MARCIA S. KRIEGER, Chief District Judge.
Ms. Vallejo applied for Social Security Disability Insurance benefits in 2010. When her claim proceeded to adjudication by an ALJ, the evidence in the record consisted of the testimony of Ms. Vallejo, plus the opinions of a consulting physician, a state-agency physician, an examining psychologist, and a state-agency psychologist; Ms. Vallejo did not offer any evidence from a treating physician at that time. On March 29, 2012, the ALJ denied her application for benefits.
Thus, the Court finds that the record reflects as follows. At the time of Ms. Vallejo's application, she was 38 years old, with an 11
In 2009, Ms. Vallejo underwent a psychiatric consultation with Dr. Madsen. He diagnosed her with Bipolar Disorder and impaired intellectual functioning. He assigned her a GAF score of 50-55, demonstrating moderate impairment. He concluded that "her ability to do work-related activities continue to be impaired at a marked level. She will have difficulty maintaining a regular work schedule, focusing and concentrating on work, relating to peers, coworkers, supervisors, and the general public."
In July 2010, Dr. Suyeishi, a state agency consulting psychologist, opined that Ms. Vallejo could follow simple instructions, sustain ordinary routines, and make simple work-related decisions. He further opined that she could not work closely with supervisors or coworkers, but could accept infrequent supervision or coworker interaction.
In September 2010, Dr. Summerlin conducted a consultative physical examination of Ms. Vallejo. He determined that she could currently stand and walk for periods of up to four hours, but that that limitation would lift in four to six months as she healed from recent injuries. He concluded that she had no limitations in lifting, carrying, sitting, or manipulating objects. Similarly, that same month, Dr. LoGalbo, a state agency reviewing physician, also opined that Ms. Vallejo could lift and carry 25 lbs. frequently and 50 lbs. occasionally, could sit for 6 hours per day, and stand or walk for 4 hours per day.
Ms. Vallejo testified that she can sit for one hour before needing to stand and move around, and that she can stand for an hour before needing to sit back down. She testified that she can lift five pounds, that she has difficulty sleeping, that she spends most of her time watching TV or talking on the phone with friends. Occasionally, she cooks, accompanies her mother on shopping trips, goes to church, plays bingo, or goes for a walk.
Based on this evidence, The ALJ concluded that Ms. Vallejo could perform unskilled work, with minimal contact with coworkers and the public, sitting for up to six hours per day and standing or walking for up to four hours per day. Based on these limitations, the ALJ determined that Ms. Vallejo could perform the work of a silverware wrapper, a retail marker, or possibly a housekeeper. The ALJ inquired of a vocational expert whether that same work would be available with the additional limitation that Ms. Vallejo could not sustain concentration, persistence, and pace for a 40-hour workweek, to which the vocational expert answered that no meaningful work would be available to Ms. Vallejo with that further limitation.
Ms. Vallejo appealed the ALJ's decision to the Appeals Council. Along with that appeal, she also submitted a Residual Functional Capacity Evaluation ("RFC") from Dr. Jerald Ratner, her treating physician from 2011 to 2012. Dr. Ratner opined that Ms. Vallejo suffered from Bipolar Disorder, that she had no limitations in her ability to carry out very short and simple instructions, but that she had moderate limitations in her ability to remember work-like procedures and extreme limitations in her ability to maintain attention and concentration, to keep a schedule and maintain attendance, to work with others without distraction, and to maintain a workday without interruption and work at a consistent pace. He also opined that Ms. Vallejo had extreme limitations in dealing with the public or coworkers and with accepting instructions and supervision, but only slight limitations in the ability to ask questions and request assistance. Finally, he opined that she was incapable of attending to full-time work and stated that she would be off-task for 100% of the work week. Armed with Dr. Ratner's new RFC opinion, Ms. Vallejo sought review of the ALJ's decision by the Appeals Council.
On March 8, 2013, the Appeals Council denied her request for review. In a form order, it stated "We found no reason under our rules to review the Administrative Law Judge's decision. Therefore, we have denied your request for review." The form also contained an indication of any additional evidence that it had considered (beyond the record before the ALJ), and the Appeals Council indicated that it had reviewed Dr. Ratner's RFC. Thus, Dr. Ratner's opinion became part of the record.
Ms. Vallejo then commenced the instant appeal. After reviewing the briefs and record and hearing oral argument on July 23, 2014, this Court reversed the Commissioner's decision and remanded the matter to the Commissioner for further proceedings. The Court explained that "the dispositive issue here is whether there was error by the Appeals Council in not properly articulating its assessment of an opinion . . . by a treating physician [ ] that was submitted post-hearing." The Court found that the Appeals Council's failure to articulate any reasons for rejecting Dr. Ratner's RFC violated the requirements of Watkins v. Barnhart, 350 F.3d 1297 (10
The Commissioner appealed this Court's decision to the Court of Appeals. The Court of Appeals reversed, finding that under Martinez v. Barnhart, 444 F.3d 1201 (10
This Court has scrutinized the 10
The Court begins with the fact that Dr. Ratner's RFC opinion is now a part of the agency's record. That fact is established both in the Appeals Council's decision and in the instructions from the 10
Here, the ALJ offered no explanation of the weight given to Dr. Ratner's opinion because, quite obviously, that opinion was not yet in the record. The Appeals Council offered no explanation of the weight given to Dr. Ratner's opinion, but the 10
But the 10
Alternatively, one might read the 10
Thus, it appears to the Court that by accepting Dr. Ratner's opinion into the record but refusing to weigh it, the Commissioner has made a decision that has an inherently fatal defect. Yet this Court's reading of the 10
The 10
Ms. Vallejo's initial merits brief raised five arguments: (i) although crediting Dr. Suyieshi's opinions, the ALJ failed to account for the fact that Dr. Suyieshi opined that Ms. Vallejo could not have frequent or prolonged interaction with co-workers or supervisors and mistakenly converted that opinion into a finding that Ms. Vallejo could not work "as part of a team"; (ii) that new evidence was submitted to the Appeals Council but not properly evaluated (an argument that both this Court and the 10
As to the argument that the ALJ improperly converted Dr. Suyieshi's opinions as to Ms. Vallejo's function limitations into different limitations, the record reflects that Dr. Suyieshi opined that Ms. Vallejo "cannot work closely with supervisors or coworkers; can accept supervision and relate to coworkers if contact is not frequent or prolonged." At the hearing, the ALJ inquired of the vocational expert about jobs that were "not in close proximity to coworkers, meaning the individual could not function as a member of a team, and only occasional direct contact with the public." The ALJ's decision reflects those same findings as to Ms. Vallejo's social limitations. The Court cannot say that the ALJ's reference to Ms. Vallejo "not [working] in close proximity to coworkers" is meaningfully different from Dr. Suyieshi's finding that she "cannot work closely with . . . coworkers." The ALJ appended the limitation that Ms. Vallejo "could not function as a member of a team," but the Court does not understand that statement to alter or negate the prior finding that Ms. Vallejo had to have some separation (presumably at all times) from co-workers. Rather, the ALJ's reference to working as a team was merely supplementing to "no work with co-workers" with an additional observation: that such a limitation would also preclude any work requiring team efforts. Accordingly, the Court cannot say that the ALJ erred in presenting the contents of Dr. Suyieshi's opinions (that the ALJ had adopted) to the vocational expert.
As to Ms. Vallejo's argument that the ALJ made improper credibility findings, the Court discerns her to complain that the ALJ found her self-reported limitations to be "[ ]not . . . entirely credible," but that the ALJ did not proceed to state which limitations were credibly reported and which were not. Ms. Vallejo does not cite to authority for the proposition that the ALJ is required to specifically articulate which particular self-stated limitations are found to be credible and which are not, and the Court is not aware of any such requirement. Credibility findings are particularly the province of the factfinder and will not be disturbed if supported by substantial evidence. Kepler v. Chater, 68 F.3d 387, 391 (10
Finally, Ms. Vallejo argues that the ALJ improperly weighted Dr. Suyieshi's opinion over that of Dr. Madsen's, even though Dr. Madsen was an examining physician and Dr.Suyieshi was only a consulting (i.e. non-examining) one. The Court need not belabor the analysis of this argument. The ALJ gave Dr. Suyieshi's opinions greater weight than Dr. Madsen's because the ALJ found that Dr. Madsen's opinions were not as consistent with the record as Dr. Suyieshi's. Although Dr. Madsen's records indicated that Ms. Vallejo presented particularly poorly on the one visit she had with Dr. Madsen — with poor grooming and hygiene and impaired intellectual functioning — the remainder of her medical records with treating providers did not identify any such issues. For example, in several of Dr. McNabb's treatment notes, he indicates that Ms. Vallejo was "dressed . . . appropriately and has good personal hygiene," and that her orientation, memory, thought processes, judgment, and insight were all acceptable. This is sufficiently substantial evidence to allow the ALJ to conclude that Dr. Madsen's experience with Ms. Vallejo was unusual, and that Dr. Suyieshi's opinions, derived from a broader cross-section of treatment records, was more persuasive, even though Dr. Suyieshi did not actually examine Ms. Vallejo.
Thus, the Court finds nothing in Ms. Vallejo's remaining arguments that would require reversal.
Next, the 10
Thus, because the ALJ (and thus, the Commissioner) never evaluated Dr. Ratner's RFC opinion according to the necessary standards, the ALJ's determination must be reversed.
For essentially the same reasons discussed above, the failure of the ALJ to assess Dr. Ratner's opinion prevents the Court from finding that the ALJ's determination is supported by substantial evidence. Because that opinion was never tendered to the ALJ, it is axiomatic that the ALJ did not consider it in relation to the rest of the record. The ALJ "may not pick and choose among medical reports, using portions of evidence favorable to his position while ignoring other evidence." Carpenter v. Astrue, 537 F.3d 1264,1265 (10
As discussed above, the Court has some doubt as to whether the 10
When faced with deficient findings of fact by the Commissioner, the Court has the option to either remand the matter for additional factfidning or to simply direct an award of benefits. Ragland v. Shalala, 992 F.2d 1056, 1060 (10
Here, the Court begins, as would the ALJ upon remand, with Dr. Ratner's RFC opinion. Because Dr. Ratner is a treating physician, his opinion must be given controlling weight unless it is inconsistent with substantial evidence in the record. In this regard, the Court focuses on the two particular limitations that the ALJ identified that caused the vocational expert to change her opinion as to whether work existed that Ms. Vallejo could perform: that Ms. Vallejo would be "unable to sustain concentration, persistence, and pace necessary to consistently fulfill work for eight hours a day, five days a week," and that she "would unexpectedly miss work for more than four days a month." Dr. Ratner opines as to both of these limitations, noting that Ms. Vallejo demonstrates "extreme" limitations in "the ability to complete a normal workday and workweek without interruptions" and to "perform at a consistent pace without an unreasonable number or length of rest periods." He opines that she would be "off-task" 100% of the time in a given workday.
Although the Court does not engage in factfinding, it notes that a conclusion that Dr. Ratner's opinion was consistent with the record would be supported by substantial evidence. Records from Ms. Vallejo's treatment with Dr. McNabb indicated that Ms. Vallejo failed to keep to a treatment schedule, often missing treatment appointments without explanation. Thus, a conclusion that Ms. Vallejo could not maintain regular attendance at a job would be entirely consistent with the evidence that she could not maintain regular attendance at treatment. Dr. Ratner's opinion is also consistent with that of Dr. Madsen, at least as it relates to the question of attendance, as Dr. Madsen similarly opined that Ms. Vallejo "will have difficulty maintaining a regular work schedule [and] focusing and concentrating on work."
The only evidence in the record that could possibly conflict with Dr. Ratner's conclusions on these two points would be that of Dr. Suyeishi, the only remaining provider addressing Ms. Vallejo's mental limitations. Dr. Suyeishi opined that Ms. Vallejo was "moderately limited" in "the ability to . . . maintain regular attendance" and in "the ability to sustain an ordinary routine without special supervision." He concluded that Ms. Vallejo's "[s]ymptoms may interfere with completion of a normal workday or workweek or may cause inconsistent pace," a finding that is consistent with Dr. Ratner and Dr. Madsen's opinions. However, Dr. Suyeishi goes on to state that "when work does not require more than simple instructions, ordinary routines and simple work decision making, limitations of attendance and pace will not prevent the completion of a normal workday/workweek or significantly reduced pace."
It is not clear how Dr. Suyeishi reached that conclusion.
Thus, even if the Court were to remand the matter for further factfinding by the ALJ, it is apparent that the ALJ could not possibly conclude that Dr. Suyieshi's opinion is supported by substantial evidence in the record. Unable to rely on Dr. Suyieshi's opinion, the ALJ would not be able to overcome the presumption that Dr. Ratner's FRC opinion was controlling, particularly where that opinion was supported by Dr. Madsen's findings as well. There is no indication in the record that there is additional evidence that is available but not yet secured. In such circumstances, a remand is unnecessary: the only possible conclusion that the ALJ could reach is that Mr. Vallejo suffers from limitations that affect her ability to maintain regular attendance and full-day concentration, and the vocational expert confirmed that those limitations would preclude her from engaging in any meaningful work.
Thus, Ms. Vallejo is entitled to an award of benefits.
For the foregoing reasons, the Court