ALKA SAGAR, Magistrate Judge.
On September 1, 2016, Plaintiff Larissa L. Reynolds ("Plaintiff") filed a Complaint, seeking review of the Commissioner's denial of Plaintiff's application for a period of disability and supplemental security income (SSI). (Docket Entry No 1). On January 23, 2017, Defendant filed an Answer to the Complaint, (Docket Entry No. 17), and the Certified Administrative Record ("AR"). (Docket Entry No. 18). The parties have consented to proceed before a United States Magistrate Judge. (Docket Entry Nos. 10, 14). On April 18, 2017, the parties filed a Joint Stipulation ("Joint Stip."), setting forth their respective positions on Plaintiff's claims. (Docket Entry No. 19).
For the reasons discussed below, the decision of the Administrative Law Judge is REVERSED and REMANDED for further proceedings.
Plaintiff asserts disability beginning October 12, 2008, based on alleged physical and mental health impairments related to anxiety and back and wrist pain. (AR 165). On December 2, 2011, Administrative Law Judge ("ALJ"), Tamara Turner-Jones, examined the record and heard testimony from Plaintiff and a vocational expert ("VE"). (AR 427-65). On January 27, 2012, ALJ Turner-Jones denied Plaintiff benefits in a written decision ("Prior Decision"). (AR 511-28). On May 13, 2013, Plaintiff filed a complaint in United States District Court to appeal her denial of disability. (
The ALJ applied the five-step sequential process in evaluating Plaintiff's case. At step one, the ALJ determined that Plaintiff had not engaged in substantial gainful activity after the alleged onset date. (AR 407). At step two, the ALJ found that Plaintiff has the following severe impairments: degenerative joint disease of the lumbar spine, lumbar myofascial strain, cervical myofascial strain, anxiety disorder, "rule out bipolar disorder," panic disorder, major depressive disorder, and social phobia. (AR 407). At step three, the ALJ found that Plaintiff's impairments did not meet or equal a listing found in 20 C.F.R. Part 404, Subpart P, Appendix 1. (AR 408).
Before proceeding to step four, the ALJ found that Plaintiff had the residual functional capacity ("RFC")
In making this finding, the ALJ determined that Plaintiff's allegations concerning the intensity, persistence, and limiting effects of her symptoms were less than fully credible. (
The ALJ then considered the opinions of Plaintiff's treating and nontreating physicians. In considering Plaintiff's physical limitations, the ALJ gave "great weight" to the opinion of orthopedic consultative examiner, Payam Moazzaz, M.D., who opined that Plaintiff could perform a range of medium work, (AR 318-23), and the ALJ gave "little weight" to the opinions of consultative examiner, Terrance P. Flanagan, M.D., and State agency physicians, Susan Lee, M.D., R. Paxton, M.D., and K. Loomis, M.D., who all opined that Plaintiff had nonsevere limitations, (AR 296-305, 338-40, 415).
In considering Plaintiff's mental limitations, the ALJ gave "little weight" to psychiatric consultative examiner, Sohini P. Parikh, M.D., and State agency psychologist, R. Paxton, M.D., who opined that Plaintiff had nonsevere mental limitations. (AR 278-85, 415). The ALJ gave "some weight" to the opinion of State agency psychologist, K. Loomis, M.D., adopting Dr. Loomis's opinion that Plaintiff could perform simple tasks with limited public contact. (AR 324-37, 415).
The ALJ also gave "some weight" to the opinion of psychiatric consultative examiner, Ezzat Abdelmalek, M.D. (AR 416). In a July 20, 2010, psychiatric evaluation, Dr. Abdelmalek opined that Plaintiff's ability to understand, remember, and perform instructions was fair for simple tasks and poor for complex tasks; maintain focus and concentration was poor; interact with the public, co-workers, and supervisors was poor; comply with job rules, such as safety and attendance, was poor; respond to changes in a routine work setting was severely impaired; respond to work pressure in a usual work setting was poor; and her daily activities were fair. (AR 313-17). The ALJ rejected Dr. Abdelmalek's opinion that Plaintiff was severely impaired in her ability to respond to changes in a routine work setting because "subsequent medical records show that [Plaintiff] had some improvement of her symptomology with medication and Plaintiff's "activities of daily living, such as her ability to care for her children despite her conditions, suggests that her ability to respond to change is not as limited as indicated by Dr. Abdelmalek." (AR 416).
The ALJ gave "some weight" to the opinion of psychological consultative examiner, Clifford Taylor, M.D. (AR 416, 713-720). The ALJ rejected Dr. Taylor's opinion that Plaintiff is only mildly limited in her interaction with the public because the ALJ gave Plaintiff "the benefit of the doubt" in limiting Plaintiff's contact with co-workers, supervisors, and the public considering Plaintiff's high anxiety during Dr. Abdelmalek's examination and Plaintiff's subjective complaints of social phobia. (AR 416).
The ALJ gave "little weight" to the opinion of Plaintiff's treating physician, Monica Gordon, M.D. (AR 416). In a January 27, 2011, medical opinion form, Dr. Gordon opined that Plaintiff was "limited but satisfactory" in her ability to adhere to basic standards of neatness and cleanliness; "seriously limited but not precluded" in her ability to carry out very short and simple instructions, ask simple questions or request assistance, be aware of normal hazards and take appropriate precautions, set realistic goals or make plans independently of others, maintain socially appropriate behavior, and use public transportation; "unable to meet competitive standards" in her ability to remember work-like procedures, understand and remember very short and simple instructions, maintain attention for 2-hour segments, maintain regular attendance and be punctual within customary tolerances, sustain an ordinary routine without special supervision, complete a normal workday and workweek without interruptions from psychological symptoms, perform at a consistent pace without an unreasonable number and length of rest periods, accept instructions and respond appropriately to criticism from supervisors, get along with co-workers without unduly distracting them or exhibiting behavioral extremes, respond appropriately to changes in a routine work setting, understand and remember detailed instructions, deal with stress of semiskilled and skilled work, interact appropriately with the general public, and travel in unfamiliar places; and had "no useful ability to function" in working in coordination with others without being unduly distracted and dealing with normal work stress. (AR 399-400). Dr. Gordon explained her reasoning for the above assigned limitations in stating, "[t]he patient has severe anxiety that is worse around people. Recently she is experiencing odd head sensations while in public. She has thoughts and images of bad things happening to her family. Due to her symptoms has difficulty concentrating and remembering things. She even has difficulty remembering her app[ointmen]ts despite reminders." (AR 400). Dr. Gordon concluded that Plaintiff would miss more than four days of work per month. (AR 400).
In a February 4, 2016, medical opinion form, Dr. Gordon opined the following somewhat less restrictive limitations: Plaintiff was "unlimited or very good" in her ability to be aware of normal hazards and take appropriate precautions; "limited but satisfactory" in her ability to understand, remember, and carry out very short and simple instructions, ask simple questions or request assistance, maintain socially appropriate behavior, and adhere to basic standards of neatness and cleanliness; "seriously limited but not precluded" in her ability to remember work-like procedures, maintain attention for 2-hour segments, make simple work-related decisions, accept instructions and respond appropriately to criticism from supervisors, understand and remember detailed instructions, set realistic goals or make plans independently of others, interact appropriately with the general public, and travel in unfamiliar places; "unable to meet competitive standards" in her ability to maintain regular attendance and be punctual within customary, usually strict tolerances, work in coordination with or proximity to others without being unduly distracted, perform at a consistent pace without an unreasonable number and length of rest periods, get along with co-workers or peers without unduly distracting them or exhibiting behavioral extremes, carry out detailed instructions, and use public transportation; and had "no useful ability to function" in completing a normal workday and workweek without interruptions from psychologically based symptoms, responding appropriately to changes in a routine work setting, dealing with normal work stress, and dealing with the stress of semiskilled and skilled work. (AR 772-73).
The ALJ found that Dr. Gordon "assessed limitations that would essentially preclude [Plaintiff from] all work." (AR 416). The ALJ rejected Dr. Gordon's opinion because she "merely checked a box on a form in reaching this conclusion"; Dr. Gordon's statements were vague because she did not provide objective clinical findings to support her opinions; and the record did not support such restrictive limitations because "it would be reasonable to assume that an individual with such severe limitations would require hospitalization . . ."; and Plaintiff engaged in normal activities of daily living, such as caring for her three children, which the ALJ considered as evidence of emotional stability. (AR 416).
The ALJ also gave "some weight" to the opinion of medical expert, Marcus Anderson, M.D. (AR 417). Dr. Anderson opined that Plaintiff was mildly impaired in her ability to understand and perform simple instructions; moderately impaired in her ability to perform complex instructions; mildly impaired in her ability to interact appropriately with co-workers, supervisors, and the public; and moderately impaired in her ability to tolerate basic work-related stressors. (AR 820). The ALJ found that Dr. Anderson's opinion was generally consistent with "objective medical findings showing evidence of psychomotor slowing and impaired ability to focus." (AR 417). The ALJ rejected Dr. Anderson's opinion that Plaintiff is only mildly impaired in her ability to appropriately interact with co-workers, supervisors, and the public, instead finding that Plaintiff is moderately impaired in this area because of her irregular behavior during a consultative examination with Dr. Abdelmalek and Plaintiff's subjective complaints of anxiety and social phobia. (AR 417).
At step four, the ALJ found that Plaintiff is unable to perform her past relevant work. (AR 417). At step five, the ALJ found Plaintiff was able to perform jobs consistent with her age, education, and medical limitations existing in significant numbers in the national economy. In particular, the ALJ found that Plaintiff could perform the requirements of machine feeder (DOT 699.686-010), machine packager (DOT 920.685-078), and industrial cleaner (DOT 381.687-018). (AR 418). Accordingly, the ALJ concluded that Plaintiff was not disabled within the meaning of the Social Security Act. (AR 418).
This Court reviews the Administration's decision to determine if it is free of legal error and supported by substantial evidence.
Plaintiff contends that (1) the ALJ failed to follow instructions on remand to provide specific reasons to reject the opinion of psychiatric consultative examiner, Dr. Abdelmalek; and (2) did not provide specific and legitimate reasons to reject the opinion of Plaintiff's treating physician, Dr. Gordon. (Joint Stip. at 3-6, 10-14).
Plaintiff asserts that the ALJ failed to follow instructions on remand by not providing reasons to reject portions of Dr. Abdelmalek's opinion. (Joint Stip. at 4-5). Specifically, Plaintiff contends that "the ALJ only addressed Dr. Abdelmalek's opinion regarding Plaintiff's severe limitation in responding to routine changes in a workplace setting; the ALJ did not provide any reasons whatsoever for disregarding any of the `poor' abilities identified by [Dr. Abdelmalek]." (Joint. Stip. at 4).
Defendant contends that the ALJ based the RFC finding on an analysis of the record a whole, and "[w]hile Plaintiff may disagree with the ALJ," the ultimate decision of disability is left up to the Commissioner. (Joint Stip. at 4-9).
"As a general principle, the United States Supreme Court has recognized that an administrative agency is bound on remand to apply the legal principles laid down by the reviewing court."
Here, the district court, in its memorandum decision, ruled as follows:
(AR 551). In sum, the district court found that the ALJ erred in rejecting certain portions of Dr. Abdelmalek's opinion without providing specific and legitimate reasons for doing so. The district court's remand order therefore required the ALJ to provide specific reasons to reject Dr. Abdelmalek's
On remand, the ALJ gave "some weight" to Dr. Abdelmalek's opinion and provided reasons for rejecting Dr. Abdelmalek's finding that Plaintiff is severely limited in her ability to respond to workplace changes.
However, the RFC fails to account for Dr. Abdelmalek's opinion that Plaintiff has a poor ability to comply with job rules, such as safety and attendance. The RFC limits Plaintiff to "a work environment free of fast-paced production requirements, involving only simple work related decision[s]," which reasonably accounts for safety limitations, but the RFC does not address poor attendance. (AR 409).
The ALJ implicitly rejected Dr. Abdelmalek's opinion that Plaintiff has a poor ability to comply with job rules, such as attendance, by failing to account for this limitation in the RFC or providing specific reasons to reject this portion of Dr. Abdelmalek's opinion. The district court's instructions directed the ALJ to give "specific reasons" for rejecting Dr. Abdelmalek's psychiatric assessments because ALJ Turner-Jones, in the Prior Decision, implicitly rejected portions of Dr. Abdelmalek's opinion without explanation. (AR 551). Accordingly, by failing to provide an explanation to reject a portion of Dr. Abdelmalek's opinion, the ALJ did not follow remand instructions.
Plaintiff asserts that the ALJ did not provide specific and legitimate reasons to reject the opinion of treating physician, Dr. Gordon, for the following reasons: (1) contrary to the ALJ's assertion that Dr. Gordon only checked a box in making her opinion, Dr. Gordon provided "a thorough handwritten explanation of the basis for her medical opinion" in her January 2011 assessment; (2) Dr. Gordon's treatment notes from January 27, 2011, demonstrate that Dr. Gordon reviewed her treatment notes in making her opinion; (3) the ALJ did not develop the record by failing to contact Dr. Gordon in order to clarify the basis for her opinion, in contradiction with Social Security Ruling ("SSR") 96-5; (4) the record supports Dr. Gordon's findings regarding severe anxiety and a diagnosis of major depressive disorder; (5) the ALJ improperly supplemented his opinion for that of a medical professional in determining that Plaintiff would have been hospitalized at some point if Dr. Gordon's opinion were accurate; and (6) although Plaintiff cared for her children, she did so with great difficulty and with help from family members. (Joint Stip. at 12-14).
Defendant contends that the ALJ provided sufficiently specific and legitimate reasons to reject Dr. Gordon's opinion because (1) Dr. Gordon used a check-the-box form to give her opinion; (2) the ALJ did not have a duty to contact Dr. Gordon to clarify her opinion solely because the ALJ rejected her opinion; (3) the record demonstrates that Plaintiff's ability to take care of her children supports less restrictive mental health limitations; and (4) throughout the record, there was evidence that Plaintiff's symptoms improved with treatment. (Joint Stip. at 14-17).
Social Security regulations require the Agency to "evaluate every medical opinion we receive," giving more weight to evidence from a claimant's treating physician. 20 C.F.R. § 404.1527(c). If the treating or examining physician's opinions are not contradicted, they can only be rejected with clear and convincing reasons.
Dr. Gordon's opinions were contradicted by the opinions of Dr. Taylor, Dr. Abdelmalek, and Dr. Anderson. Accordingly, the ALJ was required to provide specific and legitimate reasons to reject Dr. Gordon's opinion.
As set forth below, the ALJ's reasons for rejecting Dr. Gordon's opinion do not constitute specific and legitimate reasons.
Although Dr. Gordon's assessments were in the form of check-box questionnaires, that is not a proper basis for rejecting an opinion that is supported by treatment notes.
The ALJ's general assertion that Dr. Gordon did not provide objective clinical findings to support her assessments is an insufficient reason for rejecting her opinion. While an ALJ may reject a treating physician's opinion that is brief, conclusory and inadequately supported by clinical findings,
Moreover, contrary to the ALJ's assertion, Dr. Gordon did provide explanations for the limitations that she assessed. Even if the ALJ had provided a legally sufficient reason to reject Dr. Gordon's opinion, the reason must still be supported by substantial evidence.
The ALJ's broad assertion that "treatment records do not support such restrictive limitations" because "an individual with such severe limitations would require hospitalization" is not a specific and legitimate reason to reject Dr. Gordon's opinion. An ALJ may not provide such a "conclusory assertion" to reject a physician's assessment of a plaintiff's mental health conditions.
The ALJ's final reason to reject Dr. Gordon's opinion — that Plaintiff's ability to care for her children demonstrates greater stability than Dr. Gordon opined — is not a specific and legitimate reason supported by substantial evidence. Where a plaintiff's "limited activities were consistent with the treating physician's opinion," the ALJ may not reject a treating physician's opinion because of those activities.
Accordingly, the ALJ did not provide specific and legitimate reasons to reject Dr. Gordon's opinion by criticizing Dr. Gordon's use of a checked-box form and making conclusory assertions regarding the Dr. Gordon's clinical findings, the medical evidence, and Plaintiff's daily activities.
The decision whether to remand for further proceedings or order an immediate award of benefits is within the district court's discretion.
Here, because the ALJ failed to follow instructions on remand and failed to properly reject the opinion of Dr. Gordon, remand is appropriate. Because outstanding issues must be resolved before a determination of disability can be made, and "when the record as a whole creates serious doubt as to whether the [Plaintiff] is, in fact, disabled within the meaning of the Social Security Act," further administrative proceedings would serve a useful purpose and remedy defects.
For the foregoing reasons, the decision of the Administrative Law Judge is VACATED, and the matter is REMANDED, without benefits, for further proceedings pursuant to Sentence 4 of 42 U.S.C. § 405(g).
LET JUDGMENT BE ENTERED ACCORDINGLY.