SUZANNE H. SEGAL, Magistrate Judge.
Steven D. Phegley ("Plaintiff") seeks review of the final decision of the Commissioner of the Social Security Administration (the "Commissioner" or the "Agency") denying his application for Supplemental Security Income. The parties consented, pursuant to 28 U.S.C. § 636(c), to the jurisdiction of the undersigned United States Magistrate Judge. For the reasons stated below, the decision of the Commissioner is AFFIRMED.
Plaintiff filed an application for Supplemental Security Income ("SSI") on November 30, 2011. (Administrative Record ("AR") 179). He alleged a disability onset date of November 29, 2007. (
Plaintiff filed a request for review of the ALJ's unfavorable decision on August 1, 2013. (AR 14). On February 10, 2014, the Appeals Council ("AC") adopted most of the ALJ's findings, including the finding that Plaintiff was not disabled. (AR 1-7). However, the AC disagreed with the ALJ's finding that Plaintiff was capable of performing his past relevant work. (AR 4). The AC found that Plaintiff retained the capacity to find employment as a housekeeping cleaner or a mail clerk. (AR 6-7). The Appeals Council's decision constituted the Commissioner's final decision. (AR 1). On April 11, 2014, Plaintiff filed the instant action. (Dkt. No. 3).
Plaintiff was born on September 26, 1962. (AR 179). He was forty-five years old as of the alleged disability onset date and fifty years old at the time of the ALJ Hearing. (AR 37, 179). He is divorced, has five children, and lives with his father. (AR 41-42). Plaintiff previously worked as a restaurant manager, a stocker for a mail order distributor, and an assembly line worker (AR 215, 220), but did not work after 2002. (AR 55). Plaintiff testified that he was unable to work due to an inability to focus and difficulties with his memory. (AR 49). Plaintiff has taken prescription medications for chronic depression, attention deficit disorder and bipolar disorder. (AR 53).
Plaintiff is 52 years old. (AR 41). He has a valid California Driver's License. (
Plaintiff has been diagnosed with major depressive disorder, bipolar disorder, anxiety, polysubstance dependence and attention deficit hyperactivity disorder ("ADHD"). (AR 339, 350). On February 15, 2012, Plaintiff informed the consultative psychiatrist that he had "been dealing with methamphetamines since [age] 28," but last used these drugs in 2002. (AR 336). The psychiatrist found Plaintiff to be "in full sustained remission." (AR 339). Plaintiff admitted to being a former drug addict and alcoholic but attended Alcoholics Anonymous and Narcotics Anonymous. (AR 336, 340). Plaintiff also told the psychiatrist that he had previously been arrested for driving on a suspended license and for possession of methamphetamines, but his license was later restored. (AR 337;
Plaintiff has a history of morbid obesity and hypertension. (
Plaintiff first sought treatment at the Riverside County Department of Mental Health ("County") on May 27, 2003. (AR 359). In an August 18, 2009 assessment, treating psychiatrist Elizabeth Leonard diagnosed type II bipolar disorder. (AR 601). Dr. Leonard noted Plaintiff's previous diagnoses with intermittent explosive disorder and ADHD. (AR 602). Dr. Leonard found Plaintiff depressed, with racing thoughts, motor agitation, excessive anxiety, restlessness, fatigue and irritability. (
On February 15, 2012, psychiatric consultative doctor Romualdo Rodriguez examined Plaintiff. (AR 335-41). Plaintiff described depression as his chief complaint. (AR 335). Plaintiff reported struggling with "focus, concentration, losing things, his mind jumping from subject to subject, and leaving things unfinished and undone." (AR 336). Plaintiff attributed his earlier methamphetamine use to an attempt to self-medicate his ADHD. (
Although Plaintiff's affect was "somewhat sad," Dr. Rodriguez found him alert, intelligent, and non-delusional. (AR 338). Dr. Rodriguez opined that Plaintiff could "understand, remember, and carry out simple one or two-step job instructions" but not "detailed and complex instructions." (AR 340-41) (emphasis in original). Plaintiff was "[s]lightly limited in ability to relate and interact with supervisors, coworkers, and the public" and in his ability to "perform work activities without special or additional supervision." (AR 341). Plaintiff was also "slightly limited" in his ability to cope with workplace stresses and "moderately limited" in maintaining concentration, persistence and pace. (AR 341).
State agency consultative psychologist Adrianne Gallucci, Psy.D., and psychiatrist J. Hartman, M.D., reviewed Plaintiff's medical and psychiatric records on October 19, 2012. (AR 93-107). Dr. Gallucci found that Plaintiff retained the mental capacity to, inter alia, understand, remember and carry out simple instructions; pay attention for two-hour segments, sustain an ordinary routine, and maintain regular and punctual work attendance; and respond appropriately to changes in work routines. (AR 104). Dr. Hartman found that Plaintiff was limited to unskilled work but had the capacity for simple, repetitive tasks. (AR 106).
Vocational Expert ("VE") Joseph Torres testified during the hearing. (AR 60-64). The VE identified two jobs — stock clerk and small products assembler — as relevant work that Plaintiff had performed in the previous fifteen years. (AR 61). As further discussed in this decision, the Appeals Council later rejected the VE's conclusion that these positions qualified as past relevant work as Plaintiff did not make enough earnings for these episodes of work to qualify under the Agency's regulations.
The ALJ posed several hypotheticals based on an individual of Plaintiff's age and educational background with various non-exertional limitations. The individual could perform simple instructions, but could not perform fast-paced work. (AR 62). The individual could not have "intense interaction with co-workers, supervisors, or the public" or "intense concentration" for more than one hour without a five-minute break. (
The Appeals Council adopted the ALJ's statements regarding the applicable issues and facts, and largely adopted the ALJ's findings and conclusions. (
Once an ALJ or the Appeals Council determines that a claimant has no past relevant work, the burden shifts to the Commissioner to determine whether the individual may find employment appropriate to his residual functional capacity.
To qualify for disability benefits, a claimant must demonstrate a medically determinable physical or mental impairment that prevents him 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 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 under a disability within the meaning of the Social Security Act from September 30, 2011, through the date of the ALJ's decision on July 22, 2013. (AR 19). At step one, the ALJ found that Plaintiff had not engaged in substantial gainful employment since September 30, 2011. (AR 20). At step two, the ALJ found that Plaintiff had the severe impairments of chronic lumbar sprain/strain, hypertension, major depressive disorder, bipolar disorder, attention deficit hyperactivity disorder ("ADHD"), anxiety, and schizoaffective disorder (20 C.F.R. § 416.920(c)). (AR 21). The ALJ found that Plaintiff also had polysubstance dependence, but that this condition was in "full remission." (
At step three, the ALJ found that Plaintiff's impairments, "considered singly and in combination, do not meet or medically equal the criteria of any medical listing" in 20 C.F.R. Part 404, Subpart P, Appendix 1 (20 C.F.R. §§ 416.920(d), 416.925, and 416.926). (
(
The ALJ found Plaintiff's allegations concerning the intensity, persistence and limiting effects of his symptoms "less than fully credible." (AR 24). Plaintiff's allegations were inconsistent with objective medical evidence showing that Plaintiff responded well to conservative treatment, including "psychotropic medications." (AR 24, 26). The ALJ noted that Plaintiff appeared observant and "very clear headed" during the hearing, despite complaining of an inability to focus. (AR 24). Plaintiff's treatment records showed that he oftejn failed to take prescribed medications, including medication for bipolar disorder. (
The ALJ gave "great weight" to assessments by Agency examining psychiatrist Romualdo Rodriguez, M.D., and state agency consultative physician J. Hartman, M.D. (AR 29). The ALJ found both physicians' opinions reasonable and supported by the record as a whole. (
At step four, the ALJ found Plaintiff capable of performing his past relevant work as a stock clerk and small products assembler. (AR 31). In reaching this finding, the ALJ considered testimony by VE Joseph Torres, who opined that an individual with Plaintiff's RFC would be capable of performing these jobs. (AR 31-32). Accordingly, the ALJ did not proceed to step five.
After the ALJ issued his unfavorable decision, the Appeals Council reviewed the case. (AR 1-7). The Appeals Council affirmed the ALJ's determination that Plaintiff was not disabled, but found that Plaintiff had no past relevant work. (AR 6). Accordingly, the Appeals Council identified alternative work based on Plaintiff's residual functional capacity. (AR 6-7). The Appeals Council's findings constituted the Commissioner's final decision. (AR 1).
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 decision 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." Reddick, 157 F.3d at 720 (citing
Plaintiff challenges the ALJ and Appeals Council decisions on two grounds: (1) the ALJ and the Appeals Council rejected, without giving "specific and legitimate reasons," Agency consultative examiner Romualdo Rodriguez, M.D.'s opinion that Plaintiff is limited to simple one- and two-step instructions (Plaintiff's Memorandum, Dkt. No. 15, at 7-8); and (2) the DOT descriptions for both of the alternative jobs that the Appeals Council identified are inconsistent with Plaintiff's limitations. (
Social Security regulations require the ALJ to consider all relevant medical evidence when determining whether a claimant is disabled. 20 C.F.R. §§ 404.1520(a), 416.927(c). "An ALJ's disability determination should be upheld unless it contains legal error or is not supported by substantial evidence."
Plaintiff contends that Drs. Rodriguez and Hartman, the state agency physician, arrived at conflicting assessments of Plaintiff's ability to function in a workplace. (Plaintiff's Memorandum at 7). According to Plaintiff, Dr. Rodriguez's limitation to "simple one to two step instructions is different from [Dr. Hartman's] limitation to simple and repetitive tasks." (
The Court disagrees that consultative psychiatrist's opinion was in conflict with the state agency physician's findings. A restriction to "simple tasks" is consistent with an ability to carry out "simple instructions."
Because the ALJ did not reject Dr. Rodriguez's opinion, he was not required to provide "specific and legitimate reasons" for doing so. The ALJ noted Dr. Rodriguez's "simple one or two-step instructions" limitation and Dr. Hartman's "simple repetitive tasks" limitation and concluded that both were "reasonable and supported by the record as a whole." (AR 29). Moreover, the ALJ specifically stated that "[b]ased on these two opinions the undersigned found the claimant could perform simple instructions." (AR 30). The Appeals Council incorporated the medical consultants' findings of fact in its own decision and specifically incorporated the "simple instructions" limitation in its RFC. (AR 5-6). Therefore, the ALJ and Appeals Council decisions were both supported by substantial evidence in the record, and there was no error in the Appeals Council's decision.
Plaintiff contends that both jobs identified by the VE and the Appeals Council are inconsistent with Plaintiff's limitations. (Plaintiff's Memorandum at 9). The Court disagrees.
Plaintiff asserts that the DOT job description for a housekeeping cleaner is inconsistent with Plaintiff's RFC, which precludes Plaintiff from "intense interaction with coworkers, supervisors, and the public." First, Plaintiff objects on the grounds that "neither the ALJ nor the Appeals Council defines what constitutes `intense' interaction." (Plaintiff's Memorandum at 10). Therefore, Plaintiff contends, the Plaintiff's RFC is "ambiguous." (
Plaintiff fails to cite any source for his contention that work as a housekeeping cleaner requires "intense interaction [with the public]." While the ALJ and the Appeals Council did not define "intense interaction," the DOT description for a housekeeping cleaner does not directly require personal interactions of any kind.
These requirements are fully consistent with Plaintiff's capabilities. Dr. Rodriguez found Plaintiff "[a]ble to understand, remember, and carry out simple one or two-step job instructions." (AR 340). Dr. Rodriguez considered Plaintiff only "slightly limited in ability to relate and interact with supervisors, coworkers, and the public." (AR 341). Similarly, Dr. Gallucci found Plaintiff able to "[c]arry out simple instructions" and "work in coordination with or proximity to others," including coworkers, without distraction or interruption due to psychological symptoms. (AR 104). Certainly, Plaintiff's testimony about his interaction with family and friends suggests that he is capable of this level of interaction with others.
Plaintiff testified that he is "pretty good with people" and only becomes nervous when confronted with a "large . . . room with a lot of people." (AR 55). Plaintiff told Dr. Rodriguez that he had a "fair relationship with family, relatives, friends, neighbors, and others." (AR 337). Plaintiff regularly interacted with members of his therapy group over a number of years (AR 430-593), and volunteered with the National Alliance on Mental Illness. (AR 59-60). Accordingly, there is no inconsistency between Plaintiff's capabilities and the DOT definition of a housekeeping cleaner.
Plaintiff asserts that Plaintiff would be unable to perform the second job the Appeals Council identified, mail clerk, because this job requires reasoning skills that "exceed [P]laintiff's limitation." (Plaintiff's Memorandum at 12). Plaintiff contends that, under the DOT listings, a mail clerk must possess "Level Three" reasoning skills that "exceed the Appeals Council RFC assessment that limits Plaintiff to simple instructions." (
The DOT listing for a mail clerk incorporates "Level Three" reasoning.
The Ninth Circuit recently held that "there is an apparent conflict between the residual functional capacity to perform simple, repetitive tasks, and the demands of Level 3 reasoning."
Here, the ALJ asked the vocational expert whether there were any inconsistencies between the ALJ's hypotheticals and the DOT descriptions for the identified alternative jobs. (AR 63). The vocational expert testified that the hypotheticals were consistent with the DOT listings. (AR 64). Because the ALJ found that Plaintiff could perform his past relevant work, the ALJ did not base his decision on the availability of alternative occupations. (
The Court must therefore determine whether the error was harmless.
Here, the error was harmless. Plaintiff contends that the Appeals Council erred because both of the identified alternative occupations — housekeeping cleaner and mail clerk — "require demands that exceed Plaintiff's RFC." (Plaintiff's Memorandum at 14). Because the housekeeper cleaner position requires only Level One reasoning, which requires an ability to "carry out simple one- or two-step instructions," the Appeals Council decision must be upheld.
Under the Social Security Act, an individual will not be found disabled if, given his physical and mental limitations, he is able to perform work "which exists in significant numbers either in the region where such individual lives or in several regions of the country."
Accordingly, substantial evidence in the record supports the Appeals Council's finding that Plaintiff may find a "significant" numbers of jobs in the regional economy, and that Plaintiff is not disabled. Because the decision remains valid, any error in involving the mail clerk position is harmless error. No remand is required.
Consistent with the foregoing, IT IS ORDERED that Judgment be entered AFFIRMING the decision of the Commissioner. The Clerk of the Court shall serve copies of this Order and the Judgment on counsel for both parties.