ROBERT S. BALLOU, Magistrate Judge.
Plaintiff Susan S. Clark ("Clark") filed this action challenging the final decision of the Commissioner of Social Security ("Commissioner") finding her not disabled and therefore ineligible for disability insurance benefits ("DIB") under the Social Security Act ("Act"). 42 U.S.C. §§ 401-433. Clark alleges that the ALJ erred by failing to find that her impairments meet a listing, failing to consider her shoulder pain to be a severe impairment, failing to properly consider all of her impairments in combination, failing to properly assess her credibility, and failing to properly apply the Medical-Vocational guidelines when determining the work she can perform. In support of her arguments, Clark relies upon a treating physician's opinion created after the ALJ's decision and submitted to the Appeals Council. I conclude that this new opinion submitted to the Appeals Council is material and warrants remand of the case pursuant to sentence four of 42 U.S.C. § 405(g). Accordingly, I hereby
This court limits its review to a determination of whether substantial evidence exists to support the Commissioner's conclusion that Clark failed to demonstrate that she was disabled under the Act.
Clark filed for DIB on May 31, 2012, claiming that her disability began that date due to chronic pain, stage four chronic kidney disease, diabetes, hypertension, chronic hand pain, fatigue, headaches, knee pain, dizzy spells, back pain, and swelling of her hands and feet.
On February 26, 2014, the ALJ entered his decision analyzing Clark's claim under the familiar five-step process
The ALJ concluded that Clark could return to her past relevant work as a bookkeeper and retail store manager. R. 20. The ALJ also found that Clark can perform other jobs that exist in significant numbers in the national economy, such as general clerical order clerk, telephone solicitor and cashier. R. 21. Thus, the ALJ concluded that she was not disabled. R. 22.
Clark appealed the ALJ's decision, and submitted an opinion from her treating orthopedist, William C. Andrews, M.D., dated March 7, 2014 to the Appeals Council. The Appeals Council considered the opinion but found that it did not provide a basis for changing the ALJ's decision and denied Clark's request for review on May 5, 2014. R. 1-5. This appeal followed.
On appeal, Clark asserts multiple errors by the ALJ in his assessment of the medical evidence. Clark relies in part upon the opinion of Dr. Andrews, which was created approximately one week after the ALJ's decision and accepted into the record by the Appeals Council. Dr. Andrews' opinion states:
R. 760. Clark asserts that Dr. Andrew supports her claims and establishes that she is disabled because of functional limitations in her wrist, shoulder and knees. Pl. Br. Summ. J. pp. 6-7. Neither Clark nor the Commissioner address whether Dr. Andrews' opinion, created and submitted after the ALJ's decision, qualifies as new, material evidence that warrants remand of this case to the ALJ under the analysis established in
When the Appeals Council denied Clark's request for review, the ALJ's decision became the final decision of the Commissioner. 20 C.F.R. § 404.981. The Appeals Council specifically incorporated Dr. Andrews' letter of March 7, 2014 into the administrative record. R. 760. As such, this court must "review the record as a whole, including the new evidence, in order to determine whether substantial evidence supports the [Commissioner's] findings."
Courts in this district have achieved that balance by reviewing the record as a whole to determine if the new evidence is contradictory, presents material competing testimony, or calls into doubt any decision grounded in the prior medical reports. If the new evidence creates such a conflict, there is a reasonable possibility that it would change the outcome of the case, and the case must be remanded to the Commissioner to weigh and resolve the conflicting evidence. If such conflicts are not present, the case can be decided on the existing record without a remand.
Clark was born in 1962 and stopped working in May 2012, allegedly due to fatigue related to her kidney failure. Clark is obese, and suffers from chronic renal failure, type II diabetes, carpal tunnel syndrome, knee pain and shoulder pain. Clark's renal failure and diabetes are stable with treatment. Clark's allegations on appeal relate to her wrist, shoulder and knee pain, which she asserts cause more severe functional limitations than those assessed by the ALJ.
Dr. Andrews has treated Clark for a myriad of orthopedic problems as far back as 2007 and 2008. R. 712. During the relevant period, Dr. Andrews saw Clark for wrist, shoulder and knee pain beginning in 2012. R. 436-39, 471-73, 710-24. In August 2012, Dr. Andrews diagnosed Clark with carpal tunnel syndrome and patellar subluxation. R. 436. Dr. Andrews noted that Clark cannot take anti-inflammatory medications or injections due to her renal failure, that she tried physical therapy, and that she is ready to proceed with surgery for her right knee. R. 435.
In November 2012, Dr. Andrews noted that Clark has a 20 year history of right hand and shoulder difficulties, and has had multiple surgeries. R. 471. Dr. Andrews examined Clark and found significant decreased range of motion secondary to pain in the shoulder, decreased right grip strength, ulnar sensory to the 5th digit, ulnar motor latency, amplitude, and nerve conduction velocity. Nerve conduction studies performed on Clark were abnormal with moderate right median neuropathy at the wrist without active denervation. R. 471-73. Dr. Andrews suggested surgery, but Clark was hesitant given her renal failure.
In May 2013, Clark visited Dr. Andrews, complaining of right shoulder pain and knee pain. R. 717-24. Clark reported significant knee catching, grating, popping and locking, and difficulty reaching overhead with her right arm. R. 724. X-rays showed moderate patellofemoral arthrosis with lateralization, lateral tilt of both patellae, and moderate medial joint narrowing. R. 724. Dr. Andrews suggested injections or surgery, and Clark chose injections. Dr. Andrews injected Clark's right shoulder and knees.
Clark followed up with Dr. Andrews in August 2013, and reported good relief with the injections. She stated that she was ready to start exercising, but had a fall recently, and has had significant knee, neck, shoulder, wrist and hand pain as a result. Clark complained that long periods of standing and ambulating causes diffuse pain in her knees, and that her shoulder pain radiates into her neck and hand with numbness from the neck into her fingers. She also complained of sharp pain in her wrist which is worse when lifting heavy objects and driving. R. 710. Dr. Andrews repeated injections in Clark's knees. R. 710-16. Clark's treatment notes from other providers relate to her renal failure and diabetes.
The record contained two reviewing physicians' opinions with regard to Clark's functional capacity, but no opinions from treating or examining physicians. In October 2012, state agency physician Richard Surrusco, M.D., reviewed the records and concluded that Clark could lift 20 pounds occasionally and 10 pounds frequently; stand/and or walk and sit six hours in an eight-hour day; occasionally climb ramps and stairs, balance, stoop, and crouch; and never kneel or crawl. R. 55-56. In May 2013, state agency physician William Amos, M.D., reviewed the record and agreed with Dr. Surrusco's findings, with the additional limitation of frequent use of Clark's upper right extremity. R. 70-71.
The ALJ gave these opinions great weight, finding them consistent with Clark's treatment notes, imagery and testing results. R. 20. The ALJ highlighted that "[n]o treating, examining or reviewing medial source has opined that the claimant is more limited than the above residual functional capacity." R. 20. The ALJ concluded that Clark is capable of light work with frequent use of right hand controls, consistent with the state agency physicians' opinions. R. 15.
On March 7, 2014, Dr. Andrews rendered his opinion, after the ALJ's decision, that Clark's severe arthritis in both of her knees limits her to walking 10-15 minutes at a time and significantly limits her standing. Dr. Andrews stated that Clark is limited to a seated capacity job. He also noted that Clark has severe rotator cuff disease of the right shoulder, only abducts about 90 degrees and cannot lift at all with the right hand. Dr. Andrews stated that Clark has difficulty gripping with her right and left hands, and is unable to hold objects for any prolonged period of time or perform repetitive motions with her left hand. Dr. Andrews also stated that Clark takes Lortab 10 for her pain, which causes interference with normal cognition.
Dr. Andrews' opinion is new and relates to the period on or before the ALJ's decision. Dr. Andrews' opinion is dated March 7, 2014, nine days after the ALJ rendered his decision, and discusses Clark's functional capacity based upon her carpal tunnel syndrome, joint disease and osteoarthritis that he treated since 2012. The record does not include any prior opinions from Dr. Andrews; thus, the opinion is not duplicative or cumulative.
Dr. Andrews' opinion is also material because it contradicts evidence relied upon by the ALJ and presents competing testimony that could change the ALJ's decision. Dr. Andrews' opinion is a two paragraph handwritten letter, detailing Clark's orthopedic impairments and limitations. R. 760. This is not the type of check-the-box form that is discounted for its failure to include support and explanation for the physician's opinion. Further, the record before the ALJ contained no other opinions from treating or examining physicians. An ALJ may not reject a treating physician's opinion, based on medical expertise, concerning the extent of past impairment in the absence of persuasive contrary evidence.
Additionally, Dr. Andrews' treatment and opinion address the specific impairments at issue on appeal. Clark asserts that the ALJ failed to properly assess the severity of her carpal tunnel syndrome, knee pain and right shoulder pain. Clark specifically argues that the ALJ improperly discounted her shoulder pain and erred by concluding that she is capable of unlimited overhead reaching with her right shoulder. Dr. Andrews' opinion directly addresses these impairments and determines that they cause Clark to suffer substantial functional limitations. R. 760.
Further, the court cannot say that Dr. Andrews' opinion is unsupported by his treatment notes or other objective evidence in the record. Dr. Andrews' treatment notes reflect not only consistent complaints of shoulder, wrist and knee pain by Clark, but also objective findings of impairments and limitations. Dr. Andrews noted significant abnormalities on Clark's nerve conduction studies (R. 473), abnormalities on her knee x rays (R. 724), and decreased right grip strength and decreased range of motion in her right shoulder on physical examination (R. 471). Thus, I cannot say that there is no reasonable possibility that Dr. Andrews' letter, which converts his findings on physical exam into specific functional limitations, could change the ALJ's decision.
This is the type of new evidence that must be remanded to the Commissioner because it contradicts the opinions in the record and calls into doubt the ALJ's decision grounded in the prior medical reports. It may be that Dr. Andrews' opinion does not alter the outcome of the ALJ's analysis. That decision does not rest with the court when there is a sufficient probability that the additional evidence will change the outcome.
For the foregoing reasons, the Commissioner's motion for summary judgment is