MASTROIANNI, U.S.D.J.
This is an action for judicial review of a final decision by the acting Commissioner of the Social Security Administration ("Commissioner") regarding an individual's entitlement to Supplemental Security Income ("SSI") and Social Security Disability Insurance ("SSDI") under Titles XVI and II, respectively, of the Social Security Act (the "Act"). See 42 U.S.C. §§ 405(g), 1383(c)(3). Yesenia Rodriguez ("Plaintiff") argues that the Commissioner's decision denying her SSI and SSDI — memorialized in a April 14, 2015 decision of an administrative law judge ("ALJ") — rested on legal error. Plaintiff has filed a motion to reverse that decision and the Commissioner has moved to affirm. For the reasons and to the extent set forth below, the court DENIES the Commissioner's motion (Dkt. No. 20) and GRANTS Plaintiff's motion (Dkt. No. 12).
Plaintiff applied for the SSI and SSDI on April 13, 2010, claiming disability with an onset date of May 1997. (Administrative Record ("A.R.") at 269-82.) She was 33 years old when she initially applied; she is now 41 years old. (Id. at 133). She has a high school education and her relevant prior work experience involved approximately one year as a part-time ticket agent for an airline in or around 1996. (Id. at 20, 23, 56-57). The record also indicates that Plaintiff received workers' compensation benefits for several months after that employment ended due to injury to her back, neck, and shoulders. (Id. at 58). At the time of her first administrative hearing she subsisted on government benefits. (Id.)
On January 18, 2013, the ALJ issued a decision finding Plaintiff was disabled as of April 13, 2010 due to major depressive disorder, generalized anxiety disorder, posttraumatic stress disorder, panic disorder, headaches, anemia, right ankle pain, chronic arthralgia and myalgia, obesity, asthma, chronic bilateral wrist/hand numbness and weakness, and chronic back pain. (Id. at 89-112). The ALJ also expressly found that Plaintiff was not disabled due to any impairments prior to that date and, because Plaintiff's date last insured preceded that date by over a year, denied the SSDI application. As for Plaintiff's SSI application, the ALJ granted with an onset date of April 13, 2010. (Id. at 105).
Plaintiff then appealed that decision to the SSA Appeals Council in an effort have the SSDI denial reversed.
The record contains volumes of medical evidence concerning both physical and mental impairments. As they relate to mental health issues,
Records from Mercy Medical Center ("MMC") disclose Plaintiff made frequent emergency room visits as early as 2002. Only those records relevant to the instant analysis are discussed here. An admission form from a May 17, 2002 visit to the MMC ER lists "STS Sexually Assaulted" as the primary complaint and "admitting diagnosis." (Id. at 444-48). In the "clinical impression" field the reviewing physician visit cryptically noted "Anxiety Reaction" without elaboration. (Id. at 446). An R.N.'s notes from an April 24, 2003 emergency room visit state that Plaintiff presented with complaints of lack of sleep, depression, and suicidal ideation. (Id. at 443). The R.N.'s notes recite that Plaintiff had stopped taking psychotropic medications four months prior, that Plaintiff "hadn't slept" for an unspecified amount of time, and that Plaintiff had not eaten for five days. (Id. at 443). The same R.N. recorded her recommendation that Plaintiff "see psychiatrist for counseling & meds & suicidal ideation." (Id.)
Plaintiff's earliest recorded visit to a mental health facility, rather than an emergency room or urgent care clinic, date
The next relevant record is a "Diagnostic Summary," also from VPS, dated June 6, 2003. (A.R. at 878-84). Therapist Joanne Tan, M.S.W., reported in the "objective impression" section that Plaintiff appeared "to have past and current trauma issues of abuse.... She was sexually abused by her father and mom's SO from age 5 [until] age 15 and currently ... is struggling to forgive her mother." (Id. at 878). Tan also noted Plaintiff had two active restraining orders against her last boyfriend and had "multiple admissions to CSU" for suicidal ideation and anxiety. (Id.). Under "medical history," Tan noted that Plaintiff had been admitted for inpatient treatment to Bay State Medical Center for the last half of April 2003 and "for a week" between May and June at "CSU in Northampton." (Id. at 878, 880). Tan further recorded Plaintiff's complaints of auditory hallucinations, and noted Plaintiff's reports of a current and historical "suicidal ruminations w/ plans of throwing self on [a highway], although she reported not having the courage to do so [because] of her sons." (Id.). Past and present psychotropic medications included trazadone, Paxil, lorazepam, and "Prozac b/c of adverse side effects." (Id. at 880). The report concluded with diagnoses of severe major depressive disorder, post-traumatic stress disorder, and general anxiety disorder. (Id. at 883-84).
An "Initial Medication Evaluation/Session Note," dated August 28, 2003 and completed by David Adair, R.N., P.C., contains similar findings and diagnoses and recounts similar medication histories. This evaluation appears to result from Plaintiff's first visit with Adair at Tan's referral. Adair noted a high degree of anxiety, "a lot of flashbacks re: childhood father" and other childhood sexual abuse. (Id. at 877). He prescribed Celexa and Trazadone and noted a diagnosis of major depressive disorder with "severe psychotic features." (Id.)
A "Therapy Review" form dating from August 2003, bearing signatures from a social worker, psychologist, psychiatrist, and "utilization manager" summarizes at least 12 therapy sessions at VPS between May and August of 2003.
Another Therapy Review form dating from November 2003, also bearing signatures from a social worker, psychologist, psychiatrist, and "utilization manager" summarizes 10 more therapy sessions between August and November of 2003. (Id. at 875). The form indicates Plaintiff received treatment on a weekly basis, made some progress in coping with her depression and trauma, and received a "target date" of December 2005 for effective coping and therapy termination. (Id.)
The final Therapy Review form from this period, dated February 2004, bears similar signatures and summarizes at least seven weekly visits made between November 2003 and February 2004. (Id. at 874). It recounts Plaintiff's reports of "sig[nificant] decrease in depressive [symptoms] although does have recurrent episodes, especially during times of stress." (Id.) Plaintiff is described as "consistent" in treatment and working on "improving self-esteem through goal directed activities." (Id.) The treatment plan remained largely unchanged and focused on coping with depression and "resolving past trauma." (Id.). The target termination date remained "December 2005." (Id.).
A session note dated May 20, 2004 describes Plaintiff's "frantic" and "distressed" state after learning her brother was killed while serving in Baghdad. (Id. at 873). The note also indicates Plaintiff experienced a "second" domestic violence incident by the father of her four- and five-year-old children and received an eviction notice the day prior. (Id.)
A "Discharge Summary" appears from VPS two weeks later, dated June 4, 2004. (Id. at 872). The reason for discharge is noted as "moved out of area," with the explanation that Plaintiff "decided to return to P[uerto] R[ico] abruptly." (Id.) The form's "Review of Treatment" field states Plaintiff was "fairly inconsistent" in treatment, but noted some progress in depression and "PTSD issues" despite "constant chaos in environment." (Id.) At the time of discharge Plaintiff displayed a high degree of anxiety and depression, and her "Final Functional Status" was described as involving difficulty fulfilling daily tasks, poor concentration, and "poor STM" due to "constant chaos in environment." (Id.)
Plaintiff presented at the MMC emergency room again on October 25, 2006, presumably after she returned from Puerto Rico, complaining of "sudden" and "sharp" chest pains and anxiety. (Id. at 355-56). A triage form describes her as "alert" and "anxious" and noted that she had stopped taking Celexa two weeks prior. (Id. at 356). She was prescribed Celexa and discharged on the same day. (Id. at 360). Diagnoses included "chest wall pa/situational stress." (Id. at 358). She presented again when 22-weeks pregnant on May 14, 2007, with a cough, diffuse wheezing, black stool, and a rash. (Id. at 475). MMC records dated May 14, 2007, indicate she was treated for pneumonia, bronchitis, and reactive airway disease. (Id. at 476). As of that date she was listed as "home" and "improved." (Id.) Plaintiff presented again at MMC on June 5, 2007, now 25 weeks pregnant, with complaints of a "loss of fetal movement." (Id. at 469). She was admitted the same day to address "fetal demise" and discharged one day later. (Id. at 465-67).
Shortly after her miscarriage in June and before her November emergency room admission for suicidal ideation, Plaintiff resumed treatment at VPS. A second VPS intake "Diagnostic Summary" form dated August 16, 2007 records that Plaintiff was referred for treatment on July 17, 2007 and first reappeared for treatment on August 8, 2007. (Id. at 892-97). She is quoted as presenting with the complaint "I'm depressed [and] suffer from anxiety. I just lost a baby in June." (Id. at 892). Dawn Faniel-Hall, M.S.W., who completed the intake form, noted after that quote that Plaintiff "has life difficulties." (Id. at 892). Faniel-Hall described the "history of the presenting problem" as:
Id. In the "therapist's observation" field, Faniel-Hall stated:
Id. Elsewhere the report notes that Plaintiff had lost an unspecified job and apartment in the prior year and "ended up in a women's shelter." (Id. at 893). "That is when the children first went to their dad's apartment." (Id.) Current medications were listed as 10 milligrams of Celexa and an unspecified dosage of Ambien. (Id. at 894). Faniel-Hall's "case formulation" described Plaintiff as "articulate ... with an affect incongruent to mood." (Id. at 896). Her mood was "sad/depressed" but she appeared "cheerful and smile[d] often" without suicidal ideation. (Id.) Diagnoses included major depressive order ("single episode = post-partum onset"), "generalized anxiety," and a GAF score of 65-70.
An August 17, 2007 VPS "Initial Treatment Plan" form repeated those diagnoses and listed "treatment focuses" as "mood depressed, panic/anxiety, PTSD symptoms, [and] self-esteem." (Id. at 891). Planned treatment methods included individual therapy, group therapy, and medication. Criteria for termination of treatment and stated goals included "attendance" at individual therapy, coping skills, medication management, and "controlled mood." (Id. at 891). An "initial medication evaluation/session note" signed by Adair one month later states that Plaintiff had been "stable until stillbirth June 07 which collapsed plan of children coming [to live with her and caused her to develop] symptoms." (Id. at 890). He further noted Plaintiff was "afraid to go out, [thought] people will stare," "just stayed in bed," and stopped meeting her children in the park because they "pick up [her] vibe." (Id.) In all caps, Adair stated "NO CONTROL OF ANXIETY." (Id.) Mental status is described as
A VPS session note dated October 29, 2007 records further disruption in Plaintiff's life.
(Id. at 889.) The form listed the next appointment date as December 10, 2007, although, as with most appointments at VPS, the visit did not generate particular records. (Id.)
A therapy review form completed by the social worker and dated November 13, 2007, summarized visits and progress occurring between August and early November 2007. (Id. at 888). It stated that Plaintiff had kept all appointments that quarter and "seem[ed] to comply [with a] DSS [treatment] plan" and announced in therapy her "plans to either parent her two boys or give up custody to their father." (Id.) Termination criteria is vaguely stated as "resolution of significant symptoms." (Id. at 888).
Chronologically, the next record from VPS is a discharge summary form dated March 25, 2008. Plaintiff's address is listed as "homeless," and "reason for discharge" is listed as "no shows." (Id. at 887). A treatment review field provides that Plaintiff was grieving the loss of a child "but also was experiencing problems parenting two boys [with] no resources of own." (Id.) "Final functional status" is listed as "unknown," and the "follow up recommendations" field states, in full, "to re-apply for services once she is stable [and] has an address." (Id.)
On October 25, 2008, Plaintiff presented at the MMC ER complaining again of chest pains. (Id. at 357). The intake form is largely illegible, but appears to record Plaintiff's statements that her chest pains were "sharper" than before and includes a description of Plaintiff as "fearful." (Id. at 357). She was also marked for "Depression SDHI." On April 30, 2009, Plaintiff presented at MMC with a "female genitourinary complaint." (Id. at 481). The "subjective data" field of the intake record state "pt is here because her boyfriend tested positive for an std and is currently on antibiotics." (Id.) The past medical history field notes "depression; anxiety," and the departure disposition states "left without treatment." (Id.) Plaintiff presented at MMC with similar complaints several times in 2008, often with reports of vaginal
Plaintiff briefly revisited VPS in March of 2010, just before she submitted the SSI and SSDI applications at issue here. She was referred by an unspecified source on March 8, 2010, and appeared for her first session on March 23, 2010. (Id. at 579, 585). A diagnostic summary from her intake described the history of her "presenting problem" in mostly non-forensic terms familiar from the above recital. It notes "a long history of multiple DV relationships [and] abuse in family" and further describes Plaintiff as in a "DV relationship" with a man she had recently married and that required "police involvement multiple times." (Id. at 579) That form further recounts that Plaintiff was due to be evicted and move into a one bedroom apartment with her husband, mother-in-law, and brother-in-law and "3 pitbulls." (Id.) The "therapist observation" field described Plaintiff as having a "flat affect" and a "tendency to avoid certain subjects even though she was the one who initiated conversation." (Id.) A psychosocial history section states that Plaintiff left for Puerto Rico for 8 months and that she had worked at the Eastfield Mall "doing surveys" between March and October of 2008. (Id. at 580). A mental examination resulted in marks for "alert to person, place, and time," "disoriented," behavior within normal limits, normal/fluent speech, appropriate and neat dress, "sad/depressed," "flat/restricted" affect, loose associations and flight of ideas, observable hopelessness, good eye contact, impaired concentration and recent memory, impaired judgment due to or exhibited by her "remaining in DV household," absence of hallucinations, insomnia, and poor appetite. (Id. at 583). Treatment targets were identified as increasing coping skills and esteem, leaving her domestic relationship, and securing housing, employment, and/or financial assistance. (Id. at 584). Her mental health diagnosis included major depressive disorder (recurrent/moderate) and a deferred diagnosis in the personality disorder axis. (Id. at 584). An April 28, 2010 "initial treatment plan" form repeats those findings and diagnoses and lists as "measurable goals" a decrease in "teariness" and better sleeping habits and coping skills. (Id. at 585). The same form lists "criteria for termination" as involving a return to "pre-level of effective fx & able to cope w/ stressors & conflicts for a period of 6 months." (Id.) A "preliminary plan" geared towards that end involved leaving a "DV relationship" and obtaining her own housing. (Id.)
The next and final record from VPS is an August 18, 2010 discharge summary. The discharge date is listed as August 6, and the "review of treatment" field states, without elaboration, that "throughout [treatment Plaintiff] struggled w/ multiple moves/homelessness & abusive relationship. [Zero] progress towards goals." (Id. at 827). The reasons for discharge is again listed as "exceeded No-Show limit." (Id.)
In January of 2011 Plaintiff again visited the MMC ER. The "reason for visit" is listed as "domestic disturbance at home." (Id. at 631.) Under "chief complaint/subjective data" the intake form states: "she was fighting with her husband. Police were called and PT decided to come here. PT denies any suicidal ideation." (Id.) A summary report recounts that she presented saying she did not "feel safe at home" and "complain[ed] of increased anxiety." (Id. at 635). Plaintiff is otherwise described as cooperative, oriented, and nourished. (Id. at 632). Additional comments note she felt "better" and "more relaxed since receiving Ativan" and diagnosed her with "acute anxiety attack." (Id. at 633).
Id. at 664. She also noted experiencing numerous stillbirths and her history of trauma recounted above. (Id. at 665). She reported experiencing depression since a child and that she had been hospitalized for psychiatric issues for the first time in 1997 and again in 2002 and 2003. (Id. at 665). In the "Mental Status Examination" section of his report, Bishop noted her eye contact as "good" and found her oriented to person, place, and time. (Id. at 664). Her intellectual functioning was estimated "in the average range," but memory of recent events was "somewhat impaired." (Id.) Long term memory was listed as "basically intact," but thought processes were "often confused by intrusive memories." (Id. at 664-65). Thought content was "marked by hallucinatory perceptions, paranoia, suspiciousness, preoccupation, negativity, and self-denigration." "She describe[d] hallucinatory experiences as hearing noises, which include hearing someone knocking[,]" but denied use of alcohol or drugs. (Id. at 665-66). She reported her only social interactions as involving visits from her children and the maid who cleaned her hotel room. (Id. at 666). She cried throughout the examination, mostly when reporting traumatic experiences or panic attacks. (Id. at 665-668). "She expressed with frustration the experience of waking up from a nightmare, going back to sleep, and having the same fearful dream." (Id. at 668). On the whole, Bishop found her account "focused and truthful" and "evoking experience haunted by intolerable memories and fear." (Id. at 668). In summarizing his review, Bishop stated:
(Id. at 668). At the end of his report, he recorded "diagnostic impressions" of posttraumatic stress disorder, major depressive disorder (recurrent severe), panic disorder "without agoraphobia," and described her in terms along "Axis IV" of his analysis as "[n]early housebound" with "[v]ery narrow social support." (Id. at 669). He assigned a GAF score of 50.
On June 9, 2011, Lawrence Langer, Ph. D., reviewed the record as it had been
(Id. at 673.) On the prefabricated PRTF form, Langer indicated the evidence "insufficient" to make complete medical dispositions but nevertheless opined that Plaintiff suffered from affective and anxiety-related disorders. (Id. at 675). Under "Affective Disorders," he checked boxes for "depressive syndrome" as characterized by "decreased energy," "feelings of guilt or worthlessness," and "difficulty concentrating or thinking." (Id. at 678). He left "thoughts of suicide," "sleep disturbance" and "hallucinations, delusions or paranoid thinking" unchecked. (Id.) Under "Anxiety-Related Disorders" he checked answers indicating "[a]nxiety as a predominant disturbance," "[r]ecurrent severe panic attacks manifested by a sudden unpredictable onset of intense apprehension, fear, terror, and sense of impending doom occurring on the average of at least once a week," and "[r]ecurrent and intrusive recollections of a traumatic experience, which are a source of marked distress." (Id. at 680). The form also included marks indicating "mild" and "moderate" limitations in various other functional categories.
On March 29, 2012, Plaintiff again visited the Mercy Medical Center emergency room with abdominal pain and vaginal discharge. (Id. at 768-71). On a computer-generated "ED Summary Report" generated during that visit, "Standard Screening Items" indicate the following questions were asked:
Id. at 769. "N" is listed to the right of each question, indicating a negative answer. (Id.) Behavior was described as "appropriate" and "cooperative." Id. at 770. Under the heading "
On May 16, 2012, Plaintiff received a second mental consultative examination. (Id. at 837-40). This consultation was performed by Victor Carbone, Ph.D., on behalf the UMass Disability Services, also in furtherance of an application for government assistance. Carbone noted Plaintiff's reports of experiencing auditory hallucinations as recently as the day prior and recorded that she did not report having them the day of the appointment. (Id. at 837). Carbone noted that Plaintiff cried without his posing any "real" questions, and that she generally avoided looking at
The following day, on May 17, 2012, Plaintiff presented to Willard Brown, D.O., also of UMass Disability Services, for a physical consultative examination. (Id. at 842-45). Plaintiff complained of weight issues, consequent muscle aches and joint pain, swelling, anemia, headaches, asthma, yeast infections, and bacterial infections in the "buttocks area." (Id. at 840-43). She also noted that she has "therapy and takes medications for emotional issues." (Id. at 843). Upon examination she was observed as "alert, oriented[,] and well-nourished." (Id.) Under "Impression" Brown listed:
(Id. at 844-45).
Plaintiff presented at the MMC emergency room again on September 12, 2013, this time with complaints of increased anxiety after her "her medications ha[d] been changed" and received a referral to Behavioral Health Network ("BHN"). (Id. at 901, 907, 1044). She reported "thought[s] about not wanting to be alive" and "hysterical" feelings after being "off her medication for the last month." She nevertheless denied suicidal ideation, stating "I have two kids. I couldn't do that." (Id.) Plaintiff "lived with a friend" at the time, which was just over a month after "she left her abusive husband." (Id. at 899) Plaintiff stated she received no current outpatient mental health treatment after being discharged for "missing an appointment," but had applied for reentry and was on a waiting list at VPS. (Id. at 901). She further reported an abscess, head and body aches, and that she felt "sick every day." (Id.) Under "Trauma History," her history of sexual and physical abuse by father, stepfather, and numerous boyfriends and husbands were noted. (Id. at 902). Under "Additional Information," Laura Boisseau, Crisis Clinician, noted that Plaintiff was "known to BHN Crisis though seven previous assessments dating back to 1998 [and] denied a history of inpatient psychiatric admissions[,] however previous assessment stated that she was hospitalized at Baystate APTU in 1998 after she attempted to drown herself." (Id. at 903.) Boisseau further recorded Plaintiff's statements that her current primary care doctor prescribed "her [unlisted] medications" and that she "slashed her wrist" in 2008 "because she was scared of her husband and wanted him to stop coming after her." (Id.) Plaintiff denied any other history of "suicidal gestures." (Id.) Under "comments," Plaintiff is described as "dressed in hospital clothing" with "unremarkable" hygiene and grooming. (Id. at 904). "Affect" was "tearful," but "thought process" described as "clear, intact." (Id.). Diagnoses included posttraumatic stress disorder and depressive disorder and severe "psychosocial and environment problems." (Id. at 907-08). Plaintiff received a GAF score of 45 and an outpatient referral. (Id. at 908-09).
Plaintiff was represented at her first hearing by her current counsel and, besides a vocational expert, provided the only testimony. (A.R. at 48). In response to the ALJ's initial questioning, Plaintiff testified as follows. She weighed 172 pounds, 22 pounds heavier than her typical weight of 150 pounds. (Id. at 54). Her only income derived from welfare and food stamps. (Id. at 58). She payed rent for a shared apartment "through the welfare" and had never acquired a driver's license. (Id. at 54-55). She had two children, whom she "sometimes" saw, and worked for roughly a year as a part-time airline ticket agent in or around 1996, before she incurred back injury and began receiving worker's compensation, which she ceased receiving after "a couple of months." (Id. at 55-56).
Regarding physical problems, Plaintiff testified that she had consistently suffered from asthma for ten years and used a nebulizer or pump once a day. (Id at 59). She visited an emergency room in 2011 after an asthma attack. (Id. at 59-60.) Plaintiff also discussed problems with her back, neck, and shoulder, which she treated by visiting chiropractors and taking Flexeril, medication Plaintiff described as a "muscle spasm pill," and for which she received unspecified "injections." (Id. at 60-61). Plaintiff also received physical therapy and declined pursuit of "back surgery" because she "was too scared to go through with it because [of] the risks." (Id. at 61). She rated her pain as an eight out of ten, with medication, and 10 without. (Id. at 61-62). She described the pain as primarily in her lower back but spreading to her shoulder and radiating "down to [her] ankles and legs." (Id. at 62). She had unrelated right ankle problems stemming from a break in or around 2004, which included "swelling and aching and hurting" after standing for 10 minutes or longer. (Id. at 62-63).
Regarding mental issues, Plaintiff testified to experiencing depression "for many years ... since I was little." (Id. at 63). She claimed to have taken an unspecified "medicine" for the problem "on and off for many years." (Id.) As of the November 2012 hearing date, Plaintiff attended therapy once a week for "[a] couple of weeks now[,]" after a lapse in treatment that lasted approximately one year. (Id. at 63-64). In response to a direct question from the ALJ, Plaintiff testified that she had been hospitalized in 2010 "for a couple of weeks." (Id. at 64). When asked why she had been hospitalized, Plaintiff stated, without elaboration, "[s]uicidal." (Id.) She was previously hospitalized for "similar situations" in or around 2002 and "1998 or 1999." (Id.) Plaintiff testified to taking "medicines" for the issue, and occasionally side effects involve head- and stomachaches. (Id. at 65). Regarding anxiety, Plaintiff stated she experienced panic attacks on a daily basis. (Id. at 66).
A vocational expert then testified, responding as usual to hypothetical questions posed by the ALJ. (Id. at 80). The expert first opined that jobs existed in the national economy for a person with Plaintiff's education and work experience and certain exertional and functional limitations. (Id. at 80-81). The ALJ then asked the expert to assume additional limitations preventing a hypothetical individual from making public contact — including contact with coworkers and the general public — "one-third of the time." (Id. at 81). The expert opined that the position of "holding machine tender" could be performed within those limitations and existed in "700 jobs in Mass[achusetts] and 35,000 nationally." (Id. at 82). Finally, the ALJ asked the expert to assume "additional limitations that, due to chronic pain, psychiatric symptoms, [caused an] individual [to be] off task from work duties at least 25 percent of the workday" and opine whether any suitable jobs existed in the national economy. (Id.) The expert opined that such individual could not perform the jobs previously discussed, "nor any others on a full-time basis." (Id.)
The same ALJ presided over Plaintiff's second hearing following remand by the Appeals Council. Again, Plaintiff and a vocational expert provided the only testimony. (Id. at 14-47). At the outset, Plaintiff's attorney advised the ALJ that she had appealed the prior decision to seek a favorable ruling concerning disability prior to Plaintiff's date last insured and, therefore, qualify her to receive SSDI in addition to SSI. (Id. at 18).
Upon questioning by the ALJ, Plaintiff testified as follows. She subsisted on food stamps, "Mass Health," and the SSI benefits previously granted after the prior hearing. (16, 24). When asked what her most "significant problem" was, Plaintiff said it was her "emotional state." (Id. at 24). She had received treatment since she was roughly five years old, but currently was not on medication due to pregnancy. (Id. at 24). She had not been to therapy for over a year, which stopped after Plaintiff missed two appointments. (Id. at 25). The facility that had provided such treatment was "really strict on absence" and effectively expelled her from the program for attendance issues. (Id. at 25). She was currently on the waiting list at two other "places," presumably for similar therapy. (Id. at 25). Plaintiff further testified to visiting the emergency room "probably, like, five times" in the months prior to the
As with the prior hearing, the ALJ concluded by posing hypotheticals based on someone with Plaintiffs' background and certain assumed limitations. (Id. at 43-45). Each hypothetical concerning physical limitations led to answers that work was available in the national economy. Finally, the ALJ again asked if work would be available to an individual who "would be off task 25 percent of the workday." (Id. at 45). The expert responded as had the first, stating that being off task for that "percentage of the workday would ... eliminate all work." (Id. at 45).
The role of a district court reviewing an administrative law judge's decision is limited to determining whether the conclusion was supported by substantial evidence and based on the correct legal standard. See 42 U.S.C. §§ 405(g) and 1983(c)(3); Manso-Pizarro v. Sec'y of Health & Human Servs., 76 F.3d 15, 16 (1st Cir. 1996). Substantial evidence is more than a scintilla, less than a preponderance, and is such that a reasonable mind might accept it as adequate to support a conclusion. Richardson v. Perales, 402 U.S. 389, 401, 91 S.Ct. 1420, 28 L.Ed.2d 842 (1971). Even if the administrative record could support multiple conclusions, a court must uphold the Commissioner's findings "`if a reasonable mind, reviewing the evidence in the record as a whole, could accept it as adequate to support his conclusion.'" Irlanda Ortiz v. Sec'y of Health & Human Servs., 955 F.2d 765, 769 (1st Cir. 1991) (quoting Rodriguez v. Sec'y of Health & Human Servs., 647 F.2d 218, 222 (1st Cir. 1981)).
Entitlement to SSI requires a showing of both disability and financial need on or after the date of the SSI application. See 42 U.S.C. § 1381a. Entitlement to SSDI benefits requires a showing that, among other things, a claimant had disability while insured under the Act. 42 U.S.C. § 423(a)(1)(A)-(E). Plaintiff's financial need is not challenged, nor is Plaintiff's the date when Plaintiff was insured for SSDI. Therefore, whether Plaintiff has a "disability" within the meaning of the Act and the onset date of disability are primary issues at hand.
The Act defines disability, in part, as the inability "to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than twelve months." 42 U.S.C. § 1382c(a)(3)(A). An individual is considered disabled under the Act:
42 U.S.C. § 1382c(a)(3)(B). See generally Bowen v. Yuckert, 482 U.S. 137, 146-49, 107 S.Ct. 2287, 96 L.Ed.2d 119 (1987).
Seavey v. Barnhart, 276 F.3d 1, 5 (1st Cir. 2001); see also 20 C.F.R. § 416.920(a)(4).
The ALJ issued his first decision on Plaintiff's SSI and SSDI applications on January 18, 2013. (A.R. at 93-106). The decision was partially favorable, awarding SSI benefits and denying SSDI benefits, with the difference contingent on a finding of when Plaintiff became disabled. More specifically, the ALJ found Plaintiff disabled as of April 13, 2010, the date of Plaintiff's initial application, and not before. As for time periods preceding the application date, the ALJ found at step two that Plaintiff was not disabled. Before so finding, the ALJ determined that Plaintiff had "the following medically determinable impairments: major depressive order, post partum [sic] onset, generalized anxiety, posttraumatic stress disorder, history of right ankle fracture, back pain, shoulder pain, asthma, and anemia."
(Id. at 97-99).
Roughly 14 months later the SSA Appeals Council reversed the ALJ's decision to grant Plaintiff's SSI application and effectively remanded with instructions to deny both the SSI and SSDI claims. (Id. at 114-16). The Council took issue with the ALJ's RFC assessment, stating that the "off task 25 percent of the workday" limitation was "not supported by substantial evidence." (Id. at 114). According to the Council's brief two-page order, that limitation was undermined by (i) the absence of any notation indicating "mood disorders or recent psychological stressors" in records from Plaintiff's annual gynecological visit, (ii) the presence of an "N," indicating "no," to pro forma questions concerning depression and feelings of self-harm in a computer-generated intake form from Plaintiff's March 23, 2012 emergency room visit for abdominal pain and vaginal discharge, (iii) Plaintiff's purported "den[ial] of recent hallucinations" during Dr. Carbone's April 2012 mental consultative examination, and (iv) the absence of reference to "mental health issues" in the Report from Plaintiff's physical consultative examiner. (Id. at 114-15). In light of those documents, the Council remanded for "further consideration of the claimant's functional limitations" and further determination of disability at step five of the analysis. (Id. at 115).
Just over a year later, the ALJ issued his second decision, denying both the SSI and SSDI applications. The first decision transparently served as a template for the second, with much of the factual recital and portions of the analysis repeated verbatim. Where the second differed from the first, the changes forced the conclusion that Plaintiff was not disabled at any point — either before or after her application date — and therefore did not merit benefits of any kind. To reach that result, the ALJ made four material changes to his first written decision. He (i) removed the temporal distinction between pre- and post-application analyses at step two, (ii) replaced his step-two conclusion that Plaintiff was not disabled prior to the application date because she did not have "severe" impairments with a finding that she did have severe impairments,
Upon careful review of the record, the court concludes the ALJ's second opinion adopted errors made in Appeals Council's decisions and made findings that do not rest on substantial evidence. Because the ALJ's original opinion found ample support in the record, contrary to the Appeal's Council's flawed review, the court now reverses the ALJ's second opinion and holds that Plaintiff was disabled as of April 13, 2010. The case is remanded pursuant to sentence four of 42 U.S.C. § 405(g) for the limited purpose of awarding SSI benefits to Plaintiff in the appropriate amount based upon her original application.
The Appeals Council reasoned that the ALJ's RFC assessment was undermined by four items of evidence. Following the Council's direction, the ALJ then emphasized that evidence in his second decision, using it as a basis for altering credibility findings and the weight assigned to consulting and treating sources. As explained below, this evidence in no way undermined the ALJ's original analysis and the second ALJ decision is not supported by substantial evidence.
The Council's first reason concerned records from a May 20, 2011 annual checkup at Plaintiff's gynecologist, Dr. Singer. (Id. at 721-23). During this visit she received gynecological counseling and a pap smear. Singer wrote Plaintiff was "in a good state of health since her last exam" and made no notation indicating "mood disorders or recent psychological stressors" was included in the "PSYCH" field in Singer's standardized form. (Id. at 114). The Appeals Council suggested Plaintiff's "good state of health" referenced her mental health and, alongside the absence of marks for mood disorders or stressors, undermined the psychiatric examination performed two weeks later by Dr. Bishop. Dr. Singer's records present no such counterweight and have no relevance to Plaintiff's mental health whatsoever. Read in context, reference to "a good state of health" is an obvious reference to gynecological health. Likewise, that no psychological stressors or mood disorders are noted in a prefabricated "PYSCH" line in Singer's pro forma template is entirely unremarkable. No reasonable inference concerning mental health can be drawn from this single, standardized line in a three-page document populated as a record for a physical checkup. Even while assuming that Dr. Singer's office intentionally populated the "PYSCH" field and that Plaintiff in fact stated that she had no mood disorders or stressors, no reasonable person could conclude after reviewing the record as a whole that she accurately provided
The Council's second reason for altering the RFC assessment also finds no support from substantial evidence. The Council suggested that the presence of an "N," indicating "no," to questions concerning depression and feelings of self-harm in an emergency room intake form somehow undermined Bishop's consultative report and the ALJ's initial analysis. (A.R. at 114). Plaintiff appeared at the M.M.C. E.R. on the date in question complaining of abdominal pain and vaginal bleeding. (Id. at 768). The second page of the intake "ED Summary Report" generated from this visit lists three questions, each phrased in the second person, asking:
(Id. at 769). Each answer is followed by an "N." The form is computer-generated, and bears no handwriting from either plaintiff or those treating her. Without more context and support from the record it is reckless to assume this form — generated from a visit for physical complaints — was intentionally and accurately completed. It is outright error to make that assumption in light of the present record, where numerous treating physicians, social workers, therapists, and consultative examiners credited Plaintiff's statements concerning trauma, depression, suicidal ideation, and other mental stressors.
The Council's third reason strains comprehension outright and, at a minimum, misreads the record. The council cited the fact that Plaintiff "denied recent hallucinations"
The Council's fourth reason is also extremely misguided. It cited the fact that Plaintiff's physical consultative examiner, Dr. Brown, made no notation of "mental issues" as evidence undermining Plaintiff's testimony regarding her symptoms and, presumably, her malingering. (Id. at 115). The absence of discussion of "mental issues" in Brown's report is irrelevant. The scope of the report is physical, and Dr. Carbone's consultative examination, which occurred the day prior, was scheduled by the same agency as that scheduling Dr. Brown's. There is no reasonable basis to expect Dr. Brown to address mental issues in his report, and their absence is entirely unremarkable. To the contrary, Dr. Brown's passing reference to Plaintiff's ongoing use of therapy and medications for "emotional issues" is all — indeed, more — than can be expected from his report on the topic.
Because the ALJ's second opinion essentially forced new conclusions based on the above four items, it suffers the same shortcomings. The second opinion altered credibility findings and the weight assigned to certain sources, and the alterations rested entirely on the four records discounted above. That foundation has collapsed and those findings therefore find no support from substantial evidence. For example, the assignment of "little weight" to GAF scores provided by Carbone and Bishop were made because they were "deemed somewhat inconsistent with the mental status examination."
In short, neither the ALJ, the Commissioner, nor the court's own thorough review of the record has disclosed substantial evidence supporting the ALJ's second opinion. In arguing to the contrary, the Commissioner's brief essentially repeats the reasoning initially outlined by the Appeals Council and later incorporated by the ALJ. For the reasons above, that reasoning is not persuasive borders on appearing ethically misguided. The Commissioner also argues that the first RFC assessment lacked support from the record because no treating or examining physician specifically opined that Plaintiff would be off-task 25 percent of each work day as a secondary effect of mental pain and psychiatric symptoms. (Dkt. No. 21 at 8). This is little more than an assertion that substantial evidence does not support that finding. To the contrary, Dr. Bishop's 2011 opinion that Plaintiff's "sensitive fear would lead to withdrawal from work and nonattendance," (id. at 668), the 2004 VPS discharge summary describing her condition at discharge as involving "poor concentration," (id. at 872), the 2010 VPS GAF score of 48, and Plaintiff's 2012 and 2014 testimony regarding frequent panic attacks and inability to focus, (id. at 76-77, 36-38), provide a substantial basis for finding Plaintiff had such limitations on her focus.
Having determined that the ALJ's second opinion rested on error, the issue of remedy remains. Plaintiff moves in general terms for "judgment on the pleadings" without specifying whether she seeks remand for further determination of disability or a ruling that conclusively decides the matter.
"The question of remedy is tied to the strictures of § 405(g): `the findings of the Commissioner of Social Security as to any fact, if supported by substantial evidence, shall be conclusive.'" Seavey v. Barnhart, 276 F.3d 1, 10 (1st Cir. 2001) (quoting 42 U.S.C. § 405(g)). "Hence, the responsibility for weighing conflicting evidence, where reasonable minds could differ as to the outcome, falls on the Commissioner and his designee, the ALJ." Id. (citing Walker v. Bowen, 834 F.2d 635, 639-40 (7th Cir.1987)). Nevertheless, "[i]f the evidence and law compelled one conclusion or the other, then [district courts may] order an award of benefits or affirm a denial of benefits. For example, a judicial award of benefits would be proper where the proof of disability is overwhelming or where the proof is very strong and there is no contrary evidence." Id. at 11 (citing Mowery v. Heckler, 771 F.2d 966, 973 (6th Cir.1985)). "Similarly, if correcting the legal error clarified the record sufficiently that an award or denial of benefits was the clear outcome, then the court may order payment or affirm denial." Id. Moreover, in some cases equitable concerns for excessive delay may weigh against remanding for further administrative findings. See id. at 12-13 ("[A]dministrative deference does not entitle the Commissioner to endless opportunities to get it right."); see also Perez v. Colvin, 214 F.Supp.3d 1200, 1214 (N.D. Ala. 2016) (remanding with instruction to award benefits after six-year delay); Larlee v. Astrue, 694 F.Supp.2d 80, 87 (D. Mass. 2010) ("To remand for a third hearing would only further prolong "what has proven a painfully slow process. Administrative deference does not entitle the Commissioner to endless opportunities to get it right"); Rohrberg v. Apfel, 26 F.Supp.2d 303, 312 (D.Mass. 1998) (awarding benefits where plaintiff "applied for disability benefits almost five years ago. Further delay would only lengthen what has proven a `painfully slow process.'")
In this unique posture, where an Appeals Council order resulted in a flawed second assessment, where Plaintiff's application was filed more than eight years ago, where the ALJ's first analysis made detailed findings at each step of the analysis and concluded that Plaintiff was disabled as of a date certain, and where neither Plaintiff nor the Commissioner contends that the ALJ's first opinion involved legal error, the court finds that a limited remand is in order.
In closing, the court observes that Plaintiff has been ill-served by virtually every facet of the social security system from which she sought help over an eight-year period. After the ALJ's initial decision granting SSI, Plaintiff's counsel administratively appealed the denial of SSDI benefits on the slimmest factual basis and in the absence of any mental health records from before or sufficiently near Plaintiff's date last insured. The Appeals Council then — either misreading or misconstruing the record — essentially remanded with instructions to deny SSDI benefits and vacate
For the reasons above, the court GRANTS Plaintiff's motion, (Dkt. No. 12), DENIES the Commissioner's motion, (Dkt. No. 16), and REMANDS with instructions to find Plaintiff disabled as of April 13, 2010 and promptly determine the amount of benefits owed, past due or otherwise.
It is So Ordered.