CHARLES A. STAMPELOS, Magistrate Judge.
This Social Security case was referred to the undersigned magistrate judge upon consent of the parties and reference by United States District Judge William Terrell Hodges. ECF No. 14. After consideration of the entire record, the Court reverses the decision of the Acting Commissioner (Commissioner) and remands the case for further consideration.
On February 12, 2013, Plaintiff filed an application for Supplemental Security Income, alleging disability beginning February 16, 2011. Tr. 95-115, 227-32, 250.
On November 11, 2016, Plaintiff filed a Complaint in the United States District Court, with exhibits, seeking review of the ALJ's decision. ECF No. 1; ECF Nos. 1-1 through 1-5. On February 3, 2017, the Defendant filed an Answer. ECF No. 10. The record was also filed on February 3, 2017. ECF No. 11 (11-1 through 11-22). Both parties filed memoranda of law, which have been considered. ECF Nos. 15, 16.
The ALJ made several findings and conclusions relative to the issues raised in this appeal:
The ALJ decided that the claimant is not disabled under section 1614(a)(3)(A) of the Social Security Act. Tr. 27.
This Court must determine whether the Commissioner's decision is supported by substantial evidence in the record and premised upon correct legal principles. 42 U.S.C. § 405(g);
"In making an initial determination of disability, the examiner must consider four factors: `(1) objective medical facts or clinical findings; (2) diagnosis of examining physicians; (3) subjective evidence of pain and disability as testified to by the claimant and corroborated by [other observers, including family members], and (4) the claimant's age, education, and work history.'"
The Commissioner analyzes a claim in five steps, pursuant to 20 C.F.R. § 416.920(a)(4)(i)-(v):
A positive finding at step one or a negative finding at step two results in disapproval of the application for benefits. A positive finding at step three results in approval of the application for benefits. At step four, the claimant bears the burden of establishing a severe impairment that precludes the performance of past relevant work. Consideration is given to the assessment of the claimant's RFC and the claimant's past relevant work. If the claimant can still do past relevant work, there will be a finding that the claimant is not disabled. If the claimant carries this burden, however, the burden shifts to the Commissioner at step five to establish that despite the claimant's impairments, the claimant is able to perform other work in the national economy in light of the claimant's RFC, age, education, and work experience.
Plaintiff suffered a back injury on February 16, 2011, while at work, and was diagnosed with lumbar strain and pre-existing degenerative joint disease. Tr. 326, 586-613. He was evaluated for Workers' Compensation purposes by Drs. Gary Newcomer and Scott Wilson. On February 16, 2011, Dr. Wilson imposed a ten pound lifting limitation, along with other limitations. Tr. 611. On February 21, 2011, Dr. Wilson saw Plaintiff again for the same injury and found the back pain was continuing. Plaintiff was released to light duty after rest to allow medications to work, with restrictions on lifting no more than five pounds, along with other limitations. Tr. 592-93, 597. The same limitations were continued on February 28, 2011, by Dr. Newcomer. Tr. 586.
In March 2011, Plaintiff was diagnosed by Dr. Phillip Parr, M.D., as having an annular disc bulge with some mild facet arthropathy and mild chronic foraminal narrowing as shown on an MRI scan. Tr. 326. Plaintiff was given a back brace and a prescription for anti-inflammatory medication. Id. Later in March, Dr. Parr noted Plaintiff was wearing a back brace but was unable to stand up straight due to severe spasm. Tr. 325. An epidural cortisone injection was ordered, along with physical therapy. Id. Plaintiff attended 21 physical therapy sessions in 2011, but continued to have limitations in movement. Tr. 337. Marc Gruber, P.A., reported in September 2011 that range of motion indicated that Plaintiff was not showing improvement in physical therapy, although Plaintiff reported that he was having a flare up at the time and thought he had been improving. Tr. 337.
Plaintiff has chronic obstructive pulmonary disease and was seen in the emergency room in February and September 2013 and several times in 2014 for exacerbation of that condition. Tr. 437-55, 690-717, 830-33, 912-41. Plaintiff continued to smoke in spite of medical advice to quit. Tr. 74. He reported to medical personnel seen in January 2016 that he had ceased smoking. Tr. 1274. At the second hearing before the ALJ, on November 20, 2015, Plaintiff testified that he has been on a nebulizer for his COPD, and had recently been prescribed oxygen, but could not afford it. Tr. 41.
Plaintiff underwent a consultative examination in April 2013, by Lance Chodosh, M.D. Tr. 565-88. Dr. Chodosh evaluated Plaintiff's pulmonary function and his range of motion in his lumbar spine, shoulders, and hips. Tr. 570-72, 576. The straight leg raise was difficult to assess in the supine position due to general pain, but was negative to 90 degrees bilaterally while sitting. Tr. 576. Plaintiff's balance was fair, but he walked slowly and was too weak to walk on his heels or toes and to squat and rise. Tr. 576. Dr. Chodosh assessed moderate COPD secondary to smoking, chronic active alcoholism, and poor general condition. Tr. 577. He concluded that Plaintiff could stand and walk "only occasionally" and that he needed an assistive device for walking more than 200 feet. Id. Plaintiff could sit and bend at the waist occasionally with support, but was unable to squat or kneel and could not lift or carry more than a few pounds.
At the reconsideration level in August 2013, a non-examining state Agency consultant, Joseph Chiaro, M.D., opined an RFC consistent with light work with limitations including frequent climbing ramps/stairs; kneeling and crawling; occasional climbing ladders/ropes/scaffolds; stooping and crawling; limited bilateral overhead reaching; avoiding concentrated exposure to extreme heat/cold and hazards; and avoiding even moderate exposure to fumes, odors, dusts, gases, and poor ventilation. Tr. 110-14.
In June 2014, Plaintiff was seen for right shoulder pain following a fall, and was assessed with a humerus anterior dislocation. Tr. 621, 862. At that time, his musculoskeletal evaluation showed a normal range of motion in his other extremities and a normal gait. Tr. 621. In October 2014, a CT scan shown avascular necrosis of the right and left hip, with it most severe on the right. Tr. 801-02. An x-ray of the left shoulder showed mild left glenohumeral joint osteoarthritis. Tr. 1245-46.
In February 2015, bilateral femoral head osteonecrosis on the right hip was seen on CT scan. Tr. 1045-46. Plaintiff testified in the second hearing on November 20, 2015, that he was scheduled for a pre-surgery evaluation pertaining to hip replacement. Tr. 41-42. In October 2015, Chancellor F. Gray, M.D., an orthopedic surgeon, reviewed imaging of Plaintiff's noted avascular necrosis of the right hip and "subchondral insufficiency fracture of condyle of right femoral head, sequela." Tr. 1285. In January 2016, Dr. Gray noted that anti-inflammatories, cortisone injection, and narcotic medication for the hip pain provided minimal relief. Tr. 1267. At the November 20, 2015, hearing Plaintiff explained that he was given crutches, but he could not use them so he was given a walker. Tr. 46. In December 2015, Plaintiff was seen after a fall that exacerbated his hip pain. Tr. 1279. At that time, he reported that a hip steroid injection had given him 75% pain relief, but it lasted for less than three weeks. Tr. 1282.
January 5, 2016, records of University of Florida Physicians, Department of Orthopedics, note that Plaintiff was to be scheduled for hip surgery, subject to nicotine tests to avoid risk for complications. Tr. 1277. Plaintiff was informed that even "after undergoing total hip replacement there may still be persistent pain or disability." Id. This January 5, 2016, evaluation showed an antalgic gait, which an abnormal gait that indicates pain. Tr. 1281. The notes also indicate that Plaintiff was working as an automobile mechanic. Tr. 1274.
Plaintiff argues that the RFC determination is not supported by substantial evidence for several reasons. The Court discusses only Plaintiff's contention that the ALJ failed to explain rejection of certain of the consultative examiner's stated limitations in light of the residual functional capacity assessment. Dr. Lance Chodosh, the consultative examiner, in his assessment, described Plaintiff's condition as including moderate COPD secondary to smoking, chronic active alcoholism, and poor general physical condition. Tr. 577. Dr. Chodosh concluded Plaintiff was able to stand and walk "only occasionally;" that he required an assistive device to walk more than 200 feet; that he could sit; that he could bend at the waist occasionally with support, handle objects, see, hear, and speak normally. Tr. 25, 577. Dr. Chodosh concluded that that Plaintiff cannot squat or kneel, and cannot lift or carry more than a few pounds.
The ALJ asserted that she gave great weight to the findings Dr. Chodosh made upon consultative examination in April 2013, but that Dr. Chodosh's stated "limitations are only credited to the extent that they are consistent with the established residual functional capacity assessment." Tr. 25. The ALJ did not, however, specify which of the limitations were not credited, why they were not credited, and which aspect of the RFC assessment was in conflict with Dr. Chodosh's stated limitations. Moreover, the ALJ did not make clear whether unspecified limitations were rejected before the ALJ made the final RFC assessment or after the fact.
Plaintiff contends that by crediting the stated limitations only to the extent they are consistent with the RFC assessment, the ALJ was crediting only those limitations that "fit a pre-determined RFC rather than utilizing Dr. Chodosh's competent medical opinion to determine the RFC." ECF No. 15 at 10. Plaintiff also correctly contends that the ALJ failed to reconcile Dr. Chodosh's opinion with the RFC that offers conflicting limitations, failed to state which limitations were "consistent with the established [RFC] assessment," and failed to seek any clarification from Dr. Chodosh as to the full extent of Plaintiff's limitations rather than concluding that sedentary work accounts for all his limitations. ECF No. 15 at 11-12.
The ALJ relied on a vocational expert to conclude that there are jobs within the national economy in significant numbers that the claimant can perform. Tr. 26. The ALJ stated in the decision: "I asked the vocational expert whether jobs exist in the national economy for an individual with the claimant's age, education, work experience, and residual functional capacity." Tr. 26. Based on the presentation of a hypothetical question, the vocational expert stated that Plaintiff would be able to perform the requirements of representative occupations such as addresser (DOT #209.587-010);
Sedentary work is defined as follows:
20 C.F.R. § 416.967(a). The ALJ found that Plaintiff could perform sedentary work, as defined,
Tr. 22. The finding did not address the conflict between Dr. Chodosh's stated limitation that Plaintiff could lift only "a few pounds" with the definition of "sedentary," which provides for lifting no more than ten pounds. The ALJ did not explain the conflict between Dr. Chodosh's stated limitation that Plaintiff could only stand and walk occasionally with the modification to the ALJ's RFC assessment that indicates Plaintiff could perform up to frequent climbing of ramps and stairs.
When using a vocational expert, the ALJ must pose hypothetical questions to determine whether a person with the same limitations as the claimant will be able to secure employment in the national economy.
Further, additional medical evidence of Plaintiff's condition not improving was submitted prior to the November 2015 hearing, but Dr. Chodosh was not provided an opportunity to review the additional medical information and provide an updated opinion. See
At the very least, the ALJ should have requested clarification from Dr. Chodosh or referred Plaintiff for another consultative examination so that the record could accurately reflect, with specificity, what sufficient evidence supports the RFC. Considering the record as a whole, the ALJ's finding that Plaintiff is not disabled is not supported by substantial evidence in the record and by application of the proper legal standards. No determination is made whether Plaintiff is disabled.
Accordingly, pursuant to the fourth sentence in 42 U.S.C. § 405(g), the decision of the Commissioner to deny Plaintiff's application for Social Security benefits is