THOMAS B. SMITH, Magistrate Judge.
Plaintiff Eugene Warren Lemire, Jr. brings this action pursuant to 42 U.S.C. § 405(g) of the Social Security Act ("Act"), for judicial review of a final decision of the Commissioner of the Social Security Administration ("Commissioner") denying his claim for disability insurance benefits under the Act. Plaintiff argues that the administrative law judge ("ALJ") who decided his case erred by: (1) failing to properly apply the correct legal standards to the medical opinions of record; (2) failing to fully develop the record; and (3) failing to apply the correct legal standards to Plaintiff's testimony. Based upon a review of the record, including the administrative transcript and the pleadings and memoranda submitted by the parties, and for the reasons that follow, the Commissioner's final decision is
Plaintiff, a former security guard and commercial fisherman with a high school education, filed an application for disability benefits on September 7, 2010, alleging that he became disabled on June 3, 2009 (Tr. 65, 175-79, 193, 195). His application was denied initially and on reconsideration, and he requested a hearing that was held on September 6, 2012 (Tr. 33-60, 70-73, 76-80). On November 7, 2012, the presiding ALJ issued a decision denying Plaintiff's application for benefits (Tr. 17-32).
The ALJ employed the five step sequential evaluation process which appears at 20 C.F.R. § 404.1520 to evaluate Plaintiff's claim.
Next, the ALJ found that Plaintiff had the residual functional capacity to perform a full range of light work (Tr. 23-26). Based on this residual functional capacity assessment, the ALJ decided at step four that Plaintiff could perform his past relevant work as a security guard as that job is generally performed in the national economy (Tr. 26-27). Alternatively, the ALJ determined at step 5 that Plaintiff could perform other jobs existing in significant numbers in the national economy, based on the Medical-Vocational Guidelines, 20 C.F.R. Part 404, Subpart P, Appendix 2 (Tr. 27). On the basis of these findings, the ALJ concluded that Plaintiff was not disabled (Tr. 27). The Appeals Council denied Plaintiff's request for review of the ALJ's decision and this appeal followed (Tr. 1-6, 14-16).
The scope of the Court's review is limited to determining whether the ALJ applied the correct legal standards and whether the ALJ's findings are supported by substantial evidence.
When the Commissioner's decision is supported by substantial evidence, the district court will affirm even if the reviewer would have reached a contrary result as finder of fact, and even if the reviewer finds that the preponderance of the evidence is against the Commissioner's decision.
There is a presumption in favor of the ALJ's findings of fact, but the presumption does not attach to the ALJ's conclusions of law.
In evaluating a claimant's residual functional capacity, the ALJ must weigh the opinions and findings of treating, examining, and non-examining physicians and psychologists. The ALJ must consider all relevant factors in determining the weight to afford each medical source's opinion, including the nature and duration of the relationship between the provider and the patient, any evidence the source presents in support of the opinion, the opinion's consistency with the record, and the provider's specialty. 28 C.F.R. § 404.1527(c). An "opinion" is any statement reflecting judgments about the nature and severity of a claimant's impairments, including symptoms, diagnosis, and prognosis, what the claimant can still do despite his or her impairments, and the claimant's physical or mental restrictions.
Plaintiff contends that the ALJ erred by giving greater weight to the opinion of non-examining state agency records examiner, Dr. Cristina Rodriguez, M.D., than the ALJ gave to the opinion of examining physician, Dr. Donna Lester, M.D. (J.M. 11-16). Because Plaintiff's medical records were not extensive, the state agency sent him to Dr. Lester for a consultative examination on November 7, 2010 (Tr. 314-17). Plaintiff told Dr. Lester he had been experiencing back pain for many years, but that it had gotten much worse in the last two years and that pain medication was no longer helping him (Tr. 314). Plaintiff said he could dress and feed himself, and estimated that he could stand for up to 15 minutes and sit for up to 2 hours in an 8-hour period (
Physical examination revealed that Plaintiff's "[s]pine was straight," but that he "had some right paraspinal tenderness in the lower lumbar area." (Tr. 316). Range of motion testing of the cervical spine showed flexion to 30 degrees, extension to 10 degrees, (presumably bilateral) lateral flexion to 10 degrees, and bilateral rotation to 20 degrees (
(
Following Dr. Lester's examination, Latasha McDowell, a "single decision maker" who works for the state agency, completed a Physical Residual Functional Capacity Assessment (Tr. 318). For "exertional limitations," Ms. McDowell said Plaintiff could lift up to 20 pounds occasionally and 10 pounds frequently; sit, stand, and walk up to 6 hours in an 8 hour work day; and perform all postural and manipulative activities without limitation (Tr. 319-21). To explain her findings, Ms. McDowell summarized Dr. Lester's report and concluded: "Impression: Reveals that the [claimant] has some limitations in his [range of motion] especially in the c-spine." (
The ALJ's decision summarizes Dr. Lester's report and the Physical Residual Functional Capacity Assessment confirmed by Dr. Rodriguez (Tr. 24-26). Then the ALJ explained how she weighed these opinions and why:
(Tr. 26).
The Court has serious concerns with the ALJ's explanation. First, the ALJ seized on an "internal inconsistency" which could easily have been a simple scrivener's error — a possibility it does not appear that the ALJ considered. More troubling is the ALJ's mischaracterization of Dr. Lester's opinion. The ALJ attributed to Dr. Lester the opinion that Plaintiff "cannot perform postural activities" when Dr. Lester said only that Plaintiff "would have difficulty" with postural activities (Tr. 317). Difficulty does not mean inability.
The last sentence of the ALJ's discussion of the medical opinion evidence also contains at least one inaccuracy, and possibly more. The ALJ wrote that May 28, 2012 was the date of "the claimant's most recent examination." (Tr. 26). This is simply not true. The record contains notes from at least three subsequent examinations of Plaintiff (Tr. 370, 384-86, 444).
It is also far from clear Dr. Barry Wayne's May 28, 2012 examination showed "no evidence of tenderness, decreased range of motion, or muscle spasms." (Tr. 395). The relevant portion of Dr. Wayne's report states:
(Tr. 395).
This treatment note can reasonably be read to say "decreased range of motion, muscle spasm, [and] vertebral tenderness." It can just as reasonably be read to say "no . . . decreased range of motion, muscle spasm, [or] vertebral tenderness." (Tr. 395). Dr. Wayne's use of "normal range of motion" to indicate normal range of motion elsewhere in his report suggests that he meant something other than "normal range of motion" when he said "decreased range of motion." The "normal inspection" finding arguably supports the meaning the ALJ ascribed to the report; but, other treatment notes from the Bert Fish Medical Center emergency department contain concurrent findings of "normal inspection" and "decreased range of motion, muscle spasm, [and] tender lumbar area" (Tr. 426), which suggests that a finding of "normal inspection" can coexist with other abnormal objective findings. In other words, the evidence is ambiguous, and ambiguous statements in treatment notes are not substantial evidence.
The ALJ's remaining reason for discounting Dr. Lester's opinion — that it "is . . . inconsistent with the medical evidence showing conservative treatment, minimal documented clinical abnormalities, and minimal evidence of abnormalities in diagnostic imaging" — is inadequately explained. The ALJ does not identify what findings and test results are "inconsistent" with Dr. Lester's opinion. On appeal the Commissioner tries to fill in the details, noting (1) the ALJ's observation that Dr. Chang's records contained few physical findings or abnormalities; (2) "examinations from the Bert Fish Medical Center in 2012" that were "unremarkable regarding Plaintiff's extremities"; and (3) "a CT of Plaintiff's lumbar spine taken in May 2012" that "showed no evidence of fracture, disc herniation, or nerve root compression, although there was evidence of osteophytes suggestive of ankylosing spondylitis." (J.M. 18 (emphasis in original)). These purported "inconsistencies" do not justify the ALJ's rejection of Dr. Lester's opinion.
The Commissioner correctly points out that at least Dr. Chang's more recent treatment records "do not appear to contain any musculoskeletal findings."
The records from Bert Fish Medical Center conflict with Dr. Lester's opinion in some respects, including the affirmative finding, made on several occasions, of normal range of motion in the extremities (J.M. 18; Tr. 385, 395, 411, 426, 473, 481). But, the ALJ's discussion of these records is cursory, failing to mention numerous visits, including at least one relied on by the Commissioner in her brief (Tr. 25). While it is true that the ALJ does not have to discuss every piece of evidence, the ALJ's decision must provide enough detail to ensure the Court that the ALJ actually reviewed and considered the evidence in the record and made a decision based on the entire record.
Lastly, the Court does not find substantial evidence to support the ALJ's finding that Dr. Lester's opinion is "inconsistent with . . . minimal evidence of abnormalities in diagnostic imaging" (Tr. 25), based on the May 2012 lumbar CT scan. The CT findings include "some very prominent bridging osteophytes . . . throughout the lumbar spine disc spaces, suggestive of possible ankylosing spondylitis in this patient."
Whatever adjective one might use to describe the CT findings, Plaintiff makes a persuasive argument that the findings support a more restrictive residual functional capacity assessment than the ALJ provided (J.M. 15-17). As Plaintiff points out, ankylosing spondylitis can cause "chronic, severe pain" and fusion of vertebrae (J.M. at 16). Thus, the lumbar CT findings (1) provide some support for Plaintiff's allegations of lower back pain, and (2) corroborate both Dr. Lester's findings of limited range of motion in the lower back and Plaintiff's statements that he has trouble bending. That said, the Court, like the ALJ, is not a medical expert and is not equipped to evaluate the functional implications of the lumbar CT scan report. On remand, the ALJ should obtain the opinion of an acceptable medical professional regarding the functional implications of the lumbar CT scan findings.
The ALJ's reliance on Dr. Rodriguez' opinion is just as flawed as his rejection of Dr. Lester's. Dr. Rodriguez did not have the benefit of the subsequent medical records, including the CT scan, and Dr. Rodriguez rubber stamped Ms. McDowell's assessment, which — as the ALJ recognized — conflicts with Dr. Lester's opinion and Plaintiff's own testimony. Yet, Ms. McDowell (and thus Dr. Rodriguez) claimed to have credited both Dr. Lester's opinion and Plaintiff's statements regarding his symptoms. Because Dr. Rodriguez' opinion rests on a mischaracterization of the record, it is not reliable evidence.
Since the Court is remanding the case for the ALJ to re-evaluate Dr. Lester's opinion, it will only briefly address the remaining issues. The evidence in the record does not support a finding that Plaintiff meets Listing 14.09C. To meet either paragraph of that listing, a claimant's spine must be fixed at 30 degrees or more of flexion. Dr. Lester's range of motion testing showed that Plaintiff could extend his lumbar spine to 10 degrees past vertical. Unless some new evidence surfaces that Plaintiff's condition has changed since Dr. Lester's examination, there is no need for the ALJ to obtain a consultative examination or diagnostic imaging to find that Plaintiff does not meet Listing 14.09C. The Court expresses no opinion whether another consultative examination or additional diagnostic imaging should be obtained in order to assess Plaintiff's residual functional capacity. Finally, on remand, the ALJ will necessarily have to reassess Plaintiff's credibility to account for the new evidence in the case.
The Commissioner's final decision is
1. Is the claimant performing substantial gainful activity?
2. Does the claimant have a severe impairment?
3. Does the claimant have a severe impairment that meets or equals an impairment listed in 20 C.F.R. Part 404, Subpart P, Appendix 1?
4. Can the claimant perform past relevant work?
5. Based on the claimant's age, education, and work experience, can the claimant perform other work of the sort found in the national economy?