Barco v. Comm'r of Soc. Sec.
Barco v. Comm'r of Soc. Sec.
Opinion of the Court
Represented by counsel, Plaintiff Jordan M. Barco ("Plaintiff") brings this action pursuant to Title XVI of the Social Security Act (the "Act"), seeking review of the final decision of the Acting Commissioner of Social Security (the "Commissioner," or "Defendant") denying his application for supplemental security income ("SSI"). (Dkt. 1). This Court has jurisdiction over this matter pursuant to
BACKGROUND
Plaintiff protectively filed an application for SSI on September 5, 2013. (Dkt. 7-2 at 9).
LEGAL STANDARD
I. District Court Review
"In reviewing a final decision of the SSA, this Court is limited to determining whether the SSA's conclusions were supported by substantial evidence in the record and were based on a correct legal standard." Talavera v. Astrue ,
II. Disability Determination
An ALJ must follow a five-step sequential evaluation to determine whether a *917claimant is disabled within the meaning of the Act. See Parker v. City of New York ,
At step three, the ALJ examines whether a claimant's impairment meets or medically equals the criteria of a listed impairment in Appendix 1 of Subpart P of Regulation No. 4 (the "Listings").
The ALJ then proceeds to step four and determines whether the claimant's RFC permits the claimant to perform the requirements of his or her past relevant work.
DISCUSSION
I. The ALJ's Decision
In determining whether Plaintiff was disabled, the ALJ applied the five-step sequential evaluation set forth in
Before proceeding to step four, the ALJ determined that Plaintiff retained the RFC to perform "light work" except that Plaintiff "is limited to performing simple and routine tasks in a low stress environment defined as involving only occasional decision-making, no interaction with the general public, and an environment in which work is performed primarily alone *918with only occasional supervision." (Id. at 13).
In making this determination, the ALJ considered "all symptoms and the extent to which these symptoms can reasonably be accepted as consistent with the objective medical evidence and other evidence," as well as the opinion evidence provided. (Id. ). Among the materials considered was the opinion of social worker Beverly Dodd, who opined that Plaintiff is unable to maintain attention for two-hour segments, sustain an ordinary routine without special supervision, and complete a normal workday without interruptions from psychological symptoms. (Dkt. 7-8 at 573). Ms. Dodd also noted that Plaintiff would miss work more than four days of work per month. (Id. at 574). The ALJ stated that Ms. Dodd was not an acceptable medical source under the regulations; that Ms. Dodd had indicated that Plaintiff was not compliant with his treatment regimen and that she could not assess whether he was malingering; and that her opinion that Plaintiff would miss more than four days of work per month was conjectural. (Dkt. 7-2 at 16). The ALJ assigned "very limited weight" to Ms. Dodd's opinion. (Id. ).
The ALJ also considered the opinion of Dr. Suhda Bakshi, a psychiatrist who saw Plaintiff for therapy every three weeks and for medication every two to three months. (Dkt. Dkt. 7-2 at 16; Dkt. 7-8 at 179). Dr. Bakshi opined that Plaintiff would miss more than four days of work per month, but also noted that Plaintiff has only mild to moderate limitations in multiple areas of functioning, including carrying out simple instructions, maintaining attention for two-hour segments, working in coordination with others, and making simple work-related decisions. (Dkt. 7-2 at 16; Dkt. 7-8 at 181). The ALJ assigned Dr. Bakshi's opinion "limited weight," concluding that her opinion regarding Plaintiff's limitations was inconsistent with her conclusion that Plaintiff would miss more than four days of work per month. (Dkt. 7-2 at 16). The ALJ also noted that Dr. Bakshi's clinical notes indicate that Plaintiff's condition is "fairly stable." (Id. ).
II. The Treating Physician Rule
The treating physician rule
(i) the frequency of examination and the length, nature and extent of the treatment relationship; (ii) the evidence in support of the treating physician's opinion; (iii) the consistency of the opinion with the record as a whole; (iv) whether the opinion is from a specialist; and (v) other factors brought to the Social Security Administration's attention that tend to support or contradict the opinion.
Whatever weight the ALJ assigns to the treating physician's opinion, he must "give good reasons in [his] notice of determination or decision for the weight [he gives to the] treating source's medical opinion."
"In analyzing a treating physician's report, 'the ALJ cannot arbitrarily substitute his own judgment for competent medical opinion.' " Rosa v. Callahan ,
Furthermore, "a reason ... that relies on a mischaracterization of the record cannot be a good reason [for disregarding a treating source's opinion]." Wilson v. Colvin ,
Plaintiff argues that the ALJ violated the treating physician rule when he failed to assign controlling weight to Ms. Dodd's opinion without providing "good reasons" for doing so. (Dkt. 11-1 at 18-19). Defendant responds that Ms. Dodd's opinion was not entitled to controlling weight as a treating source because a social worker is not an "acceptable medical source" as defined in the regulations. (Dkt. 15 at 20).
The Court agrees with Defendant that Ms. Dodd's opinion was not entitled to controlling weight. The "acceptable medical source[s]" are outlined in
However, an ALJ should evaluate evidence from "other sources" on key issues like impairment severity and functional effects. Social Security Ruling 06-3p,
Here, the ALJ afforded Ms. Dodd's opinion "very limited weight" for reasons other than the fact that she is a social worker. (Dkt. 7-2 at 16). He noted that the Plaintiff had not been compliant with his treatment at the time of Ms. Dodd's evaluation, and, additionally, that Ms. Dodd indicated that she was unable to assess whether Plaintiff was malingering. (Id. ). Indeed, subsequent evidence in the record shows that Plaintiff's condition improved with treatment. (Dkt. 7-8 at 51, 121-42). The ALJ was not required to treat Ms. Dodd's opinion as a treating physician's opinion, and he did not err in declining to assign it controlling weight.
Next, Plaintiff argues that the ALJ erred in failing to provide "good reasons" for affording Dr. Bakshi's opinion limited weight. (Dkt. 11-1 at 24). The ALJ stated that there was insufficient evidence in the record to substantiate Dr. Bakshi's claim that Plaintiff would miss more than four days of work per month, and that Dr. Bakshi's own clinical notes indicate that Plaintiff's condition is "fairly stable." (Dkt. 7-2 at 16). Defendant responds that the ALJ properly declined to give Dr. Bakshi's opinion controlling weight because it was not consistent with other substantial evidence in the record. (Dkt. 15 at 24).
The Court concludes that the ALJ relied on a mischaracterization of the record in affording "limited weight" to Dr. Bakshi's opinion and therefore violated the "good reasons" rule. The ALJ explained that Dr. Bakshi's opinion that Plaintiff would miss more than four days of work per month was inconsistent with her conclusion that Plaintiff has mild to moderate limitations in multiple areas of functioning. (Dkt. 7-2 at 16). However, the ALJ failed to note that Dr. Bakshi rated Plaintiff's impairments in various areas as category III, which indicates that the impairment "[p]recludes performance from 11% to 20% of an 8-hour workday." (Dkt. 7-8 at 181). Four missed days of work per month is equal to just under 20% of full-time work. Dr. Bakshi rated Plaintiff's impairments as category III with respect to his ability to: "[m]aintain regular attendance and be punctual within customary, usually strict tolerances"; "[c]omplete a normal workday and workweek without interruption from psychologically based symptoms"; "[g]et along with co-workers or peers without unduly distracting them or exhibiting behavioral extremes"; and "[t]ravel to unfamiliar places or use public transportation." (Id. at 181-82). Dr. Bakshi also rated Plaintiff as categories I and II on a number of other abilities/aptitudes. (Id. ). It is not clear that Dr. Bakshi's ratings are inconsistent with the conclusion that Plaintiff would miss four days of work per month. The ALJ summarily concluded that Dr. Bakshi's opinion was internally inconsistent, and, without further explanation, that was a mischaracterization of the record.
*921The ALJ also mischaracterized Dr. Bakshi's opinion in noting that "Dr. Bakshi's own treatment notes indicate that despite ongoing psychiatric symptoms, the claimant's condition is fairly stable." (Dkt. 7-2 at 16). The ALJ suggests that being "fairly stable" is inconsistent with missing four days of work per month. However, as the court explained in Colvin v. Astrue , No. 09-CV-132 FJS/VEB,
CONCLUSION
For the foregoing reasons, the Commissioner's motion for judgment on the pleadings (Dkt. 15) is denied, Plaintiff's motion for judgment on the pleadings (Dkt. 11) is granted in part, and this matter is remanded for further administrative proceedings consistent with this Decision and Order, pursuant to
SO ORDERED.
When referencing the page number(s) of docket citations in this Decision and Order, the Court will cite to the CM/ECF-generated page numbers that appear in the upper righthand corner of each document.
The treating physician rule applies to claims filed before March 27, 2017.
Reference
- Full Case Name
- Jordan M. BARCO v. COMMISSIONER OF SOCIAL SECURITY
- Cited By
- 27 cases
- Status
- Published