LINCOLN D. ALMOND, Magistrate Judge.
This matter is before the Court for judicial review of a final decision of the Commissioner of the Social Security Administration ("Commissioner") denying Social Security Insurance ("SSI") under the Social Security Act (the "Act"), 42 U.S.C. § 405(g). Plaintiff filed his Complaint on March 25, 2016 seeking to reverse the decision of the Commissioner. On August, 31, 2016, Plaintiff filed a Motion to Reverse the Decision of the Commissioner. (Document No. 11). On September 30, 2016, the Commissioner filed a Motion for an Order Affirming the Decision of the Commissioner. (Document No. 12). On October 14, 2016, Plaintiff filed a Reply Brief. (Document No. 13).
This matter has been referred to me for preliminary review, findings and recommended disposition. 28 U.S.C. § 636(b)(1)(B); LR Cv 72. Based upon my review of the record, the parties' submissions and independent research, I find that there is substantial evidence in this record to support the Commissioner's decision and findings that Plaintiff is not disabled within the meaning of the Act. Consequently, I recommend that Plaintiff's Motion to Reverse (Document No. 11) be DENIED and that the Commissioner's Motion for an Order Affirming (Document No. 12) be GRANTED.
Plaintiff filed an application for SSI on April 29, 2013 alleging disability since January 13, 2013. (Tr. 135-143). The application was denied initially on November 21, 2013 (Tr. 77-79) and on reconsideration on April 28, 2014. (Tr. 81-83). Plaintiff requested an Administrative Hearing. On January 8, 2015, a hearing was held before Administrative Law Judge Martha Bower (the "ALJ") at which time Plaintiff, represented by counsel, and a vocational expert ("VE") appeared and testified. (Tr. 30-58). The ALJ issued an unfavorable decision to Plaintiff on February 11, 2015. (Tr. 13-26). The Appeals Council denied Plaintiff's request for review on February 17, 2016. (Tr. 1-3). Therefore the ALJ's decision became final. A timely appeal was then filed with this Court.
Plaintiff argues that the ALJ erred by failing to admit late-tendered medical evidence and by failing to incorporate Plaintiff's need to elevate his leg into his RFC assessment.
The Commissioner disputes Plaintiff's claims and contends that the ALJ properly declined to admit the late-tendered medical evidence and that her RFC finding is supported by the record and must be affirmed.
The Commissioner's findings of fact are conclusive if supported by substantial evidence. 42 U.S.C. § 405(g). Substantial evidence is more than a scintilla —
Where the Commissioner's decision is supported by substantial evidence, the court must affirm, even if the court would have reached a contrary result as finder of fact.
The court must reverse the ALJ's decision on plenary review, however, if the ALJ applies incorrect law, or if the ALJ fails to provide the court with sufficient reasoning to determine that he or she properly applied the law.
The court may remand a case to the Commissioner for a rehearing under sentence four of 42 U.S.C. § 405(g); under sentence six of 42 U.S.C. § 405(g); or under both sentences.
Where the court cannot discern the basis for the Commissioner's decision, a sentence-four remand may be appropriate to allow her to explain the basis for her decision.
In contrast, sentence six of 42 U.S.C. § 405(g) provides:
42 U.S.C. § 405(g). To remand under sentence six, the claimant must establish: (1) that there is new, non-cumulative evidence; (2) that the evidence is material, relevant and probative so that there is a reasonable possibility that it would change the administrative result; and (3) there is good cause for failure to submit the evidence at the administrative level.
A sentence six remand may be warranted, even in the absence of an error by the Commissioner, if new, material evidence becomes available to the claimant.
The law defines disability as the inability to do 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. §§ 416(i), 423(d)(1); 20 C.F.R. § 404.1505. The impairment must be severe, making the claimant unable to do her previous work, or any other substantial gainful activity which exists in the national economy. 42 U.S.C. § 423(d)(2); 20 C.F.R. §§ 404.1505-404.1511.
Substantial weight should be given to the opinion, diagnosis and medical evidence of a treating physician unless there is good cause to do otherwise.
Where a treating physician has merely made conclusory statements, the ALJ may afford them such weight as is supported by clinical or laboratory findings and other consistent evidence of a claimant's impairments.
The ALJ is required to review all of the medical findings and other evidence that support a medical source's statement that a claimant is disabled. However, the ALJ is responsible for making the ultimate determination about whether a claimant meets the statutory definition of disability. 20 C.F.R. § 404.1527(e). The ALJ is not required to give any special significance to the status of a physician as treating or non-treating in weighing an opinion on whether the claimant meets a listed impairment, a claimant's residual functional capacity (
The ALJ has a duty to fully and fairly develop the record.
The ALJ is required to order additional medical tests and exams only when a claimant's medical sources do not give sufficient medical evidence about an impairment to determine whether the claimant is disabled. 20 C.F.R. § 416.917;
The ALJ must follow five steps in evaluating a claim of disability.
In determining whether a claimant's physical and mental impairments are sufficiently severe, the ALJ must consider the combined effect of all of the claimant's impairments, and must consider any medically severe combination of impairments throughout the disability determination process. 42 U.S.C. § 423(d)(2)(B). Accordingly, the ALJ must make specific and well-articulated findings as to the effect of a combination of impairments when determining whether an individual is disabled.
The claimant bears the ultimate burden of proving the existence of a disability as defined by the Social Security Act.
Once the ALJ finds that a claimant cannot return to her prior work, the burden of proof shifts to the Commissioner to establish that the claimant could perform other work that exists in the national economy.
Exclusive reliance is not appropriate when a claimant is unable to perform a full range of work at a given residual functional level or when a claimant has a non-exertional impairment that significantly limits basic work skills.
"Pain can constitute a significant non-exertional impairment."
Where an ALJ decides not to credit a claimant's testimony about pain, the ALJ must articulate specific and adequate reasons for doing so, or the record must be obvious as to the credibility finding.
A lack of a sufficiently explicit credibility finding becomes a ground for remand when credibility is critical to the outcome of the case.
The ALJ found that Plaintiff's severe impairments include morbid obesity, knee osteoarthritis, degenerative disc disease of the lumbar spine and diabetes mellitus. (Tr. 19). While Plaintiff did not meet any Section of the Listing of Impairments, the ALJ found that Plaintiff retained the ability to perform light work except that he can "stand and/or walk 6 hours in an 8-hour workday, sit about 6 hours in an 8-hour workday, occasionally climb stairs, ramps, ropes, ladders and scaffolds, kneel, crouching, crawl, stoop and balance. The claimant must avoid concentrated exposure to vibration, unprotected heights and dangerous machinery." (Tr. 20). The ALJ concluded that Plaintiff could perform other work, such as assembly and assembly press operator at the light level and hand packager and inspector at the sedentary level. (Tr. 25). The ALJ concluded that Plaintiff was not disabled within the meaning of the Social Security Act.
Plaintiff submitted medical evidence on January 6, 2015 which the ALJ declined to accept at the January 8, 2015 hearing pursuant to the so-called "Five-day Rule" contained in 20 C.F.R. § 405.331(b). The evidence is a form completed by Plaintiff's treating Nurse Practitioner dated January 5, 2015. (Document No. 11-1). Plaintiff contends that the ALJ abused her discretion in refusing to accept and consider this medical evidence.
The "Five-day Rule" requires that "[a]ny written evidence that you wish to be considered at the hearing must be submitted no later than five business days before the date of the scheduling hearing." In the event of a late filing, the ALJ "may" decline to consider the evidence unless (1) the Commissioner's action misled the claimant; (2) the claimant had a physical, mental, educational or linguistic limitation that prevented earlier submission; or (3) some other unusual, unexpected or unavoidable circumstance beyond the claimant's control prevented him from submitting the evidence earlier. 20 C.F.R. § 405.331(b). This Court has held that the Rule is not meant to be applied "rigorously or rigidly" and analogized the applicable standard to be one of "excusable neglect."
Here, the ALJ explained her reasoning for declining to admit the late-tendered evidence. She concluded that the evidence "should have been available prior to the hearing and should have been submitted five days prior to the hearing." (Tr. 16). She accurately noted Plaintiff began seeing Nurse Welch on June 12, 2013 and last saw her for treatment on October 21, 2014.
Plaintiff shifts gears before this Court and argues that "the ALJ's decision does not take into account the fact that the document simply did not exist more than five days prior to the hearing day." (Document No. 11 at p. 10). True, but that argument begs the question. The ALJ was interested, and rightfully so, in Plaintiff's opportunity to request, obtain and submit this statement in a timely fashion. Plaintiff has never offered any adequate explanation which might have supported a finding of "excusable neglect." As previously noted, Plaintiff had been seeing Nurse Welch since June 12, 2013 (Tr. 261-262) and has been represented by current counsel since May 14, 2014. (Tr. 87-88). Plaintiff last saw Nurse Welch on October 21, 2014. (Tr. 346). Thus, Plaintiff's counsel had several months to ask Nurse Welch to complete and return the statement. Plaintiff's counsel has offered no facts upon which the ALJ might have reasonably exercised her discretion to admit the late-tendered evidence. While Nurse Welch may well have been tardy in completing and returning the statement, the record is devoid of any facts supporting that tardiness. The only facts on the record are that Nurse Welch dated the form January 5, 2015 and appears to have returned it by fax on 5:43 p.m. that day. (Document No. 11-1). Also, the ALJ hearing was noticed on October 8, 2014. (Tr. 16, 99). Accordingly, from this record, it is impossible to ascertain if the lateness was attributable to Nurse Welch or Plaintiff's counsel, or the actual reason for the lateness. The ALJ cannot be faulted for refusing to accept the late-tendered evidence in view of the lack of any adequate explanation offered by Plaintiff's counsel. In addition, Plaintiff has failed to offer any adequate explanation to this Court that might support a finding that the ALJ abused her discretion. If the Court did so on this record, it would essentially render the Five-day Rule meaningless. Plaintiff has shown no error.
Plaintiff further alleges that the ALJ erred in failing to assess a physical RFC that included a need to elevate his right leg. (Document No. 11 at pp. 11-14). The only evidence Plaintiff cites in support of such a limitation is the opinion from Nurse Welch, which, as previously discussed, the ALJ properly declined to admit into evidence. Moreover, even if the ALJ erred in failing to accept the late-tendered evidence, such error would be harmless in this case since substantial evidence otherwise supports the ALJ's decision.
In assessing Plaintiff's RFC, the ALJ afforded "substantial evidentiary weight" to the opinion of one of the State agency reviewing physicians, Dr. Mogul, "as it is well-supported by the evidence of record and based on his particular and detailed knowledge of the standard of disability as set forth by the Commissioner." (Tr. 24). State agency medical consultants such as Dr. Mogul are not only "acceptable medical sources" but also "highly qualified physicians ... who are also experts in Social Security disability evaluation." 20 C.F.R. § 416.927(e)(2)(i). Here, Dr. Mogul considered medical records from Dr. Breen, Thundermist, Memorial Hospital, Rhode Island Hospital and the consultative examining physician Dr. Dionisopoulos in assessing Plaintiff with an RFC for a limited range of exertionally light work. (Tr. 69-71). He discussed much of this evidence in detail, including the January 2014 MRI that revealed chronic partial tears of Plaintiff's ACL and MCL, Plaintiff's morbid obesity, and Nurse Welch's findings on examination of joint line and popliteal swelling of the knee, popping and crepitus with movement and 1+ pitting edema in the ankles and lower calf. (Tr. 72). After reviewing the medical records, Dr. Mogul did not assess Plaintiff with a need to keep his leg elevated for at least half of an eight-hour workday in a sedentary job as did Nurse Welch. (Tr. 73-75).
Plaintiff also fails to identify any medical evidence that entered the record subsequent to Dr. Mogul's review that undermines the validity of his opinion. Nurse Welch's notes repeat the same observed physical findings that Dr. Mogul acknowledged throughout most of the documented treatment relationship. (Tr. 243-244, 247, 250, 255, 258, 261, 319, 325). And, while Plaintiff did experience a fall due to collapse of his right knee in May 2014 (Tr. 312), Nurse Welch subsequently reported that he underwent knee surgery that resulted in improved mobility and ambulation. (Tr. 318). Further, her final treatment notes appear to observe less severe physical findings on examination than she previously noted: "GENERAL APPEARANCE: well developed and well nourished ... EXTREMITIES: sensations normal, symmetric strength and reflexes." (Tr. 346, 350, 353-354).
In addition, Nurse Welch's opinion is not well supported by the record including her own treatment records.
While SSR 06-03p acknowledges that Nurse Welch's opinions are "important and should be evaluated on key issues such as impairment severity and functional effects," Social Security Ruling ("SSR") 06-03p, 2006 WL 2329939 at *3, it also provides that:
The ALJ was faced with conflicting evidence in this record, and Plaintiff has shown no error in her ultimate decision to adopt the opinions of Dr. Mogul, the reviewing physician. "The ALJ's resolution of evidentiary conflicts must be upheld if supported by substantial evidence, even if contrary results might have been tenable also."
For the reasons discussed herein, I recommend that Plaintiff's Motion to Reverse (Document No. 11) be DENIED and that Defendant's Motion to Affirm (Document No. 12) be GRANTED. Further, I recommend that Final Judgment enter in favor of Defendant.
Any objection to this Report and Recommendation must be specific and must be filed with the Clerk of the Court within fourteen days of its receipt.