JAMES M. MUNLEY, District Judge.
Before the court for disposition is Magistrate Judge Joseph F. Saporito's report and recommendation (hereinafter "R&R") which proposes affirming the decision of the Commissioner of Social Security denying plaintiff's claim for supplemental security income ("SSI") benefits under Title XVI of the Social Security Act. (Doc. 13). Plaintiff's action is brought under Section 1383(c)(3) of the Social Security Act and 42 U.S.C. § 405(g). The matter is fully briefed and ripe for disposition.
Plaintiff Donald P. Faust began his quest for benefits under Title XVI of the Social Security Act on May 9, 2014, when he filed an application for disability due to mental issues. (Doc. 13, R&R at 2). Plaintiff alleges that his disability began June 30, 2009. (
At the hearing on May 12, 2016, ALJ Richard E. Guida learned that the plaintiff, who was now forty-eight years old, resided with his godfather in Chambersburg, Pennsylvania. (
The ALJ ultimately found that plaintiff was not disabled under the Social Security Act. (
Plaintiff initiated the instant action on July 13, 2017, asking us to reverse the decision of the ALJ and award benefits, or remand for a new hearing. (Doc. 1). Plaintiff seeks this reversal on the grounds that the ALJ's decision to deny his claim for benefits was not supported by substantial evidence and contains errors of law.
Magistrate Judge Saporito reviewed the record in this case and recommends that the final decision of the Commissioner of Social Security denying plaintiff's benefits be affirmed. (Doc. 13). The plaintiff filed objections to the magistrate judge's R&R. (Doc. 16). On October 31, 2018, the Commissioner filed a response, bringing the case to its present posture. (Doc. 18).
The court has federal question jurisdiction over this SSA appeal.
In disposing of objections to a magistrate judge's R&R, the district court must make a de novo determination of those portions of the report against which objections are made. 28 U.S.C. S 636(b)(1)(c);
In reviewing a Social Security appeal, the court must determine whether "substantial evidence" supports the ALJ's decision.
The court should not reverse the Commissioner's findings merely because evidence may exist to support the opposite conclusion.
Substantial evidence exists only "in relationship to all the other evidence in the record,"
To receive disability benefits, the plaintiff must demonstrate an "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 12 months." 42 U.S.C. § 423(d)(1)(A). An individual is incapable of engaging in "substantial gainful activity" when "his physical or mental impairment or impairments are of such severity that he is not only unable to do his previous work but cannot, considering his 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)(2).
The ALJ evaluates disability benefits claims with a five-step sequential analysis. 20 C.F.R. § 404.1520(a)(4). This analysis requires the ALJ to consider, in sequence, whether a claimant (1) is engaging in substantial gainful activity; (2) has an impairment, or combination of impairments, that is severe; (3) has an impairment or combination of impairments that meets or equals the requirements of a "listed impairment"; (4) has the "residual functional capacity" to return to his or her past work; and (5) if not, whether he or she can perform other work in the national economy. 20 C.F.R. §§ 404.1520(a)(4)(i)-(v) and 416.920(a)(4).
Applying the five-step sequential analysis to the instant case, the ALJ found at Step 1 that plaintiff has not engaged in substantial gainful activity since May 9, 2014, the application date. (Doc. 8-2, Trans. of Proceed. at 14). At Step 2, he found that plaintiff had the following severe impairments: bipolar disorder, anxiety disorders, including a panic disorder, obsessive compulsive disorder, a personality disorder, post-traumatic stress disorder, and polysubstance abuse. (
The ALJ next determined that plaintiff has the residual functional capacity (hereinafter "RFC") to "perform a full range of work at all exertional levels but with the following nonexertional limitations: he is limited to simple and routine tasks, involving only simple work related decisions and with few, if any, work place change[s]. He is limited to occasional interaction with supervisors, coworkers, and the public." (
The ALJ then proceeded to Step 4 of the sequential evaluation where he found, after reviewing vocational expert testimony, that plaintiff was "unable to perform any past relevant work." (
Finally, at Step 5, the ALJ determined that because plaintiff is a younger individual at 46 years old when he filed his application, has at least a high school education, and is able to communicate in English, plaintiff could successfully adjust to other work. (
As noted above, the Clerk of Court assigned plaintiff's appeal to Magistrate Judge Joseph F. Saporito for an R&R. Magistrate Judge Saporito recommends affirming the decision of the Commissioner of Social Security. (Doc. 13). Magistrate Judge Saporito determined that the ALJ's decision to deny plaintiff's claims for disability benefits is supported by substantial evidence in the record. Specifically, the magistrate judge found that: 1) the ALJ did not err by concluding that the plaintiff did not meet the requirements of Listing 12.04 (affective disorders) and Listing 12.06 (anxiety related disorders); and 2) the ALJ appropriately evaluated the opinion evidence of record and afforded the proper weight to plaintiff's treating psychiatrists, Peter Moskel, M.D., and Kawish Garg, M.D., when assessing plaintiff's residual functional capacity (hereinafter "RFC").
The plaintiff objects to Magistrate Judge Saporito's R&R, asserting that plaintiff's mental health condition does meet the Listings for affective or anxiety disorders and that the ALJ was not reasonable in affording limited weight to the expert opinions of plaintiff's treating psychiatrists, Dr. Moskel and Dr. Garg. We will review these objections in turn.
The plaintiff argues that at Step 3 of the analysis, he meets the requirements of Listing 12.04 (affective disorders) and/or Listing 12.06 (anxiety related disorders), and that Magistrate Judge Saporito erred in his review of the Listings.
It appears that the plaintiff is attempting to convince the court that in order to determine whether substantial evidence supports an ALJ's finding, we must look only to the section of the report in which the finding was made. We disagree. The plaintiff has put forth no precedent to support this position. Our own review of the law, however, has revealed guidance from the Third Circuit Court of Appeals on this issue. The Court of Appeals instructs that the ALJ's decision must be "read as a whole" when assessing whether substantial evidence supports an ALJ's finding.
We now turn to the issue of whether, when looking at the record as a whole, substantial evidence supports the ALJ's determination that the plaintiff did not meet the Listings for affective or anxiety disorders. The ALJ found that the plaintiff did not meet Listings 12.04 and 12.06 because he failed to meet the paragraph B and paragraph C criteria. Paragraph B of Listings 12.04 and 12.06 requires evidence of at least two of the following: (1) marked restriction of activities of daily living; (2) marked difficulties of maintaining social functioning; (3) marked difficulties in maintaining concentration, persistence, or pace; or (4) repeated episode of decompensation, each of extended duration. Paragraph C of Listings 12.04 and 12.06 requires that the claimant's mental disorder be listed as "serious and persistent." We agree with the plaintiff that substantial evidence does not support this finding.
The ALJ analyzed the above-mentioned factors and concluded that the plaintiff had no more than mild restrictions with regard to his daily activities. He noted that the plaintiff does things around his home, takes care of his dog, and mows the grass. (Doc. 8-2, Trans. of Proceed. at 14). The plaintiff denied experiencing problems caring for his personal needs and can prepare simple meals such as frozen dinners for himself. (
In terms of social function, the ALJ found that the plaintiff had no more than moderate difficulties. (
A review of the record, however, shows that the plaintiff's own treating psychiatrist, Dr. Garg, opined that the plaintiff has an extreme level of difficulty in maintaining social functioning. (
When reviewing plaintiff's concentration, persistence, or pace, the ALJ found that the plaintiff also has moderate difficulties in these areas. (
Once again, we find that the evidence in the record does not support a finding of moderate difficulties in these areas. The records from the plaintiff's treating physicians include references to plaintiff's racing thoughts, pressured speech, inability to concentrate, poor impulse control, and feelings of being overwhelmed. (
Finally, as noted above, paragraph C of Listings 12.04 and 12.06 requires that the claimant's mental disorder be listed as "serious and persistent." The ALJ concluded that the evidence failed to establish the presence of such criteria. After a careful review of the evidence above, we disagree. We therefore find that the ALJ's determination that the plaintiff did not meet Listings 12.04 or 12.06 is not supported by substantial evidence.
The plaintiff also argues that Magistrate Judge Saporito erred by concluding that the ALJ properly afforded limited weight to the expert opinions of the plaintiff's treating psychiatrists, Dr. Moskel and Dr. Garg. The plaintiff contends that the opinions of these doctors would support a finding of disability in this case. Instead, according to the plaintiff, the ALJ discredited their opinions based on a supposed inconsistency between the opinions offered and the plaintiff's mental health treatment records. Ultimately, the ALJ afforded great weight to the opinion of a nontreating state agency psychological consultant.
The Social Security Regulations provide that "medical opinions are statements from physicians and psychologists or other acceptable medical sources that reflect judgments about the nature and severity of your impairment(s), including your symptoms, diagnosis and prognosis, what you can still do despite impairment(s), and your physical or mental restrictions." 20 C.F.R. § 404.1527(a)(1). Treating physicians, examining physicians, and non-examining physicians may provide medical opinions. 20 C.F.R. § 404.1527(c)(1)-(2). The Regulations provide special deference to medical opinions from treating sources who have "seen [the claimant] a number of times and long enough to have obtained a longitudinal picture of [the claimant's] impairment" ("treating source rule"). 20 C.F.R. § 404.1527(c)(2)(i).
The treating source's opinion is entitled to controlling weight, however, "only when it is `well-supported by medically acceptable clinical and laboratory diagnostic techniques and is not inconsistent with the other substantial evidence in [the claimant's] case record. . . .'"
In choosing to reject the evaluation of a treating physician, an ALJ may not make speculative inferences from medical reports and may reject a treating physician's opinions only on the basis of contradictory medical evidence.
In the instant matter, the ALJ determined that the plaintiff had an RFC for a full range of work at all exertional levels but with the following nonexertional limitations: he is limited to simple and routine tasks, involving only simple work related decisions and with few, if any, work place changes; he is also limited to occasional interaction with supervisors, coworkers, and the public. (Doc. 8-2, Trans. of Proceed. at 15). The record reflects that in coming to his conclusion regarding the plaintiff's RFC, the ALJ weighed the testimony, diagnostic treatment, and opinion evidence available to him.
Ultimately, the ALJ afforded "limited weight" to the opinions of Dr. Garg and Dr. Moskel, the plaintiff's treating psychiatrists. The ALJ found that the psychiatrists' proposed limitations were inconsistent with the plaintiff's treatment records. (
We find that the ALJ erred in affording limited weight to the expert opinions of the plaintiff's treating psychiatrists, Dr. Moskel and Dr. Garg. When viewing the record as a whole, it is clear that the plaintiff's treatment records are supportive of Dr. Moskel and Dr. Garg's opinions regarding the plaintiff's work capacity. The records in the case include observations that the plaintiff was often belligerent, aggressive, agitated, and impulsive. (
Further, we are not persuaded that plaintiff's moderate range GAF scores constitute inconsistency with the opinions of plaintiff's treating physicians. A GAF score is a subjective scale that was set forth in the American Psychiatric Associations' Diagnostic and Statistical Manual of Mental Health (hereinafter "DSM"). The score "assesses how well an individual can function according to psychological, social, and occupational parameters, with the lowest scores assigned to individuals who are unable [to] care for themselves."
The GAF score allows a clinician to indicate his judgment of a person's overall psychological, social and occupational functioning, in order to assess the person's mental health illness. DIAGNOSTIC & STATISTICAL MANUAL OF MENTAL DISORDERS 3-32 (FOURTH). A GAF score is set within a particular range if either the symptom severity or the level of functioning falls within that range.
A GAF score of 31-40 represents some impairment in reality testing or communication or major impairment in several areas, such as work or school, family relations, judgment, thinking or mood.
The law, however, provides that "[a] GAF score does not have a direct correlation to the severity requirements of the Social Security mental disorder listings."
As such, we find that the plaintiff's treating doctors, who have treated the plaintiff over a significant time period, are in the best position to render opinions on the plaintiff's capacity. Because the opinions of Dr. Garg and Dr. Moskel are well-supported by the clinical and laboratory diagnostic testing in the record, these opinions were entitled to controlling weight.
For the foregoing reasons, we find that the ALJ's decision to deny the plaintiff's claims for supplemental security income benefits is not supported by substantial evidence in the record. Thus, we will grant the plaintiff's objections and decline to adopt Magistrate Judge Saporito's R&R. This case will be remanded for further proceedings and a proper analysis of the case in light of the controlling weight that should be granted to Dr. Garg and Dr. Moskel's opinions and a re-examination of whether plaintiff meets Listings 12.04 or 12.06. An appropriate order follows.