LISA PUPO LENIHAN, Magistrate Judge.
Plaintiff Christine P. Carter ("Carter") brings this action pursuant to 42 U.S.C. §§ 405(g) and 1383(c)(3), seeking judicial review of the final decision of the Commissioner of Social Security ("Commissioner") denying her application for disability insurance benefits ("DIB") and supplemental security income ("SSI") benefits under Titles II and XVI of the Social Security Act ("Act"), 42 U.S.C. §§ 401-434, 1381-1383f, respectively. The matter is presently before this Court on cross-motions for summary judgment filed by the parties pursuant to Federal Rule of Civil Procedure 56. (ECF Nos. 10 & 13). The record has been developed at the administrative level.
Carter filed an application for DIB benefits on December 6, 2011 and one for SSI benefits on January 6, 2012, both alleging that he had become "disabled" on July 25, 2010. (R. at pp. 192, 199). Both of these applications were initially denied on February 1, 2012. (R. at pp. 137-46). Carter responded on February 13, 2012 by filing a request for an administrative hearing, (R. at p. 147), which was then scheduled for February 14, 2013. (R. at p. 159). Prior to this hearing, Carter's counsel submitted a written "request for a Psychological Consultative Evaluation". (R. at p. 185).
The hearing was held on its scheduled date in Pittsburgh, Pennsylvania, before Administrative Law Judge ("ALJ") Guy Koster. (R. at pp. 67-106). Carter testified at the hearing, represented by counsel. (R. at pp. 70-100). Samuel E. Edelmann ("Edelmann"), an impartial vocational expert, also provided testimony concerning the expectations of employers existing in the national economy. (R. at pp. 100-06). In a decision dated March 15, 2013, the ALJ determined that Carter was not "disabled" within the meaning of the Act. (R. at p. 48). Following her receipt of the ALJ's decision, Carter filed a request for its review with Appeals Council on April 4, 2013. (R. at p. 47). This request was denied on September 4, 2014, making the ALJ's decision the final decision of the Commissioner. (R. at pp. 1-7). Carter commenced this action on November 4, 2014, seeking judicial review of the Commissioner's decision. (ECF No. 2). Carter and the Commissioner filed cross-motions for summary judgment on February 12, 2015 and March 12, 2015, respectively, (ECF Nos. 10 & 13), each also filing a brief in support thereof, (ECF Nos. 12 & 14). Carter also filed a concise statement of material facts along with her motion, (ECF No. 11), and subsequently filed a reply brief on October 27, 2014, (ECF No. 15). These pending motions for summary judgment are now ripe for disposition.
Carter was born on March 24, 1973, making her thirty-seven years of age on her alleged disability on-set date and thirty-nine years of age at the time of the hearing. (R. at pp. 70, 192). She is a high school graduate who has attended one year of college. (R. at p. 70). She is married and lives with her husband. (
Carter has not worked since July 25, 2010, when she quit her job as a presser at a drycleaner. (R. at p. 71). Prior to that job, which she performed for approximately seven years, she had worked as a data entry clerk for about eight years. (R. at pp. 71-74). Carter says she stopped working in 2010 because she could no longer perform her job due to pain caused by fibromyalgia. (R. at p. 74). In her applications for benefits, Carter alleged disability based on fibromyalgia, back problems, and chronic pain. (R. at p. 226). At the hearing, she alleged additional impairments of anxiety, bipolar disorder, and tremors. (R. at pp. 74-75, 84-91, 93-100).
Carter's past surgical history consists of arthroscopic surgery on both shoulders to remove bone spurs in 2007 and 2009, carpal tunnel surgery on the right hand in 1998, and tubal ligation in 1995. (R. at p. 463). Relevant to the present inquiry, Carter was seen on February 22, 2010 by her then primary care physician Dr. Michael Gates ("Gates"). (R. at p. 337). She reported experiencing pain all over her body. (
Gates referred Carter to Heritage Valley Rheumatology, where she was seen by Dr. Atac Turkay ("Turkay") on April 28, 2010. (R. at 463). Carter conveyed her belief that her current medications, including Mobic and Fentanyl, "do not help." (R. at p. 464). Turkay noted that Carter refused to sit during the interview portion of the visit, citing too much hip and tailbone pain, although "she was able to sit on the examination table throughout the exam" portion. (
Carter returned to Gates for a follow-up visit on May 17, 2010. (R. at p. 309). She complained of "pain all over," but explained that "Fentanyl helps." (
LoDico first saw Carter on September 2, 2010. (R. at p. 374). He diagnosed her as having "[t]otal body pain associated with fibromyalgia." (R. at p. 375). LoDico's recommended course of action included the following: (1) a comprehensive sleep study, (2) a psychological consultation regarding chronic pain coping skills, (3) starting physical therapy, (4) discontinuing Mobic in favor of Celebrex, (5) discontinuing oxycodone in favor of controlling pain with more frequent applications of Fentanyl and Tylenol, and (6) various diagnostic tests. (
That same day, LoDico referred Carter to the Centers for Rehab Services to engage in physical therapy. (R. at p. 290). Between September 14, 2010 and October 13, 2010, Carter took part in physical therapy with Allison Kleiner ("Kleiner") on nine separate occasions. (R. at pp. 281-82). Treatment notes consistently reflect that Carter was "still in pain and fatigued," although Kleiner noted after Carter's 8th visit on October 11, 2010 that "[a]ll strength has improved as has flexibility." (R. at p. 285). Upon discharge from therapy, Carter's pain was still "objectively measured" at between six and nine out of ten. (R. at p. 283). While all of Carter's treatment goals were "not met," Kleiner noted "[s]hort term goals met — chronic pain D/O, can self manage at home Formal therapy no longer needed." (
On September 28, 2010, Carter returned to Advanced Pain Medicine, this time seeing Dr. Lloyd G. Lamperski ("Lamperski"). (R. at p. 378). She told Lamperski that the more frequent application of Fentanyl had given her more control of her pain, although relief varied. (
Carter underwent an MRI of her lumbar spine on November 1, 2010 (the "November 1 MRI"). (R. at p. 317). Relevantly, the test showed "moderate canal stenosis at L5S1 level secondary to disc bulge and ligamentous facetal hypertrophy." (R. at p. 318). There also "appear[ed] to be a small tear in the posteric disc annalus at this level." (
Carter returned to Lamperski for a follow-up appointment on November 15, 2010. (R. at p. 381). Carter reported "no new areas of pain," although her pain level had increased over the last two to three weeks and was now at a nine. (
Lamperski performed an "[i]nterlaminar lumbar epidural steroid injection at L 3-4" on December 2, 2010, which Carter tolerated well. (R. at p. 385). This procedure was repeated on December 16, 2010; this time "at L5-S1." (R. at p. 387). At a follow-up appointment on January 3, 2011, Lamperski noted that neither of these injections gave Carter any relief. (R. at p. 388). Lamperski reviewed the results of the November 1 MRI and arranged for Carter to return in six weeks to discuss next steps. (R. at pp. 388-89). However, Carter was forced to put her treatment on hold for a period of just over five months due to losing her health insurance in mid-January. (R. at p. 391).
When Carter's insurance was reinstated and she was able to report back to Gates on June 14, 2011, she explained that she was in a lot of pain, and had been "off all meds since February." (R. at p. 345). As a result, Gates resent Carter's prescriptions for Fentanyl, Cymbalta, Lyrica, and Mobic. (
Carter then returned to Lamperski on July 26, 2011, when he altered her Fentanyl dose. (R. at p. 391). At her next visit to Advanced Pain Medicine on August 31, 2011, LoDico recommended that she undergo a "transforaminal lumbar epidural steroid injection," (R. at p. 394), which he performed on September 30, 2011, (R. at p. 398). Carter again reported that this treatment was ineffective at her next visit with LoDico on November 11, 2011. (R. at p. 371). LoDico recommended proceeding "with diagnostic lumbar facet nerve block and subsequent rhizotomy in the future." (R. at p. 372). LoDico also ordered bloodwork to evaluate for infection. (R. at p. 371). When Carter had failed to have this bloodwork done before her next visit with him on December 9, 2011, LoDico informed her that her failure to do so prior to her next scheduled visit would result in her being tapered off of narcotics. (R. at p. 368). Although Carter reported that Fentanyl was now "not helping her at all," LoDico continued to recommend the same treatment plan. (
On December 6, 2011, just prior to Carter's last visit with LoDico, she attended an appointment with Gates. (R. at p. 347). During this visit, Gates increased Carter's dosage of both Lyrica and Cymbalta, (
On January 24, 2012, Dr. Paul Reardon ("Reardon"), a state reviewing physician, completed an assessment of Carter's physical residual functional capacity. (R. at pp. 121-23). Reardon found that Carter could occasionally lift twenty pounds, could frequently lift ten pounds, could stand for a total of four hours, and could sit for about six hours, with normal breaks, as part of an eight hour work day. (R. at p. 121). Further, Carter could perform all postural activities occasionally, although she should avoid concentrated exposure to extreme heat and cold, wetness, humidity, vibration, and hazards. (R. at p. 122). Three days later, Erin Urbanowicz ("Urbanowicz"), a state reviewing psychiatrist, complete a "Psychiatric Review Technique assessment." (R. at p. 120). Urbanowicz found that no medically determinable mental impairments were established. This was so because of the absence of any formal mental health diagnosis in Carter's file, even though some medical evidence of record "indicates that pain has affected mood." (
Carter's treatment with Gates proceeded uneventfully until May 11, 2012, when Carter reported to him that for the past one or two months she had felt "on edge" and "jittery" all the time, with her heart and mind racing. (R. at p. 438). Gates assessed Carter to be suffering from "Anxiety/palpitations," (
At her six-month follow-up appointment with Gates on December 11, 2012, Carter continued to report being in pain. (R. at p. 447). Gates noted that Carter had a history of fibromyalgia and bipolar disorder, with no mention of anxiety/palpitations. (
On January 15, 2013, Carter presented to the emergency department of the Heritage Valley Sewickley Hospital ("Sewickley Hospital") reporting suicidal thoughts. (R. at p. 469). She was evaluated by Christine Myers ("Myers"). (R. at pp. 485-93). During that evaluation, Carter reported that she wanted to take all her meds because she feels like a burden on everyone due to her inability to work. (R. at p. 485). She explained that "the pain get to be too much," and that she is "always anxious and fearful . . . to leave the bedroom[,] . . . to eat", or that "something will happen to her teenage kids or pets." (
After her discussion with Meyers, Carter explained that she "felt that she would never act on thoughts to harm self." (R. at p. 488). Instead, "she just wanted to feel better and had . . . felt better as recently as early December." (
The medical evidence of record reflects two visits to Staunton Clinic by Carter. (R. at pp. 450-59). Carter was initially seen on January 17, 2013. (R. at pp. 452-59). During this visit, Carter discussed her fear that others are judging her due to her "paralyzing" anxiety. (R. at p. 452). She discussed feeling overwhelmed and tired of dealing with pain, and explained that she feels unable to leave the house and does not eat consistently. (
Carter's second visit to Staunton Clinic occurred on January 22, 2013. (R. at p. 451). In addition to echoing the concerns she voiced during her prior visit, Carter mentioned "increased fights with her husband and family." (
At the hearing before the ALJ on February 14, 2013, Carter testified that she was experiencing "a sharp, stabbing, ache", which she would rate at an intensity of ten out of ten. (R. at pp. 80-81). The least intense she experiences on a daily basis would rate as a six. (R. at p. 81). She can either sit or stand for ten to fifteen minutes before having to lie down. (R. at pp. 80-81). She also testified to being capable of lifting less than five pounds, based on the fact that she cannot lift a ten-pound bag of cat litter. (R. at p. 82). Concerning her mental health problems, Carter testified about resulting difficulties with concentrating, communicating effectively, and fearful thoughts of people breaking into her house. (R. at pp. 87-88).
When questioned by the ALJ, Carter denied any drug or alcohol abuse, and denied any use of illegal substances. (R. at p. 92). However, in response to later questioning by her counsel, Carter testified to using marijuana as late as 2010, and explained that she thought the ALJ was asking if she "had a substance abuse problem." (R. at pp. 95-97). She testified that her discussions about marijuana use reflected in her medical records from Staunton Clinic were all related to past use of the drug. (R. at pp. 96-97). Concerning tremors she was demonstrating during the hearing, Carter explained that she had sought treatment with Gates in June of 2012 when the severity was milder. (R. at p. 93). Also, of note, Carter's counsel renewed his request for a psychological consultative evaluation at the close of his questioning. (R. at p. 96). However, he did qualify that request by stating, "I don't know if Your Honor will feel that's necessary now since she has been to Staunton Clinic." (
After consideration of the above, as well as testimony by vocational expert Edelmann, the ALJ determined that Carter was not "disabled" within the meaning of the Act. (R. at p. 61). The ALJ determined that Carter had the following severe impairments: degenerative disc disease of the lumbar spine; fibromyalgia; osteoarthritis; obesity; bipolar disorder; general anxiety disorder; and cannabis abuse. (R. at p. 53). Based on these impairments, the ALJ determined that Carter has the residual functional capacity ("RFC") to:
(R. at pp. 55-56). Based on this RFC, the ALJ determined that Carter could not perform any past relevant work. (R. at p. 60). However, based on testimony by Edelmann, Carter could perform jobs existing in significant numbers in the national economy, including assembler, packer, and sorter-grader. (R. at p. 61).
In formulating the RFC, the ALJ found Carter's testimony as to the intensity, persistence and limiting effects of her symptoms to be not entirely credible given the following. First, Carter's testimony concerning marijuana use conflicted with her medical records. (R. at p. 57). Second, Carter testified to Gates taking action with respect to her current tremor condition as early as June of 2012, (R. at p. 93), but her medical records contain no reference to his treatment, or even recognition, of tremors, (R. at p. 58). Further, the ALJ observed that her tremors stopped when Carter gestured with her hands, (R. at p. 54), consistent with therapist observations at Staunton Clinic, (R. at p. 457). Third, the ALJ found that the five-month gap in Carter's treatment from January 2011 until June 2011, during nearly all of which she apparently discontinued all medications, "undermines the credibility of her testimony regarding the chronic and extreme nature of her pain." (R. at p. 58). Fourth and finally, the ALJ found the timing of Carter's visit to the emergency room with suicidal ideations to be "suspicious of being motivated by pecuniary gain," given its proximity in time to the February 2013 administrative hearing. (R. at p. 59).
The ALJ also gave "little weight" to the December 6, 2011 assessment by Gates when formulating the RFC. (R. at p. 59). In doing so, the ALJ found that opinions stated by Gates within it were inconsistent with other substantial evidence in the record and "unsupported by medically acceptable clinical and laboratory diagnostic techniques." (
This Court's review is plenary with respect to all questions of law.
In order to establish a disability under the Act, a claimant must demonstrate a "medically determinable basis for an impairment that prevents him from engaging in any `substantial gainful activity' for a statutory twelve-month period."
To support his ultimate findings, an ALJ must do more than simply state factual conclusions. He must make specific findings of fact.
The Social Security Administration ("SSA"), acting pursuant to its legislatively-delegated rulemaking authority, has promulgated a five-step sequential evaluation process for the purpose of determining whether a claimant is "disabled" within the meaning of the Act. The United States Supreme Court has summarized this process as follows:
In an action in which review of an administrative determination is sought, the agency's decision cannot be affirmed on a ground other than that actually relied upon by the agency in making its decision.
Carter raises two arguments for summary judgment in her favor. First, she argues that the ALJ failed to sufficiently develop the record by ordering a consultative psychiatric examination, given the lack of any medical source opinion as to Carter's resultant functional capabilities. (ECF No. 12, at pp. 3-9). Second, Carter contends that the ALJ failed to adequately support his decision to assign less than controlling weight to Gates residual functional evaluation. (
"Although the burden is upon the claimant to prove his disability,"
Here, Carter argues that the ALJ's duty to fully develop the record dictated that a consultative psychological examination be ordered, as there was no medical source opinion in the record to speak to functional limitations which flowed from Carter's mental impairments. (ECF No. 12, at p. 5). She relies on an opinion of the United States Court of Appeals for the First Circuit for the proposition that, "[w]here the record is bereft of any medical assessment of residual functional capacity," an ALJ's RFC formulation is not based on substantial evidence. (ECF No. 12, at p. 6 (citing
In the absence of a consultative psychological examination, the record considered by the ALJ still contained the following evidence related to Carter's mental impairments. First, medical records from Gates reflect that he had been treating her for anxiety and bipolar disorder with medication since May 11, 2012. (R. at pp. 438, 42, 43, 45, 47). Second, records from Carter's January 15, 2013 visit to the emergency room at Sewickley Hospital and from her visits to Staunton Clinic on January 17 and 18 reflect in-depth discussion of Carter's mental impairments at the time period immediately before the administrative hearing. (R. at pp. 450-59, 467-93). Even Carter's counsel recognized at the hearing that the ALJ may not find a psychological consultative examination "necessary now since she has been to Staunton Clinic." (R. at p. 96). Third, Carter herself testified as to the specifics of her mental impairments at the February 14, 2013 administrative hearing. (R. at pp. 83-88, 91, 94). Given the presence of all of this relevant evidence, the ALJ decision not to order a consultative psychological examination was not an abuse of his discretion.
"In making a residual functional capacity determination, the ALJ must consider all evidence before him."
"`Under applicable regulations and the law of this Court, opinions of a claimant's treating physician are entitled to substantial and at times even controlling weight.' However, the treating source's opinion is entitled to controlling weight 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 the instant matter, Carter argues that is was error for the ALJ to reject the December 6, 2011 RFC assessment by Gates, Carter's treating physician, in favor of one by Reardon, the state non-examining consultant. (ECF No. 12, at p. 10). The ALJ supported this action by pointing to certain evidence in the record which "contradict[s] the extreme assessment of Dr. Gates," and then by asserting that "the assessments of Dr. Gates are unsupported by medically acceptable clinical and laboratory diagnostic techniques." (R. at p. 59). The ALJ was only half right.
With respect to the ALJ's assertion that Gates' assessment was contradicted by other evidence in the record, he only specifically cites to two supposed incongruities. First, he points to an observation by Lamperski that Carter was "able to function and drive without difficulty," as evidence that her physical condition was not as severe as Gates represented. (R. at p. 59). However, the ALJ failed to note that this observation was made in consideration of whether Carter's dose of Fentanyl was appropriate, and was only referring to potential side-effects of the drug. (
The argument that Gates' assessment is not well-supported by medically acceptable clinical and laboratory diagnostic techniques is far more compelling. As the regulations explain, "[t]he more a medical source presents relevant evidence to support an opinion, particularly medical signs and laboratory findings, the more weight we will give that opinion." 20 C.F.R. §§ 404.1527(c)(3), 416.927(c)(3). As such, "[f]orm reports in which a physician's obligation is only to check a box or fill in a blank are weak evidence at best."
For the foregoing reasons, Carter's motion for summary judgment (ECF No. 10) will be denied, the Commissioner's motion for summary judgment (ECF No. 13) will be granted, and the Commissioner's decision will be affirmed.