WORSLEY v. COLVIN
Filing
14
ORDER granting in part and denying in part 9 Plaintiff's Motion for Summary Judgment and denying 11 Defendant's Motion for Summary Judgment, and the case is remanded for further evaluation in light of this Order. Signed by Judge Alan N. Bloch on 3/30/2017. (lwp)
IN THE UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF PENNSYLVANIA
CHERYL LYNN WORSLEY,
)
)
)
)
) Civil Action No. 15-1635
)
)
)
)
)
)
Plaintiff,
v.
CAROLYN W. COLVIN, ACTING
COMMISSIONER OF SOCIAL SECURITY,
Defendant.
ORDER
AND NOW, this 30th day of March, 2017, upon consideration of Defendant’s Motion for
Summary Judgment (Doc. No. 11), filed in the above-captioned matter on May 20, 2016,
IT IS HEREBY ORDERED that said Motion is DENIED.
AND, further, upon consideration of Plaintiff’s Motion for Summary Judgment (Doc. No.
9), filed in the above-captioned matter on April 20, 2016,
IT IS HEREBY ORDERED that said Motion is GRANTED IN PART and DENIED IN
PART. Specifically, Plaintiff’s Motion is granted to the extent that is seeks remand to the
Commissioner of Social Security (“Commissioner”) for further evaluation as set forth below, and
denied in all other respects. Accordingly, this matter is hereby remanded to the Commissioner
for further evaluation under sentence four of 42 U.S.C. § 405(g) in light of this Order.
I.
Background
On October 12, 2012, Plaintiff Cheryl Lynn Worsley filed a claim for disability insurance
benefits under Title II of the Social Security Act, 42 U.S.C. §§ 401 et seq. Specifically, Plaintiff
1
claimed that she became disabled on October 23, 2011, due to degenerative disc disease, facet
syndrome, fibromyalgia, osteoarthritis, depression, and anxiety disorder. (R. 186, 187).
After being denied initially on April 26, 2013, Plaintiff sought, and obtained, a hearing
before an Administrative Law Judge (“ALJ”) on May 23, 2014. (R. 26-90). In a decision dated
July 23, 2014, the ALJ denied Plaintiff’s request for benefits. (R. 9-25). The Appeals Council
declined to review the ALJ’s decision on October 14, 2015. (R. 1-5). Plaintiff filed a timely
appeal with this Court, and the parties have filed cross-motions for summary judgment.
II. Standard of Review
Judicial review of a social security case is based upon the pleadings and the transcript of
the record. See 42 U.S.C. § 405(g). The scope of review is limited to determining whether the
Commissioner applied the correct legal standards and whether the record, as a whole, contains
substantial evidence to support the Commissioner's findings of fact. See Matthews v. Apfel, 239
F.3d 589, 592 (3d Cir. 2001) (noting that “‘[t]he findings of the Commissioner of Social Security
as to any fact, if supported by substantial evidence, shall be conclusive’” (quoting 42 U.S.C.
§ 405(g))); Schaudeck v. Comm’r of Soc. Sec. Admin., 181 F.3d 429, 431 (3d Cir. 1999) (stating
that the court has plenary review of all legal issues, and reviews the ALJ's findings of fact to
determine whether they are supported by substantial evidence).
“Substantial evidence” is defined as “‘more than a mere scintilla. It means such relevant
evidence as a reasonable mind might accept as adequate’” to support a conclusion. Plummer v.
Apfel, 186 F.3d 422, 427 (3d Cir. 1999) (quoting Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir.
1995)). However, a “‘single piece of evidence will not satisfy the substantiality test if the
[Commissioner] ignores, or fails to resolve, a conflict created by countervailing evidence.’”
Morales v. Apfel, 225 F.3d 310, 317 (3d Cir. 2000) (quoting Kent v. Schweiker, 710 F.2d 110,
2
114 (3d Cir. 1983)). “‘Nor is evidence substantial if it is overwhelmed by other evidence—
particularly certain types of evidence (e.g., that offered by treating physicians)—or if it really
constitutes not evidence but mere conclusion.’” Id.
A disability is established when the claimant can demonstrate some medically
determinable basis for an impairment that prevents him or her from engaging in any substantial
gainful activity for a statutory twelve-month period. See Fargnoli v. Massanari, 247 F.3d 34, 3839 (3d Cir. 2001). “A claimant is considered unable to engage in any substantial gainful activity
‘only if 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 . . . .’”
Id. at 39 (quoting 42 U.S.C. § 423(d)(2)(A)).
The Social Security Administration has promulgated regulations incorporating a five-step
sequential evaluation process for determining whether a claimant is under a disability as defined
by the Act. See 20 C.F.R. § 404.1520. In Step One, the Commissioner must determine whether
the claimant is currently engaging in substantial gainful activity. See 20 C.F.R.
§ 404.1520(a)(4)(i). If so, the disability claim will be denied. See Bowen v. Yuckert, 482 U.S.
137, 140 (1987). If not, the second step of the process is to determine whether the claimant is
suffering from a severe impairment. See 20 C.F.R. § 404.1520(a)(4)(ii). “An impairment or
combination of impairments is not severe if it does not significantly limit [the claimant’s]
physical or mental ability to do basic work activities.” 20 C.F.R. § 404.1522. If the claimant
fails to show that his or her impairments are “severe," he or she is ineligible for disability
benefits. If the claimant does have a severe impairment, however, the Commissioner must
proceed to Step Three and determine whether the claimant’s impairment meets or equals the
3
criteria for a listed impairment. See 20 C.F.R. § 404.1520(a)(4)(iii). If a claimant meets a
listing, a finding of disability is automatically directed. If the claimant does not meet a listing,
the analysis proceeds to Steps Four and Five.
Step Four requires the ALJ to consider whether the claimant retains the residual
functional capacity (“RFC”) to perform his or her past relevant work, see 20 C.F.R.
§ 404.1520(a)(4)(iv), and the claimant bears the burden of demonstrating an inability to return to
this past relevant work, see Adorno v. Shalala, 40 F.3d 43, 46 (3d Cir. 1994). If the claimant is
unable to resume his or her former occupation, the evaluation then moves to the fifth and final
step.
At this stage, the burden of production shifts to the Commissioner, who must demonstrate
that the claimant is capable of performing other available work in the national economy in order
to deny a claim of disability. See 20 C.F.R. § 404.1520(a)(4)(v). In making this determination,
the ALJ should consider the claimant’s RFC, age, education, and past work experience. See id.
The ALJ must further analyze the cumulative effect of all the claimant’s impairments in
determining whether he or she is capable of performing work and is not disabled. See 20 C.F.R.
§ 404.1523.
III.
The ALJ's Decision
In the present case, the ALJ found that Plaintiff had not been engaged in substantial
gainful activity since October 23, 2011. (R. 14). The ALJ also found that Plaintiff met the
second requirement of the process insofar as she had certain severe impairments, specifically,
degenerative disc disease, fibromyalgia, major depressive disorder, and panic disorder. (R. 14).
The ALJ further concluded that Plaintiff’s impairments did not meet any of the listings that
would satisfy Step Three. (R. 14).
4
The ALJ next found that Plaintiff retained the RFC to perform light work as defined in 20
C.F.R. § 404.1567(b), except that she is limited to no more than occasional postural activities; is
able to sit, stand, or walk, each for a total of six hours of an eight-hour work day; is limited to
simple, routine, and repetitive one-two-step tasks that involve only simple decision-making and
few, if any, workplace changes; may not perform tandem tasks; and is limited to no more than
occasional interaction with supervisors, coworkers, and members of the general public. (R. 16).
At Step Four, the ALJ found that Plaintiff is unable to perform any past relevant work, and he
moved on to Step Five. (R. 19). The ALJ then used a vocational expert (“VE”) to determine
whether or not a significant number of jobs existed in the national economy that Plaintiff could
perform. The VE testified that, based on Plaintiff’s age, education, work experience, and RFC,
Plaintiff could perform jobs that exist in significant numbers in the national economy, such as
laundry folder, remnant sorter, and cleaner. (R. 20). Accordingly, the ALJ found that Plaintiff
was not disabled. (R. 20-21).
IV. Legal Analysis
Plaintiff raises several arguments as to why she believes that the ALJ erred in finding her
to be not disabled. While the Court does not fully agree with the arguments set forth by Plaintiff,
it does agree that remand is warranted in this case. Specifically, because the Court finds that the
ALJ mischaracterized or misconstrued certain facts in the record in assessing Plaintiff’s
credibility and in formulating her RFC, the Court cannot find that Plaintiff’s RFC is supported by
substantial evidence. Accordingly, the Court will remand the case for further consideration.
RFC is defined as “‘that which an individual is still able to do despite the limitations
caused by his or her impairment(s).’” Fargnoli, 247 F.3d at 40 (quoting Burnett v. Comm’r of
Soc. Sec. Admin., 220 F.3d 112, 121 (3d Cir. 2000)); see also 20 C.F.R. § 404.1545(a). Not only
5
must an ALJ consider all relevant evidence in determining an individual’s RFC, the RFC finding
“must ‘be accompanied by a clear and satisfactory explication of the basis on which it rests.’”
Fargnoli, 247 F.3d at 41 (quoting Cotter v. Harris, 642 F.2d 700, 704 (3d Cir. 1981)). “‘[A]n
examiner’s findings should be as comprehensive and analytical as feasible and, where
appropriate, should include a statement of subordinate factual foundations on which ultimate
factual conclusions are based, so that a reviewing court may know the basis for the decision.’”
Id. (quoting Cotter, 642 F.2d at 705); see also SSR 96-8p, 1996 WL 374184, at *7 (July 2, 1996)
(“The RFC assessment must include a narrative discussion describing how the evidence supports
each conclusion, citing specific medical facts (e.g., laboratory findings) and nonmedical
evidence (e.g., daily activities, observations).”).
In formulating Plaintiff’s RFC, the ALJ determined that, after considering all of the
evidence, Plaintiff’s “medically determinable impairments could reasonably be expected to cause
the alleged symptoms; however, [Plaintiff’s] statements concerning the intensity, persistence and
limiting effects of these symptoms are not entirely credible” for the reasons that he explained in
his decision. (R. 18). In supporting his credibility finding, however, the ALJ made certain
erroneous statements—and reached some questionable conclusions—regarding the evidence of
record.
For example, Plaintiff testified at her administrative hearing that she thinks that she was
diagnosed with fibromyalgia in 2004. (R. 46). However, in his review of Plaintiff’s alleged
impairments, the ALJ erroneously stated that Plaintiff had testified that she was diagnosed with
fibromyalgia in 2014. (R. 17). Also, in explaining how, in his opinion, the evidence of record
fails to fully support Plaintiff’s allegation of disability, the ALJ again erroneously asserted that
Plaintiff had testified that she was diagnosed with fibromyalgia in 2014, rather than in 2004.
6
(R. 18). The ALJ further explained that, elsewhere in the record, Plaintiff alleged a 16-year
history of fibromyalgia and degenerative disc disease, which he implied conflicts with this very
recent diagnosis of fibromyalgia from 2014. (R. 18). Because Plaintiff never testified that she
was not diagnosed until 2014, her diagnosis date does not present the contradiction that the ALJ
implies, and the ALJ clearly erred in relying on this factor in assessing Plaintiff’s credibility.
Also in justifying his evaluation of Plaintiff’s credibility, the ALJ asserted that, although
there were minimal findings on Plaintiff’s diagnostic imaging, she reported to the consultative
examiner that she suffered from a herniated disc in her thoracic spine. (R. 18). In actuality, the
evaluation states that Plaintiff had x-rays and an MRI and “was told” that she had a herniated
disc in her thoracic spine. (R. 339). The ALJ further contended that, although Plaintiff
complained of mid-back pain, “the documentary evidence discloses no diagnostic imaging of
[Plaintiff’s] thoracic spine.” (R. 18). In fact, the ALJ is mistaken here because the record
actually contains two MRIs of Plaintiff’s thoracic spine, one from 2009 and one from 2010.
(R. 615-16, 619-20). Moreover, various treatment records from Advanced Pain Medicine
include assessments of “HNP thoracic,” which are an indication of a herniated thoracic disc.
(R. 246, 267, 273, 285, 288, 291, 294, 300, 303). Thus, considering the above-listed evidence,
Plaintiff could reasonably have believed that she has a herniated disc when she reported to the
consultative examiner that that was what she had been told. Therefore, the Court finds that the
ALJ erred in his consideration of the evidence of record on this issue as well.
Finally, the ALJ also found damaging to Plaintiff’s credibility the fact that, even though
she was advised on June 3, 2013, that she did not satisfy the diagnostic criteria for lupus or a
connective tissue disease, she told her psychotherapist two days later that she “found out that she
might have Lupus.” (R. 19, 496). While it is true that Plaintiff’s medical records indicate tests
7
showed that she did “not satisfy the ACR criteria for lupus,” and that the “[i]mplications of the
positive ANA” were discussed with her, the records also reveal that further evaluation was
recommended (consisting of lab work including connective tissue disease antibodies,
complement levels and acute phase reactants), that further decisions would be made when
investigations became available for review, and that she would call to discuss the results of her
lab work in 2-3 weeks. (R. 440). Thus, because her test results appear to have been inconclusive
at that point in time, and because she was about to undergo further testing, Plaintiff could
reasonably have believed that later testing might still have shown that she has lupus. It also
seems understandable, since her diagnosis remained unclear, for Plaintiff to have told her
psychotherapist that she might have lupus. It is the opinion of the Court that, in singling out this
statement to demonstrate Plaintiff’s lack of credibility, the ALJ held Plaintiff, a layperson, to an
unreasonably high standard with regard to the expectations for understanding the implications of
the medical tests being conducted and the diagnoses being considered.
The Court thus finds that the ALJ’s recitation of the evidence relied upon in assessing
Plaintiff’s credibility contained several mischaracterizations and unreasonable interpretations.
The Court finds that these errors call into question the appropriateness of the ALJ’s credibility
finding, and the RFC formulated by the ALJ is, therefore, not supported by substantial evidence.
Thus, remand is required to allow for further discussion as to the ALJ’s assessment of Plaintiff’s
credibility and his evaluation of Plaintiff’s RFC.
Additionally, although the Court takes no position as to Plaintiff’s remaining issues, the
ALJ should, of course, ensure that proper weight be accorded to the various opinion and medical
evidence presented in the record, and he should verify that his conclusions concerning Plaintiff’s
RFC are adequately explained, in order to eliminate the need for any future remand.
8
V.
Conclusion
In short, because the ALJ mischaracterized or misconstrued certain evidence in the
record—evidence upon which he clearly relied in evaluating Plaintiff’s credibility and in
ultimately determining Plaintiff’s RFC—the Court finds that substantial evidence does not
support the ALJ’s decision in this case. The Court hereby remands this case to the ALJ for
reconsideration consistent with this Order.
s/ Alan N. Bloch
United States District Judge
ecf:
Counsel of record
9
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
Why Is My Information Online?