CHARLES F. EICK, Magistrate Judge.
Pursuant to sentence four of 42 U.S.C. section 405(g), IT IS HEREBY ORDERED that Plaintiff's and Defendant's motions for summary judgment are denied, and this matter is remanded for further administrative action consistent with this Opinion.
Plaintiff filed a complaint on July 17, 2018, seeking review of the Commissioner's denial of benefits. The parties consented to proceed before a United States Magistrate Judge on August 14, 2018. Plaintiff filed a motion for summary judgment on November 21, 2018. Defendant filed a motion for summary judgment on December 27, 2018. The Court has taken the motions under submission without oral argument.
Plaintiff asserts disability since December 27, 2013, based on,
The Appeals Council subsequently vacated the Commissioner's final decision and remanded the case to an Administrative Law Judge ("ALJ") for further proceedings consistent with this Court's order (A.R. 683). The Appeals Council also instructed the ALJ to consolidate Plaintiff's claim with a subsequent claim for benefits filed on April 6, 2015 (
On remand, a new ALJ reviewed the record and heard testimony from Plaintiff and a vocational expert (A.R. 464-78, 546-96). Plaintiff testified to pain and limitations of allegedly disabling severity (A.R. 555-73). The ALJ found that Plaintiff has "severe" degenerative disc disease of the cervical and lumbar spine with neural foraminal narrowing and facet arthropathy, mild cerebral atrophy, fibromyalgia, arthritis, osteoarthritis of the hip, post-concussive syndrome, chronic headaches, disorder of the sacrum, obesity, bibasilar atelectasis with trace right pleural effusion, hepatic steatosis (mildly enlarged liver), depression, and post-traumatic stress disorder ("PTSD") (A.R. 467). The ALJ found that Plaintiff retains a residual functional capacity for light work limited to: (1) occasionally climbing ramps and stairs, balancing, stooping, kneeling, crouching and crawling; (2) no climbing of ladders, ropes or scaffolds; (3) tasks with a reasoning level of 2 or less; (4) occasional direct public contact; and (5) low stress jobs defined as having only occasional decision-making duties and changes in the work setting.
In analyzing Plaintiff's residual functional capacity, the ALJ did not even mention Dr. Raju's opinion that Plaintiff would be absent from work two times per month (A.R. 475-76). Plaintiff submitted "exceptions" to the Appeals Council, arguing,
Under 42 U.S.C. section 405(g), this Court reviews the Administration's decision to determine if: (1) the Administration's findings are supported by substantial evidence; and (2) the Administration used correct legal standards.
After consideration of the record as a whole, the Court reverses the Administration's decision in part and remands the matter for further administrative proceedings. As discussed below, the Administration materially erred in evaluating the evidence of record.
The available medical record dates back to May of 2013 (A.R. 293-302). At that time, Plaintiff presented to the emergency room for lower extremity pain and weakness radiating from the low back (
The record following that first emergency room visit reflects consistent complaints of radiating back pain and findings of degenerative disease in the lumbar and cervical spine.
Plaintiff began regular treatment at LAC-USC Medical Center in June of 2013 for alleged back and knee pain (A.R. 320-42). Plaintiff's doctor reviewed the May, 2013 lumbar spine CT scan and noted on examination that Plaintiff had tenderness in the lumbar area and both knees, and an unstable gait without an assistive device (A.R. 320-21). Plaintiff was prescribed Ultram (Tramadol), ordered to avoid heavy lifting, and referred for an orthopedic evaluation (A.R. 321-22). In January of 2014, Plaintiff's doctor reportedly completed a General Relief "disability" form for disability through April of 2014 (A.R. 372-73). This form is not in the record.
Consultative examiner Dr. Ibrahim Yashruti prepared a complete orthopaedic evaluation dated February 7, 2014 (A.R. 345-50). Plaintiff complained of burning, throbbing, dull and sharp back pain, bilateral hip and knee pain, chest pain, weakness in the legs aggravated by sitting, standing, walking, bending and lifting, dizziness, nausea and problems controlling his bladder (A.R. 345). Plaintiff reported injuring his back in 1994 while lifting a patient (A.R. 345). Plaintiff reportedly had been using a cane constantly since February of 2013, stating that he could not walk without the cane (A.R. 345-46). Plaintiff was taking Tramadol, Ranitidine, Ibuprofen and Methocarbamol (A.R. 345).
On examination, Plaintiff had limited range of motion in the cervical spine, tenderness and limited range of motion in the lumbosacral spine, "popping" in the low back upon palpation of the knees, and positive straight leg raising, with limited effort reported on several tests (A.R. 346-49). X-rays showed mild healed compression at T12 and "very mild" scoliosis of L5-S1 (A.R. 349).
Plaintiff thereafter presented to the UC Irvine Emergency Department in March of 2014 for back pain (A.R. 354-59, 361-62, 378-87). A lumbar spine MRI showed multilevel degenerative disc disease and facet arthropathy most significant at L4-L5, where there was mild to moderate neural foraminal narrowing, with lateral recess narrowing and central canal stenosis without impingement, and mild fatty atrophy of the paraspinal musculature (
Dr. Josephina Choa of AltaMed regularly treated Plaintiff from May of 2014 through at least July of 2015 (A.R. 389-94, 418-41, 1014-69, 1318-23). Dr. Choa diagnosed,
One of those specialists was neurosurgeon Dr. Raju, who evaluated Plaintiff in July of 2014 (A.R. 411-14). Plaintiff complained of progressively worsening back pain, radiating down both legs with associated numbness and tingling and bladder incontinence (A.R. 411). Dr. Raju reviewed Plaintiff's lumbar spine MRI and noted on examination that Plaintiff had decreased range of motion in his back due to pain, but a gait and station "within normal limits" (with no mention of whether Plaintiff was using a cane) (A.R. 411-12). Dr. Raju assessed lumbago and degeneration of the lumbar or lumbosacral intervertebral disc, with a note to consider facet blocks for Plaintiff's facet arthropathy and degenerative changes (A.R. 412). Dr. Raju referred Plaintiff to a pain management doctor and suggested follow up after the facet blocks (A.R. 413).
Plaintiff saw pain management specialist Dr. Kais Alsharif in September of 2014 (A.R. 401-08). Plaintiff reported a history of progressive, daily, constant back pain for over 20 years, worse with physical activity, prolonged walking or standing, radiating down his legs with intermittent numbness and tingling and weakness in the legs (A.R. 401). Plaintiff said Norco and Tramadol gave him nausea and dizziness (A.R. 401). Plaintiff also said that he then was taking Tramadol, Ibuprofen and Robaxin, and that he had not had surgery or injections (A.R. 401). On examination, Plaintiff reportedly had tenderness in the lumbar spine, positive facet loading, positive straight leg raising tests, positive Faber test, negative Waddell's sign, and a normal gait (with use of a cane) (A.R. 402). Dr. Alsharif reviewed Plaintiff's lumbar spine MRI and assessed lumbar facet syndrome, lumbar spondylosis, lumbar degenerative disc disease, lumbar radiculitis and disorders of the sacrum (A.R. 403). Dr. Alsharif opined that Plaintiff's presentation was consistent with lumbar radiculopathy, facet arthropathy and sacroiliac dysfunction (A.R. 403). Dr. Alsharif prescribed Tylenol #3 and recommended a bilateral S.I. (sacroiliac) injection (A.R. 403-04). Plaintiff returned on September 30, 2014, for a bilateral sacroiliac joint epidural steroid injection (A.R. 405-08).
Dr. Raju completed a one-page General Relief "Report of Examination" form dated September 30, 2014 (A.R. 414). This form stated that Plaintiff had lumbar degenerative disc disease with severe pain since 1994, which was considered permanent, and rendered Plaintiff unsuitable for any employment, with the following specific limitations: "no lifting, prolonged sitting or walking" (A.R. 414).
Plaintiff returned to Dr. Alsharif in December of 2014, reporting that Tylenol #3 was helping his pain but also reporting that the improvement he received from the sacroiliac injection lasted only one week (A.R. 994). Plaintiff then was taking Tylenol #3 and Robaxin (A.R. 995). Findings on examination were unchanged from the prior examinations (A.R. 995). Dr. Alsharif continued Plaintiff's medications and gave Plaintiff a L5-S1 epidural injection (A.R. 996-98).
Plaintiff followed up with Dr. Raju in January of 2015 (A.R. 1624-25). Plaintiff reported improving back pain but persistent neck pain, and stated that his symptoms were unchanged despite having epidural steroid injections since his last visit with Dr. Raju (A.R. 1624). On examination, Plaintiff reportedly had normal strength and was able to ambulate without assistance (A.R. 1624). There is no indication whether Plaintiff then was using a cane (A.R. 1624). Dr. Raju assessed cervicalgia, indicated that Plaintiff should continue with his series of epidural steroid injections, and referred Plaintiff for physical therapy and a cervical spine MRI (A.R. 1624-25).
Dr. Raju completed a "Medical Assessment of Ability to Do Work-Related Activities (Physical)" form dated January 12, 2015 (A.R. 448-51). Dr. Raju opined that Plaintiff could frequently lift and carry up to 20 pounds, sit for two hours at one time without interruption, stand for two hours at one time without interruption, walk for two hours at one time without interruption, for a total of six hours sitting in a workday and four hours standing/walking in a workday (A.R. 448-49). Dr. Raju opined that Plaintiff could occasionally stoop, crouch, kneel and crawl, never climb, frequently balance, and occasionally push and pull depending on the weight (A.R. 450). Dr. Raju further opined that Plaintiff could not work in environments with unprotected heights, moving machinery, exposure to marked changes in temperature and humidity, or dust, fumes and gases, and would have "mild" restrictions in driving due to Plaintiff's narcotic medications (A.R. 451). Dr. Raju opined that Plaintiff would likely miss work "[a]bout twice a month" due to his condition (A.R. 451).
Plaintiff returned to Dr. Alsharif in March of 2015, reporting significant improvement for only approximately two weeks from the L5-S1 injection but also saying that his pain was controlled with medication (A.R. 1109). Examination findings were unchanged (A.R. 1110-11). Dr. Alsharif continued Plaintiff's medications without giving any additional injections (A.R. 1111).
When Plaintiff returned to Dr. Raju later in March of 2015, Plaintiff reported no improvement in his neck and low back pain since the last visit with Dr. Raju (A.R. 1626). Plaintiff reported that he had completed the series of epidural steroid injections with "mild improvement" for only 1.5 weeks, and had attended one physical therapy session without improvement (A.R. 1626). Examination results were unchanged (A.R. 1627). Dr. Raju reviewed Plaintiff's March, 2015 cervical spine MRI, which showed mild multilevel degenerative disc disease with mild to moderate narrowing of the spinal canal from C3-C7 (A.R. 1330-31), and "[d]iscussed with patient about continued follow-up with pain management for conservative treatment options, and continuing with [physical therapy]" (A.R. 1627).
In April of 2015, Plaintiff consulted with orthopedic surgeon Dr. Adam Holleran, who reviewed Plaintiff's March, 2015 cervical spine MRI (A.R. 941-43). On examination, Plaintiff reportedly had mild loss of cervical and lumbar lordosis, moderate tenderness to palpation of the cervical and lumbar spine, muscle spasm, limited range of motion with pain, but intact sensation and strength (A.R. 942). Dr. Holleran diagnosed cervical and lumbar degenerative disc disease, requested a lumbar spine MRI, prescribed Meloxicam, and referred Plaintiff for pain management and physical therapy, with a note to return as needed (A.R. 943).
Plaintiff returned to Dr. Alsharif in June of 2015, reporting no changes (A.R. 1105-08). Dr. Alsharif continued Plaintiff's medications with a note that a consultation with a spine surgeon (Dr. Massoudi) was pending (A.R. 1107). It appears that Plaintiff did not consult with another surgeon until 2016. In March of 2016, neurological surgeon Dr. Peyman Tabrizi examined Plaintiff, later reviewed Plaintiff's April, 2016 lumbar spine MRI,
In October of 2015, Plaintiff began regular treatment with Dr. Rye-Ji Kim and others at UC Irvine Health, after Plaintiff presented to the UC Irvine emergency room in September of 2015 for neck, back and right leg pain (A.R. 1227-40, 1981-2142). Dr. Kim reviewed Plaintiff's March, 2014 lumbar spine MRI, and referred Plaintiff for pain management, orthopedic, urologic, and neurologic surgery consultations, and a psychiatry consultation (A.R. 1163, 1229-30).
Plaintiff was treated by the Pain Medicine Specialty Group monthly from December of 2015 through at least January of 2017 (A.R. 1426-50, 1554-61, 1574-75, 1815-47). Plaintiff reported chronic neck, low back and leg pain radiating to the upper and lower extremities, aggravated by prolonged sitting, standing, walking, lifting, bending and driving (A.R. 1435). Plaintiff also reported that lumbar epidural injections had provided short term relief only and that Tylenol with codeine prescribed by his pain doctor was not helpful (A.R. 1435). On examination, Plaintiff reportedly had tenderness in the paraspinal muscles, positive facet maneuver, and no sensory deficits (A.R. 1436). Plaintiff was assessed with lumbar and cervical radiculopathy, and prescribed Norco and Gabapentin (A.R. 1432, 1434, 1436-37). By February of 2016, Plaintiff reported that his pain medications were not effective and Plaintiff refused any further injections, so his Norco dose was increased and he was given a Lidoderm patch (A.R. 1428-29). In March of 2016, Plaintiff reported that the Lidoderm patch was working well and his pain was controlled with medications (A.R. 1426). In April and May of 2016, Plaintiff's pain reportedly was stable on his medications (A.R. 1556, 1560). From June through October of 2016, Plaintiff reported neck pain radiating to his bilateral upper extremities, low back pain radiating to the bilateral lower extremities, and no desire for any spine injections or surgery (A.R. 1554, 1836, 1839, 1842, 1846). Examination results were unchanged and his medications were continued (A.R. 1554-55, 1836-37, 1839-40, 1842-43, 1846-47). In December of 2016, Plaintiff reported that he had slipped and hurt his right hip two weeks earlier and he was still having pain with walking (A.R. 1829). A hip x-ray was ordered and his medications were continued (A.R. 1829-30). When Plaintiff returned in January of 2017, he reported that his right hip was still hurting (A.R. 1826). A right hip x-ray showed osteoarthritis and mild osteopenia (A.R. 1826, 1870-71). Plaintiff's medications were continued (A.R. 1827).
Meanwhile, Plaintiff presented to Dr. David Kilgore at UC Irvine Health in December of 2015 for an "Integrative Medicine Consultation" (A.R. 1198-1207). On examination, Plaintiff reportedly had difficulty rising from a chair, ambulated slowly with a cane, had a kyphotic posture, positive straight leg raising tests, limited range of motion, multiple myofascial trigger points, and was unable to stand completely erect (A.R. 1201). Dr. Kilgore assessed chronic neck and low back pain, degenerative disc and facet arthritis, depression, pre-diabetes, obesity, chronic urge urinary incontinence, and possible multi-trauma early onset dementia with CT scan evidence of cerebral atrophy (A.R. 1202).
Plaintiff returned to Dr. Kilgore in March of 2016 for follow up (A.R. 1178-89). Plaintiff reportedly had undergone "conservative" treatment including medication, physical therapy and epidural injections with decreased activity and without sustainable improvements to pain function or quality of life (A.R. 1179). Plaintiff was using Lidocaine patches, Hydrocodone and Gabapentin for pain, using a cane to walk, and was taking Abilify, Sertraline and Mirtazapine for depression (A.R. 1178, 1180-84). Plaintiff was homeless (A.R. 1178, 1180).
Consulting neurologist Dr. Mark Farag evaluated Plaintiff in June of 2016 for short and long term memory issues dating back to a bicycle accident in 2008 or 2009 (A.R. 1712-16). On examination, Plaintiff reportedly had a Mini Mental Status Examination ("MMSE") score of 29/30, with 2/3 recall, and a narrow base gait with cane assistance (A.R. 1713-14). Dr. Farag reviewed Plaintiff's lumbar spine MRI and brain CT scan, and opined that Plaintiff was experiencing normal variations in mental status and attention, given Plaintiff's ability to take care of himself and navigate travel and government systems without assistance, opining that any primary neurological disorder is at an "imperceptibly early stage" (A.R. 1715).
Consulting rheumatologist Dr. Sarah Hwang evaluated Plaintiff in August and September of 2016 (A.R. 1772-81). Examination revealed swelling and/or tenderness in fingers, elbows, cervical and lumbar spine, knees, ankles and feet and positive trigger points (A.R. 1774). Dr. Hwang assessed obesity, fibromyalgia and depression, as well as spinal stenosis (A.R. 1775). Dr. Hwang found no evidence of rheumatoid arthritis (A.R. 1780).
Consulting neurologist Dr. Jack Lin evaluated Plaintiff in December of 2016 (A.R. 1818-24). Plaintiff reported episodes of brain "fogginess" and intermittent forgetfulness, but no loss of functioning from the prior neurological evaluation (A.R. 1818). Plaintiff's MMSE score was 28/30 and his recall was 2/3 (A.R. 1819). Plaintiff again was noted to have a narrow base gait with cane assistance (A.R. 1819). Dr. Lin found it unlikely that Plaintiff is suffering from a neurocognitive disorder but referred Plaintiff for a more complete memory workup (A.R. 1821).
Plaintiff consulted in March and June of 2017 with neurologist Dr. Chuang Kuo Wu for memory issues (A.R. 1999-2004, 2091-98). An April, 2017 brain MRI showed no acute lesions but mild cerebral cortical atrophy (A.R. 2000, 2061). A May, 2017 EEG study was normal (A.R. 2054-55). Dr. Wu assessed memory loss and possible mild neurocognitive disorder (A.R. 2001).
State agency physicians reviewed Plaintiff's claim while the Prior Action was pending and found Plaintiff capable of light work as of May of 2016 (A.R. 628-49). However, the state agency physicians did not review Dr. Raju's January, 2015 opinion stating that Plaintiff had greater limitations and would be absent from work twice each month.
At the most recent administrative hearing in August of 2017, Plaintiff testified that he received government relief and lived in his car (A.R. 550-51). Plaintiff said that in 1989, he and his brother walked in on a robbery and were shot. Plaintiff was shot five times, causing him to lose 60 percent of his feeling on his left side, and his brother was shot once, leaving his brother a paraplegic (A.R. 555-56).
Plaintiff complained of daily neck pain radiating to his lower back, head and arms following several car accidents, pain and weakness in his arms and hands following a bicycle accident, difficulty breathing upon bending due to fractured ribs that did not heal correctly, trouble gripping his walking cane, daily mid-back pain radiating down to his legs aggravated by walking, sitting and lying down, leg pain and weakness, and knee pain from several falls radiating down to his foot aggravated by walking and standing, worse on the right side than the left (A.R. 558-65). Plaintiff said that he has used a cane constantly since 2012 on his right side because he has problems balancing and has fallen, and he does not want to put all his weight on his right knee (A.R. 565-68). Plaintiff estimated that he could stand for five minutes without a cane but insisted he would need the cane when he moves (A.R. 568). Plaintiff said when he tries to walk without a cane he drags his feet and stumbles (A.R. 568). Plaintiff said that he suffers back pain from sitting continuously and must either lie down or move around to relieve the pain (A.R. 568-69). Plaintiff estimated that he could sit continuously for 30 minutes (A.R. 569). Plaintiff said that he lies down for 15 to 20 minutes every hour during a typical day (A.R. 570). Plaintiff could take the bus to his brother's house to shower and get his mail (A.R. 570-71). Plaintiff said he has trouble sleeping, feels depressed, has problems concentrating and thinking, and cannot remember what he reads (A.R. 555, 572-73).
In a Function Report form dated in April of 2016, Plaintiff reported that he was homeless, ate two "ready made" meals a day, took public transportation, shopped 10 to 15 minutes a day for food, and tried to take short walks and exercise if possible (A.R. 879-81). Plaintiff reported that he had trouble bending, stooping, sitting, standing and walking, that rheumatoid arthritis in his hands made it hard to care for his hair or shave or hold things,
Where, as here, an ALJ finds that a claimant's medically determinable impairments reasonably could be expected to cause some degree of the alleged symptoms of which the claimant subjectively complains, any discounting of the claimant's complaints must be supported by "specific, cogent" findings.
Here, the ALJ discounted Plaintiff's testimony and statements as "not entirely consistent with the medical evidence and other evidence in the record" (A.R. 473-74). The ALJ stated: (1) Plaintiff's statements concerning the intensity, persistence and limiting effects of his symptoms on his ability to ambulate assertedly were inconsistent with the objective medical evidence; (2) the degree of Plaintiff's subjective complaints assertedly was "not comparable" to the "conservative" treatment Plaintiff sought; (3) Plaintiff's activities of daily living (
With regard to the second stated reason, a limited course of treatment sometimes can justify the rejection of a claimant's testimony, at least where the testimony concerns physical problems.
In the present case, however, it is highly doubtful Plaintiff's treatment accurately may be characterized as "conservative" within the meaning of Ninth Circuit jurisprudence (even though Plaintiff's doctors sometimes used the term "conservative" to reference
With regard to the third stated reason, inconsistencies between admitted activities and claimed incapacity properly may impugn the accuracy of a claimant's testimony and statements under certain circumstances.
Contrary to the ALJ's stated findings in the present case, Plaintiff's admitted activities of taking short daily walks, using public transportation, shopping for 10 to 15 minutes a day for food, and making "ready made" meals when he is not homeless, do not properly undermine Plaintiff's subjective complaints.
With regard to the first and fourth stated reasons, asserted inconsistencies between a claimant's subjective complaints and the objective medical evidence can be a factor in discounting a claimant's subjective complaints, but cannot "form the sole basis."
Here, the ALJ stated that, although Plaintiff complained he had limited ambulation and used a cane, several examinations reportedly noted a normal gait and station, and full motor strength and intact sensation in the lower extremities (A.R. 474). The ALJ also stated that, although Plaintiff complained of memory loss, Plaintiff's mental status examinations "did not demonstrate cognitive deficits" (A.R. 474-75). These isolated findings do not accurately capture the tenor of the medical record as a whole, which also includes findings of lumbar radiculopathy (A.R. 403, 1432, 1434, 1436-37), lumbar stenosis (A.R. 361-62, 1148-49, 1521, 1775), mild leg weakness (A.R. 945), and fibromyalgia (signs and symptoms of which include "cognitive or memory problems" and "muscle weakness";
Defendant cites to: (1) Dr. Yashruti's observation that Plaintiff declined to walk on his toes, heels or squat, and declined other physical testing — where Dr. Yashruti had found no orthopedic evidence to justify Plaintiff's movements (without reviewing Plaintiff's lumbar spine CT scan showing degeneration) (A.R. 346-50);
The Court is unable to conclude that the ALJ's failure to state legally sufficient reasons for discounting Plaintiff's credibility was harmless. "[A]n ALJ's error is harmless where it is inconsequential to the ultimate non-disability determination."
In determining Plaintiff's residual functional capacity, the ALJ summarized: (1) Dr. Raju's January, 2015 "Medical Assessment of Ability to Do Work-Related Activities (Physical)" form finding Plaintiff capable of performing a limited range of light work (A.R. 448-51); and (2) Dr. Raju's September, 2014 General Relief "Report of Examination" form, indicating that Plaintiff is unsuitable for any employment and limited to "no lifting, prolonged sitting or walking" (A.R. 414).
(A.R. 475-76 (internal citations omitted)).
The vocational expert had testified that, if a person were absent two times a month there would be no jobs that person could perform (A.R. 581;
Remand is appropriate because the circumstances of this case suggest that further development of the record and further administrative review could remedy the ALJ's errors.
Plaintiff asks that the Court direct the Administration to "credit as true" Dr. Raju's opinion that Plaintiff would be absent from work two days per month. Ninth Circuit authorities are in conflict regarding the availability of a remedy crediting as true improperly rejected evidence when remanding for further administrative proceedings.
For all of the foregoing reasons,
LET JUDGMENT BE ENTERED ACCORDINGLY.