LEWIS M. BLANTON, Magistrate Judge.
This is an action under 42 U.S.C. § 405(g) for judicial review of defendant's final decision denying the application of Oleta Hutson for Disability Insurance Benefits under Title II of the Social Security Act. The cause was referred to the undersigned United States Magistrate Judge for a Report and Recommendation pursuant to 28 U.S.C. § 636 (b). Plaintiff has filed a Brief in Support of Plaintiff's Complaint. (Document Number 13). Defendant has filed a Brief in Support of the Answer. (Doc. No. 20). Plaintiff has filed a Reply. (Doc. No. 21).
On May 20, 2009, plaintiff filed her application for benefits, claiming that she became unable to work due to her disabling condition on June 18, 2005.
Plaintiff's administrative hearing was held on September 17, 2010. (Tr. 31). Plaintiff was present by video teleconference, and was represented by counsel. (
The ALJ indicated that he wanted to raise the issue of the onset of plaintiff's alleged disability. (Tr. 34). The ALJ stated that he was "concerned about how long [plaintiff] has been in the condition that she appears to be in at this time." (Tr. 35). Plaintiff's attorney stated that the medical records support a 2007 onset, and noted that records from 2006 reveal hallucinations and suicidal ideations. (
In his opening statement, plaintiff's attorney argued that plaintiff was disabled due to her combination of a comminuted
The ALJ examined plaintiff, who testified that she was forty-nine years of age and that she graduated from high school. (Tr. 38-39).
Plaintiff stated that she worked at a shoe factory operating a machine that trimmed material off the soles of shoes from 1990 to 1998. (Tr. 39-40).
Vocational expert Byron Pettingil testified that plaintiff's position at the shoe factory is classified as "shoe cutter operator" in the Dictionary of Occupational Titles ("DOT"). (Tr. 42). Mr. Pettingil stated that this position is light and semi-skilled. (
Plaintiff testified that she worked binding books at a book-binding company from 1999 to 2005. (Tr. 43). Plaintiff stated that she operated a machine that tore covers off books and replaced the covers at this position. (Tr. 44).
Mr. Pettingil testified that plaintiff's book-binding position is classified as "book binder, printing and publishing," and is semi-skilled and medium. (
Plaintiff testified that she had "a little trouble" performing the book binding job at the time. (Tr. 46). Plaintiff stated that she quit this position because she was unable to use her right hand. (
Plaintiff stated that she has not worked at all since July of 2007. (
When asked whether she could perform a job that is not as fast-paced and stressful as her last position, plaintiff stated "I don't know." (
The ALJ noted that plaintiff was taking a long time to respond to his questions and inquired whether this was natural or whether she was "faking it." (
The ALJ noted that plaintiff's attorney previously stated that plaintiff's condition was worse in the past. (Tr. 50). The ALJ asked plaintiff's counsel, "how does it get much worse than this?" (
The ALJ resumed questioning plaintiff, who testified that she was married and has two grown children. (Tr. 52). Plaintiff stated that one child, who is twenty-seven years of age, lives with her. (
Plaintiff testified that someone helps her clean her house because she is unable to grip anything to sweep or mop. (
Plaintiff testified that she drives infrequently, and only for short distances. (
Plaintiff testified that she receives mental health treatment, which is helping her. (Tr. 55). Plaintiff stated that her medications help, but she does not believe she could handle a full-time job due to the stress and anxiety she feels when being around people. (
Plaintiff testified that she has difficulty walking due to back pain. (
Plaintiff testified that she does not do any household chores. (
Plaintiff testified that she shops for groceries with her husband but she never goes alone. (
Plaintiff stated that she spends her days watching television and looking out the window. (
Plaintiff's attorney examined plaintiff, who testified that she watches television for a total of about one hour a day, and she sleeps and looks out the window the rest of the day. (
Plaintiff testified that she was sexually abused as a child, and that she has flashbacks about the abuse. (
Plaintiff stated that she feels anxious when she is around crowds of people, such as when she goes to Wal-Mart with her husband. (
Plaintiff testified that she has asthma, and that she uses an Albuterol
Plaintiff testified that she experiences thoughts of suicide about twice a week, which last for about ten minutes. (
Plaintiff stated that she experiences hallucinations at least once a week. (
Plaintiff stated that she has difficulty hearing occasionally. (
Plaintiff testified that she does not go anywhere other than taking her son to the doctor, going to the grocery store with her husband, and attending doctor appointments. (Tr. 64).
Plaintiff stated that she did not remember what happened to her right hand when it was injured. (
Plaintiff testified that she was also experiencing depression when she left her job. (
Plaintiff stated that she started treatment at Pathways in May of 2006. (
The ALJ examined the vocational expert, who testified that plaintiff would be unable to perform any of her past relevant work if she were precluded from semi-skilled work. (Tr. 67).
The ALJ asked Mr. Pettingil to assume a hypothetical claimant with plaintiff's background and the following limitations: able to perform light work; no climbing of ladders, ropes, or scaffolds; no crawling; frequent, not continuous, handling and fingering with the right hand in a right-hand dominant person; no exposure to excessive noise; only occasional exposure to hazards; only occasional exposure to dusts, fumes, and gases; able to understand, remember, and carry out short, simple instructions while performing routine, predictable work, not in a fast-paced production environment; can make simple decisions; and should have no contact with the general public, and only occasional contact with co-workers. (Tr. 67-68). Mr. Pettingil testified that the individual could perform other light, unskilled work, such as: clothing sorter (120,000 positions nationally, 600 in Missouri); laundry folder (60,000 nationally, 300 in Missouri); and merchandise marker (40,000 nationally, 200 in Missouri). (Tr. 68-69).
Mr. Pettingil testified that the individual would not be capable of full-time employment if she would miss three or more workdays a month. (Tr. 69). Mr. Pettingil testified that an individual who was off-task twenty percent of the time would be incapable of full-time employment. (
The record reveals plaintiff was treated at Missouri Baptist Hospital-Sullivan on June 18, 2005, for injuries sustained in a motor vehicle accident. (Tr. 387-98). X-rays of plaintiff's right wrist revealed a displaced impacted fracture of the distal radius, which appeared comminuted. (Tr. 392).
Plaintiff presented to Pathways on May 3, 2006, at which time it was noted that plaintiff had been in a "bad car accident" in June 2005. (Tr. 473). It was noted that plaintiff had severe depression, and that she had suffered from depression most of her life. (Tr. 474). Plaintiff had moderate anxiety, and she had had extreme anxiety for a couple years. (
Plaintiff saw Garth S. Russell, M.D., at Columbia Orthopaedic Group, on June 9, 2006. (Tr. 228-36). Plaintiff reported right wrist pain and low back pain as a result of injuries she sustained in a June 18, 2005 motor vehicle accident. (Tr. 228). Dr. Russell noted that plaintiff underwent an open reduction and internal fixation of a fractured right wrist performed by Dr. Stricker in St. Louis. (
Plaintiff presented to Pathways on August 11, 2006. (Tr. 482-92). Plaintiff was diagnosed with major depressive disorder and PTSD, and was given a GAF score of 52.
Plaintiff presented to Maria Domanska, M.D. at Pathways for a diagnostic evaluation on August 30, 2006. (Tr. 495-501). Plaintiff reported a history of depression, with symptoms of crying spells, sleep problems, mood swings, visual hallucinations, suicidal ideations, memory problems, and difficulty concentrating. (Tr. 495-96). Dr. Domanska diagnosed plaintiff with major depressive disorder, recurrent with psychiatric features; and PTSD; with a GAF score of 50. (Tr. 499). Dr. Domanska continued plaintiff's Wellbutrin, Klonopin,
Plaintiff saw Dr. Domanska for follow-up on October 10, 2006, at which time plaintiff reported that she was feeling better. (Tr. 296). Plaintiff was less depressed, with better selfesteem, and her sleep and appetite were good. (
Plaintiff underwent an annual assessment at Pathways on August 27, 2007. (Tr. 524-36). Plaintiff reported that her depression had slightly improved over the last year, which she attributed to coping skills she has developed in coordination with her medications. (Tr. 525). Plaintiff reported that she still experiences pain, which complicates her depression. (
On September 13, 2007, plaintiff denied feeling depressed, but reported that she worries about her son. (Tr. 316). Dr. Domanska discontinued the Risperdal and started plaintiff on Abilify.
Plaintiff underwent an annual assessment at Pathways on August 6, 2008, performed by Lucretia Whited, MA, a CPRC supervisor. (Tr. 420-32). Plaintiff reported experiencing visual and auditory hallucinations about once a week, during which she heard or saw people that were not there and the voices say a name. (Tr. 421). Plaintiff reported experiencing panic attacks about twice a week, which were triggered when she gets upset or nervous. (
On August 26, 2008, plaintiff reported being worried and concerned about her son, experiencing mood swings, and anxiety. (Tr. 433). Dr. Domanska increased plaintiff's dosage of Abilify to better address her symptoms. (
Plaintiff presented to Tammy Bartholomew, NP on October 9, 2008, with complaints of shortness of breath and cough, migraines, epigastric pain and nausea, depression, and anxiety. (Tr. 250). On psychiatric exam, it was noted that plaintiff's affect was depressed, she had a poor attention span and concentration characterized as a "slow response," and did not have suicidal ideation. (Tr. 252). Plaintiff was diagnosed with uncontrolled extrinsic asthma,
On October 28, 2008, plaintiff presented to Dr. Domanska for follow-up, at which time she reported that her depression was under control, although she still worried about her situation at home. (Tr. 324). On December 3, 2008, plaintiff reported that she was more depressed, although her anxiety was under control. (Tr. 326). Plaintiff's insight and judgment were fair. (
Plaintiff presented to M. Akhtar Choudhary, M.D. on December 5, 2008, with complaints of headaches and hand numbness. (Tr. 355-56). Plaintiff reported a history of headaches on and off, which had increased progressively to almost daily, last all day, and are accompanied by nausea, sensitivity to noise, and sensitivity to light. (Tr. 355). Plaintiff's headaches were aggravated with stress, and she was not sleeping well. (
Plaintiff saw Dr. Domanska on January 14, 2009, at which time plaintiff denied feeling depressed, and stated that her mood was stable lately and her anxiety was under control. (Tr. 328). On March 19, 2009, plaintiff denied feeling depressed, but reported she has some mood swings. (Tr. 330). Plaintiff indicated that her anxiety was under control. (
Plaintiff underwent a right tympanoplasty
Plaintiff underwent a sleep study on May 14, 2009, due to complaints of excessive daytime sleepiness. (Tr. 348-49). Dr. Choudhary indicated that the study was consistent with obstructive sleep hypopnea
Plaintiff saw Dr. Domanska on May 26, 2009, at which time it was noted that plaintiff was feeling depressed, her mood was generally stable, and her anxiety was under control. (Tr. 332). Dr. Domanska increased plaintiff's Trazodone to help her sleep. (
Plaintiff underwent an annual assessment at Pathways on August 4, 2009, performed by Fran Tatkenhorst, MA. (Tr. 449-62). Plaintiff reported that her anxiety was worse, her depression was worse, she experiences hallucinations when her anxiety is increased, and she experiences panic attacks one to two times a week. (Tr. 450-51). Upon mental status examination, plaintiff was excessively fidgety; her mood was within normal limits; her affect was constricted, flat, and blunted; and her memory was impaired. (Tr. 451-52). Plaintiff was diagnosed with major depressive disorder recurring with psychotic features, PTSD, and a GAF score of 50. (Tr. 457-58). It was noted that plaintiff's depression and anxiety were worse this year due to the stress plaintiff was experiencing regarding her son. (Tr. 459). Plaintiff had been using food to keep her anxiety under control the past few months and had gained over thirty pounds. (
Plaintiff saw Dr. Domanska on August 20, 2009, at which time plaintiff reported that her depression was generally under control and her mood was stable. (Tr. 463).
Mark Altomari, Ph.D., a state agency psychologist, completed a Psychiatric Review Technique on September 3, 2009, in which he expressed the opinion that plaintiff had a moderate limitation in her ability to maintain social functioning and a mild limitation in her ability to maintain concentration, persistence, or pace. (Tr. 369). Dr. Altomari also completed a Mental Residual Functional Capacity Assessment, in which he found that plaintiff had moderate limitations in her ability to maintain attention and concentration for extended periods; work in coordination with or proximity to others without being distracted by them; interact appropriately with the general public; and respond appropriately to changes in the work setting. (Tr. 373-74). With regard to plaintiff's functional capacity, Dr. Altomari stated that plaintiff has the ability to understand, remember and carry out complex instructions, relate appropriately to co-workers and supervisors in small numbers and for short periods of time, adapt to most usual changes common to a competitive work environment, and make simple work-related decisions. (Tr. 375).
On September 15, 2009, plaintiff underwent x-rays of the lumbar spine, which were unremarkable. (Tr. 377). Plaintiff also underwent x-rays of the right wrist, which revealed a posttraumatic misalignment of the radiocarpal joint without other abnormality. (Tr. 378).
Plaintiff reported that her depression was under control and her mood was stable on September 30, 2009, November 11, 2009, and January 28, 2010. (Tr. 465, 467, 469). On April 6, 2010, plaintiff reported that she was feeling depressed, tired, had low motivation, and was experiencing some anxiety. (Tr. 471). Plaintiff denied having any hallucinations. (
On August 13, 2010, plaintiff saw Joseph M. Long, Ph.D. for a psychological evaluation at the request of the state agency. (Tr. 587-90). Dr. Long indicated that no formal psychological testing was conducted and no background information was available for review at the time of the exam. (Tr. 587). Plaintiff's Pathways case worker transported her to the exam. (
Dr. Long completed a Medical Source Statement of Ability to Do Work-Related Activities (Mental), in which he expressed the opinion that plaintiff had marked limitations in her ability to understand and remember complex instructions, carry out complex instructions, make judgments on complex work-related decisions, interact appropriately with the public, interact appropriately with supervisors, interact appropriately with co-workers, and respond appropriately to usual work situations and changes in a routine work setting. (Tr. 591-92). Dr. Long found that plaintiff had mild limitations in her ability to understand and remember simple instructions, carry out simple instructions, and make judgments on simple work-related decisions. (Tr. 591). Dr. Long stated that plaintiff has a history of special education placement and is likely functioning in the borderline range intellectually, and that her psychiatric illness and psychotropic regimen serve to further slow cognitive processing. (
On September 9, 2010, Dr. Domanska completed a Medical Assessment of Ability to Do Work-Related Activities (Mental), in which she expressed the opinion that plaintiff's ability to follow work rules; relate to co-workers; deal with work stresses; understand, remember and carry out complex job instructions; and understand, remember, and carry out detailed but not complex instructions was "poor or none." (Tr. 594-95). Dr. Domanska found that plaintiff's ability to deal with the public; use judgment; interact with supervisors; function independently; maintain attention/concentration understand, remember, and carry out simple job instructions; behave in an emotionally stable manner; relate predictably in social situations; and demonstrate reliability was "fair." (Tr. 594). Dr. Domanska stated that plaintiff has major depressive disorder with psychiatric features, a high anxiety level, is not able to deal with the public, is easily decompensated under stress, has problems with making decisions, has an impaired memory, and has poor focus and concentration. (
School records indicate that plaintiff underwent school and college ability testing in January 1980, which revealed a verbal score in the eleventh percentile, a quantitative score in the nineteenth percentile, and a raw score in the twelfth percentile. (Tr. 225). Plaintiff graduated from high school on May 22, 1981, and was ranked 63 out of 63. (Tr. 224).
Anna French, plaintiff's Case Manager, completed a Statement of Claimant or Other Person on September 14, 2010. (Tr. 605-06). Ms. French indicated that she had been working with plaintiff through Pathways since May 2010, although plaintiff had been receiving services through Pathways since August 2006. (Tr. 605). Ms. French stated that plaintiff has a "lot of difficulty dealing with her depressive symptoms to the point where it interferes with her daily functioning." (
The ALJ made the following findings:
(Tr. 13-22).
The ALJ's final decision reads as follows:
(Tr. 22).
Judicial review of a decision to deny Social Security benefits is limited and deferential to the agency.
The Social Security Act defines disability as the "inability 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 has lasted or can be expected to last for a continuous period of not less than 12 months." 42 U.S.C. § 416 (I) (1) (a); 42 U.S.C. § 423 (d) (1) (a). The claimant has the burden of proving that s/he has a disabling impairment.
The SSA Commissioner has established a five-step process for determining whether a person is disabled.
If the impairment is severe, the next issue is whether the impairment is equivalent to one of the listed impairments that the Commissioner accepts as sufficiently severe to preclude substantial gainful employment.
The Commissioner has supplemented this five-step process for the evaluation of claimants with mental impairments.
The evaluation process for mental impairments is set forth in 20 C.F.R. §§ 404.1520a, 416.920a. The first step requires the Commissioner to "record the pertinent signs, symptoms, findings, functional limitations, and effects of treatment" in the case record to assist in the determination of whether a mental impairment exists.
Plaintiff first argues that the ALJ failed to properly consider the opinion of Dr. Russell. Plaintiff next argues that the ALJ failed to fully and fairly develop the record regarding plaintiff's onset of disability date. Plaintiff also contends that the ALJ's RFC determination is not supported by substantial evidence. Plaintiff finally argues that the ALJ erred in evaluating the credibility of plaintiff's subjective allegations. The foundation of all of plaintiff's claims is the ALJ's assessment of plaintiff's RFC prior to August 1, 2009, the date the ALJ found plaintiff became disabled. Thus, the undersigned will first discuss the ALJ's RFC determination.
The ALJ held as follows with regard to plaintiff's RFC:
(Tr. 16).
RFC is what a claimant can do despite her limitations, and it must be determined on the basis of all relevant evidence, including medical records, physician's opinions, and claimant's description of her limitations.
As support for his findings regarding plaintiff's physical limitations, the ALJ noted that despite plaintiff's diagnosis of lumbar spondylolisthesis and scoliosis, these impairments have had little effect on plaintiff's ability to ambulate. (Tr. 17). The ALJ noted that during a 2006 examination, plaintiff had an essentially normal gait with an ability to heel-and-toe walk, and a negative straight leg raise. (Tr. 17, 229). The ALJ stated that the lifting restrictions to the light exertional level are supported by plaintiff's upper extremity impairments. (Tr. 17). The ALJ noted the abnormal findings in plaintiff's right wrist, specifically the misalignment of the radiocarpal joint; a December 2008 examination showing normal muscle strength and hand grip bilaterally; and mild bilateral carpal tunnel findings from January 2009. (Tr. 17, 378, 356). The ALJ also indicated that he was factoring plaintiff's asthma and obesity in his RFC findings. (Tr. 18). Finally, the ALJ indicated that he was assigning "great weight" to the assessment of the "state agency decision maker, Jennifer Dunlap." (Tr. 19). The ALJ stated that, although Ms. Dunlap is not an acceptable medical source, her assessment is consistent with the record as a whole with regard to plaintiff's physical limitations. (Id.).
Plaintiff argues that the ALJ erred in failing to consider the opinion of Dr. Garth Russell. Dr. Russell, of Columbia Orthopaedic Group, examined plaintiff on June 9, 2006. (Tr. 228-36). Dr. Russell also reviewed plaintiff's medical records and obtained x-rays of plaintiff's lumbar spine and right wrist. Dr. Russell diagnosed plaintiff with: comminuted, displaced fracture, right distal radius; open reduction, internal fixation secondary to above; carpal tunnel syndrome, right wrist secondary to above; and acute and chronic lumbosacral strain, superimposed upon preexisting spondylolisthesis, healed with moderate residual impairment. (Tr. 233). Dr. Russell stated that plaintiff's wrist fracture left her with significant loss of motion and strength in the right, dominant wrist. (Tr. 234). Dr. Russell noted that plaintiff also experiences intermittent numbness to her fingers. (Id.). Dr. Russell stated that, in his opinion, plaintiff would eventually need surgical decompression. (Id.). Dr. Russell stated that plaintiff's acute and chronic lumbosacral strain is made much more severe secondary to the fact that she has a congenital absence of two of the main support bones in the lower back with a spondylolysis and forward slipping at the L5-S1 area. (Tr. 235). Dr. Russell stated that plaintiff's back impairment permanently restricts her ability to stand, sit, or put any stress on her lower back. (Id.). Dr. Russell expressed the opinion that plaintiff would be unable to pursue gainful employment. (Id.).
Although the ALJ referenced some of Dr. Russell's findings on examination, he did not discuss any of Dr. Russell's opinions regarding plaintiff's ability to work. Defendant argues that Dr. Russell's opinion was found not credible in a prior decision that plaintiff chose not to appeal. Defendant contends that, because plaintiff did not appeal the prior decision, this court does not have jurisdiction to evaluate the opinion of Dr. Russell. The undersigned disagrees. An ALJ is "entitled to consider all of the evidence of record," including evidence prior to plaintiff's alleged onset date.
The ALJ erred in determining plaintiff's physical RFC. The ALJ failed to discuss the opinions of Dr. Russell, who was the only examining physician to express an opinion regarding plaintiff's work-related limitations. Instead, the ALJ indicated that he was assigning "great weight" to the opinion of a non-physician single decisionmaker. (Tr. 19). The ALJ erred in relying on the opinion of the single decisionmaker.
With regard to plaintiff's mental RFC, the ALJ concluded that plaintiff's mental impairments prior to August 1, 2009 were not "such so as to preclude the ability to sustain fulltime competitive employment." (Tr. 18). As support for this finding, the ALJ noted that plaintiff was consistently fully oriented with fair insight and judgments during examinations. (Id.). The ALJ stated that plaintiff's auditory and visual hallucinations were controlled, and plaintiff reported that her depression and anxiety were under control. (Id.). The ALJ indicated that his RFC findings were based on the "findings and symptoms in [plaintiff's] mental health treatment records since her alleged onset date to July 31, 2009." (Id.). With regard to the opinion evidence, the ALJ indicated that he was assigning "little weight" to the opinion of state agency psychologist Mark Altomari. (Tr. 19).
The ALJ's mental RFC determination is not supported by substantial evidence. The ALJ cited some instances on which plaintiff reported that her depression or anxiety was under control. (Tr. 326, 328, 330). On the majority of office visits during this period, however, plaintiff reported significant symptoms. For example, the following findings were noted during plaintiff's visits with treating psychiatrist Dr. Domanska: in August of 2007, plaintiff reported feeling down and anxious; in September 2007, plaintiff reported worrying about her son; in October 2007, plaintiff reported feeling down, worrying a lot, having anxiety, and feeling hopeless; in May 2008, plaintiff reported that she worried about her son; in July 2008, Dr. Domanska noted that plaintiff's mood was less stable, she was more emotional, irritable, and did not feel safe around her son; in August 2008, plaintiff reported being worried about her son, experiencing mood swings, and anxiety; in December 2008, plaintiff reported that she was more depressed; in March 2009, plaintiff reported mood swings; and in May 2009, plaintiff reported feeling depressed. (Tr. 314, 316, 318, 416, 418, 416, 418, 433, 326, 330, 332). At plaintiff's August 2007 annual assessment, plaintiff reported that her depression had slightly improved, but she still experienced anxiety and panic attacks. (Tr. 525). Upon mental status examination, plaintiff's affect was constricted, flat, and blunted, and her memory was impaired. (Tr. 526-27). Plaintiff was diagnosed with major depression with psychotic features, PTSD, and was assessed a GAF score of 50. (Tr. 532-33). Dr. Domanska prescribed and regularly adjusted multiple psychotropic drugs to manage plaintiff's symptoms. At her August 2008 annual assessment, plaintiff reported that her depression had improved, but she was experiencing visual and auditory hallucinations about once a week, during which she heard or saw people that were not there. (Tr. 421). Plaintiff also reported experiencing panic attacks about twice a week. (Id.). Upon mental status examination, plaintiff's affect was constricted, flat, and blunted; and her memory was impaired. (Tr. 422). Plaintiff's diagnoses, including her GAF score, remained unchanged. (Tr. 428-29). Finally, on October 9, 2008, nurse practitioner Ms. Bartholomew noted that plaintiff's affect was depressed, and that she had a poor attention span and concentration characterized as a "slow response." (Tr. 252).
The evidence discussed above reveals that plaintiff continued to suffer from significant psychiatric symptomatology, even with treatment. The evidence does not support the ALJ's finding that plaintiff's depression and anxiety were under control. In addition, none of plaintiff's treating mental health providers expressed an opinion regarding plaintiff's work-related limitations during this period. The treatment notes of plaintiff's treating psychiatrist and other medical providers, however, reveal that plaintiff experienced psychiatric symptoms that would be expected to interfere with plaintiff's ability to function in the workplace. Thus, the ALJ's mental RFC is not supported by substantial evidence.
The ALJ found that on August 1, 2009, plaintiff would miss three or more workdays during the month; and is unable to concentrate or stay on task at least twenty percent of the time. (Tr. 19). The ALJ determined that there are no jobs that exist in significant numbers in the national economy that plaintiff can perform with this RFC, and that plaintiff was therefore disabled beginning on August 1, 2009. Plaintiff argues that the ALJ failed to fully and fairly develop the record regarding plaintiff's onset of disability date.
"In determining the date of onset of a disability, the ALJ should consider the claimant's alleged date of onset, his work history, and the medical and other evidence of his condition."
In support of his determination regarding plaintiff's disability onset date, the ALJ cited plaintiff's August 2009 annual assessment at Pathways, the findings of consultative psychologist Dr. Long, the treatment notes of Dr. Domanska, as well as plaintiff's reports regarding her daily activities. (Tr. 19-20). While this evidence supports the ALJ's finding of disability, the medical evidence discussed above suggests plaintiff was experiencing psychiatric symptoms prior to August 1, 2009 as well. The ALJ's use of August 1, 2009 as an onset date is not supported by substantial evidence on the record as a whole. Cf. Karlix, 457 F.3d at 747 (affirming ALJ's determination of alleged onset date when claimant alleged an onset date of August 2001 but did not seek medical treatment for condition prior to April 2002 and record was devoid of any other evidence suggesting an earlier date of onset).
The ALJ relied in large part on Dr. Long's August 13, 2010 examination and opinions, which are consistent with disability. (Tr. 587-90). Dr. Long noted the following findings on examination: deficits in plaintiff's memory; plaintiff reported hearing voices and seeing people; plaintiff's affect was constricted and dysphoric; plaintiff was anergic and very slow-spoken; plaintiff appeared anxious and had trouble with word finding; plaintiff's thought process was simple and concrete; and plaintiff's intellect was estimated to be in the borderline range. (Tr. 587-88). Dr. Long completed a Medical Source Statement of Ability to Do Work-Related Activities (Mental), in which he expressed the opinion that plaintiff had marked limitations in the majority of work-related areas. (Tr. 591-92). Dr. Long, however, did not express an opinion regarding the onset of plaintiff's limitations. The ALJ acknowledged during the hearing that Dr. Long did not provide an onset date and that he was "concerned about the onset." (Tr. 34). In addition, Dr. Long indicated that he had no records to review, and that he did not perform any psychological testing. (Tr. 587).
Under these circumstances, the ALJ should have further developed the record regarding plaintiff's onset of disability date. Records from plaintiff's treating psychiatrist Dr. Domanska as well as other providers dated prior to August 1, 2009 note findings similar to those of Dr. Long, such as deficits in memory, complaints of hearing voices and seeing people, anxiety, and an abnormal affect. In fact, as plaintiff points out, the treatment notes of Dr. Domanska suggest that plaintiff's condition improved after August 2009. For example, plaintiff reported that her depression was under control and her mood was stable on August 20, 2009, September 30, 2009, November 11, 2009, and January 28, 2010. (Tr. 463, 465, 467, 469). The medical evidence concerning plaintiff's onset date of disability is ambiguous, and the ALJ was required to consult a medical advisor in making the determination of the onset date. SSR 83-20, 1983 WL 31249, at *3; Grebenick, 121 F.3d at 1200-01.
Finally, plaintiff contends that the ALJ did not properly evaluate plaintiff's subjective allegations under the standard set out in
The ALJ found that plaintiff's allegations regarding her limitations were not credible prior to August 1, 2009 to the extent they were inconsistent with the ALJ's RFC assessment. (Tr. 17). The ALJ stated that the severity of plaintiff's mental impairments prior to August 1, 2009 was not such so as to preclude the ability to sustain full-time competitive employment. (Tr. 18). In support of this finding, the ALJ discussed the medical evidence and plaintiff's daily activities. (Tr. 18). As previously discussed, the ALJ's finding that plaintiff's depression and anxiety were under control during this period is not supported by the medical record.
With regard to plaintiff's daily activities, the ALJ found that plaintiff's activities during this period are consistent with the ALJ's RFC finding. (Tr. 18). The ALJ pointed out that plaintiff indicated in a June 2009 function report that she was able to perform household chores such as cooking and laundry, tending to her personal needs, shopping, and operating an automobile. (Tr. 18, 182-85). The ALJ did not, however, note that plaintiff also reported in her function report that she did not go out by herself, she did not like crowds, and she was unable to get along with family and friends due to her depression. (Tr. 186-87). The ALJ also did not consider other relevant Polaski factors, such as the dosage and side effects of plaintiff's medications.
The Eighth Circuit has "repeatedly stated that a person's ability to engage in personal activities such as cooking, cleaning or a hobby does not constitute substantial evidence that he or she has the functional capacity to engage in substantial gainful activity."
In sum, the ALJ erred in performing a faulty credibility analysis, assessing an RFC that was not based on substantial evidence, and failing to develop the record regarding the onset date of plaintiff's disability. Accordingly, the undersigned recommends that this matter be reversed and remanded to the ALJ in order for the ALJ to properly assess plaintiff's credibility, consider the opinion of Dr. Russell, and further develop the record regarding the onset of plaintiff's disability.
The parties are advised that they have fourteen days in which to file written objections to this Report and Recommendation pursuant to 28 U.S.C. § 636 (b) (1), unless an extension of time for good cause is obtained, and that failure to file timely objections may result in a waiver of the right to appeal questions of fact.