JOHN D. EARLY, Magistrate Judge.
Plaintiff Karapet Hamasyan ("Plaintiff"), proceeding without counsel, filed a Complaint on November 22, 2017, seeking review of the Commissioner's denial of his application for supplemental security income benefits ("SSI"). Dkt. 1. The parties consented to proceed before a magistrate judge. Dkt. 8, 10, 13. Pursuant to the procedures set forth in the Case Management Order, Plaintiff and the Commissioner each filed cross-motions for judgment on the pleadings. Dkt. 18 ("Motion") and Dkt. 19 ("Cross-Motion"), respectively. No optional reply brief was timely filed. The matter now is ready for decision. I.
Plaintiff filed an application for SSI on April 8, 2014, alleging disability commencing on September 1, 2012. Administrative Record ("AR") 151-57. After his application was denied (AR 77-90), Plaintiff requested an administrative hearing (AR 100-02), which was held on May 20, 2016. AR 36-76. Plaintiff, represented by a non-attorney representative, appeared and testified before an Administrative Law Judge ("ALJ").
On July 14, 2016, the ALJ issued a written decision finding Plaintiff was not disabled. AR 15-35. The ALJ found Plaintiff had not engaged in substantial gainful employment since April 8, 2014 and suffered from severe impairments of depression, anxiety, disorder of the back, and rotator cuff tear of the shoulders. AR 20. The ALJ found Plaintiff did not have an impairment or combination of impairments that met or medically equaled a listed impairment.
The ALJ found Plaintiff was capable of performing his past relevant work as a "melter and supervisor jewelry department." AR 30. Accordingly, the ALJ concluded Plaintiff was not under a "disability," as defined in the Social Security Act. AR 31. On October 18, 2017, the Appeals Council denied Plaintiff's request for review, making the ALJ's decision the Commissioner's final decision. AR 1-7.
Under 42 U.S.C. § 405(g), a district court may review the Commissioner's decision to deny benefits. The ALJ's findings and decision should be upheld if they are free from legal error and supported by substantial evidence based on the record as a whole.
When the claimant's case has proceeded to consideration by an ALJ, the ALJ conducts a five-step sequential evaluation to determine at each step if the claimant is or is not disabled.
First, the ALJ considers whether the claimant currently works at a job that meets the criteria for "substantial gainful activity."
If the claimant's impairments do not meet or equal a "listed impairment," before proceeding to the fourth step the ALJ assesses the claimant's RFC, that is, what the claimant can do on a sustained basis despite the limitations from his impairments.
If the claimant cannot perform his past relevant work, the ALJ proceeds to a fifth and final step to determine whether there is any other work, in light of the claimant's RFC, age, education, and work experience, that the claimant can perform and that exists in "significant numbers" in either the national or regional economies.
The claimant generally bears the burden at each of steps one through four to show he is disabled, or he meets the requirements to proceed to the next step; and the claimant bears the ultimate burden to show he is disabled.
Plaintiff presents four issues, renumbered herein (Motion at 2):
Plaintiff argues the ALJ did not properly evaluate Plaintiff's depression and anxiety disorders by not incorporating the limitations raised by the examining and non-examining sources into the hypotheticals posed to the VE.
On June 10, 2014, Jeriel Lorca, M.D. ("Dr. Lorca"), an examining physician, opined that Plaintiff had moderate limitations with regard to: (1) performing detailed and complex tasks; (2) completing a normal workday or work week without interruptions resulting from any psychiatric conditions; (3) interacting with coworkers and the public; and (4) dealing with the usual stresses encountered in competitive work. AR 248. Dr. Lorca also assessed that Plaintiff had mild limitations concerning the ability to: (1) perform simple and repetitive tasks; (2) maintain regular attendance; and (3) perform work activities on a consistent basis.
On August 12, 2014, Joshua D. Schwartz, Ph.D. ("Dr. Schwartz"), a non-examining physician, opined Plaintiff had moderate limitations in his ability to: (1) understand and remember detailed instructions; (2) sustain an ordinary routine without special supervision; (3) complete a workday and workweek without interruptions from psychologically based symptoms; (5) perform at a consistent pace without an unreasonable number and length of rest periods; (6) interact appropriately with the general public; and (7) respond appropriately to changes in the work setting. AR 87-88. Dr. Schwartz further assessed that Plaintiff was not limited regarding the ability to: (1) remember locations and work-like procedures; (2) understand and remember very short and simple instructions; (3) carry our very short and simple instructions; (4) maintain attention and concentration for extended periods; (5) perform activities within a schedule, maintain regular attendance, and be punctual within customary tolerances; (6) work in coordination with or in proximity to others without being distracted by them; (7) make simple work-related decisions; (8) ask simple questions or request assistance; (9) accept instructions and respond appropriately to criticism from supervisors; (10) get along with coworkers or peers without distracting them or exhibiting behavioral extremes; (11) maintain socially appropriate behavior and to adhere to the basic standards of neatness; (12) be aware of normal hazards and take appropriate precautions; (13) travel in unfamiliar places or use public transportation; and (14) set realistic goals or make plans independently of others.
The ALJ gave "great" and "considerable" weight to the opinions of Drs. Lorca and Schwartz because their findings were consistent and supported by the medical evidence of record. AR 29. The ALJ found Plaintiff had moderate difficulties regarding concentration, persistence, or pace. AR 21.
Plaintiff argues that despite giving heightened weight to these opinions, the ALJ failed to incorporate the opinions' limitations during Step Four and failed to incorporate those opinions into the hypothetical questions posed to the VE. Motion at 4. Plaintiff contends "concentration, persistence, or pace are not the same thing as being limited to simple, repetitive tasks."
The Court finds the ALJ properly accounted for Plaintiff's moderate mental limitations assessed by Drs. Lorca and Schwartz.
Here, the ALJ's RFC specifically provided that Plaintiff could only have "incidental contact with coworkers and the public," "occasional contact with supervisors," "simple routine tasks," and "simple work-related decision." AR 22. These restrictions are consistent with the restrictions identified in the medical testimony of Drs. Lorca and Schwartz. AR 87-88, 248. Drs. Lorca and Schwartz both concluded—despite moderate limitations with concentration, persistence, or pace—Plaintiff generally retained the ability to perform simple tasks with limited contacts with others. Id. The ALJ properly accounted for Plaintiff's moderate mental limitations assessed by Drs. Lorca and Schwartz.
Plaintiff contends the ALJ erred in failing to assist Plaintiff in fully developing his claim by not referring Plaintiff to an orthopedic consultative examination as requested at the hearing.
During the 2016 hearing, Plaintiff's representative requested Plaintiff be referred to a consultative examination, preferably an orthopedic examination, because Plaintiff's alleged physical impairments were orthopedic in nature and he had not been examined by agency referred physicians for those impairments. AR 39-42. The ALJ stated she would consider the issue, but she did not address the issue in her decision. AR 42. The ALJ found Plaintiff had the severe physical impairments of disorder of the back and rotator cuff tear of the shoulders, but the ALJ still concluded Plaintiff could perform medium work as defined in 20 C.F.R. 416.967(c) with some restrictions. AR 20, 22.
Plaintiff argues "it was brought to the ALJ's attention that plaintiff had attained age 55 on September 27, 2015, and with a limitation to a light exertional level of activity, and with a hypothetical limitation to simple, repetitive tasks, and orthopedic [consultative examination] was pertinent and necessary, because if the orthopedic examiner were to opine that plaintiff was limited to a light exertional level of activity then plaintiff would not be able to perform his past jobs, and GRID Rule 202.06 would direct a finding of disabled at age 55." Motion 3. The Commissioner counters that Plaintiff "points to no ambiguity or insufficiency in the evidence requiring a physical consultative examination," and Plaintiff has "waived the issue by relying on conclusory assertions and failing to present any cogent argument in his initial brief." Cross-Motion 3-4.
On the present record, substantial evidence does not support the ALJ's conclusion regarding Plaintiff's physical limitations in the RFC. No medical opinion of record addresses Plaintiff's work-related physical functional capacity. The ALJ could not properly rely on the ALJ's own lay understanding to interpret the medical records and the medical examination results so as to gauge the functional seriousness of Plaintiff's severe impairments.
For example, the ALJ appears to have inferred from Plaintiff's treatment that his severe back disorder and rotator cuff tear of the shoulders does not reduce his functionality below the capacity to perform medium work. AR 30. The ALJ reasoned that if Plaintiff's physical impairments had been "truly limited" to the extent alleged, his treating physicians would have made note of such limitations in the records and he would have received more treatment than chiropractic and physical therapy.
The ALJ should have more fully and fairly developed the insufficient and ambiguous record in the present case on the above issues.
Further, the Court does not find Plaintiff waived his argument on this issue. Plaintiff pointed to insufficiency in the evidence by stating an orthopedic consultative examination was "pertinent and necessary" because if the examination revealed Plaintiff was limited to a light exertional level of activity, then he would not be able to perform his past jobs. Motion at 3. Plaintiff contended the evidence was insufficient because he "had never been examined by agency referred physicians for his physical impairments."
The Court is unable to deem the errors in the present case to have been harmless.
The decision whether to remand for further proceedings is within this Court's discretion.
The Court finds that remand for further proceedings is appropriate to permit the ALJ to further fully and fairly develop the record consistent with the foregoing. As further development of the record may have a material impact on multiple areas of the sequential evaluation, the ALJ is free to conduct such further proceedings and make such further findings as may be warranted. Because the further proceeding directed herein may materially impact the ALJ's findings which form the basis for Plaintiff's arguments in Issue Nos. 3 and 4 herein, the Court declines to reach the merits of those arguments at this time as they may be addressed appropriately by the ALJ if such issues arises upon further proceedings as directed herein.
Pursuant to sentence four of 42 U.S.C. § 405(g), IT THEREFORE IS ORDERED that Judgment be entered reversing the decision of the Commissioner of Social Security and remanding this matter for further administrative proceedings consistent with this Order.