Blackburn, District Judge.
The matter before me is plaintiff's
Plaintiff alleges that he is disabled as a result of degenerative disc disease, diabetes, hypertension, trigger fingers in both hands, diffuse pain throughout his body, and obesity. After his applications for disability, insurance benefits and supplemental security income benefits were denied, plaintiff requested a hearing before an administrative law judge. This hearing was held on February 28, 2012. At the time of the hearing, plaintiff was 53 years old. He has a high school education and past relevant work experience as a construction laborer. He has not engaged in substantial gainful activity since October 28, 2008, his alleged date of onset.
The ALJ found that plaintiff was not disabled and therefore not entitled to disability insurance benefits or supplemental security income benefits. Although the medical evidence established that plaintiff's degenerative disc disease and obesity constituted severe impairments, the ALJ concluded that the severity of those impairments did not meet or equal any impairment listed in the social security regulations. Plaintiff's other alleged impairments were found to be non-severe. The ALJ found that plaintiff had the residual functional capacity to perform unskilled light work with a sit/stand option and additional postural restrictions. Although this finding precluded plaintiff's past relevant work, the ALJ determined that there were other jobs existing in significant
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 him 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. § 404.1520(a)(4)(i)-(v).
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.
Plaintiff alleges that the ALJ erred, inter alia, by rejecting the opinions of both his treating source and the consultative examiner. I concur, and find that these opinions, properly considered and weighted, support a conclusion that plaintiff in fact is disabled. I therefore direct an award of benefits in plaintiff's favor.
Plaintiff has received treatment for a variety of medical complaints at a succession of medical clinics in the Pueblo, Colorado, area since at least 2007. (See Tr. 442-544.) His treating physician, Dr. David Krause, submitted an opinion in support of plaintiff's claims for benefits stating that, as a result of Type II diabetes, hypothyroidism, chronic back pain, and degenerative arthritis of the hands, plaintiff could lift less than 10 pounds, sit for no more than 30 to 60 minutes at one time for a total of no more than 2 hours a day, and be on his feet for no more than 30 minutes at a time for no more than 2 hours a day. He further suggested that plaintiff should rarely stoop, squat, or kneel and never crawl, and that he could perform work that required handling and fingering only rarely (i.e., no more than 10 repetitions per day) and reaching no more than one hour per day. (Tr. 580-581.)
The opinion of a treating source is entitled to controlling weight when it is "well-supported by medically acceptable clinical and laboratory diagnostic techniques and is not inconsistent with other substantial evidence in the case record." 20 C.F.R. § 404.1527(c)(2); see also Watkins v. Barnhart, 350 F.3d 1297, 1300 (10th Cir.2003). A treating source opinion may not be rejected absent good cause for specific, legitimate reasons clearly articulated in the hearing decision. Watkins, 350 F.3d at 1301; Goatcher v. United States Department of Health & Human Services, 52 F.3d 288, 290 (10th Cir.1995); Frey v. Bowen, 816 F.2d 508, 513 (10th Cir.1987). Good cause may be found when a treating source opinion is brief, conclusory, or unsupported by the medical evidence. Frey, 816 F.2d at 513.
The ALJ stated that he gave this treating source opinion little weight because Dr. Krause failed to cite any objective medical findings in support of his conclusions and because his conclusions allegedly were inconsistent with his own treatment notes. Neither of these conclusions bears scrutiny. It is true that Dr.
Although the ALJ claimed that Dr. Krause's treatment notes did not support the limitations he imposed, he failed to explain that conclusion with specific reference to the evidence. Instead, he cited the entirety of Exhibit 3F, a document comprising more than 100 pages of treatment notes. (Tr. 18.)
Moreover, even if Dr. Krause's opinion was not entitled to controlling weight, it still was entitled to deference, and should have "be weighed using all of the factors provided in 20 C.F.R. 404.1527 and 416.927."
This finding, too, is unsubstantiated and therefore erroneous. Although residual functional capacity is an administrative determination, not a medical one, 20 C.F.R. §§ 404.1546 & 416.946; Rutledge v. Apfel, 230 F.3d 1172, 1175 (10th Cir.2000), the ALJ's determination must be grounded in some medical evidence, see Anderson v. Shalala, 51 F.3d 777, 779 (8th Cir.1995). The ALJ's own lay assessment of the conclusions to be drawn from Dr. Otten's medical examination, however, is not medical evidence, see Hamlin v. Barnhart, 365 F.3d 1208, 1221 (10th Cir.2004), nor does his own disbelief of plaintiff's subjective complaints of pain and limitation provide a basis on which to reject Dr. Otten's medical opinion, see McGoffin v. Barnhart, 288 F.3d 1248, 1252 (10th Cir.2002). Nor did the ALJ specify — even by such a global reference as was used to discredit Dr. Krause's opinion — what other medical evidence of record contradicted Dr. Otten's conclusion. For all these reasons, the ALJ's determination of the weight to be afforded Dr. Otten's opinion is not supportable either.
The ALJ's errors in this regard are compounded by the fact that it is impossible to determine precisely what functional limitations he did find supported by the evidence. The ALJ stated only that plaintiff had the capacity for light work, without specifying plaintiff's abilities to lift, carry, sit, stand, or walk. "Light work" may consist of various different combinations of these vocational requirements, however:
20 C.F.R. § 1567(b). Indeed, the Commissioner recognizes that expressing residual functional capacity merely by reference to a broad exertional category, as was done here, may lead to errors at steps 4 and 5 of the sequential evaluation process. She thus requires that residual functional capacity be expressed instead as a function-by-function assessment of the claimant's ability to do work-related activities.
The problems with an assessment which does not follow this guideline is manifest in this case. Although the ALJ apparently adopted Dr. Otten's lifting and carrying restrictions (see Tr. 18), it is not clear how much sitting, standing, and walking he concluded plaintiff was capable of performing. Both Drs. Krause and Otten stated that plaintiff could stand and walk for no more than two hours in a day, which would be incompatible with most unskilled light work.
Moreover, because the ALJ did not include any specific functional parameters in his hypothetical question to the vocational expert (see Tr. 37-38), it is not possible to say that plaintiff actually could perform the alternative light jobs the vocational expert identified in response. See Hargis v. Sullivan, 945 F.2d 1482, 1492 (10th Cir.1991) ("[T]estimony elicited by hypothetical questions that do not relate with precision all of a claimant's impairments cannot constitute substantial evidence to support the Secretary's decision.") (citation and internal quotation marks omitted). The Commissioner therefore has failed to sustain her burden at step 5 of the sequential evaluation as well.
Plaintiff argues that I may direct an award of benefits as of the date he turned 55 in September 2013, since even under the ALJ's determination, a person of that age who is capable of performing only light, unskilled work should be found disabled under the Commissioner's Medical-Vocational Guidelines (the "Grids").
Nevertheless, I believe that plaintiff is entitled to a directed award of benefits in this case. The medical opinions of Dr. Krause and Dr. Otten support a conclusion that, at best, plaintiff can perform sedentary work with significant postural and manipulative limitations. The Commissioner has failed to point to any evidence in the record suggesting that plaintiff is capable of more than this level of work-related functionality.
1. That the conclusion of the Commissioner through the Administrative Law Judge that plaintiff was not disabled is
2. That judgment
3. That the Commissioner is
4. That plaintiff is