KENNETH S. McHARGH, Magistrate Judge.
This case is before the Magistrate Judge pursuant to the consent of the parties. (Doc. 17). The issue before the undersigned is whether the final decision of the Commissioner of Social Security (the "Commissioner") denying Victoria Boudewyns-Balla's applications for a Period of Disability and Disability Insurance benefits pursuant to Title II of the Social Security Act,
For the reasons set forth below, the undersigned AFFIRMS the decision of the Commissioner.
In April 2008, Plaintiff Victoria Boudewyns-Balla ("Plaintiff" or "Boudewyns-Balla") applied for a Period of Disability and Disability Insurance benefits and Supplemental Security Income benefits. (Tr. 11, 68-69). Plaintiff alleged she became disabled on January 9, 2007, due to bipolar disorder and fibromyalgia. (Tr. 182, 186). The Social Security Administration denied Plaintiff's applications initially and upon reconsideration. (Tr. 66-71, 72-84, 88-100). Plaintiff filed a written request for a hearing before an administrative law judge on June 8, 2009. (Tr. 101). The administration granted Plaintiff's request and scheduled a hearing. (Tr. 111).
On February 1, 2011, Administrative Law Judge Donald J. Willy ("the ALJ") convened a hearing to evaluate Plaintiff's applications. (Tr. 29-65). Plaintiff, represented by counsel, testified before the ALJ during the proceeding. (Id.). Medical expert, Dr. Nancy Terrand, ("the ME"), and Byron Pettigil, vocational expert ("the VE"), were also present at the hearing and testified. (Id.). On March 1, 2011, the ALJ issued his decision in which, after applying the five-step sequential analysis,
Following the issuance of this decision, Boudewyns-Balla sought review of the ALJ's decision from the Appeals Council. (Tr. 7). However, the council denied Plaintiff's request, thereby making the ALJ's decision the final decision of the Commissioner. (Tr. 1-3). Plaintiff now seeks judicial review of the Commissioner's decision. Review is proper pursuant to
Boudewyns-Balla was born on August 1, 1968 and was 38 years old on her alleged onset date and 42 years old at the time of the hearing. (Tr. 67). Accordingly, Plaintiff was at all times considered a "younger individual" for Social Security purposes. See
The ALJ made the following findings of fact and conclusions of law in his five-step sequential analysis:
A claimant is entitled to receive Disability Insurance and/or Supplemental Security Income benefits only when she establishes disability within the meaning of the Social Security Act. See
Judicial review of the Commissioner's benefits decision is limited to a determination of whether, based on the record as a whole, the Commissioner's decision is supported by substantial evidence, and whether, in making that decision, the Commissioner employed the proper legal standards. See
For the purpose of substantial evidence review, courts cannot consider evidence submitted to the Appeals Council after the ALJ's decision.
Plaintiff asserts two objections to the ALJ's decision. She claims that the ALJ improperly rejected the opinions of her treating psychiatrist, Dr. James Rodio. In addition, Plaintiff maintains that substantial evidence does not support the ALJ's step-five finding. Neither of these objections warrants reversal of the ALJ's decision or remand.
Plaintiff argues that the ALJ failed to adhere to the treating source doctrine when analyzing the opinions of her treating psychiatrist. Pursuant to the Social Security regulations, an ALJ must give special attention to opinions from a claimant's treating sources.
When a treating source's opinion is not given controlling weight, the ALJ should consider several factors to determine what weight the opinion should be afforded. These factors include: the length of the treatment relationship, the nature and extent of the treatment, how well the physician's opinions are supported by other medical evidence, the extent to which the physician's opinions are consistent with the record as a whole, whether the physician is an expert in the particular field of practice for which he/she is treating the claimant, and any other factor which may support or contradict the opinion.
In the instant case, the ALJ noted three opinions from Plaintiff's treating psychiatrist, Dr. James Rodio. First, Dr. Rodeo's April 2009 note which stated Boudewyns-Balla was "not currently capable of employment." (Tr. 596). Second, Dr. Rodio's October 2008 Mental Functional Capacity Assessment indicating that Plaintiff was "markedly limited" and "extremely limited" in most functional abilities and anticipating these limitations would last between nine and eleven months. (Tr. 451-52). Third, Dr. Rodio's January 2011 account stating that Boudewyns-Balla had "marked" difficulties in maintaining social functioning, deficiencies in concentration resulting in a failure to complete tasks in a timely manner, and difficulty with regular attendance and punctuality. (Tr. 600). These "marked" limitations would affect Plaintiff between three and six hours per day. Dr. Rodio also noted that Boudewyns-Balla had "moderate" limitations due to restrictions of activities of daily living and episodes of deterioration or decompensation in work or work-like settings which would cause her to withdraw from the situation or exacerbate her symptoms. The "moderate" limitations would affect her two to three hours per day. Dr. Rodio opined Plaintiff would miss more than four days of work each month due to impairments or treatment. Dr. Rodio's January 2011 diagnosis of Plaintiff included bipolar syndrome, PTSD, and substance dependence.
Boudewyns-Balla alleges the ALJ did not indicate the weight assigned to Dr. Rodio's opinions nor did the ALJ provide good reasons for discrediting his opinions. Though the ALJ did not expressly state the weight he accorded to Dr. Rodio's opinions, this error is de minimus because it is clear from the ALJ's decision that the opinions were afforded less than controlling weight. To the extent that the ALJ discredited Dr. Rodio's opinions based on the notion that Boudewyns-Balla's limitations would last only nine to eleven months, it appears that this also was improper. Dr. Rodio later altered his diagnosis, finding that Plaintiff's symptoms were expected to continue for at least 12 months. (Tr. 599).
Despite these flaws, the ALJ provided good reasons for discrediting Dr. Rodio's opinions sufficient to comport with the treating source rule. The ALJ correctly noted that Dr. Rodio's April 2009 record, which stated that Plaintiff was "unable to work," was not a medical opinion and therefore could not be accorded weight. Sixth Circuit case law provides that a physician's conclusory statement that a claimant is disabled is not entitled to deference under the treating source rule.
Illustrating fault in Dr. Rodio's assessments, the ALJ listed specific examples of times when Boudewyns-Balla's symptoms were not as severe or limiting when sober. For example, the ALJ noted that in a March 28, 2007 report, Dr. Aasia Syed found Plaintiff had been sober for a little over a week and described her as cooperative, friendly, euthymic, with logical and organized thoughts, no evidence of paranoia or delusions, and displaying the ability to sustain attention and concentrate. (Tr. 363). Next, the ALJ turned to Dr. Rodio's June 2008 notes where Plaintiff had been sober for over a month, denied depression, tremors, auditory hallucinations, flashbacks, and nightmares. (Tr. 406). The ALJ acknowledged that Boudewyns-Balla had some visual hallucinations and anxiety related to using public transportation, but was otherwise improved. (Id.). The ALJ also pointed to Dr. Rodio's December 2010 record which indicated that after 24 days of sobriety, Plaintiff had brighter facial expressions, denied hallucinations, was calm and happy, and denied suicidal and homicidal ideations while sober. (Tr. 592).
In contrast to these periods of sobriety, the ALJ noted that Plaintiff's symptoms were noticeably worse during periods of substance abuse. The ALJ stated that in February 2008, Plaintiff was unable to cease her marijuana use, and at her examination, she appeared anxious and her thoughts were scattered. (Tr. 424). She reported panic attacks along with suicidal and homicidal thoughts. Next, the ALJ pointed to May 2008 treatment notes where Boudewyns-Balla acknowledged she had been drinking, looked stressed, and expressed sadness. (Tr. 411). The ALJ also referred to Dr. Rodio's March 2010 examination of Plaintiff after she had resumed alcohol use. (Tr. 577). Dr. Rodio recorded that Boudewyns-Balla was teary, anxious, and felt unable to control her emotions. Even with her relapse of alcohol use, Plaintiff nonetheless had good hygiene, regular speech, and no suicidal or homicidal ideations.
Under Sixth Circuit case law, it is proper for the ALJ to compare a claimant's periods of sobriety with times the claimant was abusing substances in order to determine whether substance abuse is a contributing factor material to a claimant's disability.
Notwithstanding the good reasons provided by the ALJ, Boudewyns-Balla argues that the ALJ's basis for discrediting Dr. Rodio's opinion was flawed. Plaintiff's objections are unavailing. First, Boudewyns-Balla argues the order in which Dr. Rodio and Dr. Clint Felker listed the ailments they diagnosed her with—beginning with bipolar disorder and followed last by alcohol dependence—establishes that Plaintiff's mental disorders were of greatest significance and her substance dependence of lesser significance. Plaintiff has provided no case law showing that a doctor's order of diagnosis establishes one aliment is more severe than another, leading to the inference that in her case, substance abuse does not have a material effect on her disability. In addition, Dr. Felker examined Plaintiff before her alleged onset date, making his diagnosis of less import. (Tr. 351-52).
Next, Boudewyns-Balla points to opinions by Dr. Michael Tran and Dr. Sayed in an attempt to show that these physicians did not diagnose her with substance abuse disorders. This argument is not compelling. Regardless of Plaintiff's alleged lack of substance dependence, Dr. Tran and Dr. Sayed's notes do not indicate that Plaintiff would be precluded from working due to bipolar disorder.
Plaintiff also claims that none of the state agency non-examining consultants found substance abuse to be a contributing factor material to her disability. In reality, these consultants' opinions support the ALJ. Dr. Mel Zwissler noted that Plaintiff suffered from substance dependence, and even with her dependence, she was capable of work. (Tr. 463, 471). Dr. Irma Johnson noted that Plaintiff's substance addiction was in remission and found her capable of work. (Tr.512-13). Dr. Karen Terry noted substance use in Plaintiff's history and likewise found her able to work without her dependence. (Tr. 537-39).
Finally, Boudewyns-Balla argues that the ALJ improperly relied on Dr. Terrand's opinion. Plaintiff alleges Dr. Terrand's opinion is unreliable because she was the only medical source who found Plaintiff's substance dependence was material to her disability. This argument is unavailing, because Plaintiff has not pointed to a medical source stating she was disabled absent her substance abuse. In fact, Dr. Zwissler found that even with her substance abuse, Boudewyns-Balla was capable of working. Plaintiff also incorrectly argues that when testifying, Dr. Terrand stated her only experience working with combined cases of substance addiction and mental health was during her training. In reality, Dr. Terrand testified about her experience working with patients whose sole impairment was substance abuse. She stated that she worked with these individuals while in training, and less so in her practice, which is irrelevant given Plaintiff's history of both mental illness and substance abuse. (Tr. 55). Accordingly, the ALJ provided sufficient reasons supporting the weigh accord to Dr. Rodio's opinions to comport with the treating source rule.
Plaintiff's second assignment of error is due to the ALJ's alleged faulty step-five finding. Boudewyns-Balla argues that a limitation in a hypothetical to the VE was worded differently from the corresponding limit in the ALJ's residual functional capacity ("RFC") finding. According to Plaintiff, the ALJ's hypothetical question provided for a broader range of work than would his adopted RFC.
At step-five in the sequential analysis, the Commissioner has the burden of proving there is work available in the national economy that the claimant can perform.
The Court disagrees with Plaintiff's allegation of error because remand of her case on the basis of this issue would prove futile. When remand is a useless formality, "courts are not required to `convert judicial review of agency action into a ping-pong game.'"
During Boudewyns-Balla's oral hearing, the ALJ posed the following hypothetical question to the VE:
The VE stated that jobs would be available for an individual with such restrictions. (Tr. 60). Later in the hearing, Plaintiff's counsel added the following limitation to the ALJ's hypothetical:
The VE responded that his "initial gut reaction" was that this limitation would change the examples of jobs he cited in response to the ALJ's hypothetical and went on to say:
The VE did not ultimately respond to this hypothetical because Plaintiff's attorney was unable to define "superficial and infrequent" more precisely. (Id.). In his decision, the ALJ's RFC finding provided that Plaintiff could perform work "with no public contact and only minimal contact with others." (Tr. 17) (emphasis added).
Now, Boudewyns-Balla claims that the ALJ's ultimate RFC finding within his decision is inconsistent with the hypothetical question he posed to the VE, which he relied upon. The Court notes that the ALJ posed a hypothetical question to the VE that stated "no requirement" of contact with other workers, but then described the coworker and supervisor contact requirement as "minimal" in his RFC. Nevertheless, this discrepancy is immaterial. The record shows that the VE interpreted the language of "no requirement" of contact as involving at least some level of contact with other workers, because he identified jobs under this restriction, whereas later in his testimony, the VE stated jobs are not available to an individual who cannot have contact with anyone. Thus, the VE's identification of jobs under the "no requirement" of contact with other workers indicates that he interpreted the phrase to mean at least some level of contact might occur. Given the VE's interpretation of "no requirement" of contact, it would be futile to remand the case for the ALJ to determine exactly what level of contact the VE had in mind, because the final result would still be that jobs which have "no requirement" of contact exist, and that is sufficient to meet the Commissioner's burden of proof at step-five. Notably, Boudewyns-Balla's doctors have not opined that she cannot have any contact with others, but only that contact must be limited. In conclusion, even if the ALJ mischaracterized the VE's testimony in the RFC finding, remand on this issue would be futile.
For the foregoing reasons, the Magistrate Judge finds that the decision of the Commissioner is supported by substantial evidence. Accordingly, the Court
IT IS SO ORDERED.