KKC v. Colvin

Ruth M. Carter, argued, Columbia, MO, for appellant.

Marisa Silverman, Social Security Administration, argued, Dallas, TX, Mary C. Luxa, AUSA, on the brief, Des Moines, IA, for appellee.

Before WOLLMAN, BRIGHT, and COLLOTON, Circuit Judges.

WOLLMAN, Circuit Judge.

Robert Dean Carter applied for disability insurance benefits and supplemental security income under the Social Security Act. An administrative law judge (ALJ) denied his application, concluding that Carter was not disabled because he did not have an impairment or combination of impairments that met or medically equaled one of the listed impairments and because Carter had the residual functional capacity (RFC) to perform a limited range of sedentary work. The Appeals Council denied Carter's request for review. Carter later died, and his daughter, KKC, sought judicial review of the denial of disability insurance benefits. KKC now appeals the district court's¹ judgment affirming the denial of benefits. We affirm.

I. Background

Carter was born on July 21, 1978. He had an eleventh-grade education and had past relevant work experience as a waiter, a cook, an electrician helper, a fast-food manager, and a fast-food worker. Carter had been a heavy smoker, but after being diagnosed with congestive heart failure, he reduced the number of cigarettes he smoked from two or three packs per day to approximately ten cigarettes per day.

Carter applied for disability insurance benefits and supplemental security income on March 18, 2011, alleging a disability onset date of July 15, 2009. Carter stopped working on May 2, 2010. He claimed that heart failure and reliance on a defibrillator rendered him disabled. According to function reports completed by Carter and his fiancée in August 2010, Carter was able to prepare meals, play with their children, wash clothes and dishes, drive, play video games and cards, watch television, and visit friends. Carter and his fiancée also stated that Carter became exhausted easily and could not stand for more than half an hour at a time.

A. Heart Failure

On July 29, 2009, Carter was admitted to the hospital because of shortness of breath after minimal exertion. He was discharged a week later, having been diagnosed with chest pain, dilated cardiomyopathy, congestive heart failure, mitral regurgitation, nonsustained ventricular tachycardia, and hypertension. Carter's left ventricular ejection fraction (EF) was twenty percent. Carter eventually resumed working full time at a fast-food restaurant.

On May 3, 2010, Carter was admitted to the Iowa Heart Center Hospital because of chest pain, fatigue, and shortness of breath. His EF had dropped to ten percent. The attending physician referred Carter to the University of Iowa's heart transplant program, but advised that Carter would not be eligible for a heart transplant unless he quit smoking and underwent psychiatric evaluation. Carter had a defibrillator implanted on May 6, 2010, and was discharged the next day. Carter did not return to work after his hospitalization.

On May 26, 2010, Jennifer Goerbig–Campbell, M.D., of the University of Iowa Heart and Vascular Center, began treating

Carter and evaluating his candidacy for advanced heart failure therapies. Carter reported a gradual decline in his physical capacity since his July 2009 diagnosis. He stated that he had stopped working because he could not stand for more than two hours a day. Carter explained that he could walk three blocks, but that he became lightheaded and short of breath when engaged in household activities like cooking, washing dishes, or picking up toys. He also reported that he had trouble sleeping and in controlling his anger. Dr. Goerbig–Campbell diagnosed Carter with nonischemic cardiomyopathy. She believed that Carter's heart failure was advanced, but explained that he would have to quit smoking and seek mental health treatment to be considered for advanced heart failure therapies. She also advised Carter to seek dental care. Dr. Goerbig–Campbell eventually classified Carter as having stage C, New York Heart Association (NYHA) class III symptoms.

Carter returned to the University of Iowa for monthly appointments with Dr. Goerbig–Campbell and her staff. He reported that he was able to walk short distances, complete light housework, and care for his children, with some fatigue. Carter was deferred from advanced cardiac therapies in September 2010, however, because he had not quit smoking, established mental health care, obtained dental care, or scheduled a sleep study, despite repeated instructions to do those things. Carter thereafter missed several appointments. When he returned for appointments in December 2010 and January 2011, Carter complained of fatigue. The medical record from his May 2, 2011, appointment indicates that "[t]he most activity [Carter] has done in the past couple months is walk a friend's dog that weighs 40 pounds a block. He does feel tired after that, but no shortness of breath. He has 3 children ages 5, 6, and 12 who he is active with and also helps with school."

B. Psychiatric Background

In September 2010, Carter met with a psychiatrist, who characterized Carter's anger management problems as intermittent explosive disorder. Carter initiated mental health treatment with a local provider in April 2011 and regularly attended counseling sessions through June 2011. Progress notes from the counseling sessions indicate that Carter had intact insight and judgment, good memory and eye contact, and appropriate impulse control. In late April, he was diagnosed with generalized anxiety disorder, social phobia, and mood disorder. He was prescribed psychiatric medications, and he reported at his follow-up appointment that he was "not worrying as much, sleeping better, having increased patience, and decreased irritability." He had passed a GED pre-test and helped a neighbor fix her bike. After his June 2011 appointment, Carter did not return for treatment until late October 2012, when he reported feeling angry and not sleeping well. His medication was then adjusted.

C. Psychiatric and Medical Evaluations

On November 2, 2010, Carter met with Richard Martin, Ph.D., who conducted a psychiatric examination upon referral by Iowa Disability Determination Services. According to Dr. Martin, Carter "showed generally adequate effort and motivation throughout," but "focused on portraying himself as having extreme anger problems, and appeared prone to exaggerate his claimed problems." Carter reported being able to drive, prepare simple meals, and complete all self-care tasks independently. Dr. Martin opined that Carter met some of the criteria of intermittent explosive disorder and that he might have difficulty maintaining

concentration, but that Carter had sufficient intellectual abilities to handle a wide range of unskilled work. Philip Laughlin, Ph.D., completed a psychiatric review technique form on December 13, 2010, and found that Carter did not suffer from any severe mental impairment. Russell Lark, Ph.D., completed a mental RFC assessment on June 14, 2011, finding that Carter had some moderate limitations, but that Carter was "able to complete simple, repetitive to moderately complex tasks on a sustained basis." Dr. Lark concluded that Carter suffered from generalized anxiety disorder, social phobia, and intermittent explosive disorder.

Lawrence Staples, M.D., completed a physical RFC assessment on December 15, 2010. He opined that Carter could lift up to ten pounds, that he could stand for two hours and sit for six hours in an eight-hour workday, and that he had certain postural and environmental limitations. Dr. Staples gave controlling weight to Dr. Goerbig–Campbell's opinion that Carter's "impairment is in Stage C, NYHA functional class 3 heart failure." Matthew Byrnes, D.O., completed a physical RFC assessment on May 18, 2011. Dr. Byrnes concluded that Carter could lift or carry ten pounds occasionally and less than ten pounds frequently, that he could stand for at least two hours and sit for at least six hours in an eight-hour workday, and that he had certain postural and environmental limitations.

D. Social Security Proceedings

Carter's claim for disability insurance benefits and supplemental security income was denied initially and on reconsideration. At Carter's request, a hearing was held before an ALJ on October 10, 2012. Carter testified that he could not stay at his fast-food job due to the required standing and that he could not do a job that involved sitting due to anxiety. A vocational expert also testified. The ALJ asked the vocational expert to consider a hypothetical individual who could perform sedentary work² that required no climbing and occasional stooping, crouching, kneeling, and crawling. Further, the individual had to work in a...