JANET C. HALL, District Judge.
Plaintiff Lisa M. Blackert ("Blackert") brings this action under title 42 section 405(g) of the United States Code, appealing from the final determination of the Commissioner of Social Security ("the Commissioner"), denying her disability insurance benefits and supplemental security income. Motion to Reverse the Decision of Commissioner ("Pl.'s Mot.") (Doc. No. 19). The Commissioner cross-moves for an order affirming that decision. Defendant's Motion for Judgment on the Pleadings ("Def.'s Mot.") (Doc. No. 23).
For the reasons set forth below, the Motion to Reverse the Decision of the Commissioner is
Lisa M. Blackert was born in 1958, and was 52 years and 9 months old at the age of her alleged onset date of March 21, 2011. Plaintiff's Statement of Facts (Doc. No. 19-1) at 2. She is a licensed practical nurse, but has not worked since March of 2011, with the brief exception of a nursing position she held in 2013, from which she was terminated two weeks into a three week orientation program because she "wasn't catching on fast enough and [she] was too slow." Certified Transcript of Record ("R.") at 129.
The medical record begins in February of 2011. On February 8, 2011, Blackert was seen by David Bounds, APRN, and Dr. Mark Thimineur for "chronic migraines, knee, multifocal pain." R. at 396. Treatment notes from that visit reflect that Blackert's "pain medications are helping to some extent, but she is still having more headaches than she would like."
Blackert was seen by Dr. Thimineur again on April 19, 2011, for bilateral "knee pain due to ACL repair and chronic migraine headaches." R. at 399. Dr. Thimineur noted that Blackert was taking Relpax and Topamax for her headaches, both of which "help her," and was also taking Percocet for her knee pain.
Blackert saw Courtney Howard, Certified Physician's Assistant, for July 25, 2011, for hypertension, migraine headaches, and depression. Howard's notes reflect that Blackert's headaches were "controlled with pm Relpax" and that she was "doing ok on Effexor 75mg" with respect to her depression.
On October 27, 2011, Blackert saw Heather Alfonso, Advanced Practice Registered Nurse, for pain resulting from migraine headache and headache. R. at 403-04. Blackert's headaches were described as having an "aching and crushing" quality, with associated symptoms of "swelling, photosensitivity, nausea and vomiting during headache." R. at 403. Treatment notes reflect that Blackert's headaches are alleviated by "medication, rest and dark room" and exacerbated by "bright lights, loud noise, chewing and stress."
On January 27, 2012, Alfonso saw Blackert again and noted that her "[p]ain levels, functionality have remained stable without any major changes since the last visit." R. at 406.
On April 17, 2012, Alfonso saw Blackert again. R. at 409. Alfonso's treatment notes reflect that Blackert's younger sister died of a heart attack since her last visit, and that she was very upset as a result.
On July 18, 2012, Alfonso saw Blackert again. Alfonso's notes state that "Patient reports >50% relief of pain, improvement in participation in activities of daily living on current medication regimen, Patient does not report any side effects or adverse reactions from prescribed opioid medications and No aberrant behaviors related to prescribed opioids identified during this visit." R. at 414.
On January 15, 2013 Alfonso saw Blackert again, and noted that Blackert "will potentially be starting a new position in assistive living." R. at 418. Alfonso further notes that Blackert's "pain levels are stable" and that her pain is "manageable." R. at 419.
On April 10, 2013, Alfonso saw Blackert again. Alfonso states that Blackert's "pain levels have been stable with Percocet," and that Cymbalta (an antidepressant) has been "helping significantly." R. at 421.
On July 10, 2013, Alfonso saw Blackert again, and noted that Blackert reported both that her "current pain medication regimen are `helping tremendously'" and that Blackert "noticed an increase in her migraines (15 or more episodes) with nausea over the past 2 months." R. at 425. In this visit, Alfonso and Blackert discussed the possibility of Botox injections for her migraines, and Blackert "verbalize[d] interest" in that treatment.
On August 20, 2013, Blackert saw APRN Patricia Blanc at Cornell Scott Hill Health Center. During that visit, Blackert reported "sparks out of peripheral of right eye x weeks" and "Constant migraine headaches x 30 years." R. at 385. Blanc's notes reflect that Blackert was aware of a CT scan "about four years ago with shows?? lesion on the brain but nothing was done about it. Neurologist who saw her is now in prison."
On October 8, 2013 Alfonso saw Blackert again. Blackert reported that her pain levels were "somewhat exacerbated with the barometric pressure changes and recent sinusitis." R. at 429.
Blanc saw Blackert again on October 10, 2013. She noted that Blackert was experiencing pain in her right knee. R. at 374.
Dr. Thimineur saw Blackert on November 5, 2013. Spinal accessory nerve blocks and trigger point injections were administered in the cervical/shoulder areas. R. at 434.
Dr. Hong Lin saw Blackert on January 3, 2014, for medication management related to her complaints of depression and anxiety. He adjusted her dose of Cymbalta downward, and also prescribed Ativan and Ambien. R. at 485.
Alfonso saw Blackert again on January 7, 2014. Blackert reported that an MRI had been conducted, and showed new lesions, but was still awaiting "results." R. at 437.
Dr. Hong Lin saw Blackert again on February 7, 2014. He notes at that time that Blackert "is coming to terms with her recent diagnosis of MS." R. at 484.
Alfonso saw Blackert again on March 4, 2014. She notes that Blackert "has Multiple Sclerosis which she was unaware of" and recommends following up with a neurologist. R. at 441.
Dr. Hong Lin saw Blackert again on March 14, 2014. His notes state that Blackert had recently visited her father, who was undergoing treatment for brain cancer, in Florida. R. at 483. He further noted that Blackert was experiencing "sensory symptoms `tingling' of her thigh and fingers" as a result of her MS, as well as "scattered focus and concentration." R. at 482.
PA-C Courtney Howard was seen for routine follow-up on April 28, 2014. Her notes include statements that Blackert "relates complaint of tingling in her left thigh and bilateral finger and toe parethesias" as well as "difficulty with her stability with tilting her head back" while showering. R. at 604. Howard further notes that Blackert's migraines "remain uncontrolled despite use of topomax, relpax, and pm percocet." R. at 605.
Blackert saw Susan York, LMFT, for counseling on August 14, 2014. She notes, among other things, that "this patient is not able to work anymore. She has attempted several times but her concentration is no longer sharp enough. The MS is gradually worsening and it can be seen in her sessions with this therapist." R. at 522. Notes from York on September 11, 2014, indicate that Blackert is "doing fairly well." R. at 524. On September 12, 2014, in "annual review" notes, York states that she "has observed a deterioration in patient's ability to process her thoughts and communicate at a normal speed." R. at 527.
Blackert saw Ashley Dizney, APRN, on September 16, 2014. She describes Blackert as having "chronic intractable migraines" and states that she gets "15 Relpax tablets/month, and she takes these when migraines are at the worst." R. at 572.
On September 19, 2014, Blackert saw Dr. David Pitt, a neurologist, for the first time. He notes that Blackert reported "moderate pathologic fatigue," and "frequent falls." R. at 550. He further noted that she was experiencing headaches about four times per week and appeared "tangential and had difficulties recalling her past medical history." R. at 550-51. He noted moderate impairment of her hand coordination. R. at 551. Dr. Pitt also noted that Blackert had "several neurological deficits (cognitive, numbness in fingers and feet/lower legs, balance problems)" that have "gradually manifested over the last 1-2 years" with no relapses. R. at 552. Based on the absence of relapses as well as Blackert's MRI, Dr. Pitt concluded that "a diagnosis of PP-MS [Primary-Progressive Multiple Sclerosis] is possible."
York's September 26, 2014 treatment notes state that Blackert "is devastated" by her diagnosis of PP-MS. R. at 530.
Blackert saw Dr. Pitt again on October 31, 2014. He referred to her as a "patient with likely MS," and ordered additional testing. He also referred Ms. Blackert to Dr. Franklin C. Brown, Ph.D., for a neuropsychological examination. However, Dr. Brown did not complete the examination and concluded that his results were "not valid" because, although Blackert experienced some "cognitive difficulties," she also was "easily overwhelmed" and "emotionally distraught," and the findings were therefore "uninterpretable." R. at 563.
On March 10, 2015, Blackert saw Alfonso again. Notes reflect that Blackert was taking Ampira for "brain fog" with "minimal effect noted." R. at 20. Alfonso further notes: "Exam today shows changes in neurological findings: abnormal tandem walking and abnormal rapid finger tapping noted."
On June 9, 2015, Blackert saw Theodora McPherson, PA. McPherson's notes reflect that Blackert reported that her "current medication regimen reduces her pain by 80%" and that she "is able to do housework and drive." R. at 25.
On September 10, 2015, Blackert saw Julie Heher, APRN. She reported migraines "almost every morning and night" since her potassium levels had fallen out of regulation, but reported a 70% reduction in her pain when she takes replax and Percocet, which allowed her to "complete her daily activities." R. at 38.
Between October and December, 2015, Blackert had four more follow up visits, and reported pain reduction levels of 50%, 70-80%, 40-60%, and 40-70%, respectively. R. at 41-52.
Blackert applied for disability benefits and supplemental security income on March 18, 2014. Her applications were initially denied in a decision dated May 16, 2014, R. at 202-11, and she filed a request for reconsideration on May 21, 2014, R. at 212-13. Upon reconsideration, the requested benefits were denied once again on August 15, 2014. R. at 218-25. Blackert then filed a request for a hearing before an Administrative Law Judge ("ALJ") on August 25, 2014. R. at 226. The matter was assigned to the Office of Disability Adjudication and Review in New Haven, Connecticut, for hearing, decision, and order.
That hearing took place before ALJ Ronald J. Thomas on May 1, 2015.
On October 29, 2015, Blackert filed an appeal of ALJ Thomas's decision. R. at 71-73. That appeal was denied by the Social Security Appeals Council on June 1, 2016. R. at 1-4. The decision of the Appeals Council rendered the denial of Blackert's claims final and thus appealable to this court.
Under title 42 section 405(g) of the United States Code, it is not the district court's function to determine
Blackert raises four errors: (1) that the ALJ failed to adequately develop the administrative record, Pl.'s Mem. at 1, (2) that the ALJ's finding that Blackert's migraines were not a "severe impairment" was harmful error,
An ALJ in a social security benefits hearing has an affirmative obligation to develop the record adequately.
The expert opinions of a treating physician are of particular importance to a disability determination.
Here, the record contains no expert opinion from a treating physician about Blackert's residual functional capacity ("RFC"). The absence of such evidence was noted by the state agency medical consultants.
As the Commissioner accurately notes, the Second Circuit has held that remand is not appropriate "solely on the ground that the ALJ failed to request medical opinions in assessing residual functional capacity."
The Commissioner argues the record in this case is extensive, and therefore the opinion of treating physicians is unnecessary. To support this assertion, the Commissioner states that "the ALJ relied on the opinions of no less than four state Agency medical consultants and notes from Plaintiff's neurologist, therapist, primary care physician, and treatment providers at the Comprehensive Pain and Headache
Treatment Centers," as well as Blackert's "reported activities." Defendant's Memorandum in Support of her Motion for Judgment on the Pleadings ("Def.'s Mem.") (Doc. No. 23-1) at 5. Blackert argues, on the other hand, that the record lacks any meaningful assessment of her physical capacity or any other functional limitations stemming from her MS and migraine headaches. Plaintiff's Memorandum in Support of her Motion to Reverse the Decision of the Commissioner ("Pl.'s Mem.") (Doc. No. 19-2) at 2, 8.
The court concludes that the record is not sufficiently extensive to negate the necessity for the opinions of one or more treating physicians. In particular, the record lacks substantial evidence that Blackert is capable of medium work. To conclude that Blackert is capable of doing medium work, ALJ Thomas must rely on substantial evidence that she can "lift[ ] no more than 50 pounds at a time with frequent lifting or carrying of objects weighing up to 25 pounds." 20 CFR 404.1567(c).
Two of the state medical consultants, Dr. Goldsmith and Dr. Duong, concluded that Blackert could perform medium work.
First, it is unreasonable to extrapolate from "normal" evaluation scores that Blackert, a woman in her fifties with MS and joint pain who weighs one hundred pounds, can lift fifty pounds and carry twenty-five pounds. The word "normal" is too vague to bear the weight that the Agency consultants apparently placed upon it.
ALJ Thomas also had the benefit of treatment notes from Dr. David Pitt, who examined Blackert in September of 2014, after Dr. Goldsmith and Dr. Duong reached their conclusions. Dr. Pitt described Blackert's muscles as "normal with regard to strength, tone and bulk." R. at 551. However, like the CPHTC evaluations, describing strength as "normal" is simply too vague to substantiate a finding that occasionally lifting fifty pounds and frequently lifting and carrying twenty-five pounds is within Blackert's capacity.
The second reason that these CPHTC evaluations cannot bear the weight that has been placed on them is that medium work requires both strength and endurance, because medium work may require "
As the Commissioner points out, ALJ Thomas also considered Blackert's activities in making the RFC finding that he did. Activities that ALJ Thomas notes include a trip to Florida, going out to dinner, going camping with her boyfriend once, exercising, and completing chores. R. at 85-88. However, this evidence is of little probative value without knowing more details about the activities. Did she lift heavy suitcases while traveling, or chop up firewood while camping? Does her nightly exercise regime involve bench pressing fifty or more pounds? In sum, while these activities may indicate that Blackert is capable of some degree of physical exertion, they say almost nothing about her capacity to perform medium work.
In light of the foregoing analysis, the court concludes that the record was not sufficiently extensive to compensate for the absence of medical opinion evidence from treating physicians. Indeed, ALJ Thomas did not have the benefit of opinion evidence from
For these reasons, the court finds that there is not substantial evidence in the record supporting the ALJ's decision that Blackert could perform medium work, including occasionally lifting fifty pounds and frequently lifting or carrying twenty-five pounds. On remand, the ALJ should seek opinions from the plaintiff's treating physicians, including her neurologist, Dr. Pitt, on this issue.
In light of the court's conclusion that ALJ Thomas failed to adequately develop the record, the court does not reach the merits of the parties' arguments with regard to ALJ Thomas's finding that Blackert's migraines are not a "severe impairment." However, the court recognizes that the record contains indications that, at least during some periods of time since Blackert's alleged onset date of March 21, 2011, her pain has been adequately managed by medication.
Nevertheless, on remand ALJ Thomas should consider revisiting some of his factual findings. For example, ALJ Thomas observed that Blackert "repeatedly rates her average pain level at `2' on a scale from `0' to `10.'" R. at 80. Blackert points out that, in many of the treatment records where a severity of "2" is noted, the notation is not accompanied by any explanation of the scale being used, and that the number "2," without more context, indicates very little about how severe her headaches were.
However, the probative value of the severity level of "2" is nevertheless questionable. Because it appears at the top of twelve consecutive examination records as part of a header section in which the same information is consistently repeated verbatim, it is at least reasonable to interpret that data as a field that is automatically populated based on an initial visit rather than information that was updated on each of the relevant dates.
The court further cautions that treatment notes which state that a patient's condition is "stable," on their own, are not probative of a patient's disability status. In his ruling, ALJ Thomas repeatedly notes that Blackert's treatment providers repeatedly describe her condition as "stable." R. at 80. Blackert argues that ALJ Thomas "seemed to draw from this evidence that [Blackert] was benefited by treatment." Pl.'s Mem. at 12 (quoting
Blackert argues that ALJ Thomas's analysis fails to give appropriate weight to the opinions of three treating clinicians, Susan York, Licensed Marital and Family Therapist, Courtney Howard, Certified Physician's Assistant, and Jane Regan, Registered Nurse. Pl.'s Mem. at 15-20. Although Blackert concedes that none of these practitioners is an "acceptable medical source" for the purposes of
However, ALJ Thomas's decisions to discount the opinions of York, Howard, and Regan were each based in part on what he determined were tensions between their opinions and the record as a whole.
During the hearing, a vocational expert testified to the availability of work according to various levels of exertion. R. at 143-45. Specifically, ALJ Thomas posed the following hypothetical question to the vocational expert: "[A]ssume an individual of the claimant's age, education, and past relevant work experience who is limited to performing the medium work as defined in the Regulations and has a further restrictions [sic] of the need for only occasional bending, occasional balancing, twisting, squatting, climbing, crawling, and kneeling. And secondly, is limited to simple, repetitious, routine work." R. at 144. Based on this hypothetical, the vocational expert concluded that Blackert could perform the work of a janitor, a hand packer, or a laundry worker. R. at 144-45. ALJ Thomas subsequently adopted the vocational expert's opinion in his ruling and concluded that "the claimant is capable of making a successful adjustment to other work that exists in significant numbers in the national economy." R. at 90-91.
Blackert argues that ALJ Thomas's vocational analysis was defective, not because ALJ Thomas's reliance on the vocational expert was incorrect, but because the premise for his conclusion—namely that Blackert could do medium work—was not supported by substantial evidence. Pl.'s Mem. at 21-22.
As analyzed in some detail above, the court agrees that the record is thin, to say the least, with regard to Blackert's physical exertional capacity. The court therefore agrees with Blackert that ALJ Thomas lacked sufficient evidence to conclude that Blackert was capable of medium work and therefore erred in concluding that Blackert could perform the work recommended by the vocational expert. On remand, the court recommends that, in his development of the record, ALJ Thomas be mindful that the record contains very little evidence as to Blackert's physical exertional capacity.
For the foregoing reasons, Blackert's Motion to Reverse the Decision of the Commissioner (Doc. No. 19) is