GREGORY M. SLEET, District Judge.
This action arises from the denial of plaintiff Angela Williams' ("Williams") claim for Social Security benefits. On May 27, 2009, Williams filed an application for Disability Insurance Benefits ("DIB") under Title II of the Social Security Act (the "Act"). (D.I. 5 at 9, 71.) Her claims for disability were denied initially on February 8, 2010, and upon reconsideration on May 6, 2010. (Id. at 9.) Williams requested a hearing before an administrative law judge ("ALJ"), which was held January 11, 2011. (Id.) On February 9, 2011, the ALJ issued a decision finding Williams was not disabled under the Act. (Id. at 6-20.) The Appeals Council denied her request for review, and the ALJ's opinion became the final decision of the Commissioner of Social Security ("Commissioner") on July 11, 2012. (Id. at 1.) Presently before the court are the parties' cross-motions for summary judgment. For the reasons below, the court will grant in part and deny in part Williams' motion (D.I. 11.) and grant in part and deny in part the Commissioner's motion. (D.I. 12.)
Williams was born May 30, 1967 and was forty-one years old when she filed for DIB on May 27, 2009. (D.I. 5 at 71.) She has a high school education, and previously, worked as a cashier and a certified nurse's assistant ("CNA"). (Id. at 30, 33.) In her application and disability report, Williams claimed disability beginning November 6, 2006,
Williams saw Dr. Ginger Chiang, M.D. ("Dr. Chiang"), of Delaware Back Pain & Sports Rehabilitation Centers ("Delaware Back Pain") on March 7, 2008. (Id. at 368.) She was referred to Dr. Chiang by Dr. Arnold Glassman, D.O. ("Dr. Glassman"), also of Delaware Back Pain, who began treating Williams in July 2006.
Dr. Chiang administered trigger point injections to Williams' lower back. (Id. at 362.) Progress notes show she reported no leg pain after the injections. (Id. at 383.) Her follow-up appointments with Dr. Glassman occurred nearly every month from March 2008 to March 2010. (Id. at 188, 191-387, 409-430.)
At her April 23, 2008 visit with Dr. Glassman, Williams completed a patient follow-up history. (Id. at 350.) Her chief complaints were right shoulder, neck, and back pain, daytime sleepiness, headache, weakness, anxiety/panic, nervousness, mood changes, and tension. (Id.) Housework increased her pain; rest and medication improved it. (Id.) She also completed a pain and function self-assessment, listing current pain 5/10; average pain 7-8/10; worst pain since last visit 7-8/10. (Id. at 351.) Pain completely interfered with work, sleep, participation in social activities, and sexual activities. (Id.) Finally, Williams reported medication side effects of constipation, trouble sleeping, and difficulty with concentration. (Id.)
Williams completed a patient follow-up history and a pain and function selfassessment on each of her subsequent monthly visits to Dr. Glassman. (Id. at 193-352, 409-30.) With little deviation, her follow-up histories and self-assessments remained stable for the duration of her treatment with him.
Dr. Glassman completed a physical exam at each monthly visit
Beginning with the May 26, 2009 visit and continuing to the latest report from Dr. Glassman, Williams was prescribed Cymbalta, Oxycontin, and Xanax. (Id. at 191-260, 409-430.) During that time, Dr. Glassman consistently noted no adverse side effects and reported the medication helped. (Id.) He recorded no impairment and noted improvement in Williams' activities of daily living ("ADLs"). (Id. at 194, 409, 420.)
Dr. Glassman completed a functional capacities assessment for The Hartford Insurance Company.
Dr. Glassman further indicated Williams could not lift any weight with her right arm, and not more than ten pounds occasionally with her left arm.
Dr. Glassman reported that Williams cried in his office (id. at 227, 254, 305, 311), but at other times, her mood and affect were normal.
Williams underwent psychological therapy sessions from Dr. Fisher, who noted depression and anxiety secondary to chronic pain. (Id. at 230, 248, 249, 250.) Dr. Fisher encouraged changes in diet, exercise, and adding structure to daily life. (Id. at 249.)
Dr. M. H. Borek, D.O. ("Dr. Borek"), a State agency medical consultant, completed a Physical Residual Functional Capacity Assessment on February 10, 2010, finding Williams could occasionally lift and/or carry ten pounds; frequently
Christopher King, Psy.D. ("Dr. King"), a State agency medical consultant, completed a Psychiatric Review Technique on February 7, 2010. (Id. at 398.) Dr. King found no severe impairment (id.), but diagnosed depressive disorder and anxiety. (Id. at 400-02.) He found no restrictions on activities of daily living, mild limitations in social functioning, concentration, persistence, and pace, and no episodes of decompensation. (Id. at 406.) On April 19, 2010, Pedro M. Ferreira, Ph.D., M.B.A. ("Dr. Ferreira"), also a State agency medical consultant, affirmed Dr. King's assessment. (Id. at 431.)
At the administrative hearing before ALJ Melvin D. Benitz on January 11, 2011, Williams appeared without counsel. (Id. at 26.) She advised the ALJ the evidence did not contain a medical record of Dr. Glassman prepared the week before the hearing. (Id. at 28.) Because Williams was granted a closed period of disability from November 6, 2006 to March 5, 2008, the ALJ modified the onset date to March 6, 2008. (Id. at 28-29.)
Williams testified she is five feet and one inch tall, weighing 195 pounds, age forty two years old,
Williams was injured on the job in June 2006 when a patient fell on her, causing injuries to her neck, back, right shoulder, and both hands. (Id. at 32-33.) She cannot work because of pain and medication side effects. (Id. at 33.) She underwent regular physical therapy, which provided short term relief, along with a personal TENS unit.
Although she was previously granted a closed period of disability on the basis that her condition improved, her condition remained the same and the pain worsened. (Id. at 37.) She did not want the previous closed period of disability, but her previous attorney refused to represent her if she did not accept it. (Id.) She is seeking a continuing period of disability. (Id. at 37-38.)
Williams claimed limited range of motion, with pain radiating downwards from the back of her head. (Id. at 39.) She can lift ten pounds, limited by right shoulder impingement. (Id. at 38.) She can stand about an hour, walk twenty minutes to a half hour, and sit a half hour to forty minutes. (Id. at 39.) She does not cook her own meals and occasionally does household chores. (Id. at 40.)
A vocational expert, James Michael Ryan ("Dr. Ryan") testified at the hearing. (Id. at 42.) The VE acknowledged Williams' previous work as a CNA, but noted she performed at the heavy exertional level, while her former employment is usually rated at the medium level. (Id.) In response to the ALJ's hypothetical of an individual having the same physical, mental, and emotional ailments, and medication side effects as Williams, the VE testified this hypothetical person was capable of light exertional unskilled work as a laundry worker; machine tender; and packer and packaging worker, and sedentary unskilled work as a small parts inserter; finish machine tender, and grading and sorting worker. (Id. at 42-44.)
The VE also confirmed all jobs are SVP 2.
The ALJ then explained to Williams the manner in which he questioned the VE and that she could question the VE, suggesting she ask about the limitations from her impairments. (Id. at 46-47.) Williams stated she might miss two to three days of work per week, to which the VE responded that such absenteeism rate would render her unable to work. (Id. at 47.)
The Social Security Administration uses a five-step sequential claim evaluation process to determine whether an individual is disabled:
West v. Astrue, C.A. No. 07-158, 2009 WL 2611224, at *5 (D. Del. August 26, 2009) (quoting Brewster v. Heckler, 786 F.2d 581, 583-84 (3d Cir. 1986)). Based on the factual evidence and the testimony of Williams and Dr. Ryan, the ALJ determined she was not disabled and, therefore, ineligible for DIB. (D.I. 5 at 20.) The ALJ's findings of February 9, 2011 are summarized as follows:
(Id. at 11-20)
Both parties move for summary judgment. In determining the appropriateness of summary judgment, the court must "review the record as a whole, `draw[ing] all reasonable inferences in favor of the non-moving party[,]' but [refraining from] weighing the evidence or making credibility determinations." Reeves v. Sanderson Plumbing Prods., Inc., 530 U.S. 133, 150 (2000) (citation omitted). If "there is no genuine issue as to any material fact" and the movant is entitled to judgment as a matter of law, summary judgment is appropriate. See Hill v. City of Scranton, 411 F.3d 118, 125 (3d Cir. 2005) (quoting FED. R. CIV. P. 56(c)).
This standard does not change merely because there are cross-motions for summary judgment. Appelmans v. City of Philadelphia, 826 F.2d 214, 216 (3d Cir. 1987). Cross-motions for summary judgment:
Rains v. Cascade Indus., Inc., 402 F.2d 241, 245 (3d Cir. 1968). "The filing of crossmotions for summary judgment does not require the court to grant summary judgment for either party." Krupa v. New Castle Cnty., 732 F.Supp. 497, 505 (D. Del. 1990).
Section 405(g) sets forth the standard of review of an ALJ's decision. The court may reverse the Commissioner's final determination only if the ALJ did not apply the proper legal standards, or the record did not contain substantial evidence to support the decision. Factual findings are upheld if supported by substantial evidence. See 42 U.S.C. §§405(g); see also Monsour Med. Ctr. v. Heckle, 806 F.2d 1185, 1190 (3d Cir. 1986). Substantial evidence means less than a preponderance, but more than a mere scintilla of evidence. Rutherford v. Barnhart, 399 F.3d 546, 552 (3d Cir. 2005). As the United States Supreme Court has found, substantial evidence "does not mean a large or significant amount of evidence, but rather such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Pierce v. Underwood, 487 U.S. 552, 565(1988).
In determining whether substantial evidence supports the Commissioner's findings, the court may not undertake a de novo review of the decision nor re-weigh the evidence of record. Monsour, 806 F.2d at 1190. The court's review is limited to the evidence that was actually presented to the ALJ. Matthews v. Apfel, 239 F.3d 589, 593-95 (3d Cir. 2001). The Third Circuit has explained that a:
Kent v. Schweiker, 710 F.2d 110, 114 (3d Cir. 1983). Thus, the inquiry is not whether the court would have made the same determination, but rather, whether the Commissioner's conclusion was reasonable. Brown v. Bowen, 845 F.2d 1211, 1213 (3d Cir. 1988). Even if the court would have decided the case differently, it must defer to and affirm the ALJ so long as the decision is supported by substantial evidence. Monsour, 806 F.2d at 1190-91.
Where "review of an administrative determination is sought, the agency's decision cannot be affirmed on a ground other than that actually relied upon by the agency in making its decision." Hansford v. Astrue, 805 F.Supp.2d 140, 144-45 (W.D. Pa. 2011). In SEC v. Chenery Corp., the Court found that 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." 332 U.S. 194, 196 (1947). "If those grounds are inadequate or improper, the court is powerless to affirm the administrative action by substituting what it considers to be a more adequate or proper basis." Id. The Third Circuit has recognized the applicability of this finding in the Social Security disability context. Fargnoli v. Massanari, 247 F.3d 34, 44 n.7 (3d Cir. 2001). This court's review is limited to the four corners of the ALJ's decision. Cefalu v. Barnhart, 387 F.Supp.2d 486, 491 (W.D. Pa. 2005). In Social Security cases, the substantial evidence standard applies to motions for summary judgment brought pursuant to FED. R. CIV. P. 56. See Woody v. Sec'y of the Dep't of Health & Human Servs., 859 F.2d 1156, 1159 (3d Cir. 1988).
Williams maintains the ALJ erred in denying her application for DIB because the ALJ failed to assist an unrepresented and mentally impaired claimant in developing the administrative record. (D.I. 11-1 at 1.) She further contends the ALJ failed to properly accommodate her neck, shoulder, hand, and arm impairments, and erred in assessing her activities of daily living. (Id. at 1-2.) Finally, Williams argues the ALJ failed to consider the side effects of her medications. (Id.) The Commissioner maintains the ALJ fulfilled his duty, adequately accounted for work-related limitations, and properly assessed the credibility of subjective complaints. (D.I. 13 at 1-2.)
Title II of the Social Security Act, 42 U.S.C. § 423(a)(1)(D), "provides for the payment of insurance benefits to persons who have contributed to the program and who suffer from a physical or mental disability." Bowen, 482 U.S. at 140. In order to qualify for DIB, the claimant must establish she was disabled prior to the date she was last insured. See 20 C.F.R. § 404.131. A "disability" is defined as the inability to do substantial gainful activity because of any medically determinable physical or mental impairment, which either could result in death or has lasted or can be expected to last for a continuous period of at least 12 months. 42 U.S.C. § 423(d)(1)(A). To be disabled, the severity of the impairment must prevent return to previous work, and based on age, education, and work experience, restrict "any other kind of substantial gainful work which exists in the national economy." 42 U.S.C. § 423(d)(2)(A); Barnhart v. Thomas, 540 U.S. 20, 21-22 (2003).
Williams maintains the ALJ failed to fulfill his duty on behalf of an unrepresented and mentally disabled claimant to conduct a full and fair administrative hearing and fully develop the record. (D.I. 11-1 at 4.)
Williams asserts the ALJ owes a heightened duty to an unrepresented and mentally ill claimant. "The fact that a claimant is unrepresented by counsel and has knowingly waived this right is not alone sufficient for remand. However, if it is clear that the lack of counsel prejudiced the claimant or that the proceeding was marked by unfairness due to the lack of counsel, this is sufficient for remand, or reversal." Livingston v. Califano, 614 F.2d 342, 345 (3d Cir. 1980) (internal citation omitted). "An ALJ owes a duty to a pro se claimant to help him or her develop the administrative record." Reefer v. Barnhart, 326 F.3d 376, 380 (3d Cir. 2003). The ALJ has a heightened level of care and responsibility to assume a more active role when a claimant is unrepresented. Dobrowolsky v. Califano, 606 F.2d 403, 407 (3d Cir. 1979). "When a claimant is both unrepresented and suffers from a mental impairment. . . the ALJ's duty to carefully develop the record is even greater." Ransom v. Bowen, 844 F.2d 1326, 1330 n.4 (7th Cir. 1988).
The facts do not support her contention. Williams claims the ALJ failed to notify her of key elements of her right to representation, including fee structures and finding representation. (D.I. 11-1 at 7.) The agency informed Williams of her right to counsel on numerous occasions before, during, and after the hearing. (D.I. 5 at 7, 26, 86, 88, 90, 96, 101.) Williams indicated her understanding of that right (id. at 26, 77, 85) and waived her right to representation at the hearing. (Id. at 109.) The agency repeatedly provided her with information regarding agency approval of fee agreements for private counsel, and names, addresses, and telephone numbers to. obtain free legal aid. (Id. at 7, 86-91.) In light of the agency's prior notifications, any purported error that the ALJ did not directly notify Williams of the same is harmless.
Williams contends the ALJ had a heightened duty to a mentally impaired plaintiff relying on Thompson v. Sullivan, 933 F.2d 581 (7th Cir. 1991). (D.I. 11-1 at 4.) The plaintiff in Thompson was diagnosed with chronic alcoholism and an adjustment disorder with depressed mood. 933 F.2d at 583. There the ALJ failed to inquire as to the limitations imposed by the plaintiffs alcoholism and mental impairments. Id. at 587. The court found the ALJ failed to meet a heightened duty owed to the plaintiff to develop the record, and remanded the claim. Id. at 588.
In the instant matter, the ALJ inquired as to Williams' depression, asking for symptoms and causes. (D.I. 5 at 35-36.) The ALJ further instructed Williams to include limitations stemming from her mental impairment in her questioning of the VE. (Id: at 47.) Unlike Thompson, here the ALJ discussed Williams' mental impairments and assisted her in developing the record, and, thus, met his obligation.
Williams argues the ALJ failed to conduct a full and fair hearing and fully develop the record. An ALJ has a duty to "investigate the facts and develop the arguments both for and against granting benefits." Sims v. Apfel, 530 U.S. 103, 111 (2000) (plurality) (dicta). "An ALJ owes a duty to a pro se claimant to help him or her develop the administrative record. When a claimant appears at a hearing without counsel, the ALJ must scrupulously and conscientiously probe into, inquire of and explore for all the relevant facts." Reefer, 326 F.3d at 380 (internal quotations omitted). A hearing may be characterized as unfair "due to the failure of the ALJ to develop the record." Livingston, 614 F.2d at 345. "However, the ALJ is not required to function as the claimant's substitute counsel, but only to develop a reasonably complete record." Clark v. Shalala, 28 F.3d 828, 830-31 (8th Cir. 1994).
Here, the ALJ fully developed the record. Williams has shown no prejudice or unfairness resulting from her pro se status. The ALJ questioned Williams on her impairments and their effect on her ability to work, her medication and side effects, daily activities, treatment history, financial status, family life, the prior administrative hearing, and physical exertional limits. (D.I. 5 at 26-41.) Finally, the ALJ gave Williams the opportunity to include any additional information.
Williams takes exception to the ALJ's decision not to ask the VE follow-up questions, but cites no law or procedure requiring him to do so. (D.I. 11-1 at 5.) She asserts this is error, citing omissions from the hypothetical and shortcomings in her own questioning of the VE.
Williams further urges that the record is incomplete because a medical report had not been submitted to the ALJ before the hearing.
Williams lastly asserts ALJ improperly failed to explain his legal basis for amending the alleged onset date at the hearing. (Id. at 6.) She does not dispute the propriety of the amendment, but the procedure. The ALJ's procedure is not actionable error.
Williams argues the ALJ's residual functional capacity (RFC) assessment is unsupported by substantial evidence because it failed to accommodate her hand, neck, and arm impairments, social impairments, and resulting limitations. (Id. at 5 n.1, 7.) Defendant contends the RFC finding is adequately supported. (D.I. 13 at 12.)
Williams maintains the ALJ improperly found that, regarding her arm and hand use, she was capable of frequently lifting ten pounds and occasionally twenty pounds, with no limitations for left carpal tunnel syndrome, despite finding this condition was severe. (D.I. 11-1 at 7.) The ALJ also found while the impairments cause some functional limitations, "the moderate clinical findings, conservative treatment, and extensive activities of daily living shown in the record are not consistent with total disability." (D.I. 5 at 16.) The ALJ did note chronic right shoulder and moderate neck and back pain, and made adequate allowance for these conditions by limiting her to light work,
The ALJ notes in his RFC finding the weight assigned to and his reasoning for each treating opinion. (Id. at 17-18.) An ALJ's findings of fact must be taken as conclusive when supported by substantial evidence. Van Horn v. Schweiker, 717 F.2d 871, 873 (3d Cir. 1983). However, while the court finds the ALJ adequately accommodated her impairments, his decision to assign no weight to Dr. Glassman's opinions lacks support and is contrary to the evidence. "The grounds upon which an administrative order must be judged are those upon which the record discloses that its action was based." SEC v. Chenery, 318 U.S. 80, 87 (1943).
The ALJ's decision to afford no weight to Dr. Glassman's multi-year treatment relationship is unsupported by substantial evidence. The ALJ, in justifying his decision, notes "Dr. Glassman's opinions are conclusory, primarily based on claimant's subjective complaints and outside of his range of expertise as Dr. Glassman's specialty is Physical Medicine and Rehabilitation and he retains no specialization in Psychiatry." (D.I. 5 at 18.) The ALJ discusses the factors in evaluating treating source opinions,
"Careful consideration must be given to any available information about symptoms because subjective descriptions may indicate more severe limitations or restrictions than can be shown by objective medical evidence alone." SSR 96-8p, 1996 WL 374814 at *5. That Dr. Glassman noted Williams' subjective descriptions of pain and evaluated them is not grounds for discounting his opinion. On each visit, Dr. Glassman performed objective physical tests, including range of motion and for carpal tunnel syndrome. (See e.g. D.I. 5 at 195-96.) The ALJ's failure to give any weight to Dr. Glassman's objective and subjective assessments of Williams' impairments and medical conditions was in error.
Williams contends the ALJ's RFC finding fails to incorporate any social limitations despite a finding of moderate social difficulty. (D.I. 11-1 at 5 n.1.) "In assessing RFC, the adjudicator must consider limitations and restrictions imposed by all of an individual's impairments, even those that are not `severe.'" SSR 96-8p, 1996 WL 374184 at *5. The ALJ found Williams had moderate difficulties in social functioning and severe mental impairments (D.I. 5 at 13, 17); the RFC assessment only includes limitations related to mental impairments.
As a result, the matter should be remanded for the ALJ to elaborate upon the elements of 20 C.F.R. §404.1527(c) regarding the appropriate weight afforded to Dr. Glassman, a treating physician, and fully address Williams' social limitations.
Williams alleges the ALJ erred in assessing her activities of daily living (ADLs) and her reports of side effects from medication. (D.I. 11-1 at 10, 12.) The ALJ found her extensive ADLs were not consistent with total disability. (D.I. 5 at 16.) The ALJ further found Williams' "statements concerning the intensity, persistence and limiting effects of these symptoms are not credible to the extent they are inconsistent with the ... residual functional capacity assessment." (Id. at 15.)
Williams argues the ALJ erred in finding a mild restriction to activities of daily living because the conclusion contradicts her reports. (D.I. 11-1 at 11.) The Commissioner, however, identifies in her brief, inconsistencies in her ADL reports. (D.I. 13 at 16.)
Williams lastly alleges the ALJ failed to properly consider the side effects of her pain medications.
For these reasons, the court concludes the ALJ's findings on ADLs and the side effects of medication are unsupported by substantial evidence. The RFC finding is remanded for the ALJ to substantiate whether any bases exist for his findings regarding Williams' ADLs, and any side effects.and resulting limitations from her medication.
For the foregoing reasons, (1) Williams' motion for summary judgment is granted in part and denied in part; (2) the Commissioner's motion for summary judgment is granted in part and denied in part; and (3) the matter is remanded for further proceedings consistent with the Memorandum.
http://www.webmd.com/pain-management/carpal-tunnel/physical-exam-for-carpal-tunnel-syndrome (last visited Sept. 16, 2015).
http://www.webmd.com/pain-management/tc/transcutaneous-electrical-nerve-stimulatio n-tens-topic-overview (last visited Sept. 23, 2015).
A. No, sir, I've told you everything, sir." (D.I. 5 at 41.)