ANDREW P. RODOVICH, Magistrate Judge.
This matter is before the court on petition for judicial review of the decision of the Commissioner filed by the plaintiff, Dean Owen Pittenger, on May 24, 2017. For the following reasons, the decision of Commissioner is
The plaintiff, Dean Owen Pittenger, filed an application for Disability Insurance Benefits on November 18, 2013, alleging a disability onset date of August 31, 2009. (Tr. 24). The Disability Determination Bureau denied Pittenger's application on February 21, 2014, and again upon reconsideration on June 26, 2014. (Tr. 24). Pittenger subsequently filed a timely request for a hearing on August 27, 2014. (Tr. 24). A video hearing was held on April 7, 2016, before Administrative Law Judge (ALJ) Shane McGovern, and the ALJ issued an unfavorable decision on May 4, 2016. (Tr. 24-33). Vocational Expert (VE) Carrie E. Anderson appeared and testified by telephone at the hearing. (Tr. 24). The Appeals Council denied review, making the ALJ's decision the final decision of the Commissioner. (Tr. 1-6).
Pittenger also filed an application for Supplemental Security Income on November 18, 2013. (Tr. 24). In an initial determination, Pittenger was found disabled as of February 12, 2014. (Tr. 24). The ALJ concurred with the determination and concluded that Pittenger is disabled under §1614(a)(3)(A) of the Social Security Act as of February 12, 2014. (Tr. 24).
Pittenger last met the insured status requirements of the Social Security Act on September 30, 2013. (Tr. 26). On May 4, 2016, the ALJ issued an unfavorable decision and made findings as to each of the steps in the five-step sequential analysis. (Tr. 24-33). At step one of the five-step sequential analysis for determining whether an individual is disabled, the ALJ found that Pittenger had not engaged in substantial gainful activity during the period from his alleged onset date of August 31, 2009 through his date last insured of September 30, 2013. (Tr. 26).
At step two, the ALJ determined that through the date last insured Pittenger had the following severe impairments: hypertensive cardiovascular disease, hypertension, obesity, lumbar spine spurring, sleep apnea, and asthma. (Tr. 26). Pittenger reported that he had four bleeding ulcers as of July of 2014, but the impairment was diagnosed and treated after the date last insured. (Tr. 26). At the hearing, Pittenger testified to numerous other medical complaints including blindness in his left eye; hearing loss; three herniated discs; arthritis in his knee, hands, and hip; and severe neck problems. (Tr. 27). The ALJ indicated that the existence of a medically determinable physical or mental impairment cannot be established without objective medical abnormalities. (Tr. 27). The ALJ concluded that the above complaints were not supported by objective medical evidence and therefore were not medically determinable. (Tr. 27). After the date last insured, Pittenger attended a mental status evaluation with Irene M. Walters, Psy.D., on February 4, 2014. (Tr. 27). The ALJ determined that there was no evidence of a mental impairment prior to the date last insured and that after the date last insured the evidence only established mild limitations. (Tr. 27).
At step three, the ALJ concluded that Pittenger did not have an impairment or combination of impairments that met or medically equaled the severity of one of the listed impairments in 20 C.F.R. Part 404, Subpart P, Appendix 1. (Tr. 27). The ALJ indicated that the medical evidence did not document listing-level severity. (Tr. 27). Moreover, the ALJ found that no acceptable medical source had mentioned findings equivalent in severity to the criteria of any listed impairment, individually or in combination, specifically Listings 1.02, 3.02, 3.03, 3.10, and 4.04. (Tr. 28). The ALJ also considered Pittenger's obesity in relation to the musculoskeletal, respiratory, and cardiovascular body systems listings, as required. (Tr. 28).
After careful consideration of the entire record, the ALJ then assessed Pittenger's residual functional capacity (RFC), through the date last insured, as follows:
(Tr. 28). The ALJ explained that in considering Pittenger's symptoms he followed a two-step process. (Tr. 28). First, he determined whether there was an underlying medically determinable physical or mental impairment that was shown by a medically acceptable clinical or laboratory diagnostic technique that reasonably could be expected to produce Pittenger's pain or other symptoms. (Tr. 28). Then, he evaluated the intensity, persistence, and limiting effects of the symptoms to determine the extent to which they limited Pittenger's functioning. (Tr. 28). The ALJ determined that Pittenger's medically determinable impairments reasonably could have been expected to cause some of the alleged symptoms. (Tr. 29). However, Pittenger's statements concerning the intensity, persistence, and limiting effects of his symptoms were not entirely consistent with the medical evidence and other evidence in the record. (Tr. 29).
At step four, the ALJ found that through the date last insured Pittenger was unable to perform any past relevant work. (Tr. 31). Pittenger was born on February 12, 1964 and was 49 years old, which was defined as a younger individual age 45-49 on the date last insured. (Tr. 31). The ALJ considered whether the instant matter justified applying the age-categories non-mechanically, but he found that any additional vocational adversities were fully considered by the medical-vocational rules. (Tr. 31). The ALJ noted that Pittenger had at least a high school education and was able to communicate in English. (Tr. 31). The ALJ did not account for the transferability of job skills to determine disability because the medical-vocational rules supported a finding that the Pittenger was not disabled. (Tr. 31).
Considering Pittenger's age, education, work experience, and RFC, the ALJ concluded that there were jobs in the national economy that he could perform, including system surveillance monitor (98,600 jobs nationally), order clerk (109,200 jobs nationally), and sorter (102,400 jobs nationally reduced by 20 percent). (Tr. 32). The ALJ found that Pittenger had not been under a disability, as defined in the Social Security Act, at any time from August 31, 2009 through September 30, 2013. (Tr. 32).
The standard for judicial review of an ALJ's finding that a claimant is not disabled within the meaning of the Social Security Act is limited to a determination of whether those findings are supported by substantial evidence.
Disability insurance benefits are available only to those individuals who can establish "disability" under the terms of the Social Security Act. The claimant must show that 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."
Pittenger has requested that the court reverse the ALJ's decision and award benefits, or in the alternative, remand for additional proceedings. In his appeal, Pittenger has argued that: (1) the ALJ's analysis of his subjective symptoms was legally insufficient; and (2) the ALJ erred by mechanically applying the age categories in a borderline situation.
First, Pittenger has argued that the ALJ's analysis of his subjective symptoms was legally insufficient. An ALJ's evaluation of subjective symptoms will be upheld unless it is patently wrong.
The SSA has issued new guidance on how the agency assesses the effects of a claimant's alleged symptoms. On March 28, 2016, Social Security Ruling 16-3p became effective and issued new guidance regarding the evaluation of a disability claimant's statements about the intensity, persistence, and limiting effects of symptoms. See SSR 16-3p, 2016 WL 1237954 (Mar. 28, 2016). Under SSR 16-3p, an ALJ must assess the claimant's subjective symptoms rather than assessing his "credibility." The Social Security Administration clarified that Social Security Ruling 16-3p only applies when the ALJs "make determinations and decisions on or after March 28, 2016" and that Social Security Ruling 96-7p governs cases decided before that date. See Notices, SSR 16-3p, 2017 WL 4790249 (Oct. 25, 2017).
Under SSR 16-3, the ALJ must first determine whether the claimant has a medically determinable impairment that reasonably could be expected to produce his symptoms. SSR 16-3p, 2016 WL 1119029, at *2. Then, the ALJ must evaluate the "intensity, persistence, and functionally limiting effects of the individual's symptoms to determine the extent to which the symptoms affect the individual's ability to do basic work activities." SSR 16-3p, 2016 WL 1119029, at *2. An individual's statements about the intensity and persistence of the pain may not be disregarded because they are not substantiated by objective medical evidence. SSR 16-3p, 2016 WL 1119029 at *5. In determining the ability of the claimant to perform work-related activities, the ALJ must consider the entire case record, and the decision must contain specific reasons for the finding. SSR 16-3p, 2016 WL 1119029, at *4, 9. The ALJ must weigh the claimant's subjective complaints, the relevant objective medical evidence, and any other evidence of the following factors:
The ALJ determined that Pittenger's medically determinable impairments reasonably could have been expected to cause some of the alleged symptoms; however, his statements concerning the intensity, persistence, and limiting effects of his symptoms were not entirely consistent with the medical evidence and other evidence in the record. (Tr. 28). The ALJ has failed to offer any additional reasoning for discounting Pittenger's subjective complaints, other than the symptoms were not supported by any objective medical evidence. The Seventh Circuit has made it abundantly clear that disability determinations cannot be based entirely on the results of medical tests.
Specifically, Pittenger has argued that the ALJ did not evaluate evidence regarding his activities of daily living or the effects of his prescribed medication in violation of SSR 16-3p and 20 C.F.R. § 404.1529. As for his activities of daily living, Pittenger testified that he was unable to drive for longer than 10 to 15 minutes because he had trouble staying awake; he only slept a few hours a night due to his sleep apnea; he had trouble using public restrooms; he had to change positions frequently to alleviate his pain; and he had discomfort making his bed in the morning, which required him to take breaks. (Tr. 49, 61-62, 63-64, 67). The ALJ's decision mentioned Pittenger's daily living activities briefly, however, it was in his discussion that Pittenger did not suffer from any medically determinable mental impairments. (Tr. 27).
The ALJ's decision must provide specific reasons for the weight given to the individual's symptoms, be consistent with and supported by the evidence, and must be sufficiently specific or clearly articulated so the individual and any subsequent reviewers can assess how the adjudicator evaluated the symptoms. SSR 16-3p, 2016 WL 1119029, at *9. The ALJ is permitted to consider whether a claimant's activities of daily living indicate that he can do more than alleged. See
The ALJ also failed to account for Pittenger's complaints of fatigue due to taking Norco. Pittenger testified that the side effects of taking Norco included tiredness and dizziness. (Tr. 56). Side effects of medication are to be considered when evaluating the intensity, persistence, and limiting effects of a claimant's symptoms. SSR 16-3p, 2016 WL 1119029, at *7. The court is unaware if the ALJ considered Pittenger's alleged side effects in his subjective symptom analysis, and if the ALJ accounted for the impact it had on Pittenger's ability to work. Courts in the Seventh Circuit have remanded for such an omission. See, e.g.,
In sum, the ALJ may not discount Pittenger's symptom testimony solely on the basis of objective medical evidence. The ALJ failed to adequately articulate his consideration of the relevant factors under 20 C.F.R. §§ 404.1529(c)(3) and 416.929(c)(3). Moreover, the sparse examination of a claimant's testimony hinders the court's ability to engage in a meaningful review of the ALJ's decision.
Pittenger also made a brief argument that the ALJ considered his impairments "seriatim." Pittenger contends that the ALJ erred by not considering the combination of his impairments, which ultimately could have imposed greater restrictions than his impairments taken singly. At the conclusion of citing the medical evidence as it related to Pittenger's cardiovascular impairments, low back complaints, respiratory impairments, sleep apnea, and obesity, the ALJ addressed the work-related functional limitations produced by each individual impairment. The ALJ indicated at step three that he considered Pittenger's impairment or combination of impairments to determine if they met of medically equaled the severity of one of the listed impairments. (Tr. 28-29). However, in crafting the RFC, the ALJ did not address Pittenger's impairments in combination, and therefore failed to build a logical bridge from the evidence to his conclusion. Without any evidence that the ALJ considered the impairments in concert, the court cannot say that the ALJ built the required "accurate and logical bridge" between the evidence and his conclusion.
Next, Pittenger has argued that the ALJ erred by mechanically applying the age categories in a borderline situation. The Medical-Vocational Guidelines, or grid, is a chart that classifies a claimant as disabled or not disabled based on the claimant's physical capacity, age, education, and work experience.
The Commissioner applies the applicable age category to the claimant during the period that he must decide whether the claimant is disabled.
To interpret the regulations for its ALJs, the Social Security Administration produced a guidance document called the Hearings, Appeals, and Litigation Law Manual (HALLEX). See
"[C]ourts have held that there is no bright line rule for what constitutes a borderline situation."
Additionally, there is no bright line rule for whether the Commissioner must make a specific finding in borderline situations. See
The Sixth Circuit concluded that the ALJ is not obligated to discuss a claimant's borderline age situation in his opinion because the regulations only require the Commissioner to consider a different age category in borderline situations.
The Seventh Circuit has not addressed this issue, but courts within the Seventh Circuit have agreed with the Third and Tenth Circuits' approach. See
The ALJ indicated that Pittenger was born on February 12, 1964, was 49 years old on the date last insured, and fell in the "younger individual" category (20 C.F.R. 404.1563). Pittenger has argued that he was less than four and a half months from his 50th birthday, and therefore would be in the "person closely approaching advanced age category." Pittenger contends that if he had been in the "person closely approaching advanced age category" he would have been found disabled according to Medical-Vocational Guideline 201.14. The Commissioner has not disputed that contention. The ALJ indicated that he "considered whether the facts of this case justified applying the age categories non-mechanically, but there were not additional vocational adversities in this case there were not fully considered by the medical-vocational rules." (Tr. 31). The Commissioner contends that the instant matter is devoid of additional vocational adversities. Therefore, absent evidence of vocational adversities the Commissioner has argued that the ALJ properly applied Pittenger's chronological age at the time of his date last insured.
An examination of the case law of other district courts within the Seventh Circuit shows that the courts have required ALJs to consider and explain their age category determinations in borderline age situations.
Pittenger has requested that the court remand for an award of benefits. An award of benefits is appropriate "only if all factual issues involved in the entitlement determination have been resolved and the resulting record supports only one conclusion—that the applicant qualifies for disability benefits."
Based on the foregoing reasons, the decision of the Commissioner is