SUZANNE H. SEGAL, Magistrate Judge.
Everette Eyre ("Plaintiff") brings this action seeking to reverse the decision of the Acting Commissioner of Social Security (the "Commissioner" or "Agency") denying his applications for Disability Insurance Benefits ("DIB") and Supplemental Security Income ("SSI"). The parties consented pursuant to 28 U.S.C. § 636(c) to the jurisdiction of the undersigned United States Magistrate Judge. (Dkt. Nos. 10-11, 13). For the reasons stated below, the decision of the Commissioner is REVERSED, and this case is REMANDED for further administrative proceedings consistent with this decision.
To qualify for disability benefits, a claimant must demonstrate a medically determinable physical or mental impairment that prevents the claimant from engaging in substantial gainful activity and that is expected to result in death or to last for a continuous period of at least twelve months.
To decide if a claimant is entitled to benefits, an Administrative Law Judge ("ALJ") conducts a five-step inquiry. 20 C.F.R. §§ 404.1520, 416.920. The steps are:
The claimant has the burden of proof at steps one through four and the Commissioner has the burden of proof at step five.
The ALJ employed the five-step sequential evaluation process and concluded that Plaintiff was not disabled within the meaning of the Act. (AR 15-27). At step one, the ALJ found that Plaintiff has not engaged in substantial gainful activity since January 1, 2009, the alleged onset date. (AR 18). At step two, the ALJ found that through June 30, 2009, the date last insured, there were no medical signs or laboratory findings to substantiate the existence of a medically determinable impairment. (AR 18). Thus, the ALJ determined that with regards to Plaintiff's DIB application, Plaintiff was not under a disability, as defined in the Social Security Act, from January 1, 2009, the alleged onset date, through June 30, 2009, the date last insured. (AR 19). With respect to Plaintiff's SSI application, the ALJ found at step two that Plaintiff's major degenerative disc disease of the cervical spine, status-post cervical fusion, and degenerative disc disease of the lumbar spine are severe impairments.
The ALJ then assessed Plaintiff's RFC and concluded that he can perform a full range of light work as defined in 20 C.F.R. § 416.967(b).
Under 42 U.S.C. § 405(g), a district court may review the Commissioner's decision to deny benefits. "[The] court may set aside the Commissioner's denial of benefits when the ALJ's findings are based on legal error or are not supported by substantial evidence in the record as a whole."
"Substantial evidence is more than a scintilla, but less than a preponderance."
Plaintiff raises three claims for relief: (1) the ALJ failed to properly consider the opinion of Plaintiff's treating orthopedist; (2) the ALJ failed to fully and fairly develop the record; and (3) the ALJ erred in finding that Plaintiff's spinal conditions do not meet Listing 1.04. (Dkt. No. 18).
Plaintiff's back pain began in 2002. (AR 398). He was rock climbing when he fell and hit his lower back against a rock. (AR 398). Three weeks later, he learned that he had broken his tailbone. (AR 398). Plaintiff's neck pain began in 2009 from playing football. (AR 398).
In September 2014, Plaintiff's primary care physician referred Plaintiff to Navdeep Loomba, M.D., a pain management specialist. (AR 398). Plaintiff reported that his pain, which he described as 3/10 up to 10/10, radiates from his neck into his head and from his low back into his hips, thighs, legs, and feet. (AR 398). He described the pain as aching, burning, sharp, throbbing, pressure, and pinching. (AR 398). Plaintiff's pain is aggravated by physical activity, movement, changing positions, bending, lifting, sitting, and lying down, and is relieved by rest and standing. (AR 398). His current pain medications include Norco, gabapentin, meloxicam, baclofen, naproxen, and tramadol.
Plaintiff received an epidural steroid injection on October 17, 2014. (AR 402). He reported some pain relief from the procedure, but complained that his pain medications are "not helping enough, causing side effects." (AR 402). On examination, Dr. Loomba noted antalgic gait, tenderness in paraspinal muscles, increased pain with flexion and extension of the spine, straight-leg test positive on left side, and tenderness in the left lower quadrant. (AR 403). He ordered a back brace and another epidural steroid injection, discontinued Norco due to side effects, started Percocet,
On January 20, 2015, Plaintiff reported minor pain relief from his recent epidural. (AR 407). He rated the severity of his pain as 4/10, aggravated by physical activity and movement and relieved somewhat with medications. (AR 407). On examination, Dr. Loomba found antalgic gait, tenderness in paraspinal muscles, increased pain with flexion and extension of the spine, straight-leg test positive on left side, and tenderness in left lower quadrant. (AR 408). Plaintiff declined more injections, reporting that they did not provide significant relief. (AR 408). Dr. Loomba discontinued Percocet due to side effects, stopped baclofen and gabapentin due to ineffectiveness, and started Fentanyl Patch.
In May 2016, Plaintiff was referred to Rajiv Puri, M.D., a Board-certified orthopedic surgeon. (AR 449, 510). Plaintiff, who assessed his pain as 10/10, reported a history of severe symptoms in the neck, radiating down the upper extremities causing numbness in the hands, and severe pain in the lower back, radiating down the left leg to the left foot. (AR 449). On examination, Plaintiff was tender over the cervical spine with limited range of motion in all directions, stinging sensation down his bilateral arms during rotation, hypoactive reflexes at both wrists, decreased sensation at C6 and C7, locally tender in the lumbar spine, right-sided lumbar scoliosis with mildly right-sided rib hump palpable, limited range of motion in the lumbar spine, positive root tension in the lower extremities, and hypoactive knee and ankle reflexes. (AR 449). An MRI of the cervical spine revealed severe degenerative disc disease at C4-5, C5-6 and C6-7, causing bilateral foraminal stenosis. (AR 449, 451;
Dr. Puri performed an anterior cervical discectomy and fusion on October 14, 2016. (AR 442-44). On October 26, Plaintiff reported residual pain in the back of his neck and in the lumbar spine. (AR 447). On examination, Plaintiff had marked limitation of motion in the cervical spine, numbness in hands, and tenderness and reduced range of motion in the lumbar spine. (AR 447). Dr. Puri diagnosed status post anterior cervical fusion from C4-C7 and degenerative disc disease in the lumbar spine with radicular pain in both legs, recommended physical therapy for Plaintiff's neck and lumbar spine surgery, and continued pain medications "as nothing else seems to help." (AR 447). Dr. Puri opined that Plaintiff would be unable to work for at least twelve months. (AR 447).
On November 7, 2016, Dr. Puri completed a medical opinion re: ability to do work-related activities (physical). (AR 310-12). Dr. Puri concluded that Plaintiff was unable to lift or carry ten pounds, could sit, stand, or walk less than two hours in an eight-hour workday, must change positions every fifteen minutes, and should lie down every three four hours. (AR 310-11). Due to Plaintiff's status post cervical fusion and degenerative disc disease in the lumbar spine, Plaintiff is unable to twist, stoop, crouch, or climb. (AR 311). Because of his neck surgery and radiation of pain to both hands, causing numbness and weakness, Plaintiff's ability to reach, handle, finger, feel, and push/pull are limited. (AR 311). Plaintiff should avoid all exposure to environmental factors. (AR 312). Dr. Puri noted that Plaintiff needs a cane to ambulate, needs to elevate legs to 90°, and is unable to kneel or balance. (AR 312). He opined that Plaintiff would likely miss more than three days a month due to his impairments. (AR 312). On November 16, Dr. Puri reiterated that Plaintiff would be unable to work for at least twelve months. (AR 317).
An ALJ must take into account all medical opinions of record. 20 C.F.R. §§ 404.1527(b), 416.927(b). The regulations "distinguish among the opinions of three types of physicians: (1) those who treat the claimant (treating physicians); (2) those who examine but do not treat the claimant (examining physicians); and (3) those who neither examine nor treat the claimant (nonexamining physicians)."
The medical opinion of a claimant's treating physician is given "controlling weight" so long as it "is well-supported by medically acceptable clinical and laboratory diagnostic techniques and is not inconsistent with the other substantial evidence in [the claimant's] case record." 20 C.F.R. §§ 404.1527(c)(2), 416.927(c)(2). "When a treating doctor's opinion is not controlling, it is weighted according to factors such as the length of the treatment relationship and the frequency of examination, the nature and extent of the treatment relationship, supportability, and consistency with the record."
"To reject an uncontradicted opinion of a treating or examining doctor, an ALJ must state clear and convincing reasons that are supported by substantial evidence."
The ALJ gave Dr. Puri's opinion "little weight":
(AR 25) (citation omitted).
The ALJ properly gave Dr. Puri's opinion less weight because it was based on only a few visits. (AR 25). "When a treating doctor's opinion is not controlling, it is weighted according to factors such as the length of the treatment relationship and the frequency of examination, the nature and extent of the treatment relationship, supportability, and consistency with the record."
Nevertheless, after a thorough review of the administrative record, the Court finds that the ALJ's other reasons for rejecting Dr. Puri's opinion were not supported by substantial evidence. First, the Court disagrees with the ALJ's characterization of the record. Contrary to the ALJ's assertion (AR 23), Plaintiff's examinations were not "largely unremarkable." Indeed, many of the records cited by the ALJ indicate otherwise. A physical examination in November 2013 indicated a positive straight leg raise bilaterally and multilevel degenerative disk disease. (AR 337). In July 2014, Plaintiff exhibited decreased range of motion in his lumbar spine. (AR 383). Similarly, at his consultative examination in January 2015, Plaintiff had significant reduced range of motion in his lumbar spine: flexion was 30° (normal is 60°), extension 10° (normal is 25°), side bending 15° (normal is 25°), and rotation 30° (normal is 80°).
The Court also disagrees with the ALJ's view of the efficacy of Plaintiff's pain medications. (AR 23). The ALJ found that Plaintiff has been offered but "does not generally or regularly[] take pain medications or has not been compliant with medications." (AR 23) (citation omitted). The evidence does indicate that Plaintiff was not always compliant with his medications. (AR 329, 391-92, 429-30, 413, 452, 544. However, these same records indicate that Plaintiff had developed allergies to opioids and other strong pain medications. (AR 402, 408, 429-30, 458, 543). Further, Plaintiff has a "high tolerance" to pain medications, indicating that even opioid medicines were largely ineffective. (AR 329). While Plaintiff's medications do provide "some benefit," as noted by the ALJ (AR 23), even when compliant Plaintiff still endures significant pain, which is aggravated by physical activity and movement. (AR 398, 400, 402-03, 407-08). Indeed, because the pain medications were largely ineffective, Plaintiff underwent cervical fusion surgery and has been recommended for lumbar spine surgery. (AR 447). "[A]n ALJ may not pick and choose evidence unfavorable to the claimant while ignoring evidence favorable to the claimant."
Second, Dr. Puri's opinion is supported by his own objective examinations. Even if a treating doctor's opinion is not controlling, the ALJ must consider the extent to which the opinion is supported by clinical and diagnostic examinations in determining the weight to give the opinion.
Finally, giving the State agency consultants' opinions "some weight" (AR 25) is problematic given that the they did not have the opportunity to review Dr. Puri's opinion. In January and April 2015, the consultants opined that Plaintiff was capable of a full range of heavy work. (AR 72-74, 84-85, 98-99, 110-11). Dr. Puri's examinations and opinion were not completed until November 2016 (AR 310-12), well after the consultants submitted their conclusions. Indeed, much of the medical record was submitted subsequent to the State agency consultants determining that Plaintiff was capable of heavy work. (
In sum, the ALJ failed to provide specific and legitimate reasons for rejecting Dr. Puri's opinion. On remand, the ALJ shall reevaluate the weight to be afforded Dr. Puri's opinion.
Plaintiff also argues that the ALJ failed to fully develop the record and to properly consider the applicability of Listing 1.04. (Dkt. No. 18 at 7-10). However, it is unnecessary to reach Plaintiff's arguments on these grounds, as the matter is remanded for the alternative reasons discussed at length in this Order. Nevertheless, if the ALJ finds appropriate reasons for not giving Dr. Puri's opinion controlling weight, the ALJ may not reject the opinion without providing specific and legitimate reasons supported by substantial evidence in the record. After proper consideration of Dr. Puri's opinion, the ALJ shall reconsider whether Plaintiff meets the requirements of Listing 1.04. If necessary, the ALJ shall consult a medical expert to reconcile the record evidence and various medical opinions.
Accordingly, IT IS ORDERED that Judgment be entered REVERSING the decision of the Commissioner and REMANDING this matter for further proceedings consistent with this decision. IT IS FURTHER ORDERED that the Clerk of the Court serve copies of this Order and the Judgment on counsel for both parties.