SAM A. CROW, District Senior Judge.
This is an action reviewing the final decision of the Commissioner of Social Security denying the plaintiff disability insurance benefits and supplemental security income payments. The matter has been fully briefed by the parties.
The court's standard of review is set forth in 42 U.S.C. § 405(g), which provides that "the findings of the Commissioner as to any fact, if supported by substantial evidence, shall be conclusive." The court should review the Commissioner's decision to determine only whether the decision was supported by substantial evidence and whether the Commissioner applied the correct legal standards.
The Social Security Act provides that an individual shall be determined to be under a disability only if the claimant can establish that they have a physical or mental impairment expected to result in death or last for a continuous period of twelve months which prevents the claimant from engaging in substantial gainful activity (SGA). The claimant's physical or mental impairment or impairments must be of such severity that they are not only unable to perform their previous work but cannot, considering their age, education, and work experience, engage in any other kind of substantial gainful work which exists in the national economy. 42 U.S.C. § 423(d).
The Commissioner has established a five-step sequential evaluation process to determine disability. If at any step a finding of disability or non-disability can be made, the Commissioner will not review the claim further. At step one, the agency will find non-disability unless the claimant can show that he or she is not working at a "substantial gainful activity." At step two, the agency will find non-disability unless the claimant shows that he or she has a "severe impairment," which is defined as any "impairment or combination of impairments which significantly limits [the claimant's] physical or mental ability to do basic work activities." At step three, the agency determines whether the impairment which enabled the claimant to survive step two is on the list of impairments presumed severe enough to render one disabled. If the claimant's impairment does not meet or equal a listed impairment, the inquiry proceeds to step four, at which the agency assesses whether the claimant can do his or her previous work; unless the claimant shows that he or she cannot perform their previous work, they are determined not to be disabled. If the claimant survives step four, the fifth and final step requires the agency to consider vocational factors (the claimant's age, education, and past work experience) and to determine whether the claimant is capable of performing other jobs existing in significant numbers in the national economy.
The claimant bears the burden of proof through step four of the analysis.
On January 5, 2012, administrative law judge (ALJ) Deborah J. Van Vleck issued her decision finding that plaintiff was not disabled (R. at 122-131). On November 9, 2012, the Appeals Council issued its first decision, remanding the case back to the ALJ for further hearing (R. at 137-139). On September 3, 2013, ALJ MaryAnn Lunderman issued a second decision, again finding plaintiff not disabled (R. at 26-45). On August 21, 2014, the Appeals Council denied plaintiff's request for review of the ALJ decision (R. at 6-7). Thus, the decision by ALJ MaryAnn Lunderman is the final decision of the Commissioner.
Plaintiff alleges that he had been disabled since January 1, 2009 (R. at 26). Plaintiff meets the insured status requirements for social security disability benefits through June 30, 2014 (R. at 29). At step one, the ALJ found that plaintiff did not engage in substantial gainful activity since the alleged onset date (R. at 29). At step two, the ALJ found that plaintiff had a severe combination of impairments (R. at 29). At step three, the ALJ determined that plaintiff's impairments do not meet or equal a listed impairment (R. at 30). After determining plaintiff's RFC (R. at 32), the ALJ found at step four that plaintiff could not perform past relevant work (R. at 43). At step five, the ALJ found that plaintiff could perform other jobs that exist in significant numbers in the national economy (R. at 44). Therefore, the ALJ concluded that plaintiff was not disabled (R. at 45).
SSR 00-4p states that before relying on VE evidence to support a disability determination or decision, an ALJ must identify and obtain a reasonable explanation for any conflicts between occupational evidence provided by vocational experts and information in the DOT [Dictionary of Occupational Titles] (including its companion publication, the Selected Characteristics of Occupations Defined in the Revised Dictionary of Occupational Titles (SCO)) and explain in the decision how any conflict that has been identified was resolved. 2000 WL 1898704 at *1. In making disability determinations, defendant will rely primarily on the DOT for information about the requirements of work. Occupational evidence provided by a VE should be consistent with the occupational information supplied by the DOT. When there is an apparent unresolved conflict between the VE evidence and the DOT, the ALJ must elicit a reasonable explanation for the conflict before relying on the VE evidence to support a decision about whether a claimant is disabled. At the hearing level, as part of the ALJ's duty to fully develop the record, the ALJ will inquire, on the record, as to whether or not there is such consistency. If a conflict exists, the ALJ must resolve the conflict by determining if the explanation given by the VE is reasonable and provides a basis for relying on the VE testimony rather than on the DOT information. 2000 WL 1898704 at *2;
In her RFC findings, the ALJ included in her limitations that plaintiff could not engage in "frequent repetitive activity with his left upper extremity" and "cannot perform work at a production pace, such as on an assembly line" (R. at 32).
The job of a folding machine operator requires the ability to reach frequently, handle frequently and finger occasionally. DOT (Dictionary of Occupational Titles) 208.685-014, 1991 WL 671754. The job of a collator operator requires the ability to reach, handle and finger frequently. DOT 208.685-010, 1991 WL 761753. The job of bottling-line attendant also requires the ability to reach, handle and finger frequently. DOT 920.687-042, 1991 WL 687971. Plaintiff argues that these job requirements conflict with the DOT, and the ALJ erred by failing to elicit a reasonable explanation for the conflict.
In the case of Segovia v. Astrue, 226 Fed. Appx. 801, 804 (10th Cir. March 23, 2007), the court held as follows:
(emphasis added).
In the case of
The facts of this case are identical to those in
Plaintiff also points out that the ALJ's RFC findings indicated that plaintiff "cannot perform work at a production pace, such as on an assembly line" (R. at 32). The job of bottling-line attendant is alternatively listed as a line operator, and states that a person with this job pastes labels and tax stamps on filled whiskey bottles as bottles
Leaving out the job of bottling attendant, the ALJ identified two other jobs, of which 148,000 such jobs exist in the national economy (R. at 44, 65). The statute and case law are clear that the Commissioner must show that the claimant can perform other kind of work that exists in significant numbers in the national economy.
Courts should apply the harmless error analysis cautiously in the administrative review setting.
In
According to SSR 96-8p, the RFC assessment "must include a narrative discussion describing how the evidence supports each conclusion, citing specific medical facts...and nonmedical evidence." The ALJ must explain how any material inconsistencies or ambiguities in the evidence in the case record were considered and resolved. The RFC assessment must always consider and address medical source opinions. If the RFC assessment conflicts with an opinion from a medical source, the ALJ must explain why the opinion was not adopted. SSR 96-8p, 1996 WL 374184 at *7. SSR rulings are binding on an ALJ. 20 C.F.R. § 402.35(b)(1);
When the ALJ fails to provide a narrative discussion describing how the evidence supports each conclusion, citing to specific medical facts and nonmedical evidence, the court will conclude that his RFC conclusions are not supported by substantial evidence.
The ALJ limited plaintiff to light work, with no overhead reaching, no frequent repetitive activity with his left upper extremity, simple, routine, repetitive work with minimal change in assigned tasks, cannot perform work at a production pace, such as an assembly line, no contact with public,
The court will first discuss the ALJ's RFC findings regarding plaintiff's mental limitations. As set forth above, "the RFC assessment must include a narrative discussion describing how the evidence supports each conclusion, citing specific medical facts and nonmedical evidence."
According to SSR 96-8p:
1996 WL 374184 at *4. Thus, the PRTF form is used to determine the severity of a mental impairment at steps 2 and 3 of the sequential evaluation process, while a mental RFC assessment form is used to determine a claimant's RFC at steps 4 and 5.
The ALJ made findings at step two in the four broad areas (including findings of moderate limitations in social functioning and moderate limitations in concentration, persistence, or pace) (R. at 30-31, 41) which are only for the purpose of rating the severity of a mental impairment at steps 2 and 3 of the sequential evaluation process. These findings are not an RFC assessment. The mental RFC assessment used at steps 4 and 5 of the sequential evaluation process requires a more detailed assessment. However, the ALJ did not cite to any evidence to indicate how her finding of plaintiff's moderate limitations in two of the four broad areas translated into or supported the more specific limitations she set out in plaintiff's mental RFC. The court has absolutely no idea why the ALJ included certain specific limitations in the areas of social functioning and concentration, persistence and pace, but not others.
First, as required by SSR 96-8p, the RFC assessment must include a narrative discussion describing how the evidence supports each conclusion, citing specific medical facts and nonmedical evidence. However, the record is devoid of any identifiable discussion explaining how the evidence supported her specific mental RFC findings.
Second, the ALJ rejected all four opinions from medical sources or treatment providers regarding plaintiff's mental RFC. The ALJ did not cite to any medical opinion in support of her mental RFC findings. However, an exact correspondence between a medical opinion and the RFC is not required. In reaching his RFC determination, an ALJ is permitted, and indeed required, to rely on all of the record evidence, including but not limited to medical opinions in the file. That said, in cases in which the medical opinions appear to conflict with the ALJ's decision regarding the extent of a plaintiff's impairment(s) to the point of posing a serious challenge to the ALJ's RFC assessment, it may be inappropriate for the ALJ to reach an RFC determination without expert medical assistance.
In the case before the court, the ALJ gave little weight to all four mental RFC assessments prepared by treating sources and medical consultants, and provided no explanation for making the specific mental RFC findings contained in her decision.
The court will briefly address the failure of the ALJ in the second decision to recontact Dr. Carolina in order to clarify a conflict in her two opinions regarding plaintiff's mental limitations. In the 1st Appeals Council decision remanding the case back to the ALJ, the Appeals Council noted that Dr. Carolina's two opinions were not consistent with each other (R. at 138-139). Specifically, the 1st opinion by Dr. Carolina, dated December 28, 2010, found only slight impairments in 13 categories and 3 moderate impairments (R. at 549-551). However, in her 2nd opinion, dated April 24, 2012, which was submitted after the 1st ALJ decision, Dr. Carolina found 9 moderate and 10 extreme mental impairments, and further indicated that these impairments began when she first saw the plaintiff on July 26, 2010 (R. at 630-631). Clearly, the two opinions conflict. The Appeals Council stated that: "As appropriate, the ALJ shall request the treating source to provide additional evidence and/or further clarification of the opinions and medical source statements about what the claimant can still do despite the impairments" (R. at 139).
The ALJ, who held a hearing in May 2013, noted that Dr. Carolina had not treated plaintiff after April 2012, and therefore attempted to obtain a recent medical source statement from Dr. Cannon or Dr. Skirchak, who had been treating plaintiff on or after July 2012. The ALJ indicated that he was unable to obtain a statement from either of them (R. at 33). The court finds that the ALJ's attempt to obtain a medical source statement from subsequent treatment providers was not a clear violation of the decision of the 1st Appeals Council. In fact, the 2nd Appeals Council decision did not find that the ALJ had violated their earlier order (R. at 6-7). However, as this case is being remanded, and in light of the clear conflict with the two opinions offered by Dr. Carolina, the ALJ and/or plaintiff's counsel should endeavor to contact Dr. Carolina and obtain an explanation for the discrepancies in the two reports.
The court will next address the ALJ's RFC findings regarding plaintiff's physical limitations. The ALJ gave great weight to the opinions of Dr. Siemsen (R. at 42). Dr. Siemsen affirmed an assessment prepared on July 12, 2010 (R. at 519, 111-118). The assessment affirmed by Dr. Siemsen contained some narrative discussion of the evidence (R. at 113, 114, 116, 118), and the court finds no clear error in reliance on this opinion, especially given the absence of any conflicting medical opinion evidence. However, the court is concerned with the fact that the request for medical advice, dated November 3, 2010, just prior to the analysis by Dr. Siemsen, discusses the evidence, and then states: "Please affirm initial RFC. Thanks" (R. at 518). On November 5, 2010, Dr. Siemsen stated that he reviewed the evidence and affirmed the RFC assessment of July 12, 2010; he offered no analysis of the evidence or rationale for his opinion (R. at 519). Plaintiff argues that this indicates that Dr. Siemsen was merely following directions or was directed to affirm the ALJ decision. Defendant did not respond to this argument in their brief.
The court is concerned with language given a medical consultant asking them to affirm the RFC, as opposed to asking them to make an independent medical review of the assessment. Because this case is being remanded for other reasons, as set forth above, the court would ask that this issue be addressed.
IT IS THEREFORE ORDERED that the judgment of the Commissioner is reversed and remanded pursuant to sentence four of 42 U.S.C. § 405(g) for further proceedings consistent with this memorandum and order.