R. CLARKE VANDERVORT, Magistrate Judge.
This is an action seeking review of the final decision of the Commissioner of Social Security denying the Plaintiff's application for Disability Insurance Benefits (DIB), under Title II of the Social Security Act, 42 U.S.C. §§ 401-433. By Standing Order entered September 24, 2012 (Document No. 4.), this case was referred to the undersigned United States Magistrate Judge to consider the pleadings and evidence, and to submit Proposed Findings of Fact and Recommendation for disposition, all pursuant to 28 U.S.C. § 636(b)(1)(B). Presently pending before the Court are the parties' cross-Motions for Judgment on the Pleadings (Document Nos. 7 and 10.) and Plaintiff's Response. (Document No. 11.)
The Plaintiff, Bryan W. Fox (hereinafter referred to as "Claimant"), filed an application for DIB on October 23, 2008 (protective filing date), alleging disability as of June 11, 2008, due to "Crohn's disease, [and] post traumatic stress disorder."
Under 42 U.S.C. § 423(d)(5) and § 1382c(a)(3)(H)(I), a claimant for disability benefits has the burden of proving a disability.
The Social Security Regulations establish a "sequential evaluation" for the adjudication of disability claims. 20 C.F.R. §§ 404.1520, 416.920 (2011). If an individual is found "not disabled" at any step, further inquiry is unnecessary.
When a claimant alleges a mental impairment, the Social Security Administration "must follow a special technique at every level in the administrative review process." 20 C.F.R. §§ 404.1520a(a) and 416.920a(a). First, the SSA evaluates the claimant's pertinent symptoms, signs and laboratory findings to determine whether the claimant has a medically determinable mental impairment and documents its findings if the claimant is determined to have such an impairment. Second, the SSA rates and documents the degree of functional limitation resulting from the impairment according to criteria as specified in 20 C.F.R. §§ 404.1520a(c) and 416.920a(c). Those sections provide as follows:
Third, after rating the degree of functional limitation from the claimant's impairment(s), the SSA determines their severity. A rating of "none" or "mild" in the first three functional areas (activities of daily living, social functioning; and concentration, persistence, or pace) and "none" in the fourth (episodes of decompensation) will yield a finding that the impairment(s) is/are not severe unless evidence indicates more than minimal limitation in the claimant's ability to do basic work activities. 20 C.F.R. §§ 404.1520a(d)(1) and 416.920a(d)(1).
20 C.F.R. §§ 404.1520a(e)(2) and 416.920a(e)(2).
In this particular case, the ALJ determined that Claimant satisfied the first inquiry because he had not engaged in substantial gainful activity since June 11, 2008, his alleged onset date. (Tr. at 20, Finding No. 2.) Under the second inquiry, the ALJ found that Claimant suffered from the severe impairments of "Crohn's disease; scar residuals of his left knee; and post traumatic stress disorder (PTSD)." (Tr. at 20, Finding No. 3.) At the third inquiry, the ALJ concluded that Claimant's impairments did not meet or equal the level of severity of any listing in Appendix 1. (Tr. at 21, Finding No. 4 and Tr. at 27, Finding No. 13.) The ALJ then found that from June 11, 2008, through October 25, 2009, Claimant had a residual functional capacity ("RFC") to perform a range of light level work with limitations as follows:
(Tr. at 22, Finding No. 5.) At step four, the ALJ found that from June 11, 2008, through October 25, 2009, Claimant was incapable of performing his past relevant work. (Tr. at 25, Finding No. 6.) On the basis of testimony of a Vocational Expert ("VE") taken at the administrative hearing, the ALJ concluded that from June 11, 2008, through October 25, 2009, there were no jobs that existed in significant numbers in the national economy that Claimant could have performed. (Tr. at 26, Finding No. 10.) On this basis, the ALJ found that Claimant was under a disability from June 11, 2008, through October 25, 2009. (Tr. at 27, Finding No. 11.)
The ALJ found that medical improvement occurred as of October 26, 2009. (Tr. at 27, Finding No. 12.) The ALJ found that beginning on October 26, 2009, Claimant had a RFC to perform light work as follows:
(Tr. at 28, Finding No. 14.) At step four, the ALJ found that beginning on October 26, 2009, Claimant was incapable of performing his past relevant work. (Tr. at 31, Finding No. 17.) On the basis of testimony of a Vocational Expert ("VE") taken at the administrative hearing, the ALJ concluded that beginning on October 26, 2009, Claimant could perform jobs such as a file clerk, mail room clerk, and laundry worker, at the light level of exertion. (Tr. at 31-32, Finding No. 19.) On this basis, benefits were denied and Claimant's disability ended on October 26, 2009. (Tr. at 32, Finding No. 20.)
Claimant was born on April 24, 1975, and was 35 years old at the time of the administrative hearing, December 21, 2010. (Tr. at 26, 39, 139.) Claimant had at least a high school education and was able to communicate in English. (Tr. at 26, 39, 166, 172.) In the past, Claimant worked as a carpenter's helper and a sales clerk. (Tr. at. 63, 168-69, 174-81.)
The undersigned has reviewed all the evidence of record, including the medical evidence of record, and will discuss it below as it relates to Claimant's arguments.
On March 9, 2001, Dr. M. Hasan conducted an evaluation at the request of the Department of Veteran's Affairs. (Tr. at 244-46.) Claimant reported depression, anxiety, agitation, having a hard time coping, a labile mood, dysphoria, nightmares, survival guilt, an inability to relate to people, and difficulty sleeping. (Tr. at 245.) Mental status exam revealed that Claimant lacked affect, had feelings of some dysphoria, was of average intelligence, was on guard and suspicious, had mood swings and survival guilt, had feelings of uselessness and worthlessness, and had fair insight, judgment, and recall. (Tr. at 246.) Dr. Hasan diagnosed PTSD, generalized anxiety disorder, and assessed a GAF of 60 to 65.
Thereafter, Claimant was seen at the Beckley VA Medical Center ("VAMC") for a mental health evaluation on August 7, 2007, by Melissa S. Lewis, M.S.W., a licensed clinical social worker. (Tr. at 369-73.) He reported having felt stressed out for two months, nightmares that caused him to awake sick to his stomach, anxiety, feelings of being mentally and physically drained, exaggerated startle response, and impatience. (Tr. at 369.) Mental status exam revealed impaired recent memory. (Tr. at 372.) Ms. Lewis diagnosed PTSD, assessed a GAF of 60, and recommended that he return in one month to address problems with coping with stress and anxiety. (Tr. at 373.) Claimant returned for individual therapy on September 7, 2007, at which time he reported that he had been doing "pretty good" and that he was "doing a little better." (Tr. at 368.) His nightmares continued but he had become used to it. (
Claimant transitioned to a new therapist on January 23, 2008, Mary Farmer, M.S.W., Ph.D., who reported that Claimant had a difficult time over the Christmas holiday but worked through it on his own without medication. (Tr. at 360.) She also assessed PTSD and a GAF of 68. (Tr. at 362.) On April 14, 2008, Claimant reported anxiety, sleep, and OCD issues, though he indicated that he experienced less frequent nightmares. (Tr. at 259.) He was assessed with PTSD, generalized anxiety disorder, and a GAF of 60. (Tr. at 360.) On May 14, 2008, Claimant reported that everything was going well and that he seemed passionate about helping other veterans address and resolve issues related to being in the military and in a combat situation. (Tr. at 358.) Claimant had a positive outlook on the future and kept busy working and spending time with his family. (
On June 24, 2008, Physician's Assistant Russell L. Martin noted that Claimant had a history of PTSD secondary to barracks suicide bomber while deployed in Saudia Arabia. (Tr. at 308.) It was noted that he had a worsening of anxiety, nervousness, and a depressed mood. (
From December 2, 2008, through April 17, 2009, Claimant continued to report that he was doing well, had less anxiety, and had only occasional nightmares and occasional hypervigilance. (Tr. at 757, 772, 780.) On August 5, 2009, however, Lorri J. Hudson, a licensed social worker, noted Claimant's reports of anger, frustration, and irritability, and his tendency to isolate himself when he was likely to blow up. (Tr. at 746.) On mental status exam, Ms. Hudson noted that Claimant was depressed and agitated. (Tr. at 747.) She diagnosed chronic PTSD and assessed a GAF of 45. (Tr. at 748.) One month later, P.A. Debra R. Dees noted Claimant's request to change his medication because he had harsh thoughts about other people. (Tr. at 742.) Claimant had tapered himself off the medication and the problems with the thoughts went away, but the short fuse and anger issues returned. (
On December 17, 2009, Ms. Hudson reported that Claimant began his first 90-minute session of prolonged exposure. (Tr. at 717-18.) Ms. Hudson noted that overall, Claimant had excellent insight into his diagnosis of PTSD, attended individual and group psychotherapy in an effort to alleviate the symptoms of his PTSD, was compliant with his medication management, and that he continued to have moderate to severe occupational and social functioning problems. (Tr. at 718.) Mental status exam revealed a depressed mood and agitated affect and logical and relevant thought patterns. (
On January 21, 2010, Ms. Hudson noted that Claimant had completed two sessions of prolonged exposure and he preferred to continue individual therapy with cognitive processing to prolonged exposure. (Tr. at 709-10.) He felt that the therapy was a little too intense for him and was not in need of reviewing the trauma he experienced in that way. (Tr. at 709.) Ms. Hudson diagnosed chronic PTSD and assessed a GAF of 45. (Tr. at 710.) Also on that same day, physician's assistant, Ms. Dees saw Claimant and reported that Claimant related that his medications were working well and that he was "doing okay." (Tr. at 710-11.) He reported that his energy and motivation were fair, that he had learned to cope from the therapy and was at a "happy medium," and that he stayed busy to keep his symptoms under better control. (Tr. at 711.) Ms. Dees noted on mental status exam that Claimant's mood was euthymic with a congruent affect, that his thoughts and responses were appropriate with good eye contact, that he had good judgment and insight, and that his memory was intact. (Tr. at 712.) She diagnosed him as stable with a GAF of 60. (
On May 28, 2010, Ms. Dees again noted Claimant's reports that his medications were working well and that his energy and motivation were better. (Tr. at 692.) She noted that he was experiencing flashbacks and intrusive thoughts and was emotionally detached and withdrawn. (
On January 3, 2011, Ms. Dees completed a form Mental Assessment of Ability to Do Work-Related Activities (Mental), on which she opined that Claimant's ability to make occupational adjustments was markedly and extremely limited. (Tr. at 976-79.) She indicated these limitations were due to his PTSD, generalized anxiety disorder, irritability, and being easily angered, agitated, and anxious at times. (Tr. at 977.) She indicated that Claimant's ability to make performance adjustments was moderately and markedly limited because his medications can cause cognitive impairments and his anxiety and PTSD can interfere with his ability to concentrate and focus. (Tr. at 977-78.) Ms. Dees also opined that Claimant's ability to make personal and social adjustments was markedly and extremely limited because of problems with lack of motivation and reliability due to his lack energy. (Tr. at 978.)
On November 19, 2009, a Department of Veterans Affairs Ratings Decision indicated that Claimant was entitled to individual unemployability effective July 15, 2008. (Tr. at 951.) By Rating Decision dated December 15, 2009, the Department of Veterans Affairs indicated that Claimant should have been entitled to individual unemployability as of May 30, 2008. (Tr. at 950.) On January 12, 2010, the Department of Veterans Affairs indicated that Claimant was granted a 100% entitlement rate effective May 30, 2008, because he was unable to work due to his service connected disabilities. (Tr. at 955-56.)
Claimant was admitted to Beckley ARH on July 9, 2008, for confusional episode and possible steroid-induced psychosis. (Tr. at 455-56.) Claimant had been treated with a high dose of steroids and his first dose of Remicade for the treatment of Crohn's disease. (Tr. at 455.) Dr. Charles F. Bou-Abboud, M.D., found that Claimant's mental status was stable. (Tr. at 456-57.) He was discharged on July 12, 2008, with the diagnoses of PTSD and acute paranoid psychosis, inter alia. (Tr. at 448.) He was prescribed Ativan .5mg as needed. (Tr. at 449.)
Claimant again was admitted to the hospital on July 12, 2008, and seen on consultation by Dr. Ahmed Faheem, M.D. (Tr. at 425-26.) Dr. Faheem noted that when admitted, Claimant appeared very actively psychotic, was easily agitated, and became unmanageable. (Tr. at 425.) During the course of his hospital stay, he was given intramuscular Geodon and placed on Zyprexa and Ativan. (
Ms. Fontenot conducted a consultative evaluation on May 11, 2009, at the request of the state agency. (Tr. at 498-501.) Claimant reported depression since 1996, two panic attacks every six months, daily anxiousness, sleep disturbance, daily low energy and fatigue, paranoia, and occasional fleeting thoughts of suicide but no intent to act. (Tr. at 499.) Mental status exam essentially was normal with the exception of moderately deficient recent memory. (Tr. at 500.) Ms. Fontenot opined that Claimant's social functioning, concentration, persistence, and pace were within normal limits. (
On June 8, 2008, Dr. Todd, completed a form PRT on which he opined that Claimant's PTSD was a non-severe impairment, that resulted in only mild limitations in maintaining activities of daily living, social functioning, concentration, persistence, or pace, and no episodes of decompensation of extended duration. (Tr. at 502-15.)
On August 29, 2009, Dr. Bickham completed a form Mental RFC assessment on which she opined that Claimant was limited moderately in his ability to work in coordination with or proximity to others without being distracted by them, interact appropriately with the general public, accept instructions and respond appropriately to criticism from supervisors, and get along with coworkers or peers without distracting them or exhibiting behavioral extremes. (Tr. at 601-03.) She opined that Claimant was not significantly limited in all remaining functional categories. (
On January 11, 2010, Dr. Hunter opined that Claimant was moderately to extremely limited in his ability to make occupational adjustments because he exhibited paranoia around others and was very distrusting. (Document No. 7, Exhibit 1 at 2.) She noted that he did not take directions well from others, had difficulty focusing and concentrating, and often left tasks unfinished. (
Claimant first alleges that the ALJ's decision is not supported by substantial evidence because the ALJ erred in applying properly the medical improvement standard and finding that Claimant's disability ended on October 26, 2009. (Document No. 7 at 2-6.) Claimant contends that the record fails to support any significant improvement in his post-traumatic stress disorder since October 26, 2009, as the ALJ found. (
In response, the Commissioner asserts that Claimant's argument is without merit and that the ALJ properly found that Claimant's PTSD improved on October 26, 2009. (Document No. 10 at 12-15.) The Commissioner asserts that just prior to October 26, 2009, Ms. Dees assessed Claimant with a GAF of 60, which did not preclude occupational activity. (
Finally, the Commissioner asserts that Claimant's reliance on Dr. Hunter's opinion is without merit as her findings are inconsistent with her own prior findings and the other substantial evidence of record. (
In response, the Commissioner asserts that contrary to Claimant's argument, the ALJ specifically noted the VA's rating decision (Tr. at 30.), and that Claimant was unemployable effective July 15, 2008. (Document No. 10 at 15-16.) The Commissioner asserts that the ALJ properly noted that the Social Security Administration applies a different set of standards to determine disability and that the VA's determination of unemployability is not the same as a finding of disability based on Social Security Administration standards. (
In reply, Claimant asserts that the ALJ improperly applied the medical improvement standard. (Document No. 11 at 1-2.) He asserts that with respect to his PTSD, the ALJ had to determine that the impairment had decreased in medical severity by October 26, 2009, and that any improvement in the condition was related to his ability to work. (
Claimant first alleges that the ALJ erred in applying the medical improvement standard pursuant to 20 C.F.R. § 404.1594(b)(1), and finding that his PTSD medically improved on October 26, 2009. (Document No. 7 at 2-8.) Medical improvement is defined as "any decrease in the medical severity of your impairment(s) which was present at the time of the most recent favorable medical decision that you were disabled or continued to be disabled." 20 C.F.R. § 404.1594(b)(1) (2011). A decrease in medical severity may be based on changes or improvements in the "symptoms, signs, and/or laboratory findings associated with your impairment(s)." (
From June 11, 2008, through October 25, 2009, the ALJ found that Claimant was disabled based in part on his Crohn's disease and PTSD. (Tr. at 22-27.) Respecting his PTSD the ALJ noted Claimant's diagnoses of mild to moderate PTSD and generalized anxiety disorder. (Tr. at 23-25.) He acknowledged Claimant's participation in group psychotherapy sessions to learn to cope with PTSD and his reports that he had done well and was better able to cope. (Tr. at 24.) By October 15, 2009, Claimant was doing much better controlling his anger and reported restful sleep without nightmares on medication, but continued to report flashbacks and emotional detachment. (
Claimant's disability ended on October 26, 2009, the date the ALJ found medical improvement occurred. (Tr. at 27.) The ALJ noted that by January 21, 2010, Claimant's GAF had improved to 60 and he reported that he was "doing okay," denied nightmares, and had learned coping skills through therapy. (
In view of the foregoing, the undersigned finds that the ALJ's finding of medical improvement is not supported by the substantial evidence of record. The evidence of record respecting Claimant's PTSD has remained fairly constant and the ALJ failed to identify the improvement, particularly as it relates to Claimant's RFC. The ALJ notes that Claimant's GAF had improved to 60. The evidence prior to October 26, 2009, demonstrates that Claimant was consistently assessed with a GAF of 65 and 70. (Tr. at 259, 268, 273-74, 732, 743.) He also received the occasional GAF of 45, particularly when seen by Ms. Hudson, which as the ALJ noted, seemed to be related to an event in Claimant's life. The ALJ notes in his decision that Claimant had learned coping skills and was now able to talk himself down. (Tr. at 27.) The evidence reveals that on January 23, 2008, Claimant was able to work his way through a difficult time over the holidays on his own and without medication. (Tr. at 360.) He reported on May 14, 2008, that everything was going well, had a positive outlook, kept busy, and enjoyed spending time with his family. (Tr. at 358.) He indicated from December 2, 2008, through April 17, 2009, that he had less anxiety, had only occasional nightmares, and was doing well with his medications. (Tr. at 735, 757, 772, 780.) The medical evidence suggests a continuance of Claimant's condition, especially in the absence of a medical opinion from any acceptable examining, treating, or reviewing medical source. The ALJ's finding of medical improvement based solely on the progress notes, which reflect a continuance or only a slight improvement is dubious, at best, in the absence of such a medical opinion. Accordingly, in view of the foregoing, the undersigned finds that the ALJ's opinion fails to set forth the specific bases for the medical improvement of Claimant's PTSD, and therefore, remand is required.
Claimant also alleges that the ALJ erred in giving limited weight to the opinion of P.A. Debra Dees. (Document No. 7 at 6-8.) The Regulations require that ALJs consider all evidence from "acceptable medical sources" including licensed physicians and other providers. 20 C.F.R § 404.1513(a). Physicians' assistants are not "accepted medical sources" but qualify as "other sources" under 20 C.F.R. § 404.1513(d)("In addition to evidence from the acceptable medical sources listed in paragraph (a) of this section, we may also use evidence from other sources to show the severity of your impairment(s) and how it affects your ability to work. Other sources include . . . physicians' assistants....") The rules for evaluating acceptable medical source statements and opinions do not apply, therefore, to statements and opinions of physicians' assistants. ALJs may consider any opinions of physicians' assistants as additional evidence, but they are not required to assign them weight, controlling or otherwise, in their evaluations of evidence.
The ALJ summarized Ms. Dees' opinion and indicated her assessed extreme and marked limitations. (Tr. at 30-31.) The undersigned finds the ALJ's summary of Ms. Dees' functional capacity evaluation accurate and his treatment of her evaluation as evidence in conformity with the applicable law and Regulations. The ALJ assigned her opinion limited weight as she was only a physician's assistant under the Regulations. Furthermore, the progress notes from Ms. Dees consistently demonstrate Claimant's reports that he was doing well, that his medications were working well, that he had essentially normal mental status exams, and that she assessed a GAF ranging anywhere from 60 to 70. Her extreme and marked limitations contradict her progress notes as the ALJ found. Accordingly, the undersigned finds the ALJ's conclusion reasonable.
Claimant further alleges that he submitted Ms. Hunter's opinion to the ALJ prior to the issuance of his decision and to the Appeals Council but the opinion was not made a part of the record. (Document No. 7 at 4-6.) To the extent that Claimant is alleging remand on the basis of new evidence, the undersigned finds that remand is warranted. The Court notes initially that the social security regulations allow two types of remand. Under the fourth sentence of 42 U.S.C. § 405(g), the court has the general power to affirm, modify or reverse the decision of the Commissioner, with or without remanding the cause for rehearing for further development of the evidence. 42 U.S.C. § 405(g);
To justify a remand to consider newly submitted medical evidence, the evidence must meet the requirements of 42 U.S.C. § 405(g) and
With regard to the new evidence submitted, the Claimant has satisfied all four factors of Borders, and therefore, remand on the basis of new evidence is appropriate. Claimant submitted to the ALJ and to the Appeals Council a mental RFC assessment by his treating psychologist, Dr. Hunter, dated January 11, 2010. (Document No. 7, Exhibit 1.)
Under the
Claimant appears to meet the third step in the
Finally,
Finally, Claimant asserts that the ALJ erred in failing to discuss the consideration given to the Department of Veterans Affairs determination that he is 100 percent disabled. (Document No. 7 at 8-9.) The ultimate determination of disability in the instant matter is an issue reserved to the Commissioner, who is not bound by the findings of other agencies with respect to disability.
(Tr. at 30.)
The foregoing statement sounds like the ALJ found Claimant disabled solely on the basis on his Crohn's disease and not on the basis of his PTSD. Accordingly, on remand, the undersigned recommends that the ALJ make the record clear whether there were any significant limitations resulting from Claimant's PTSD and what, if any, weight he gave the VA rating regarding the PTSD decision.
For the reasons set forth above, it is hereby respectfully
The parties are notified that this Proposed Findings and Recommendation is hereby
Failure to file written objections as set forth above shall constitute a waiver of de novo review by the District Court and a waiver of appellate review by the Circuit Court of Appeals.
The Clerk is directed to file this Proposed Findings and Recommendation and to send a copy of the same to counsel of record.
(Tr. at 167.) On his Disability Report — Appeal, dated, October 9, 2009, Claimant reported that as of September 1, 2009, he began experiencing increased pain without relief, increased stress, and lack of motivation as a result of his impairments. (Tr. at 229.)
Brock v. Secretary, Health and Human Servs., 807 F.Supp. 1248, 1250 n.3 (S.D. W.Va. 1992) (citations omitted).