JEROME B. SIMANDLE, Chief District Judge.
This matter comes before the Court pursuant to 42 U.S.C. § 405(g) for review of the final decision of the Commissioner of the Social Security Administration denying Plaintiff Anne Marie Wallace's application for disability insurance benefits under Title II of the Social Security Act, 42 U.S.C. § 401,
Plaintiff argues that the finding of the Administrative Law Judge ("ALJ") regarding her residual functional capacity is not supported by substantial evidence because the ALJ did not account for the total limiting effects of her narcolepsy, and she seeks remand to the ALJ for further consideration. Plaintiff also argues that the ALJ erred at step five of the sequential analysis because the ALJ failed to apprise her of her right to cross-examine the vocational expert, and moreover, the vocational expert's testimony conflicted with the Dictionary of Occupational Titles ("DOT").
For the reasons discussed below, the Court will vacate the Commissioner's final decision and remand the matter for further proceedings.
Plaintiff filed an application for disability insurance benefits on December 22, 2009, alleging an onset of disability on September 30, 2009. (R. at 11.) The claim was denied, as was a request for reconsideration. (
The following are facts relevant to the present motion. Plaintiff was 43 years-old as of the date of Decision with a ninth grade education, and she had past work experience as a truck driver. Dr. Vedat Obuz began treating Plaintiff in late 2004 for various health issues including narcolepsy, sleep apnea, hyperglycemia, hypothyroidism, obesity and pain in both legs. (R. at 246, 390.) In the fall of 2008, Plaintiff complained of slight fatigue and Dr. Obuz referred her to the Deborah Heart and Lung Center for a sleep study. (R. at 246.) Following a sleep study in June, 2009, Plaintiff was diagnosed with unspecified hypersomnia and narcolepsy by a multiple sleep latency test. (
Plaintiff underwent a series of medical tests from 2009 to 2011, most of which showed normal results. A pulmonary function test on November 23, 2009 revealed "[n]ormal lung function, as indicated by the lack of a significant obstructive impairment or restrictive defect." (R. at 400.) An EMG of Plaintiff's left arm and left leg on May 28, 2010 showed no abnormalities. (R. at 427.) Following neurological testing on that same date, Dr. Timothy Dunn explained that Plaintiff's "nerve conduction/EMG did not show any signs of neuropathy. Therefore, it is difficult for me to say whether she actually has any neurological cause for her lower extremity pain symptoms." (R. at 430.) A MR of the brain on July 14, 2011 found "very subtle increased signal, which has uncertain clinical significance and etiology" in the periventricular white matter. (R. at 493.)
Plaintiff underwent two consultative exams as part of her claim for benefits. Following an internal medicine evaluation on April 22, 2010, Dr. Ken Klausman noted that Plaintiff has a history of diabetes, depression, COPD, narcolepsy, and back pain. (R. at 413.) Dr. Klausman observed that "claimant walks with a normal gait without the use of a handheld assistive device," "[s]he is able to get on and off the examining table without difficulty," but had "moderate difficulty going from lying down to sitting up." (R. at 415.) Plaintiff's lungs were "clear to auscultation and percussion anteriorly/posteriorly without evidence of rales, rhonchi or wheezing." (
The Physical Residual Functional Capacity Assessment completed by state medical consultant, Jyothsna Shastry, on May 5, 2010 indicates diagnoses of diabetes with neuropathy, narcolepsy, and obesity and notes credible complaints of leg pain. (R. at 422.) The medical consultant found that Plaintiff could lift and carry twenty-five pounds frequently and fifty pounds occasionally, could sit for about six hours out of eight hours during a workday, had unlimited push/pull abilities, could frequently balance, stoop, kneel, crouch, and crawl, and had no visual, communicative, or manipulative limitations. (R. at 418-21.) The medical consultant further found that Plaintiff could stand and/or walk for at least two hours in an eight-hour workday, could occasionally climb ramps and stairs, but could never climb ladders, ropes, and scaffolds, and must avoid all exposure to hazards, such as machinery and heights. (
In a written decision dated January 24, 2012, the ALJ determined that Plaintiff was not disabled at any time through the date of decision. (R. at 28.) He found that Plaintiff had not engaged in substantial gainful activity since September 30, 2009, the alleged onset date, and concluded that she suffered from severe impairments, including narcolepsy, fibromyalgia, diabetes mellitus, obesity, and apnea. (R. at 27.) The ALJ found that Plaintiff's combination of impairments did not meet or medically equal the severity of an impairment listed in the regulations. He described her residual functional capacity ("RFC") as follows:
exposure to hazards, such as machinery and heights. (
Specifically, the ALJ discussed glucose levels near the normal range, pulmonary function testing that revealed only mild obstruction, an EMG study showing no abnormalities in the left arm or leg, a polysomnography report recording sleep efficiency of 95 percent, an "extensive work-up done from a neurologic perspective" which did not show any significant abnormalities, and a state consultative exam finding that Plaintiff could perform the full range of medium work. (R. at 18-20.) The ALJ explained that "the claimant's self assessment [sic] of her activities of daily living and functional abilities in disability questionnaires is indicative of a fairly active lifestyle and supportive of a residual functional capacity of at least a wide range of sedentary work." (R. at 21.) Notably, the ALJ rejected opinions of treating physician, Dr. Obuz, "that the claimant could not keep or maintain a set time schedule with regularity and is still disabled" because these opinions "are clearly inconsistent" with Plaintiff's self-reported activities of daily living, an internal medicine evaluation report which noted few physical findings that would preclude a wide range of sedentary work, and Dr. Dunn's neurological assessment which was "essentially normal." (R. at 23.)
After finding Plaintiff unable to perform any past relevant work and hearing testimony from Louis Szollosy, a vocational expert ("VE"), the ALJ found that jobs existed in significant numbers in the national economy that Plaintiff could perform. (R. at 27-28.) The VE stated that an individual of Plaintiff's age, education, and past relevant work, with the residual functional capacity determined by the ALJ, could perform the "unskilled, sedentary jobs" of bench assembly, information clerk, surveillance systems monitor, and order clerk. (R. at 26.) Accordingly, the ALJ ruled that Plaintiff was not disabled at any time through the date of Decision. (R. at 28.)
This Court reviews the Commissioner's decision pursuant to 42 U.S.C. § 405(g). The Court's review is deferential to the Commissioner's decision, and the Court must uphold the Commissioner's factual findings where they are supported by "substantial evidence." 42 U.S.C. § 405(g);
Plaintiff argues that substantial evidence does not support the ALJ's determination of the functional impact of Plaintiff's narcolepsy. Plaintiff also contends that the ALJ failed to afford Plaintiff an opportunity to cross-examine the vocational expert. Moreover, Plaintiff asserts that the ALJ erred in relying on the occupations of surveillance system monitor and order clerk at step five, that the ALJ failed to comply with SR-00-4p, and that substantial evidence does not support the VE's estimate of the number of jobs Plaintiff could perform.
Plaintiff argues that substantial evidence does not support the ALJ's residual functional capacity assessment because the ALJ did not consider the total limiting effects of Plaintiff's narcolepsy. Plaintiff contends that the ALJ only accounted for Plaintiff's narcolepsy in his determination that Plaintiff could not climb ladders, ropes, or scaffolds and could not be exposed to any hazard, such as machinery or heights. Plaintiff asserts that the ALJ's findings are logically inconsistent and contradictory because he found at step two that Plaintiff has "severe" narcolepsy. According to Plaintiff, it is unreasonable to find that Plaintiff has "severe" narcolepsy, "yet disregard its most obvious work-related limitation, namely, a reduced ability or inability to perform
Plaintiff has provided no authority to support the proposition that an individual with severe narcolepsy cannot perform any sedentary work task. While it is self-evident that one cannot perform work while asleep, Plaintiff has not identified anything in the record that the ALJ ignored or rejected without explanation regarding the frequency and extent of Plaintiff's involuntary sleep. There is thus no basis for this Court to conclude that the ALJ's findings are logically inconsistent or contradictory.
Instead, the ALJ's findings regarding Plaintiff's residual functional capacity are supported by substantial evidence. Based on Plaintiff's self-reported activities of daily living, the ALJ concluded that she maintained "a fairly active lifestyle" and noted that she is able to make meals, go to appointments, do laundry, care for her son, drive a car, go food shopping, and handle her finances. (R. at 21.) The ALJ found Plaintiff's reported restrictions to be inconsistent with the objective medical evidence in the record and her testimony. It disregards the ALJ's findings and the evidentiary record for Plaintiff to argue that the ALJ's residual functional capacity assessment was based on the fact that Plaintiff did not fall asleep during a consultative exam. Where, as here, alleged symptoms suggest greater functional limitations than can be demonstrated by objective evidence, the ALJ is directed to consider other evidence such as Plaintiff's daily activities, the location, duration, frequency, and intensity of the symptoms, precipitating and aggravating factors, medication, and treatment. 20 C.F.R. § 404.1529(c)(3). The ALJ's assessment was based on a detailed and well-reasoned examination of the evidence in the record which the ALJ found to contradict Plaintiff's reports of frequent or constant involuntary sleep.
Likewise, the ALJ did not err in his assessment of Plaintiff's credibility. SSR 96-7p requires the ALJ to make credibility determinations grounded in the evidence and in light of the entire case record. SSR 96-7p, 1996 WL 374186, at *1 (S.S.A. July 2, 1996). The ALJ cannot simply state that the "allegations have been considered" or that they categorically are not credible.
Nor did the ALJ err in rejecting certain opinions of treating physician, Dr. Obuz. The regulations provide that the ALJ may reject the opinion of a treating physician when it is not supported by medically acceptable clinical or diagnostic techniques or inconsistent with other substantial evidence regardless of the treatment relationship.
Plaintiff next argues that the ALJ erred in failing to afford Plaintiff an opportunity to cross-examine the vocational expert. Defendant responds that "Plaintiff had and took the opportunity to interact with the VE and ensure that the information presented [to the vocational expert] was complete and full." (Def. Opp. [Docket Item 15] at 8.)
Consistent with due process, claimants must be given an opportunity to cross-examine the vocational expert.
Moreover, the Third Circuit has held that the ALJ must take a more heightened and active role when the claimant is unrepresented.
Here, the Court finds that Plaintiff was not notified of or given an opportunity to cross-examine the vocational expert and the ALJ failed to satisfy his "heightened duty" to clarify the record. At no point, did the ALJ inform Plaintiff of her right to cross-examine the vocational expert. In fact, the ALJ discouraged Plaintiff from objecting to the vocational expert's testimony.
Moreover, the ALJ did not sufficiently develop the record or challenge the vocational expert's testimony. The ALJ's brief questioning of the vocational expert focused on Plaintiff's physical limitations. The ALJ only asked one question regarding the impact of Plaintiff's narcolepsy. Despite the vocational expert's response that the hypothetical individual would not be able to sustain any competitive employment at any exertional level, the ALJ failed to ask any follow up questions or inquire further regarding a hypothetical individual with severe narcolepsy.
The Court finds that Plaintiff was prejudiced by the above deficiencies because the vocational expert acknowledged that Plaintiff would be "preclude[d]" from substantial gainful employment if she fell asleep 20 percent of a workday, yet Plaintiff had no opportunity to further develop the impact of her narcolepsy on her ability to maintain competitive employment.
For the foregoing reasons, the Court finds that substantial evidence in the record supports the ALJ's determination regarding Plaintiff's residual functional capacity. However, the ALJ failed to inform Plaintiff of her right to cross-examine the vocational expert and failed to fulfill his heightened duty to develop the record in the case of an unrepresented claimant, which caused prejudice to Plaintiff. Therefore, the Court will vacate the Commissioner's final decision and remand the matter for further proceedings. An accompanying Order will be entered.
(R. at 51.)