THOMAS B. SMITH, Magistrate Judge.
Plaintiff Richard William Duval brings this action pursuant to the Social Security Act ("Act"), as amended 42 U.S.C. §§ 405(g) and 1383(c)(3), to obtain judicial review of a final decision of the Commissioner of the Social Security Administration ("Commissioner") denying his claims for Disability Insurance Benefits ("DIB") and Supplemental Security Income ("SSI") under the Act. Plaintiff argues that the administrative law judge ("ALJ") erred by: (1) failing to properly weigh the opinions of his treating doctors and other health care providers; (2) finding him not fully credible; and (3) relying on vocational expert testimony elicited in response to a hypothetical that did not incorporate all of his impairments. (Doc. 16). Based upon a review of the administrative record and the pleadings and memoranda submitted by the parties, and for the reasons that follow, I respectfully recommend that the Commissioner's final decision be reversed and remanded for further proceedings consistent with the findings in this report, pursuant to sentence four of 42 U.S.C. § 405(g).
Plaintiff, a former fork lift operator, welder, construction worker, and warehouse worker with a GED, protectively filed applications for SSI and DIB on October 5, 2010. (Tr. 201, 209-10, 373). In his applications, he alleged that he was disabled beginning March 1, 2010. (Tr. 201). After his applications were denied initially and on reconsideration, he requested a hearing which was held on June 7, 2011. (Tr. 12, 219-52, 262-81). On May 23, 2012, the ALJ issued his decision denying Plaintiff's applications for benefits (Tr. 201-11).
The ALJ employed the five step sequential evaluation process which appears at 20 C.F.R. §§ 404.1520 and 416.920 to evaluate Plaintiff's claim.
Next, the ALJ found that Plaintiff had the residual functional capacity ("RFC") to perform light work subject to the following limitations: he cannot climb ladders or scaffolds and should avoid exposure to moving parts, hazardous machinery, and unprotected heights; he can perform only simple, routine, and repetitive tasks, and he can have up to occasional interaction with co-workers and the public. (Tr. 205-09). Based on Plaintiff's RFC, the ALJ decided at step four that Plaintiff could not perform his past relevant work. (Tr. 209). But, at step five the ALJ determined, based on testimony from a vocational expert, that Plaintiff could perform other work that exists in significant numbers in the national economy. (Tr. 210-11). Based on these findings, the ALJ found that Plaintiff was not disabled. (Tr. 211).
After the ALJ denied benefits, Plaintiff sought review by the Appeals Council, submitting with his request for review hundreds of additional pages of medical records. (Tr. 14-192, 196, 855-63). The Appeals Council denied the request for review (Tr. 7-10), and this appeal followed.
The scope of the Court's review is limited to determining whether the ALJ applied the correct legal standards and whether the ALJ's findings are supported by substantial evidence.
When the Commissioner's decision is supported by substantial evidence, the district court will affirm even if the reviewer would have reached a contrary result as finder of fact, and even if the reviewer finds that the preponderance of the evidence is against the Commissioner's decision.
There is a presumption in favor of the ALJ's findings of fact, but the presumption does not attach to the ALJ's conclusions of law.
At the administrative hearing in this case, Plaintiff testified that he has limited use of his right hand and arm. (Tr. 229). He also testified that in the two months preceding the hearing he had four seizures, each lasting two to four minutes during which he shakes violently and bites his tongue. (Tr. 231). If Plaintiff is standing when he has a seizure he drops to the floor. (Tr. 232). It takes him approximately 20 minutes to regain full consciousness following a seizure and he is "pretty wiped out for a couple of hours afterward." (
The Eleventh Circuit has adopted a two-pronged standard for examining a claimant's subjective complaints. First, the claimant must provide evidence of an underlying condition. Next, the claimant must submit either objective medical evidence confirming the alleged severity of the pain or other symptoms, or show that the objectively determined medical condition can reasonably be expected to give rise to the symptoms.
Once the claimant demonstrates the existence of a medically determinable impairment that could reasonably be expected to produce the pain or other symptom alleged, the ALJ must "evaluate the intensity and persistence of [the claimant's] symptoms" in order to "determine how [those] symptoms limit [the claimant's] capacity for work." 20 C.F.R. §§ 404.1529(c)(1), 416.929(c)(1). The ALJ must "consider all of the available evidence, including [the claimant's] history, the signs and laboratory findings, and statements from [the claimant], [his] treating or non-treating source, or other persons about how [the claimant's] symptoms affect [him]."
Once the claimant has shown the existence of an impairment that could reasonably be expected to produce the alleged pain or other symptoms, the ALJ may not dismiss the claimant's testimony regarding the intensity and persistence of those symptoms "solely because the available objective medical evidence does not substantiate" those statements. 20 C.F.R. §§ 404.1529(c)(2), 416.929(c)(2). "Since symptoms sometimes suggest a greater severity of impairment than can be shown by objective medical evidence alone," the ALJ must consider all relevant information, and not just objective medical evidence, in assessing the claimant's credibility. 20 C.F.R. §§ 404.1529(c)(3), 416.929(c)(3). A claimant's symptoms "will be determined to diminish [the claimant's] capacity for basic work activity to the extent that [the claimant's] alleged functional limitations and restrictions due to [those] symptoms . . . can reasonably be accepted as consistent with the objective medical evidence and other evidence." 20 C.F.R. §§ 404.1529(c)(4), 416.929(c)(4). Provided the ALJ stays within these bounds, "credibility determinations are the province of the ALJ."
If the ALJ discredits a claimant's testimony about his symptoms, the ALJ must articulate adequate reasons for doing so.
The ALJ's minimal credibility finding precludes meaningful judicial review. The vague boilerplate finding that Plaintiff's allegations are "not credible to the extent they are inconsistent with" the ALJ's RFC assessment, while not itself grounds for reversal,
The addition of the reference to objective symptoms to the boilerplate language employed by the ALJ adds little to the ALJ's credibility determination. The ALJ's finding that Plaintiff's statements are "not credible to the extent they are . . . not supported by the objective medical evidence" is useful to the Court only to the extent the ALJ identifies which of Plaintiff's statements he regards as unsupported by objective evidence. It would also have been helpful if the ALJ had identified the medical evidence he was referring to. Without this information the ALJ's decision suggests that he summarily and indiscriminately rejected all of Plaintiff's statements about his symptoms that lacked objective support simply because they lacked objective support, which is not permissible under the regulations. 20 C.F.R. §§ 404.1529(c)(2), 416.929(c)(2). While the ALJ might have been justified in relying on objective evidence to discount Plaintiff's testimony about the use of his hands (Tr. 206), he could not rely on objective evidence to discredit Plaintiff's testimony about his migraine headaches
The Commissioner argues that the ALJ's credibility finding "goes to the individual, not to specific impairments," and that the ALJ's rejection of Plaintiff's testimony that he had limited use of his hands is in turn, a reason for rejecting Plaintiff's statements about his other symptoms. (Doc. 17, p. 16). Plainly, an ALJ may employ evidence contradicting a claimant's statement not only to disprove that particular statement, but also to attack the claimant's credibility more generally. But the ALJ never made a general credibility finding as to Plaintiff. The ALJ only discounted Plaintiff's credibility concerning the use of his hands. Importantly, the ALJ never said Plaintiff's testimony about the use of his hands was inconsistent with or contradicted by other evidence. The ALJ only said that Plaintiff's testimony lacked "support" (i.e. corroboration). (R. 206). A finding that a claimant's testimony about one symptom lacks "support" in the record is not an "explicit and adequate" reason for a blanket rejection of the claimant's statements concerning his other symptoms "to the extent that they are inconsistent with" the ALJ's RFC assessment.
The Commissioner attempts to salvage the ALJ's credibility finding by arguing that the ALJ used inconsistencies between Plaintiff's testimony and Dr. Sadek's treatment notes regarding Plaintiff's marijuana use to impeach Plaintiff's credibility.
(Tr. 206).
Contrary to this statement, what the ALJ asked at the hearing was "[s]o tell me again, you want to get a statement from a doctor, or a treating physician with regard to the claimant's use of marijuana?" (Tr. 251). It is clear from the hearing transcript that the ALJ's expectation of objective evidence was unjustified and that he received exactly what Plaintiff's attorney promised—a statement from Plaintiff's neurologist addressing Plaintiff's lack of drug use. (Tr. 251). While the ALJ offers innuendo, he makes no actual findings about Plaintiff's drug use, whether bearing on Plaintiff's medical condition, credibility, or anything else. The Court reviews the ALJ's written findings, not insinuations and unstated suggestions.
At the administrative hearing, Plaintiff testified that he still was suffering seizures, including four in the past two months, and that after he has a seizure, he's "pretty wiped out for a couple hours." (Tr. 231-32). He also testified that he has one to two bad migraines per month, which force him to lie down in a dark, quiet room for up to three hours. And, he testified that he suffers from "anxious" periods lasting 10-15 minutes about every other day, during which his behavior is "a little erratic." (Tr. 240-41). Apart from the ALJ's boilerplate finding that Plaintiff's testimony was "not credible to the extent [it was] inconsistent with" Plaintiff's RFC assessment, the ALJ gave no indication as to which of these symptoms he credited in full, which he credited in part, and which he rejected. Consequently, the ALJ's credibility analysis fails to "make clear to [the reviewing court] the weight the [ALJ] gave to [Plaintiff's] statements," much less provide "specific reasons" for those determinations. Social Security Ruling (SSR) 96-7p, 1996 WL 374186, at *4 (July 2, 1996). For this reason, I recommend that the case be remanded so that the ALJ can make a proper analysis of Plaintiff's credibility.
Because I conclude that remand is warranted on this basis, I will not address Plaintiff's remaining assignments of error in detail. But, I note that the ALJ's treatment of the medical opinion evidence suffers from problems similar to the problems with the ALJ's evaluation of Plaintiff's credibility. The ALJ rejected several statements by Plaintiff's physicians and other health care providers as unsupported by treatment notes, but never explained how the treatment notes differed from the opinions. On remand, the ALJ would do well to offer more specific reasons for the weight he assigns to each of the medical opinions in the record.
Upon consideration of the foregoing, I respectfully recommend that:
1. The Commissioner's final decision be
2. The Clerk be directed to enter judgment accordingly and
3. Plaintiff be advised that the deadline to file a motion for attorney's fees pursuant to 42 U.S.C. § 406(b) shall be thirty (30) days after Plaintiff receives notice from the Social Security Administration of the amount of past due benefits awarded.
4. Plaintiff be directed that upon receipt of such notice, he shall promptly email Mr. Rudy and the OGC attorney who prepared the Commissioner's brief to advise that the notice has been received.
Specific written objections to this report and recommendation may be filed in accordance with 28 U.S.C. § 636, and M.D. FLA. R. 6.02, within fourteen (14) days after service of this report and recommendation. Failure to file timely objections shall bar the party from a de novo determination by a district judge and from attacking factual findings on appeal.
1. Is the claimant performing substantial gainful activity?
2. Does the claimant have a severe impairment?
3. Does the claimant have a severe impairment that meets or equals an impairment listed in 20 C.F.R. Part 404, Subpart P, Appendix 1?
4. Can the claimant perform past relevant work?
5. Based on the claimant's age, education, and work experience, can the claimant perform other work of the sort found in the national economy?
The only evidence of recent alcohol or marijuana use are a series of statements in Dr. Sadek's treatment notes that Plaintiff drinks "about 3" beers per day and "uses marijuana." (Tr. 26, 31, 35-36, 589, 657, 660, 816, 826). Puzzlingly, some of these notes also contain statements that Plaintiff was not using alcohol. (