Jones ex rel. Jones v. Saul

SHANE JONES o/b/o MICHAEL T. JONES (deceased), Plaintiff, v. ANDREW M. SAUL, Commissioner of Social Security, Defendant.

19 Civ. 0418 (PED)

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

March 30, 2021

DECISION AND ORDER

PAUL E. DAVISON, U.S.M.J.

On or about January 15, 2019, plaintiff Michael T. Jones ("Mr. Jones") commenced this action pursuant to 42 U.S.C. § 405(g) challenging the decision of the Commissioner of Social Security (the "Commissioner") denying his application for benefits on the ground that he is not disabled within the meaning of the Social Security Act (the "SSA"), 42 U.S.C. §§ 423 et seq. Mr. Jones died on October 4, 2019. On January 13, 2020, the parties consented to my jurisdiction for all purposes pursuant to 28 U.S.C. § 636(c) (Dkt. #27). On July 6, 2020, I granted plaintiff's counsel's unopposed motion to substitute Shane Jones as plaintiff. Dkt. #47.

Presently before this Court are the parties' cross-motions for judgment on the pleadings pursuant to Rule 12(c) of the Federal Rules of Civil Procedure (Dkt. #32 (plaintiff's motion), #33 (plaintiff's memorandum of law), #48 (defendant's cross-motion), #49 (defendant's memorandum of law) and #52 (plaintiff's reply)). Plaintiff argues, as the basis for his motion, that the Administrative Law Judge ("ALJ"): (1) constructively reopened Mr. Jones's prior application; (2) incorrectly assessed Mr. Jones's severe and non-severe impairments; (3) incorrectly determined that Mr. Jones's impairments did not meet Listings 12.04, 12.06, 12.11 and 12.15; (4) failed to give controlling weight to the opinion of treating psychiatrist Dr. Al-Tariq; (5) erred in evaluating Mr. Jones's subjective allegations; (6) erred in evaluating Mr. Jones's Residual Functional Capacity ("RFC"); and (7) failed to demonstrate that there were a significant number of jobs in the national economy that Mr. Jones could perform. Dkt. #33, at 16-30. Defendant asserts, in response, that the ALJ applied the correct legal standards and that substantial evidence supports the ALJ's decision. Dkt. #49, at 16-29. For the reasons set forth below, plaintiff's motion is DENIED and defendant's motion is GRANTED.

I. BACKGROUND

The following facts are taken from the administrative record ("R.") of the Social Security Administration, filed by defendant on January 7, 2020 (Dkt. #21).

A. Application History

On July 12, 2013, Mr. Jones filed his first application for disability insurance benefits, alleging that he had been disabled since July 3, 2013 due to bipolar disorder, attention deficit hyperactivity disorder ("ADHD"), major depressive disorder and anxiety disorder. R. 10, 92, 97. That claim was administratively denied on October 2, 2013. R. 10, 92. Mr. Jones requested a hearing before an ALJ; a hearing was held on March 19, 2015 before ALJ Michael Rodriguez. Id. On August 5, 2015, the ALJ issued a written decision denying Mr. Jones's application. R. 92-102.

Mr. Jones filed the instant claim for disability insurance benefits on December 18, 2015, alleging that he had been disabled since August 6, 2015 due to major depression, anxiety disorder, bipolar disorder and ADHD. R. 107-08, 197. His claim was administratively denied on or about February 23, 2016. R. 124, 128. Mr. Jones requested a hearing before an ALJ; a hearing was held on October 18, 2017 before ALJ Laura Michalec Olszewski. R. 28-57, 136.Mr. Jones appeared with counsel and testified at the hearing. R. 28, 34-52.¹ On January 29, 2018, the ALJ issued a written decision in which she concluded that Michael Jones was not disabled within the meaning of the Social Security Act ("SSA"). R. 10-22. The ALJ's decision became the final order of the Commissioner on November 20, 2018, when the Appeals Council denied plaintiff's request for review. R. 1-6. This action followed.

B. Mental Health Treatment

On December 22, 2014, Mr. Jones underwent an initial assessment at the Sullivan County Department of Community Services Division of Health and Family Services ("SCHFS"). R. 322-28. He reported that he was on probation for assault and harassment (he assaulted his brother, who was having an affair with Mr. Jones's wife). R. 322. Mr. Jones complained of chronic depression and anxiety, unexplained mood swings and difficulty sleeping. Id. He stated that his depression and anxiety started at the age of seven, when he found out his step-father (who was also his paternal uncle) was sexually abusing his five-year-old sister. Id. Mental status examination findings were as follows:

The client appears stated age. He is well oriented in all spheres. Regarding level of consciousness, he appears calm. Affect is appropriate. Mood is depressed. He presented himself in a neatly dressed and well-groomed fashion. Eye contact can be described as poor. His speech is minimal. Recent memory appears mildly impaired. Remote memory is mildly impaired. Psychomotor activity can be characterized by normal movements and activity level. There is a negligible degree of conceptual disorganization evident. His thought content is characterized by no significant preoccupations. Regarding perceptual functioning, the client denies hallucinations and none evident. Attitude can be described as cooperative and interested. As far as insight is concerned, the client verbalizes awareness of problems and sees consequences. Judgment is fair. Attention/Concentration is characterized by distractibility. Regarding impulse control the client acts without considering alternatives (sometimes). Suicide Assessment: Current ideations-denied. Lethality Assessment: None. HomicidalAssessment: Current ideations-denied.

R. 323-24. Mr. Jones's primary diagnosis was bipolar disorder. R. 323.

On February 20, 2015, Mr. Jones was brought by ambulance to the Bon Secours Community Hospital emergency room. R. 292. He complained of increasing depression and anxiety with panic attacks for the past two weeks. Mr. Jones reported that he was receiving mental health treatment from Dr. Al-Tariq [at SCHFS], who diagnosed bipolar depression, anxiety and ADHD. R. 302. Mr. Jones was compliant with his medications (Prozac, Adderall and Seroquel) and stated that they "are working." R. 302, 329. However, he felt like he had "bottomed out" and was seeking additional help; Dr. Gill authorized a voluntary admission. Id. Upon mental status examination, Mr. Jones was alert, attentive, friendly, cooperative and had "some insight into his condition." R. 303. His affect was blunt and his speech was delayed; he was "slowed and withdrawn." Id. He was not agitated, aggressive, hyperactive, hallucinating or suicidal. Id. Mr. Jones was discharged five days later (February 25, 2015), with instructions to continue medications and mental health treatment. R. 305. According to the discharge notes:

The patient started doing much better, sleeping better. He was not showing as much anxiety as he was before and his psychomotor activity also improved. Energy level improved. His affect is appropriate. Mood euthymic. Denies suicidal or homicidal thoughts. No hallucinations or delusions elicited and memory intact. Judgment and insight improved, . . . .

Id.

On May 21, 2015, SCHFS issued Mr. Jones's quarterly treatment plan. R. 329-33. Mental status examination findings were as follows:

The client appears stated age. He is well oriented in all spheres. Regarding level of consciousness, he appears calm. Affect is flat. Mood is depressed. He presented himself in a neatly dressed and well-groomed fashion. Eye contact can be described as good. His speech is impoverished. Recent memory appears normal. Remote memory is mildly impaired. Psychomotor activity can becharacterized by psychomotor retardation. Regarding conceptual disorganization, there is none evident. His thought content is characterized by no significant preoccupations. Regarding perceptual functioning, the client denies hallucinations and none evident. Attitude can be described as open and cooperative. As far as insight is concerned, the client verbalizes awareness of problems and sees consequences. Judgment is intact (at this time). Attention/Concentration is characterized by distractibility. Regarding impulse control the client acts without considering alternatives (sometimes). Suicide Assessment: Current ideations-denied. Lethality Assessment: None. Homicidal Assessment: Current ideations-denied.

R. 332-33.

On August 13, 2015, Mr. Jones saw Dr. Quazi Al-Tariq at SCHFS. R. 334-35. Mr. Jones's mental status examination findings were identical to those on May 21, 2015. R. 334. Dr. Al-Tariq noted:

Pt is making progress with meds. Sleep and appetite are fair. There is no [hostility] and no depression. He says he is not able to relax or focus without Adderall. Denies any plan to hurt self and others. He is in good health. There [are] no side effects from the meds. Plan continue all the meds.

Id.

On September 21, 2015, Dr. Al-Tariq noted no changes in Mr. Jones's mental status examination. R. 336. According to Dr. Al-Tariq, Mr. Jones's activities of daily living ("ADLs") were "fair" and he was anxious, but he was "feeling well on meds" and not experiencing any side effects. Id.

On October 27, 2015, Mr. Jones's mental status examination remained unchanged. R. 338. Dr. Al-Tariq noted that Mr. Jones was angry at his brother and that he "tend[ed] to believe his wife drugged him while sleeping with his brother." Id. On November 10, 2015, the SCHFS quarterly plan for Mr. Jones reflected no changes in his mental status examination findings. R. 345-49. The same mental status examination findings were again reported on December 1, 2015, at which time Dr. Al-Tariq noted that Mr. Jones was tense and having trouble sleeping, buthis insight and judgment were improving. R. 340.

Mr. Jones's mental status examination findings remained unchanged through March 2016. R. 365, 367, 369. On January 7, 2016, Dr. Al-Tariq noted that Mr. Jones was making good progress with his medication (no mood swings, sleeping well,...