STEVEN C. YARBROUGH, Magistrate Judge.
Claimant Garth Alan Finley ("Mr. Finley") alleged that he became disabled on July 31, 2008, at the age of thirty-eight because of Crohn's disease, irritable bowel syndrome, stomach ulcers, intestinal polyps, high blood pressure, elevated cholesterol, fainting and seizures, chronic depression and anxiety, and random periods of drinking alcohol. Tr. 219, 227.
On February 23, 2009, Mr. Finley protectively filed his first application for Social Security Disability Insurance Benefits ("DIB") under Title II of the Social Security Act (the "Act"), 42 U.S.C. § 401 et seq. (Tr. 115, 187-93.) Mr. Finley concurrently filed for Supplemental Security Income ("SSI") under Title XVI of the Act, 42 U.S.C. § 1381 et seq. (Tr. 116.) Mr. Finley's applications were initially denied on August 18, 2009, and November 23, 2009. (Tr. 115-118, 123-27.) They were denied again at reconsideration on September 20, 2010, and March 21, 2011. (Tr. 119-22 130-33, 134-37.) On May 20, 2011, Mr. Finley requested a hearing before an Administrative Law Judge ("ALJ"). (Tr. 140-41.) ALJ Ben Willner conducted a hearing on July 12, 2012. (Tr. 33-80.) Mr. Finley appeared in person at the hearing with attorney representative Michael F. Becker. (Id.) On December 12, 2012, ALJ Willner issued an unfavorable decision. (Tr. 7-25.) On June 24, 2014, the Appeals Council issued its decision denying Mr. Finley's request for review and upholding the ALJ's final decision. (Tr. 1-5.) On August 18, 2014, Mr. Finley timely filed a Complaint seeking judicial review of the Commissioner's final decision. (See USDC NM Civ. No. 14-736 SCY (Doc. 1).)
Upon judicial review, the Court reversed the Commissioner's decision and remanded Mr. Finley's claim to the Commissioner to conduct further proceedings. Tr. 1045-58. The Court instructed the Commissioner that on remand, "the ALJ shall ensure that all medical evidence in the record is considered at Step Four, Phases One and Two of the sequential analysis." Tr. 1058.
Before the ALJ rendered a new decision on remand, Mr. Finley filed second applications for DIB and SSI. Tr. 1257-58, 1263-68. Mr. Finley's second applications were initially denied on February 26, 2015. Tr. 1005, 1006, 1007-14, 1015-22, 1135. They were denied again at reconsideration on December 3, 2015. Tr. 990-1004, 1023, 1024, 1025-39, 1136-39, 1140-43. On January 27, 2016, Mr. Finley requested a hearing from an ALJ. Tr. 1144-45. On March 21, 2016, the Appeals Council entered an Order vacating the ALJ Willner's decision, and explained that
Tr. 1042. ALJ Lillian Richter conducted a hearing on February 2, 2017.
An individual is considered disabled if he is unable "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 12 months." 42 U.S.C. § 423(d)(1)(A) (pertaining to disability insurance benefits); see also 42 U.S.C. § 1382(a)(3)(A) (pertaining to supplemental security income disability benefits for adult individuals). The Social Security Commissioner has adopted the familiar five-step sequential analysis to determine whether a person satisfies the statutory criteria as follows:
See 20 C.F.R. § 404.1520(a)(4) (disability insurance benefits); 20 C.F.R. § 416.920(a)(4) (supplemental security income disability benefits); Fischer-Ross v. Barnhart, 431 F.3d 729, 731 (10th Cir. 2005); Grogan v. Barnhart, 399 F.3d 1257, 1261 (10
When, as here, there is medical evidence of drug addiction and alcoholism (DAA) in the record, the ALJ must add a sixth step to the evaluation. That step requires the ALJ to determine whether DAA is a "material contributing factor" to the claimant's disability. 20 C.F.R. §§ 404.1535(a) and 416.935(a). In making this determination, the "ay factor . . . is whether [the ALJ] would still find [claimant] disabled if [claimant] stopped using drugs or alcohol." 20 C.F.R. §§ 404.1535(b)(1) and 416.935(b)(1); see also SSR 13-02p, 2013 WL 621536. The ALJ must identify which of the claimant's physical and/or mental limitations, upon which the threshold disability determination was based, would remain if the clamant stopped using drugs or alcohol. Then the ALJ must determine whether any or all of the remaining limitations would be disabling. 20 C.F.R. §§ 404.1535(b)(2), 416.935(b)(2). If the ALJ finds that a claimant's remaining limitations would not be disabling, then DAA is a "material contributing factor" to the claimant's disability, and the ALJ must find the claimant is not disabled. 20 C.F.R. §§ 404.1535(b)(2)(i), 416.935(b)(2)(i); see also SSR 13.02p. If the ALJ finds the remaining limitations would in and of themselves be disabling, then the ALJ must find that the claimant is disabled. 20 C.F.R. §§ 404.1535(b)(2)(ii), 416.935(b)(2)(ii).
This Court must affirm the Commissioner's denial of social security benefits unless (1) the decision is not supported by "substantial evidence" or (2) the ALJ did not apply the proper legal standards in reaching the decision. 42 U.S.C. § 405(g); Hamlin v. Barnhart, 365 F.3d 1208, 1214 (10
The ALJ followed the proper sequential evaluation process by including alternative findings at step three, four and five of the sequential evaluation to account for Mr. Finley's limitations with and without DAA. The ALJ also made the sixth step finding required in such cases by determining whether Mr. Finley would still be disabled if he stopped using alcohol. At step one, the ALJ found that Mr. Finley met the insured status requirements through December 31, 2013, and had not engaged in substantial gainful activity since his alleged onset date of July 31, 2008. Tr. 914. At step two, the ALJ determined that Mr. Finley had severe impairments of right ankle and foot stress fracture and tendinopathy, ethanol dependence, anxiety, thumb tendonitis, chronic mild depression, chronic back pain with thoracic scoliosis, benzodiazepine dependence, bipolar disorder, and bilateral foot edema with right ankle pain. Id. The ALJ also found Mr. Finley had nonsevere impairments of hypercholesterolemia, hypercalcemia, benzodiazepine dependence [sic], and irritable bowel syndrome. Id. At step three, the ALJ determined that with or without considering DAA, Mr. Finley did not have an impairment or combination of impairments that meets or equals the severity of one of the presumptively disabling impairments listed in 20 C.F.R. Part 404, Subpart P, Appendix 1. Tr. 914-16, 918. At step four, the ALJ determined Mr. Finley's residual functional capacity including DAA as follows:
Tr. 916. The ALJ's alternative RFC did not include the effects of DAA as follows:
Tr. 919. At the second phase of step four, the ALJ determined that with or without considering the effects of DAA, Mr. Finley could not perform the exertional demands of his past relevant work. Tr. 917, 924. At the fifth step of the sequential evaluation, the ALJ found there were no jobs existing in significant numbers that Mr. Finley could perform when the effects of DAA were considered. Tr. 917-18. Because the ALJ found Mr. Finley's DAA material to his disability, however, the ALJ was required to formulate a second RFC without considering the effects of DAA. Based on the second RFC and the testimony of the VE, the ALJ concluded that if Mr. Finley stopped using alcohol, there were jobs that existed in significant numbers in the national economy that he could perform. Tr. 924-25. The ALJ, therefore, determined that Mr. Finley was not disabled. Tr. 925.
In his Motion, Mr. Finley argues that the ALJ (1) failed to properly account for the opinions of his treating psychiatrists;
On February 18, 2011, State agency examining psychological consultant Cathy Simutis, Ph.D., evaluated Mr. Finley. Tr. 801-03. Mr. Finley reported that he was not able to work because of his anxiety and depression, and because his "ability to get along with people [was] questionable." Tr. 801. Dr. Simutis took Mr. Finley's family, training, work, and medical histories, and noted his reported activities of daily living. Tr. 801-02. When asked if he was currently using alcohol, Mr. Finley responded, "I try not to," and explained that he drinks to calm himself down. Tr. 802. On mental status exam, Dr. Simutis observed that Mr. Finley was alert and oriented times three, maintained good eye contact, was cooperative, and had slow speech at a tone within normal limits. Tr. 803. She also observed that Mr. Finley had visible tremors, and appeared agitated, anxious and depressed. Id. Dr. Simutis noted that Mr. Finley reported visual and auditory hallucinations, some suicidal and homicidal ideation without having a plan or intent, and feeling down, hopeless and more forgetful. Id. Dr. Simutis diagnosed generalized anxiety disorder; bipolar disorder, depressed; and alcohol abuse, early partial remission. Id. She assessed a GAF score of 35.
Tr. 803.
On March 19, 2011, State agency nonexamining psychological consultant Alvin Smith, Ph.D., reviewed the medical record evidence
Tr. 808.
On. July 6, 2012, Mr. Finley's treating psychiatrist Steven C. Jenkusky, M.D., completed a 12.04 Depression Listings Questionnaire Affective Disorders and 12.06 Anxiety Listings Questionnaire and indicated that Mr. Finley met the Part A, B and C criteria of those listings. Tr. 896-99, 900-02. Dr. Jenkusky had been treating Mr. Finley since October 5, 2011, and had seen him four times when he completed the listings forms.
On May 28, 2015, Dr. Jenkusky completed a Medical Assessment of Ability To Do Work-Related Activities (Mental) on Mr. Finley's behalf. Tr. 1446-47. Dr. Jenkusky had been treating Mr. Finley for approximately four years and had seen him eighteen times when he completed this assessment.
On February 18, 2016, Dr. Jenkusky completed a second Medical Assessment of Ability To Do Work-Related Activities (Mental) on Mr. Finley's behalf. Tr. 1381-82. Dr. Jenkusky had been treating Mr. Finley for approximately four years and a half years and had seen him twenty-four times when he completed this assessment. Tr. 825-34, 1387-95, 1400-04, 1464-66, 1599-1608. Dr. Jenkusky's assessment was consistent with his May 28, 2015, assessment. Compare Tr. 1381-82, and 1446-47. Dr. Jenkusky explained that Mr. Finley "alternate[d] between periods of intense focus, but only if isolated from others, to periods of extreme lethargy, depression, no motivation, poor concentration and impaired functioning." Tr. 1382.
On. February 18, 2016, Dr. Jenkusky also completed 12.04 Affective Disorders and 12.06 Anxiety-Related Disorders listing forms, and indicated that Mr. Finley met the Part A and B criteria of those listings. Tr. 1383-84.
On December 2, 2015, nonexamining State agency medical consultant Scott Walker, M.D., reviewed the medical record evidence
Tr. 1001.
The ALJ stated she applied the treating source rule to Dr. Jenkusky's opinions, declined to give them controlling weight, and then accorded them only "some" weight. She explained as to Dr. Jenkusky's July 6, 2012, listing questionnaires, that
Tr. 923.
As to Dr. Jenkusky's May 28, 2015, opinion, she explained that
Tr. 923.
Finally, as to Dr. Jenkusky's February 18, 2016, opinion, the ALJ explained that
Tr. 924.
Mr. Finley argues that the ALJ violated the treating physician rule by applying an improper legal standard when she evaluated Dr. Jenkusky's opinion. Doc. 18 at 14-19. In support, Mr. Finley asserts that the ALJ's explanation that Dr. Jenkusky's opinions are internally inconsistent is illusory because the ALJ failed to appreciate the distinction between the listings forms and the functional assessment forms Dr. Jenkusky completed. Id. at 16. Mr. Finley further asserts that the ALJ ignored the fluctuating nature of Mr. Finley's mental impairments, improperly picked from Dr. Jenkusky's treatment notes and cited to a "good" day, and wrongly conflated signs of improvement with the lack of disabling functional capacity. Id. at 16-18. Finally, Mr. Finley asserted that the ALJ failed to consider all of the Watkins "deference" factors in weighing Dr. Jenkusky's opinions. Id.
The Commissioner contends that the ALJ gave valid reasons for according Dr. Jenkusky's opinions some weight and that substantial evidence supports her decision. Doc. 22 at 17-19. The Commissioner argues that it was reasonable for the ALJ to discount Dr. Jenkusky's opinions based on his failure to address Mr. Finley's use of alcohol in his assessments. Id. at 17. The Commissioner further argues that the ALJ properly noted the inconsistencies between Dr. Jenkusky's assessments in the listings forms and functional assessment forms, as well as the inconsistencies between Dr. Jenkusky's opinions and his treatment notes. Id. at 17-19.
While the ALJ did not go through each of the regulatory factors in weighing Dr. Jenkusky's opinions, she did provide some reasons for finding that his opinions were not supported. First, she explained that Dr. Jenkusky's opinions failed to address the impact of Mr. Finley's substance abuse. Second, she explained that there was an internal inconsistency related to Mr. Finley's social functioning between the listings forms and functional assessment forms Dr. Jenkusky completed. Finally, she explained that Dr. Jenkusky's opinions were inconsistent with his treatment notes. As set forth below, the ALJ's explanations are insufficient and not supported by substantial evidence.
The ALJ discounted Dr. Jenkusky's opinions because they failed to address the impact of Mr. Finley's substance abuse on his ability to function. The Court finds this explanation insufficient because it presumes that Dr. Jenkusky could distinguish between the effects of Mr. Finley's mental disorders and his alcohol abuse and, had he done so, his assessments would have been less restrictive. This is improper speculation. McGoffin v. Barnhart, 288 F.3d 1248, 1252 (10
The ALJ also discounted Dr. Jenkusky's opinions because of the "internal inconsistency" between Dr. Jenkusky's marked limitation of Mr. Finley's social functioning on the listings forms and slight and moderate limitations of social functioning on the functional assessment forms. In doing so, however, the ALJ failed to account for the distinction between the two forms. The listings forms are generally used to assess mental impairment for purposes of steps two (identifying severe impairments) and three (rating severity for the listing), and are structured specifically in terms of the B and C criteria of the listings for mental impairments.
Finally, the ALJ discounted Dr. Jenkusky's opinions stating they were not supported by his treatment notes. In support of her explanation, the ALJ cited one treatment note, out of twenty-four, to support that Mr. Finley was doing well on medication, was sober, and that his mood and affect were okay.
For all of the foregoing reasons, the Court finds that the ALJ's explanations for discounting Dr. Jenkusky's opinions are insufficient and not supported by substantial evidence.
An ALJ should generally give more weight to a treating source opinion because of his "unique perspective to the medical evidence that cannot be obtained from the objective medical findings alone or from reports of individual examinations[.]" Robinson, 366 F.3d at 1084; Watkins, 350 F.3d at 1300. Thus, all things being equal, the opinion of a treating doctor who has seen a claimant more is placed above the opinion of a physician who has only examined a claimant once, and above a physician who has never seen the claimant at all and only reviewed the medical record. Robinson, 377 F.3d at 1084. Here, the ALJ accorded Dr. Jenkusky's opinions "some weight." Tr. 922-23. However, in doing so, the ALJ did not cite to any other medical source opinion evidence related to Mr. Finley's mental impairments that outweighed his opinions. To the contrary, the ALJ accorded all of the other medical opinion evidence "some weight." This begs the question, "if the ALJ is giving only `some weight' to all of the opinions, to whose opinion is the ALJ deferring?" An ALJ, who is not a medical provider, must rely on medical providers to determine a claimant's medical condition. Here, it is not clear to the Court what evidence the ALJ relied on to discount Dr. Jenkusky's opinions, particularly since, as discussed below, Dr. Jenkusky's assessments were mostly consistent with the other medical source opinion evidence related to Mr. Finley's ability to do work-related mental activities.
The ALJ failed to demonstrate how Dr. Jenkusky's opinions were inconsistent with the other medical opinion evidence related to Mr. Finley's mental impairments. This is troubling since the Court's review of the evidence demonstrates that they are not inconsistent as follows. (1) Dr. Jenkusky assessed that Mr. Finley had a moderate limitation in his ability to understand and remember detailed instructions. Tr. 1381, 1446. Dr. Simutis assessed the same moderate limitation. Tr. 803. (2) Dr. Jenkusky assessed that Mr. Finley had a moderate limitation in his ability to work in coordination with others. Tr. 1381, 1446. Dr. Smith and Dr. Walker assessed the same moderate limitation, Tr. 806, 1000, and Dr. Simutis assessed that Mr. Finley had a marked limitation in this area. Tr. 803. (3) Dr. Jenkusky assessed that, when in a period of lethargy and depression, Mr. Jenkusky had a marked limitation in his ability to maintain attention and concentration for extended periods of time. Tr. 1381, 1446. Dr. Simutis assessed the same marked limitation, Tr. 803, and both Dr. Smith and Dr. Walker assessed that Mr. Finley had a moderate limitation in this area. Tr. 806, 1000. (4) Dr. Jenkusky assessed that Mr. Finley had a marked limitation in his ability to perform activities within a schedule and maintain regular attendance. Tr. 1381, 1446. Dr. Walker assessed Mr. Finley had a moderate limitation in this area. Tr. 1000. (5) Dr. Jenkusky assessed that Mr. Finley had a marked limitation in his ability to complete a normal work week or work day without interruptions. Tr. 1381, 1446. Dr. Walker assessed that Mr. Finley had a moderate limitation in this area. Tr. 1000. (6) Finally, Dr. Jenkusky assessed that Mr. Finley had a marked limitation in his ability to adapt to change. Tr. 1382, 1447. Dr. Simutis assessed that Mr. Finley had a mild limitation in this area, Tr. 803, and Dr. Walker assessed that he had a moderate limitation in this area. Tr. 1001. In sum, all of Dr. Jenkusky's assessed limitations were either supported in full or in part by the other medical source opinion evidence related to Mr. Finley's ability to do work-related mental activities.
For all of the foregoing reasons, the Court finds that the ALJ failed to apply the correct legal standard in weighing Dr. Jenkusky's opinions. This is error.
The Court will not address Mr. Finley's remaining claims of error because they may be affected by the ALJ's treatment of this case on remand. Watkins v. Barnhart, 350 F.3d 1297, 1299 (10
For the reasons stated above, Mr. Finley's Motion to Reverse and Remand for a Rehearing With Supporting Memorandum (Doc. 18) is
In Salazar, the Tenth Circuit discussed how to make a materiality determination when mental impairments are involved. The opinion refers to a teletype issued by the Commissioner pertaining to "situations where a claimant has one or more other mental impairments in addition to [drug and alcohol addiction.]" Id. Salazar, 468 F.3d at 623. The teletype "stresses the need for careful examination of periods of abstinence and also directs that if the effects of a claimant's mental impairments cannot be separated from the effects of substance abuse, the [drug and alcohol addiction] is not a contributing factor material to the disability determination." Id. The teletype also states that "[t]he most useful evidence that might be obtained in such cases is that relating to a period when the individual was not using drugs/alcohol." Id. When evaluating this type of evidence, the ALJ must consider "the length of the period of abstinence, how recently it occurred, and whether there may have been any increase in the limitations and restrictions imposed by the other mental impairments since the last period of abstinence." Id.; see also SSR 13-2p, 2013 WL 621536, at *9 and *12. Further, the report of a medical or psychological consultant could be the basis for a conclusion that drug and alcohol addiction is material to the determination that a claimant is disabled if two conditions are met. First, the consultant must separate the effects of the mental impairments from those of substance abuse; and second, the consultant must project what limitations would remain if the claimant stopped using drugs or alcohol. Salazar, 468 F.3d at 623-24. However, where the record is devoid of any medical or psychological report or opinion as to the claimant's remaining limitations if he stopped using drugs or alcohol, an ALJ should "find that [drug and alcohol addiction] is not a contributing factor material to the determination of disability." Id. at 624.
As to certain of the moderate limitations Dr. Smith and Dr. Walker assessed, the Commissioner argues that the ALJ properly relied on Dr. Smith's and Dr. Walker's Section III narratives in determining the RFC and needed only to address Section I limitations if there were no commensurate Section III findings that might account for them. Doc. 22 at 22-23. The Court, however, is not persuaded that the Section III narratives properly accounted for certain of the Section I limitations. For example, Dr. Smith concluded that Mr. Finley had a moderate limitation in his ability to maintain attention and concentration for extended periods, yet in his narrative assessed that Mr. Finley could "attend/concentrate for extended periods without a need for unscheduled breaks." Tr. 806-808. This is a clear contradiction. See Carver v. Colvin, 600 F. App'x 616, 619 (10