SANDRA M. SNYDER, Magistrate Judge.
Plaintiff John Patrick Waters, by his attorneys, Law Offices of Lawrence D. Rohlfing, seeks judicial review of a final decision of the Commissioner of Social Security ("Commissioner") denying his application for disability insurance benefits pursuant to Title II of the Social Security Act (42 U.S.C. § 301 et seq.) (the "Act"). Because the Administrative Law Judge ("ALJ") failed to obtain and fully consider the Veterans' Administration's ("VA") disability rating of Plaintiff, the Commissioner's denial of benefits is reversed, and this matter is remanded to allow the ALJ to obtain and fully consider the VA's determination.
On October 23, 2009, Plaintiff applied for disability insurance benefits, alleging disability beginning October 16, 2009. The Commissioner initially denied the claim on January 21, 2010, and upon reconsideration, on June 14, 2010. On July 6, 2010, Plaintiff filed a timely request for a hearing.
Plaintiff appeared and testified at a hearing on September 28, 2011. On October 20, 2011, Administrative Law Judge James P. Berry denied Plaintiff's application. The Appeals Council denied review on December 12, 2012. Plaintiff filed the complaint in this action on February 7, 2013.
Plaintiff began experiencing seizures in the late 1980's, apparently caused by a cancerous brain tumor that was surgically removed in 1991. Over time, his seizures have worsened. At the agency hearing, he testified that, although he was not aware when he was experiencing a seizure, several times daily, he goes into a trance for thirty seconds to a minute. For example, if he is driving he might not see a red light and would simply continue forward. After a seizure, Plaintiff feels very tired or drained, and must lie down for several hours. Plaintiff also reported progressive difficulty with memory.
Loud noises and bright lights can trigger his seizures. As a result he does not look at television or computer screens. Sometimes fluorescent lights bother him. He has not driven since 2009.
Although his doctors have prescribed several drugs over the years, including Dilantin and Phenobarbital, Plaintiff chooses not to take them since they make him feel worse than when he has a seizure: numb and zombie-like.
On good days, Plaintiff is able to do house work or go shopping. On bad days, he just tries to rest. He enjoys reading for short periods, visiting, and talking on the phone. He tries to attend church weekly.
In his adult disability reports, Plaintiff reported that he stopped working on October 16, 2009, when his condition became so bad that he could no longer do his job. He explained that he had memory loss and difficulty concentrating that caused him to forget where he was supposed to be and the task that he was supposed to be doing. At times, he felt incompetent to make daily decisions. Sometimes, he "can't think." AR 171. Sometimes, he lost his balance or confused his left and right hands. Sometimes, he could not hear, smell, or see well. As the case progressed, Plaintiff received a hearing aid. His doctors attributed his hearing loss to his brain surgery.
Plaintiff was bothered by headaches that required him to rest and was depressed about his condition. In turn, his depression had caused his personal care to deteriorate. Loss of his driving privileges had imposed financial and emotional hardship on Plaintiff and his family,
Sometimes, he cooked simple meals such as beans or barbequed chicken or hamburgers. He feared he might burn down his house since he sometimes forgot that he had food cooking. He enjoyed time with friends and family, hunting and fishing, playing cards, and television.
In a written questionnaire, Plaintiff attempted to report the details of his treatment for the brain tumor, but admitted to having forgotten many of the particular procedures. He encouraged the agency to contact the VA physicians who had treated him in Palo Alto between 1990 and 1992, as well as his more recent treating physicians at local VA centers.
In a seizure questionnaire, Plaintiff reported two or three seizures daily. He loses consciousness and has convulsions, but does not bite his tongue or lose bladder control. Seizures last approximately two minutes, leaving him numb and without memory. Sometimes he can quickly resume his ongoing activity; sometimes he will require several minutes. He did not take medication, choosing instead to watch what he ate or drank, and getting sufficient sleep.
Plaintiff's ability to carry on a conversation had diminished with his concentration. He sometimes had difficulty balancing. His coordination was impaired. His headaches caused his vision to blur.
Mrs. Waters recalled the frightening experience of driving with Plaintiff while he experienced a seizure: He drove through red lights at several intersections. She noted that when Plaintiff had last tried to return to work, he held the job for only four months. She emphasized Plaintiff's difficulty in admitting the extent of his deterioration and seeking disability assistance.
Consultative clinical psychologist Greg Hirokawa, Ph.D., examined Plaintiff on behalf of the state agency on August 13, 2009. Plaintiff reported memory problems, poor concentration, learning difficulties, word-finding difficulty, irritability, and easy frustration. His recent physical problems and inability to work caused depression.
Dr. Hirokawa evaluated Plaintiff's memory by asking him what he had eaten for breakfast and having him recall earlier life events. Testing revealed normal intelligence. Dr. Hirokawa diagnosed adjustment disorder with depressed mood and estimated Plaintiff's GAF to be 64.
On August 16, 2009, Juliane Tran, M.D., who was certified in physical medicine and rehabilitation, conducted a nonfocal consultative neurological examination. No records, progress notes, or radiographic reports were provided to her. She reported that Plaintiff had experienced head tremors beginning in 1980 while he was in the Marines.
The results of Dr. Tran's physical examination of Plaintiff were generally normal. Sensation in the left forearm and some left fingers was decreased. Cranial nerves were normal. Dr. Tran did not perform a funduscopic examination since Plaintiff complained that his eyes were very sensitive to light and shining light into his eyes caused his head to ache. The doctor did not observe any visual field deficits.
Dr. Tran did not observe evidence of active or persistent seizures. Her mental status examination indicated decreased short-term recall and decreased judgment for safety. She opined:
On November 18, 2009, Plaintiff was again treated by Dr. James at Porterville Valley PromptCare. The medical notes report Plaintiff's complaint of seizures and diagnose seizures.
On December 11, 2009, Plaintiff's VA primary care physician, Ney M. Aung, M.D., referred him for a neurology consultation on an urgent basis (within seven days) and requested a CT scan of his head based on his recent lapses of consciousness. Plaintiff, who had not taken medications since 1995, had discontinued Dilantin and Phenobarbital because of mental confusion. Plaintiff was a poor historian regarding his seizure experience.
Audiologist Steven D. Meacham, Au.D., evaluated Plaintiff's hearing on December 11, 2009. Dr. Meacham identified mild notched sensorineural hearing loss in Plaintiff's right ear between 6000 and 8000 Hz. He found that Plaintiff's left ear had profound precipitous sensorineural hearing loss above 3000 Hz. Plaintiff received a hearing aid for his left ear on February 17, 2010, but sound mapping strips administered on that date are not included within the record.
On December 18, 2009, VA neurologist Hewitt F. Ryan, Jr., M.D., recommended that Plaintiff begin a trial of Keppra. Noting Plaintiff's seizures and intermittent spells of altered mentation, Dr. Ryan reported Plaintiff's condition to the DMV. Notes prepared by neurology resident Gretchen Jan Lactao, D.O., noted that Plaintiff originally had a tumor resected in 1991. He was now experiencing increased episodes of confusion, difficulty in decision making, and episodes of "blanking out." Generally, Plaintiff was feeling sluggish and was experiencing episodes of stuttering. He had headaches and photophobia (sensitivity to light). He was sometimes having tingling in both lower extremities at night. He denied loss of consciousness. Examination revealed mild decreased sensation in his left face. The doctors diagnosed small complex partial seizures, ordered an MRI to evaluate mass, prescribed Keppra, and told Plaintiff to stop driving.
VA radiologist W.J. Vlymen, M.D., Ph.D., evaluated a MRI administered to Plaintiff to whether his worsening mental status resulted from a new mass in his brain. Dr. Vlymen identified a small focus of postoperative gliosis
Consultant J. Hartman, M.D., completed a physical residual capacity assessment on December 30, 2009. He found that Plaintiff had no exertional limitations. Since Plaintiff's seizures were unchecked and unlimited, he found that Plaintiff required seizure precautions, including restrictions on driving, working at heights, or around hazards.
On January 12, 2010, psychologist Robert Liss, Ph.D., completed the psychiatric review technique. He found Plaintiff's psychological impairment, adjustment disorder with depressed mood, to be not severe. Dr. Liss assessed Plaintiff to have mild restriction of activities of daily living, mild difficulties in maintaining concentration, persistence, and pace, but no difficulties in maintaining social functioning, and no repeated episodes of decompensation.
Dr. Liss found Plaintiff to lack credibility, having represented problems with walking, although he could walk two to three miles and ride his bike, and having reported hearing loss, although that had been corrected with a hearing aid. In addition, said Dr. Liss, Plaintiff was currently working forty hours weekly.
On January 18, 2010, Plaintiff advised Drs. Lactao and Liss that he had decided not to take Keppra for fear of side effects. The doctors discussed with him the potential dangers of seizures and loss of consciousness, including the potential for death and issues related to driving. On March 15, 2010, Plaintiff sought a refill of his Keppra prescription. By May 2010, Plaintiff had discontinued using Keppra, which caused sedation. Plaintiff's primary care physician, Swee-Chin Loo, M.D., then prescribed Gabapentin to address Plaintiff's headaches and seizures.
On May 5, 2010, Plaintiff contacted the VA to report shortness of breath at night. A sleep study conducted in November 2010 revealed no evidence of sleep apnea.
A summary list of Plaintiff's health problems printed by the VA on May 17, 2010, listed dental problems, partial hearing loss, and chronic organic brain syndrome. Plaintiff's disability consisted of a seizure disorder, paralysis of the seventh and tenth cranial nerves, brain syndrome, and loss of a portion of his skull.
Agency records noted emergency room treatment at the Fresno VA Hospital in early June 2010.
On May 5, 2011, Plaintiff again consulted Dr. James regarding his seizures. On May 19, 2011, a VA treatment note reported that Plaintiff was then receiving neurology care from a source outside the VA. Plaintiff continued to visit Dr. James on a regular basis thereafter.
On July 19, 2011, Dr. James wrote to Plaintiff's attorney that Plaintiff had petit mal epileptic seizures, which caused him to lose concentration, altered his awareness, and produced absence and loss of memory after a seizure. Dr. James opined that Plaintiff was not employable due to his inability to perform daily functions with consistency.
For the first hypothetical question, Judge Berry directed Mr. Dachelet to assume a hypothetical individual 43 years of age with an associate degree and the past relevant work experience just described. The individual has a combination of severe impairments and retains residual functional capacity to lift and carry 100 pounds occasionally, 50 pounds frequently, and to stand, walk, and sit for six hours each. The individual must avoid exposure to unprotected heights, dangerous moving machinery, and operation of motor vehicles.
Mr. Dachelet opined that due to the inability to drive alone, the hypothetical individual could not perform any of Plaintiff's past relevant work. The individual could perform heavy work including poultry worker (525.687-082) (11,936 jobs in California; 87,024 jobs in U.S.); farm worker 2 (404.687-010) (22,079 California; 116,578 U.S.); or house cleaner (323.687-018) (14,518, California; 123,793, U.S.).
For the second hypothetical question, Judge Berry directed Mr. Dachelet to assume a hypothetical individual with same vocational background as in the first question. The individual, who has multiple severe impairments, has the residual functional capacity to lift and carry a maximum of ten to fifteen pounds; to stand two to four hours; to walk 100 or more yards; to sit two to four hours. The individual would require unscheduled work breaks lasting one or more hours. He must avoid exposure to unprotected heights, dangerous moving machinery, and operation of motor vehicles. The individual would have difficulty maintaining concentration, persistence, and pace, and would be absent from work about four days weekly. Mr. Dachelet opined that such an individual could not perform claimant's past work or any other job.
For the third hypothetical question, Plaintiff's attorney directed Mr. Dachelet to assume an individual with the same vocational background as Plaintiff who would lose concentration for thirty seconds to a minute three to five times a day at unpredictable times. The individual would lose memory during the periods of lost concentration. Mr. Dachelet opined that, particularly at the unskilled level, the hypothetical person would be unlikely to maintain any job for more than a brief time period.
To qualify for benefits, a claimant must establish that he or she is unable to engage in substantial gainful activity because of a medically determinable physical or mental impairment which has lasted or can be expected to last for a continuous period of not less than twelve months. 42 U.S.C. § 1382c (a)(3)(A). A claimant must demonstrate a physical or mental impairment of such severity that he or she is not only unable to do his or her previous work, but cannot, considering age, education, and work experience, engage in any other substantial gainful work existing in the national economy. Quang Van Han v. Bowen, 882 F.2d 1453, 1456 (9
To encourage uniformity in decision making, the Commissioner has promulgated regulations prescribing a five-step sequential process for evaluating an alleged disability. 20 C.F.R. §§ 404.1520 (a)-(f); 416.920 (a)-(f). The process requires consideration of the following questions:
The ALJ found that Plaintiff had not engaged in substantial gainful activity since the alleged onset date of October 16, 2009. His single severe impairment was his seizure disorder (petit mal). This impairment did not meet or medically equal any of the impairments listed in 20 C.F.R. Part 404, Subpart P, Appendix 1 (20 C.F.R. §§ 404.1520(d), 404.1525 and 404.1526). Plaintiff was capable of performing a full range of work at all exertional levels but should avoid exposure to unprotected heights, dangerous moving machinery, and operation of motor vehicles. Plaintiff could not perform his past relevant work. The ALJ concluded that jobs that Plaintiff could perform existed in significant numbers in the national economy.
Congress has provided a limited scope of judicial review of the Commissioner's decision to deny benefits under the Act. In reviewing findings of fact with respect to such determinations, a court must determine whether substantial evidence supports the Commissioner's decision. 42 U.S.C. § 405(g). Substantial evidence means "more than a mere scintilla" (Richardson v. Perales, 402 U.S. 389, 402 (1971)), but less than a preponderance. Sorenson v. Weinberger, 514 F.2d 1112, 1119 n. 10 (9
Plaintiff contends that the ALJ erred in determining that Plaintiff was not fully credible based on his failure to take prescribed anti-epileptic medication. Not surprisingly, the Commissioner disagrees.
An ALJ is not required to believe every allegation of disabling pain or other non-exertional impairment. Orn v. Astrue, 495 F.3d 625, 635 (9
A disability claimant's reported symptoms may suggest greater impairment than may be apparent from objective medical evidence alone. S.S.R. 96-7p. Evaluating symptom testimony requires an adjudicator to consider the full administrative record to determine the credibility of a claimant's testimony. Id. A claimant's failure to follow prescribed treatment may undermine his or her credibility if he or she lacks good reasons for noncompliance. Id. Good reasons may include a claimant's (1) carefully structuring daily activities to minimize symptoms to a tolerable level or eliminate them entirely; (2) using over-the-counter medications; (3) avoiding a prescription medication that causes side effects that are more severe or less tolerable that the symptom it is intended to address; (4) lacking both the resources to afford treatment and access to free or low-cost treatment; (5) receiving medical advice that no further effective treatment would benefit the claimant; or (6) observing religious tenets or teaching that preclude the medical treatment. Id. In addition, of course, the claimant's symptoms may simply not be severe enough to prompt the claimant to seek medical attention or to comply with prescribed treatment. Id.
"Impairments that can be controlled effectively with medication are not disabling for the purpose of determining eligibility for [disability] benefits." Warre v. Commissioner of Social Security Admin., 439 F.3d 1001, 1006 (9
Adverse credibility determinations frequently occur in disability claims in which an individual claiming epilepsy is noncompliant or not fully compliant with his or her anti-epileptic medication. See Lewis v. Apfel, 236 F.3d 503, 513 (9
In this case, the ALJ concluded that since Plaintiff had not complied in taking prescribed medications, his symptoms were likely not as limiting as Plaintiff alleged. Plaintiff contended that because anti-epileptic drugs as a class cause him unacceptable drowsiness, he is unable to take them.
"Like pain, side effects of medications can have a significant impact on an individual's ability to work and should figure in the disability determination process." Varney v. Secretary of Health and Human Services, 846 F.2d 581, 585 (9
The ALJ correctly observed that the medical records included no documentation that anti-epileptic drugs made Plaintiff drowsy except for Plaintiff's own subjective reports. He emphasized that Plaintiff did not try any of the various medications prescribed by his VA physicians even after the doctors emphasized the serious risks, including potential death, associated with his decision not to do so. If an epilepsy patient is not compliant with prescription anti-seizure medication, it is impossible to determine whether his or her seizures indicate drug inefficacy or whether they simply result from the claimant's failure to follow prescribed treatment. Pa Dee Thao v. Astrue, 2011 WL 2516151 at * 10 (E.D.Cal. June 21, 2011) (No. 1:10-cv-00244-SKO).
Plaintiff refused anti-epileptic medication based on his experience taking Dilantin and Phenobarbital in the early 1990's, immediately after resection of his brain cancer. Wanting to give Plaintiff the benefit of the doubt, this Court briefly considered whether to remand this matter for further investigation of medical records relevant to those medications. Upon reflection, the Court rejected this alternative. Plaintiff testified that he stopped taking medication in 1995, when his physician told him he no longer needed to take it. Assuming the accuracy of Plaintiff's recollection, the 1995 decision that Plaintiff no longer needed to keep taking anti-seizure medication is sufficiently remote to have minimal probity now. This is especially true since Plaintiff was capable of performing work without seizure precautions, notably installation of DSL connections, well after 1995. If Plaintiff's seizure pattern and other mental processes have now changed sufficiently to preclude Plaintiff's employment, as he now contends, the balance of beneficial effects to side effects of anti-epileptic drugs also requires reassessment. As the ALJ observed, Plaintiff's unwillingness to follow his neurologists' advice to now try anti-epileptic medication suggests that the alleged worsening of his condition is not as great as Plaintiff contends.
In addition, Plaintiff elected to discontinue receiving care from VA neurologists in favor of Dr. James, an industrial physician serving the Porterville area from a prompt care clinic. Although the ALJ did not address Plaintiff's decision, this Court notes that choosing to discontinue care by physicians specializing in neurology in favor of a non-specialist also suggests that Plaintiff's condition may not be as serious as he alleged.
Invocation of adverse credibility determinations is typically buttressed by other bases indicating lack of credibility. Mr. Tommasetti declined recommended back surgery, explained his failure to attempt sedentary work vaguely, could not remember whether his physician had prescribed his cane, and testified inconsistently regarding the effect of his severe diabetes. Tommasetti, 533 F.3d at 1040. Although Mr. Fair testified that he was "confined primarily to resting and reclining about his own home," he also testified that he remained capable of caring for all of his personal needs, including household maintenance, shopping, riding public transportation, and driving his own car. Fair, 885 F.2d at 604.
Here, the ALJ found that Plaintiff reported daily activities inconsistent with his claimed degree of disability. An ALJ may properly discredit a claimant's subjective testimony as inconsistent with his or her daily activities and other conduct. Thomas v. Barnhart, 278 F.3d 947, 958-59 (9
In evaluating a claimant's testimony, the ALJ may use "ordinary techniques of credibility evaluation." Smolen, 80 F.3d at 1284. Such techniques include inconsistencies in the testimony itself or inconsistencies between the claimant's testimony and behavior. Tommasetti, 533 F.3d at 1039. Early in the administrative process, agency medical staff noted that Plaintiff's inconsistent reports undermined his credibility. The ALJ noted additional inconsistencies in the hearing decision. Plaintiff himself candidly disclosed difficulties with memory and thought processes.
In an apparent attempt to echo the Tommasetti Court's contrast of Mr. Tommasetti's refusal to undergo the back surgery that might have relieved his pain with his choosing to undergo cosmetic surgery, the ALJ here contrasted Plaintiff's reluctance to take anti-epileptic drugs with his taking Viagra in spite of its side effects. The ALJ's comment was not only a mean-spirited "cheap shot," it was factually incorrect. Plaintiff, newly wed for the first time while his disability application was pending, declined to take the erectile dysfunction medication available through the VA because it caused him to experience intolerable headaches. He elected instead to obtain Viagra through Dr. James since using Viagra did not result in side effects.
Questions of credibility and resolution of conflicts in the evidence are reserved solely to the Commissioner. Greger v. Barnhart, 464 F.3d 968, 972 (9
Plaintiff contends that the ALJ erred in rejecting Dr. James' opinion that Plaintiff was unemployable. The Commissioner counters that the ALJ was not bound by Dr. James' opinion since it infringed on the ultimate determination of disability, an issue reserved to the Commissioner. The Court agrees with the Commissioner that Dr. James' opinion was not binding on the ALJ.
Physicians render two types of opinions in disability cases: (1) medical, clinical opinions regarding the nature of the claimant's impairments and (2) opinions on the claimant's ability to perform work. See Reddick v. Chater, 157 F.3d 715, 725 (9
Three types of physicians may offer opinions in social security cases: "(1) those who treat[ed] the claimant (treating physicians); (2) those who examine[d] but d[id] not treat the claimant (examining physicians); and (3) those who neither examine[d] or treat[ed] the claimant (nonexamining physicians)." Lester, 81 F.3d at 830. A treating physician's opinion is generally entitled to more weight than the opinion of a doctor who examined but did not treat the claimant, and an examining physician's opinion is generally entitled to more weight than that of a non-examining physician. Id. The Social Security Administration favors the opinion of a treating physician over that of a nontreating physician. 20 C.F.R. § 404.1527; Orn, 495 F.3d at 631. A treating physician is employed to cure and has a greater opportunity to know and observe the patient. Sprague v. Bowen, 812 F.2d 1226, 1230 (9
An ALJ is "not bound by an expert medical opinion on the ultimate question of disability." Tommasetti, 533 F.3d at 1041; S. S. R. 96-5p. Since Dr. James' letter sets forth his conclusory opinion that Plaintiff is disabled, the ALJ was not bound by that opinion.
Further analysis indicates that even if Dr. James' opinion were not conclusory, the ALJ need not have given it controlling weight. Although the medical records indicated that Dr. James treated Plaintiff over an extended time span, consistent with Dr. James' industrial medicine specialty and his operation of a prompt-care clinic, his treatment of Plaintiff generally addressed minor acute illnesses such as bad colds or congestion, and the prescription and monitoring of medication to address Plaintiff's erectile dysfunction. Treatment notes concerning Plaintiff's seizure disorder consisted of Dr. James' recording Plaintiff's report of his symptoms and a diagnosis of seizures. Nothing in the record indicates that Dr. James ordered any type of testing or other objective evaluation of Plaintiff's seizure condition, or that he ever reviewed records of the prior treatment Plaintiff's seizures by neurologists or neurosurgeons. No basis for Dr. James' opinion appears within the record other than Plaintiff's own representation of his condition and its effect on his ability to function.
An ALJ need not give weight to a conclusory opinion supported by minimal clinical findings. Meanel v. Apfel, 172 F.3d 1111, 1113 (9
Plaintiff contends that the ALJ erred by failing to articulate the consideration given to the VA's disability finding in accordance with S.S.R. 06-03p. The Commissioner counters that the ALJ properly rejected the VA's determination without comment since the VA's determination "had no probative value." Doc. 19 at 12. The Commissioner adds that the VA determination could be rejected since its findings were inconsistent with the evidence in the administrative record before the SSA. Two facts stand in the way of the Commissioner's argument: (1) the written administrative decision did not articulate a basis for the ALJ's ignoring the VA's disability determination, and (2) the administrative record does not include a copy of the VA's disability determination.
The ALJ noted that Plaintiff had testified that the VA found him unemployable. He added that according to the record, the only seizure limitations set forth by VA neurologists were that Plaintiff not drive. The administrative decision does not mention the VA's granting Plaintiff unemployability benefits effective October 17, 2009, nor consider the October 11, 2009 disability rating action on which the benefits determination was based.
A determination made by another agency (e.g., Workers' Compensation, the Department of Veteran's Affairs, or an insurance company) that a claimant is disabled or blind is not binding on the Commissioner. S.S.A. 06-03p. Nonetheless, because of the marked similarity between the programs, "an ALJ must ordinarily give great weight to a VA determination of disability." McCartey v. Massanari, 298 F.3d 1072, 1076 (9
The Commissioner's argument that the VA determination had little application since an ALJ "must determine the issue of disability based on the Social Security Act and its implementing regulations" (Doc. 19 at 12) is inadequate in light of McCartey and related precedent. Contrary to the Commissioner's assertion that the VA disability determination had "no probative value" (Doc. 19 at 12), McCartey and its progeny tell us that an ALJ must give a claimant's VA disability determination "great weight." In other words, determining the issue of disability based on the Social Security Act and its implementing regulations requires the ALJ to carefully consider a VA disability determination and, if he or she decides to reject its findings, to articulate in the written agency opinion why he or she rejected the VA's assessment, setting forth "persuasive, specific, valid reasons for doing so that are supported by the record." See McCartey, 298 F.3d at 1076. "`Because the VA and SSA criteria for determining disability are not identical,' [the Ninth Circuit has] allowed an ALJ `to give less weight to a VA disability rating if he gives persuasive, specific valid reasons for doing so that are supported by the record.'" Valentine v. Commissioner, Social Security Admin., 574 F.3d 685, 695 (9
When an ALJ rejects the VA's disability opinion without providing persuasive, specific, valid reasons, the administrative decision is not "`supported by substantial evidence and free from legal error.'" Ames v. Astrue, 2012 WL 1191862 at *5 (D. Ariz. April 12, 2012) (No. CIV 11-163-TUC-GEE), quoting Fair, 885 F.2d at 601. Accordingly, this Court cannot affirm the administrative decision that Plaintiff is not entitled to disability insurance benefits since it cannot conclude that the decision is supported by substantial evidence and free from legal error.
Although it may be true that the ALJ could have rejected the VA determination as inconsistent with the evidence before him, as the Commissioner contends, the administrative decision did not articulate such a basis for ignoring the VA determination. The Commissioner's argument that the ALJ could disregard the VA determination without further discussion is not consistent with applicable law. The Commissioner's after-the-fact rationalization is not an acceptable method of resolving the omissions in the administrative decision.
"[A] reviewing court, in dealing with a determination or judgment which an administrative agency alone is authorized to make, must judge the propriety of such action solely by the grounds invoked by the agency." Securities and Exchange Comm'n v. Chenery Corp., 332 U.S. 194, 196 (1947). If those grounds are inadequate or improper, a reviewing court is powerless to affirm the administrative action by substituting what it considers to be a more adequate or proper basis. Id. For example, where the Commissioner conceded that the ALJ did not conform to the express requirements of a social security ruling (S.S.R.) that required the ALJ to include in the written administrative decision findings of facts regarding the claimant's skills and their transferability, the district court erred in reviewing the ALJ's findings "based on what it assumed the ALJ to have determined." Bray v. Commissioner of Social Security Admin., 554 F.3d 1219, 1226 (9
"Long-standing principles of administrative law require us to review the ALJ's decision based on the reasoning and factual findings offered by the ALJ—not post hoc rationalizations that attempt to intuit what the adjudicator may have been thinking." Id. at 1225. In other words, "`the required explanation must be articulated by the agency at the time of its action.'" Maryland Native Plant Soc. v. U.S. Army Corps of Engineers, 332 F.Supp.2d 845, 856 (D.Md. 2004), quoting Inova Alexandria Hosp. v. Shalala, 244 F.3d 342, 350 (4
The ALJ's error is compounded by his failure to secure a copy of the VA's October 11, 2009 rating determination. The perfunctory March 15, 2010 review officer decision relied, in major part, on the evidence reflected in the October 11, 2009 rating determination. AR 311. Without a copy of the disability rating determination, neither the ALJ, the Commissioner, nor this Court can determine the basis for the VA's disability ratings from the existing administrative record.
When the record is incomplete or ambiguous, an ALJ has the duty to conduct a proper inquiry regarding a claimant's disability rating. McLeod v. Astrue, 640 F.3d 881, 885 (9
"[T]he failure to comply with McCartey requires remand." Sundseth v. Astrue, 2010 WL 519730 at *5 (W.D.Wash. Feb. 10, 2010) (No. C09-387-RSL). Accordingly, this Court will reverse the ALJ's determination and remand this case, directing the ALJ to obtain and analyze the October 11, 2009 disability rating action in accordance with the requirements of applicable law.
This Court orders that the administrative determination be REVERSED and the case REMANDED for further proceedings in accordance with this opinions. The Clerk of Court is hereby directed to ENTER JUDGMENT in favor of Plaintiff John Patrick Waters and against Defendant Carolyn W. Colvin, Acting Commissioner of Social Security.
IT IS SO ORDERED.
GAF 64 is in the middle of the range 61-70 which indicates "[s]ome mood symptoms (e.g. depressed mood and mild insomnia) OR some difficulty in social, occupational, or school functioning (e.g., occasional truancy or theft within the household), but generally functioning pretty well, has some meaningful interpersonal relationships." Id. at 34.