BLACKBURN, District Judge.
The matter before me is plaintiff's
Plaintiff alleges that he is disabled as a result of bipolar disorder, affective disorder, and borderline intellectual functioning. After his application for supplemental
The ALJ found that plaintiff was not disabled and therefore not entitled to supplemental security income benefits. Although the medical evidence established that plaintiff suffered from severe mental impairments, the judge concluded that the severity of those impairments did not meet or equal any impairment listed in the social security regulations. The ALJ found that plaintiff had the residual functional capacity to perform a medium work that did not involve complex tasks or instructions and involved no contact with the general public. Although plaintiff had no past relevant work, the ALJ concluded that there were jobs existing in significant numbers in the national and local economies that were within plaintiff's residual functional capacity. He, therefore, found plaintiff not disabled at step five of the sequential evaluation. Plaintiff appealed this decision to the Appeals Council. The Council affirmed. Plaintiff then filed this action in federal court.
A person is disabled within the meaning of the Social Security Act only if his physical and/or mental impairments preclude him from performing both his previous work and any other "substantial gainful work which exists in the national economy." 42 U.S.C. § 423(d)(2). "When a claimant has one or more severe impairments the Social Security [Act] requires the [Commissioner] to consider the combined effects of the impairments in making a disability determination." Campbell v. Bowen, 822 F.2d 1518, 1521 (10th Cir.1987) (citing 42 U.S.C. § 423(d)(2)(C)). However, the mere existence of a severe impairment or combination of impairments does not require a finding that an individual is disabled within the meaning of the Social Security Act. To be disabling, the claimant's condition must be so functionally limiting as to preclude any substantial gainful activity for at least twelve consecutive months. See Kelley v. Chater, 62 F.3d 335, 338 (10th Cir.1995).
The Commissioner has established a five-step sequential evaluation process for determining whether a claimant is disabled:
20 C.F.R. § 416.920(b)-(f). See also Williams v. Bowen 844 F.2d 748, 750-52 (10th Cir.1988). The claimant has the initial burden of establishing a disability in the first four steps of this analysis. Bowen v. Yuckert, 482 U.S. 137, 146 n. 5, 107 S.Ct. 2287, 2294 n. 5, 96 L.Ed.2d 119 (1987). The burden then shifts to the Commissioner to show that the claimant is capable of performing work in the national economy. Id. A finding that the claimant is disabled or not disabled at any point in the five-step review is conclusive and terminates the analysis. Casias v. Secretary of Health & Human Services, 933 F.2d 799, 801 (10th Cir.1991).
Review of the Commissioner's disability decision is limited to determining whether the ALJ applied the correct legal standard and whether the decision is supported by substantial evidence. Hamilton v. Secretary of Health and Human Services, 961 F.2d 1495, 1497-98 (10th Cir. 1992); Brown v. Sullivan, 912 F.2d 1194, 1196 (10th Cir.1990). Substantial evidence is evidence a reasonable mind would accept as adequate to support a conclusion. Brown, 912 F.2d at 1196. It requires more than a scintilla but less than a preponderance of the evidence. Hedstrom v. Sullivan, 783 F.Supp. 553, 556 (D.Colo. 1992). "Evidence is not substantial if it is overwhelmed by other evidence in the record or constitutes mere conclusion." Musgrave v. Sullivan, 966 F.2d 1371, 1374 (10th Cir.1992). Further, "if the ALJ failed to apply the correct legal test, there is a ground for reversal apart from a lack of substantial evidence." Thompson v. Sullivan, 987 F.2d 1482, 1487 (10th Cir. 1993). Although a reviewing court should meticulously examine the record, it may not reweigh the evidence or substitute its discretion for that of the Commissioner. Id.
The decision on review in this appeal arises out of the remand order issued by Judge Brimmer, directing the ALJ to articulate legitimate and sufficient reasons for the weight assigned to the various medical opinions of record. Instead, the ALJ has done little more than repackage his rejected ratiocination, albeit now making copious use of italics and other forms of emphasis in an apparent attempt to indicate the stridency of his continued adherence to the very reasons Judge Brimmer found insufficient to justify the previous disability determination. These reasons are no more probative or persuasive now than they were more than two and one-half years ago, and their reiteration following remand evidences either ignorance of or total disregard for the mandate rule and the law of the case doctrine.
Judge Brimmer remanded after concluding, inter alia, that the ALJ failed to give adequate, legitimate reasons for rejecting the opinions of both plaintiff's treating source, Dr. Richard Rivera (and his physician's assistant, Stephen Quackenbush) and the consultative examiner, Dr. Richard Madsen. "The law of the case doctrine prevents the relitigation of the
In the second hearing decision, which Judge Brimmer reviewed, the ALJ concluded that Dr. Rivera and Mr. Quackenbush's opinions regarding the disabling effect of plaintiff's mental impairments contradicted the marginal medical evidence of record. More particularly, the ALJ relied on the disconnect between the relatively minor reported effects of the multiple head traumas plaintiff suffered and the attribution — by both plaintiff and his treating doctors — of his impairments to those incidents. While Judge Brimmer agreed that such findings were sufficient to discredit the notion that there was a physical genesis for plaintiff's impairments, he concluded that the ALJ could not completely disregard the opinion of a treating source on that basis alone. He noted that the ALJ failed to consider any of the factors set forth in 20 C.F.R. § 416.927(d) for properly weighing the opinion of a treating source,
Despite this directive, on remand, the ALJ devoted the majority of his consideration of Dr. Rivera and Mr. Quackenbush's opinions to an emphatic dissertation on the lack of evidence showing a cause-and-effect relationship between plaintiff's past physical traumas and his alleged present mental impairments. (Tr. 300-302.) Indeed, a
Granted, it is difficult to fault the ALJ's ultimate conclusion that Dr. Rivera's and Mr. Quackenbush's opinions appear to be based on a dearth of actual medical evidence. Indeed, it appears accurate to say that plaintiff saw these treating sources no more than once a year mainly to request updated "Med-9" forms,
However, the same cannot be said of the ALJ's flouting of the mandate rule with respect to the opinions of Dr. Madsen. Dr. Madsen diagnosed plaintiff with bipolar disorder and borderline intellectual functioning and concluded that plaintiff's "ability to do work-related activities would be impaired" insofar as "[h]e would have difficulty maintaining a regular work schedule, and focusing and concentrating at work" and "[h]is learning disability and level of cognitive functioning would also interfere and limit the types of work that he can do." (Tr. 133.) Dr. Madsen subsequently completed a mental residual functional capacity evaluation form indicating the plaintiff would have marked limitations in his ability to understand, remember, and carry out detailed instructions, to perform activities within a regular schedule, to sustain an ordinary routine, and to maintain attention and concentration. (Tr. 239-240.)
In his original decision, the ALJ rejected these opinions as based largely on "less than factual statements made by the claimant." He also concluded that Dr. Madsen's Global Assessment of Functioning ("GAF")
Yet on remand, the ALJ cited precisely these same two reasons as again justifying wholesale rejection of Dr. Madsen's opinion. (Tr. 303.) These reasons are no more compelling now than they were in 2009, and provide no more justification for the ALJ's decision to afford no weight to Dr. Madsen's opinions.
Thus, the ALJ failed to adhere to the requirements of the mandate rule, and his decision to reject Dr. Madsen's opinion is insupportable. Moreover, following remand, the ALJ rejected the opinion of a second consultative examiner, Dr. Jose Vega, for the same reasons he rejected Dr. Madsen's opinions. (Tr. 303-304, 393-394.)
By rejecting these medical opinions, the ALJ was left with no medical evidence of record to support his determination of plaintiff's mental residual functional capacity, save the assessment of the non-examining state agency physician, Dr. James Wanstrath. (Tr. 136-138.) Noting that this opinion was "based on an incomplete record and offers only a superficial review" of the medical evidence then available in any event, Judge Brimmer concluded that the ALJ failed to articulate any "specific and compelling reason for placing it above the treating and examining sources." (Tr. 327.) The ALJ did not even mention Dr. Wanstrath's opinion in his order on remand, much less demonstrate any specific or compelling reason why this "most cursory and incomplete opinion in the record" should be given determinative weight. (Tr. 326.) Thus, even if the ALJ did implicitly adopt this opinion, as the Commissioner suggests (but which is not at all apparent from the record), it would be insufficient to support the ALJ's residual functional capacity assessment in any event.
The ALJ's disability determination, therefore, is not supported by substantial evidence. Plaintiff asks that I
To say that this case has had a protracted procedural history would be a vast understatement. The hearing decision now under review represents no less than the third attempt by an ALJ to properly determine plaintiff's eligibility for benefits. The most recent opinion appears to have been issued with blatant disregard for the remand order necessitating it. Plaintiff's application for supplemental security income benefits has now been pending since 2003. See Salazar v. Barnhart, 468 F.3d 615, 626 (10th Cir.2006) (length of time the matter has been pending relevant factor in determining whether to direct award of benefits). In all that time, and despite repeated attempts, the Commissioner has been unable to articulate any specific, legitimate reason for discrediting the opinions of plaintiff's treating and examining sources regarding the functional limitations imposed by plaintiff's severe mental impairments.
At the October, 2009, hearing, the vocational expert testified that there were no jobs available in the economy compatible with limitations of the degree Dr. Vega imposed. (Tr. 403-404.) In addition, Dr. Rivera stated that he concurred with Dr. Vega's assessment of plaintiff's limitations. (Tr. 250.) Based on this evidence and in light of the other considerations outlined herein, a remand would serve only to further delay a finding of disability to which plaintiff clearly is entitled. Nevertheless, because the Commissioner has not yet considered whether plaintiff meets the non-disability requirements of Title XVI, I remand with directions to consider those issues.
1. That the conclusion of the Commissioner through the Administrative Law Judge that plaintiff was not disabled is
2. That
3. That this case is
4. That plaintiff is
20 C.F.R. § 416.927(d)(2).