJ found her unable to return to her past relevant work as an LPN, he found that she had the residual functional capacity ("RFC") for sedentary work. (R. 311.) On March 19, 1990, the Appeals Council affirmed the ALJ's decision. (R. 314-15.) On July 2, 1993, the district court affirmed the decision of the Secretary denying Rucker benefits. Rucker v. Shalala, IP 90-1372-C (S.D.Ind. July 2, 1993).

On April 10, 1992, Rucker reapplied for DIB and SSI. After initial and reconsideration denials, the claimant filed a timely request for a hearing on October 27, 1992. On May 18, 1993, a hearing was conducted. (R. 54-83.) On December 21, 1993, the ALJ issued a decision denying the claimant benefits. (R. 25, 28-43.) The Appeals Council denied two requests for reopening by Rucker. (R. 18-20.) Subsequently, Rucker filed this appeal, seeking judicial review of the Secretary's decision. On January 23, 1995, Plaintiff filed a brief in support of her appeal. On March 1, 1995, the Secretary filed a brief in opposition. On March 14, 1995, Plaintiff filed a reply brief.

II. SECRETARY'S DECISION

"Disability" is defined by the Social Security Act as "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 twelve months." 42 U.S.C. § 423(d)(2)(A) (1988); see also 42 U.S.C. § 1382c(a)(3)(B) (1988 & Supp.1994).

In determining whether to grant disability benefits, the Secretary and the courts make a five-step inquiry:

(1) whether the claimant was prevented from performing any substantial, gainful activity;
(2) whether the claimant has a severe impairment or a combination of impairments preventing performance of any substantial gainful activity;
(3) whether the claimant's impairment meets or equals an impairment listed in the regulations, or whether the combination of the claimant's impairments meets or equals any listing;
(4) whether the claimant is unable to perform any of his of her past jobs; and
(5) whether the claimant is unable to perform any other work in the national economy in light of the claimant's age, education and work experience.

See 20 C.F.R. § 404.1520 (1994); Bowen v. Yuckert, 482 U.S. 137, 140-42, 107 S.Ct. 2287, 2290-91, 96 L.Ed.2d 119 (1987).

The claimant has the burden of establishing proof regarding steps (1) through (4) of the five step inquiry.1 If those requirements are met, step (5) mandates that the burden then shifts to the Secretary to prove that the claimant is capable of performing work existing in the national economy in light of his or her age, education and past work experience. Ray v. Bowen, 843 F.2d 998, 1001 (7th Cir.1988); Walker v. Bowen, 834 F.2d 635, 640 (7th Cir.1987).

With regard to Rucker's request for SSI and DIB, the ALJ made the following findings:

1. Claimant met disabled insured status from April 7, 1988, until September 30, 1991.2
2. Claimant has not worked since April 7, 1988.
3. Although the claimant has severe impairments, they do not rise to the required level of the applicable Listings in 20 C.F.R. pt. 404, subpt. P, app. 1.
4. Claimant's subjective complaints are not credible.
5. Claimant has an RFC of medium and can perform her past relevant work.
6. Claimant is not disabled.

(R. 42.) Based upon these findings, the ALJ concluded that Rucker was not entitled to the requested DIB and SSI benefits.

III. STANDARD OF REVIEW

In reviewing the Secretary's decision, the district court must determine whether the record as a whole supports that decision. 42 U.S.C. § 405(g) (1988); Burnett v. Bowen, 830 F.2d 731, 734 (7th Cir.1987). If the Secretary's findings are supported by substantial evidence in the record, the court must affirm unless there is an error of law. Waite v. Bowen, 819 F.2d 1356, 1360 (7th Cir.1987). Substantial evidence is relevant evidence that a reasonable mind might accept as adequate to support a conclusion. Farrell v. Sullivan, 878 F.2d 985, 990 (7th Cir.1989); Burnett, 830 F.2d at 734. Even if the case could have gone the other way, the court cannot decide new facts, reweigh the evidence, nor substitute its own judgment for that of the Secretary. Scivally v. Sullivan, 966 F.2d 1070, 1075 (7th Cir.1992); Farrell, 878 F.2d at 990. Neither may the court reconsider credibility determinations by the ALJ. Prince v. Sullivan, 933 F.2d 598, 601-02 (7th Cir.1991). Hence, a plaintiff's proof must show that no reasonable person, based upon the record as a whole, could have found as the Secretary did.

IV. DISCUSSION
A. Overview

Rucker alleges the following conditions prevent her from working: (1) back, leg, knee and right hand pain; and (2) uncontrolled hypertension.3 Although she suffers from thyroid disease, this disorder is effectively controlled through medication. (Pl.'s Br. at 5.)

Rucker alleges three reasons why the ALJ's decision is not supported by substantial evidence. First, the claimant contends that the ALJ's findings violated the doctrine of res judicata. (Pl.'s Br. at 10.) The basis of this argument is that the ALJ determined Rucker's RFC to be medium work, which allows her to return to her past work as an LPN. Rucker alleges that this conflicts with the decision on her previous claim. Although that prior decision also denied her disability benefits, Rucker's RFC was determined by the prior ALJ to be limited to sedentary work. Second, the claimant contends that the ALJ did not properly consider her allegations of subjective pain. (Pl.'s Br. at 13.) Finally, Rucker alleges that the ALJ incorrectly determined her testimony concerning her physical pain to be not credible. (Pl.'s Br. at 15.)

B. Applicable Five Step Analysis

The ALJ conducted the appropriate five step analysis.

Step One

At step (1), the ALJ found that the claimant has not performed any substantial gainful activity since she stopped working in 1988. Step (1) is found in favor of the claimant and this is not disputed by the parties.

Step Two

At step (2), the ALJ found severe impairments regarding her alleged symptoms. Step (2) was found in favor of the claimant and the parties do not dispute this issue.

Step Three

At step (3), the ALJ determined the applicable Listings to be 1.05, 9.09, 1.03, 1.09 and 4.03.4 The parties do not dispute that these are the applicable Listings. Additionally, the parties do not dispute that the Plaintiff does not meet the required level of the listed impairments.

Step Four

At step (4), the ALJ determined that the claimant could perform her past relevant work as an LPN. In order to make this determination, the ALJ concluded that the claimant had an RFC for medium level work activity. Plaintiff alleges that the ALJ was precluded by the doctrine of res judicata from making any determination as to her RFC. Plaintiff argues that, based upon a previous decision concerning her RFC, the ALJ is limited to finding that she only has an RFC to perform sedentary work.

Step Five

Although a finding at step (4) that the claimant can return to her past relevant work is sufficient to deny the claimant benefits, the ALJ continued to step (5). At step (5), the ALJ determined that the claimant possesses skills transferable to the position of medical assistant. The claimant disputes this finding. Plaintiff's arguments regarding the ALJ's findings at steps four and five of the inquiry will be addressed in turn.

C. Res Judicata

Res judicata is comprised of two concepts: claim preclusion and collateral estoppel. Collateral estoppel is commonly referred to as issue preclusion. 18 CHARLES A. WRIGHT, ARTHUR R. MILLER & EDWARD H....

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