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Smith v. Colvin

United States District Court, W.D. New York

February 7, 2017




         I. Introduction

         Represented by counsel, Michael Smith (“plaintiff”) brings this action pursuant to Titles II and XVI of the Social Security Act (“the Act”), seeking review of the final decision of the Commissioner of Social Security (“the Commissioner”) denying his applications for disability insurance benefits (“DIB”) and supplemental security income (“SSI”). The Court has jurisdiction over this matter pursuant to 42 U.S.C. § 405(g). Presently before the Court are the parties' cross-motions for judgment on the pleadings pursuant to Rule 12(c) of the Federal Rules of Civil Procedure. For the reasons discussed below, plaintiff's motion is granted to the extent that this matter is remanded to the Commissioner for further administrative proceedings consistent with this decision and order.

         II. Procedural History

         The record reveals that in August 2013, plaintiff (d/o/b December 12, 1965) applied for DIB and SSI, alleging disability as of August 10, 2012. After his application was denied, plaintiff requested a hearing, which was held before administrative law judge Robert T. Harvey (“the ALJ”) on August 13, 2014. The ALJ issued an unfavorable decision on August 21, 2014. The Appeals Council denied review of the ALJ's decision and this timely action followed.

         III. The ALJ's Decision

         Initially, the ALJ found that plaintiff met the insured status requirements of the Act through March 31, 2016. At step one of the five-step sequential evaluation process, see 20 C.F.R. §§ 404.1520, 416.920, the ALJ determined that plaintiff had not engaged in substantial gainful activity since August 10, 2012, the alleged onset date. At step two, the ALJ found that plaintiff suffered from the severe impairments of status post left shoulder reconstruction, impulse control disorder, antisocial personality disorder, substance disorder, and discogenic cervical spine. At step three, the ALJ found that plaintiff did not have an impairment or combination of impairments that met or medically equaled a listed impairment. In considering plaintiff's mental impairments, the ALJ found that plaintiff had mild restrictions in activities of daily living (“ADLs”) and maintaining concentration, persistence, or pace, and moderate difficulties in social functioning.

         The ALJ placed the following pertinent nonexertional limitations on plaintiff's residual functional capacity (“RFC”): “occasional limitations in the ability to understand, remember and carry out detailed instructions; occasional limitations in the ability to interact appropriately with the public; occasional limitations in the ability to deal with stress; and occasional limitations in the ability to make decisions.” T. 22. At step four, the ALJ found that plaintiff was unable to perform past relevant work. At step five, the ALJ determined that considering plaintiff's age, education, work experience, and RFC, jobs existed in significant numbers in the national economy which plaintiff could perform.

         IV. Discussion

         A district court may set aside the Commissioner's determination that a claimant is not disabled only if the factual findings are not supported by “substantial evidence” or if the decision is based on legal error. 42 U.S.C. § 405(g); see also Green-Younger v. Barnhart, 335 F.3d 99, 105-06 (2d Cir. 2003). “Substantial evidence means ‘such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.'” Shaw v. Chater, 221 F.3d 126, 131 (2d Cir. 2000).

         Plaintiff's sole contention is that the ALJ's RFC assessment conflicts with the relevant medical opinions regarding plaintiff's mental limitations. The record reveals that plaintiff was treated at Lakeshore Behavioral Health from approximately July 2013 through August 2014. His treating mental health counselor, Earnest Donaldson, LMHC, submitted a mental RFC questionnaire in September 2013, reporting that plaintiff suffered from bipolar disorder and antisocial personality disorder. However, LMHC Donaldson declined to fill out any of the functional areas of the form. On August 1, 2014, LMHC Donaldson submitted a letter, stating that he declined to give a functional assessment because he did “not not observe or have any opportunity to determine how [plaintiff] responds in a work environment.” T. 431.

         On October 16, 2013, state agency psychologist Dr. Susan Santarpia completed a consulting psychiatric evaluation. Dr. Santarpia opined that plaintiff “present[ed] as able to follow and understand simple directions and instructions, perform simple tasks independently, maintain attention and concentration, maintain a regular schedule, and learn new tasks within normal limits.” T. 354. According to Dr. Santarpia, plaintiff demonstrated mild impairment “performing complex tasks independently and appropriately dealing with stress, ” and moderate impairment “in making appropriate decisions and relating adequately with others.” T. 354-55. She opined that plaintiff's “[d]ifficulties [were] caused by distractibility.” Id.

         In a mental RFC assessment performed by reviewing psychologist Dr. Joel Straussner, Dr. Straussner opined that plaintiff was moderately limited in interacting with coworkers and the general public. Dr. Straussner additionally opined, as relevant here, that plaintiff was moderately limited in accepting instructions and responding appropriately to criticism from supervisors, as well as getting along with coworkers or peers without distracting them or causing behavioral extremes.

         The ALJ gave some weight to Dr. Santarpia's consulting opinion, stating specifically that he gave little weight to her opinion that plaintiff's prognosis was “guarded, as the record reflect[ed] that the claimant's condition could improve when he [was] compliant with treatment and refrain[ed] from abusing substances.” T. 25-26. The ALJ explained that he considered plaintiff less than fully credible as to his allegations of mental health limitations, citing Dr. Santarpia's unremarkable findings on consulting examination and the overall consistency of Dr. Santarpia's findings with plaintiff's mental health treatment record, during which plaintiff was assessed with, at most, moderate symptoms as indicated by GAF scores.[1] The ALJ did not explicitly weigh ...

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