SHASHI H. KEWALRAMANI, Magistrate Judge.
Plaintiff A.S.
Plaintiff filed an application for SSI on October 13, 2013, alleging disability beginning on August 15, 2013. Transcript ("Tr.") 54, 143-51.
The reviewing court shall affirm the Commissioner's decision if the decision is based on correct legal standards and the legal findings are supported by substantial evidence in the record. 42 U.S.C. § 405(g);
"`When evidence reasonably supports either confirming or reversing the ALJ's decision, [the Court] may not substitute [its] judgment for that of the ALJ.'"
To establish whether a claimant is disabled under the Act, it must be shown that:
The ALJ employs a five-step sequential evaluation process to determine whether a claimant is disabled within the meaning of the Act.
The five steps are:
The ALJ found at step one, that "[Plaintiff] has not engaged in [SGA] since October 3, 2013, the application date (20 CFR 416.971
In preparation for step four, the ALJ found that Plaintiff has the residual functional capacity ("RFC") to:
In this appeal, Plaintiff raises only one issue: whether the ALJ properly rejected Plaintiff's symptom testimony. ECF No. 23, Joint Stipulation at 4.
The ALJ observed Plaintiff's statements in his disability report that Plaintiff's "pain has worsened[,] . . . that he is in excruciating pain[,] . . . that he is not able to sit, stand, walk or lie down for too long, and that it takes longer for him to care for his personal needs." Tr. 18 (citing Tr. 188-93, 196-201). The ALJ also observed that Plaintiff "noted in his exertional activities questionnaire that he has massive back pain at all times, that he does not do any activities, that he can't perform any chores; and that he needs naps from poor sleep from tossing and turning."
The ALJ then found that Plaintiff's "medically determinable impairments could be expected to cause the alleged symptoms; however, [Plaintiff's] statements concerning the intensity, persistence and limiting effects of these symptoms are not entirely consistent with the medical evidence and other evidence in the record for the reasons explained in this decision." Tr. 18. The ALJ provided three reasons for rejecting Plaintiff's symptom statements.
First, the ALJ discussed Plaintiff's symptom statements and noted medical evidence that, according to the ALJ, apparently contradicted Plaintiff's statements. Specifically, the ALJ noted that despite claiming to be "limited physically because of his back disorder[,] . . . [Plaintiff] presented with a normal nerve conduction study." Tr. 18 (citing Tr. 249). Additionally, the ALJ noted that Plaintiff "ha[d] a negative straight leg raising test in spite of the notations of decreased sensation and some weakness in July 2013."
Second, the ALJ noted that Plaintiff stopped working in 2006, but did not allege disability until August 2013 and "[t]he file shows no specific worsening of his physical condition as of August 2013 that would explain the discrepancy in [Plaintiff's] actual work cessation and his alleged onset date." Tr. 18-19.
Finally, the ALJ considered Plaintiff's activities of daily living ("ADLs") and found that despite alleging that "he is essentially unable to perform any routine activity" in his exertional questionnaire, Plaintiff's "testimony notes the capacity to contribute with some chores and other routine tasks." Tr. 19 (citing Tr. 183-85).
Plaintiff argues that "[t]he ALJ improperly rejected [his] symptom testimony for lack of ongoing objective findings when he continued to receive treatment demonstrating ongoing symptoms." ECF No. 23, Joint Stipulation at 9. Plaintiff adds that the "record contains no evidence from a consultative examination who could have provided further insight into [Plaintiff's] ongoing condition" and "[t]he more recent records are ambiguous in that they do not confirm or deny the objective findings the ALJ seeks."
Defendant responds by arguing that "[t]he ALJ's decision contains a complete evaluation of Plaintiff's testimony and discussion of the evidence supporting the ALJ's conclusions, which is reasonable and free from legal error."
When a claimant has medically documented impairments that "might reasonably produce the symptoms or pain alleged and there is no evidence of malingering, the ALJ must give `specific, clear, and convincing reasons for rejecting' the testimony by identifying `
"The ALJ may consider inconsistencies either in the claimant's testimony or between the testimony and the claimant's conduct."
The Court addresses each of the three reasons provided by the ALJ for rejecting Plaintiff's symptom statements, and finds that none of the reasons are clear and convincing and supported by substantial evidence.
With respect to the ALJ's first finding—that Plaintiff's statements are not credible because Plaintiff's symptom statements are contradicted by findings in the medical record—the record does not support this finding.
For example, the ALJ found that despite claiming to be "limited physically because of his back disorder[,] . . . [Plaintiff] presented with a normal nerve conduction study." Tr. 18 (citing Tr. 249). A close inspection of the report cited by the ALJ, however, reveals that the nerve conduction study tested only Plaintiff's right peroneal, tibial, and sural nerves, all of which are in Plaintiff's lower right leg. Tr. 249. Thus, it does not follow that Plaintiff's statements relating to the limitations he experiences as a result of his back disorder, are not credible because one nerve conduction study performed on Plaintiff's lower right leg revealed normal findings.
This finding also fails for an additional reason. The next record cited by the ALJ—for the proposition that Plaintiff's symptom statements were not credible because Plaintiff "ha[d] a negative straight leg raising test in spite of the notations of decreased sensation and some weakness in July 2013"—reveals significant neurological findings in Plaintiff's back that the ALJ did not discuss. Tr. 18 (citing 280-82). Moreover, the second report cited by the ALJ was dated July 18, 2013— just one month after the June 2013 nerve conduction study of Plaintiff's leg discussed above. Tr. 282.
Specifically, in the July 2013 report, spinal surgery specialist, Dr. Kambiz Hannani, M.D., interpreted MRI images of Plaintiff's back that, Dr. Hannani opined, revealed "a conjoined nerve root at L4-5 with significant lateral recess stenosis getting the right L5 nerve root . . . [and] a small disk protrusion at the S1 level which just touches the right S1 nerve root."
Accordingly, because the report cited by the ALJ pertained to Plaintiff's lower right leg and not his back, and because a report prepared by a spinal surgery specialist dated only one month after the nerve conduction study of Plaintiff's leg revealed significant neurological problems with Plaintiff's back, the Court finds that the ALJ's reliance on the former, while ignoring the findings in the latter, was not a clear and convincing reason supported by substantial evidence for finding Plaintiff's statements not credible.
Similarly unpersuasive was the ALJ's second finding, noted above, that Plaintiff's statements were not credible because Plaintiff "ha[d] a negative straight leg raising test in spite of the notations of decreased sensation and some weakness in July 2013." Tr. 18 (citing 280-82). A close inspection of the record cited by the ALJ in support of this finding, reveals no such negative straight leg raising test. Rather, the record states that Plaintiff's "[s]traight-leg-raise testing on the right side causes severe pain down [Plaintiff's] right leg at about 80 degrees." Tr. 281. Therefore, because Plaintiff's straight-leg-test revealed severe pain, rather than a negative result as the ALJ found, the Court finds that the ALJ's reliance on this record does not constitute a clear and convincing reason supported by substantial evidence for finding Plaintiff's statements not credible.
Finally, with respect to the ALJ's finding that Plaintiff's symptom statements are not credible because "[m]ore recent examinations showed evidence of continued back pa[i]n, but they lacked the continued findings of weakness and diminished sensation in the lower extremities[,]" the record does not support this conclusion. Tr. 18 (citing Tr. 317-42). Roughly half of the pages in the record cited by the ALJ in support of this finding are lab results indicating Plaintiff's heart rate and blood test results, and a progress note from urgent care when Plaintiff presented with the flu, none of which are relevant to Plaintiff's statements regarding weakness and diminished sensation in his lower extremities.
For example, reports in the exhibit cited by the ALJ range from July 2014 to January 2016, and document "numbness" and "weakness" in Plaintiff's right leg, lower back pain that radiated to Plaintiff's legs, muscle pain, tenderness, "body pain—all over[,]" which Plaintiff rated between at nine and ten out of a ten point scale, and for which Plaintiff was prescribed Norco, Gabapentin, Cyclobenzaprine, and Naproxen and given injections to treat. Tr. 328, 329, 330, 337, 338, 339, 341. Moreover, none of the records in this page range note a decrease of the symptoms noted by the ALJ. Therefore, because the records cited by the ALJ demonstrate continued findings of weakness and numbness in Plaintiff's lower extremities, and pain throughout Plaintiff's entire body, the Court finds that the ALJ's contrary conclusion was not a clear and convincing reason supported by substantial evidence for rejecting Plaintiff's symptom statements.
With respect to the ALJ's second finding—that Plaintiff's statements were not credible because Plaintiff stopped working in 2006, alleged disability in 2013, and "[t]he file shows no specific worsening of his physical condition as of August 2013 that would explain the discrepancy in [Plaintiff's] actual work cessation and his alleged onset date"—the Court finds that the Agency needs to reexamine this finding. Tr. 18-19.
In addition to the evidence discussed above, which spans throughout the relevant time period from July 2013 to January 2016, and documents physical symptoms so severe that Plaintiff was prescribed narcotic pain medications and muscle relaxers to treat them, Plaintiff's testimony at the May 2016 administrative hearing also indicates an increase of mental and physical symptoms during the relevant time period.
Specifically, Plaintiff testified at the hearing that he was not able to work "[b]ecause right now [he] felt [he] ha[d] so much pain in [his] body. He ha[d] a lot of depression, [and] anxiety . . . and can't sleep." Tr. 37. Plaintiff testified that his primary doctor began prescribing him medication for his depression about "three, [or] four years ago[,]" but that they did not help him. Tr. 40. Three or four years before the May 2016 hearing would be May 2012 or 2013. Thus, this evidence indicates that Plaintiff's pain caused depression, anxiety and a loss of sleep, which Plaintiff's primary doctor began prescribing medication to treat, at roughly the same time that Plaintiff alleged that he became disabled, and that the ALJ found that there was no specific evidence to support Plaintiff's alleged onset date.
Similarly, Plaintiff indicated at the hearing that he has "all body pain[,]" which doctors diagnosed as fibromyalgia one year prior to the hearing, in roughly April 2015. Tr. 41-42. Plaintiff's medical records corroborate Plaintiff's testimony. Specifically, in June 2016 and January 2016, Dr. Mario Diaz-Gomez assessed "new onset of fibromyalgia" as of April 2015. Tr. 328, 330. Dr. Diaz-Gomez also noted that Plaintiff reported that Plaintiff's "pain specialist also told [Plaintiff] that he probably has fibromyalgia." Tr. 328.
Accordingly, because the record contains several examples of Plaintiff experiencing increased mental and physical symptoms after the alleged onset date, the Court finds that the ALJ's finding to the contrary is not a clear and convincing reason supported by substantial evidence for rejecting Plaintiff's symptom testimony.
The Court next turns to the ALJ's third finding— that Plaintiff's ADLs undermine Plaintiff's credibility because Plaintiff alleged in his exertion questionnaire that "he is essentially unable to perform any routine activity[,]" while his "testimony notes the capacity to contribute with some chores and other routine tasks[,]" and finds that, although a close call, the Agency needs to reexamine this issue. Tr. 19 (citing Tr. 183-85).
With respect to Plaintiffs' activities and chores, Plaintiff stated in his exertion questionnaire that he does not drive, do "any activities[,]" "walk much[,]" climb stairs, shop, work on cars, or do yard work, and that when doing "housework or other chores[,]" Plaintiff asserted that he "ha[s] to stop right away because of [his] massive pain." Tr. 183-85.
Plaintiff testified at the hearing that he does not drive, and never learned to drive, because of a bad experience he had in a car as a child. Tr. 35. Plaintiff added that "right now, [he] can't really take care of really [him]self" and that he does "all [his] shopping" and attends doctors' appointments with the help of his partner. Tr. 33-35. Plaintiff stated that when he does go to a store with his partner, he gets tired and has to take breaks to lean on something, and he similarly gets tired by walking from the store to his car after they are done shopping. Tr. 44. Plaintiff indicated that he tries to help wash dishes, vacuum, and clean the restroom, but does so "only when [he] feel[s] like [he] can." Tr. 36. Plaintiff does not attend church; he does not have a social media account; he can cook meals only in the microwave; he does not have a computer or a tablet, but does have an iPhone that he enjoys listening to music on, but does not play games on. Tr. 36-37. Plaintiff also enjoys playing with his cats and going to movies. Tr. 37. Plaintiff bathes every day[,] "no matter how much pain [he is] in[,]" but cannot always do so in the morning due to his pain. Tr. 42-43. Plaintiff brushes his teeth and dresses himself daily. Tr. 43. Plaintiff tries to walk around the block "a little bit and then [he] stop[s]."
Here, based on the record before this Court, Plaintiff's activities and chores, as stated in his pain questionnaire, appear to be generally consistent with the activities and chores Plaintiff testified he was able to complete at the hearing. Plaintiff stated in both forums that he does not drive, that he perform chores, walks, and climbs stairs all with limitations caused by his alleged impairment. Moreover, to the extent that Plaintiff's testimony at the hearing deviated from Plaintiff's statements in the exertion questionnaire, those deviations were slight and do not detract from Plaintiff's credibility because Plaintiff's ability to perform the tasks in the limited way Plaintiff described at the hearing do not appear transferable to a work setting.
For example, Plaintiff stated in the exertion questionnaire that he cannot climb stairs, but then stated at the hearing that he can do so if the elevator is not working. Plaintiff, however, indicated that when he must climb stairs, it is difficult to do so and that he must take breaks. Plaintiff also stated in the exertion questionnaire that he cannot shop, but then stated at the hearing that he can do so with help, with breaks to lean on things, as that he gets tired by walking from the store to his car.
Moreover, it is unclear how climbing stairs, but only when necessary and with breaks, or shopping, but only with help and with breaks to lean on things, would be transferrable to a work setting.
Accordingly, the Court finds that Plaintiff's ADLs were not a clear and convincing reason supported by substantial evidence for rejecting Plaintiff's symptom testimony.
Because the Commissioner's decision is not supported by substantial evidence, IT IS HEREBY ORDERED that the Commissioner's decision is