ALAN C. KAY, Senior District Judge.
For the reasons discussed below, the Court AFFIRMS the decision of the Commissioner of Social Security.
On June 3, 2014, Plaintiff Mary Khan ("Plaintiff") filed a Title II application for a period of disability and disability insurance benefits ("SSDI") and a Title XVI application for supplemental security income ("SSI"), alleging disability beginning on April 21, 2009. Administrative Record ("AR") 27; 228-33; 238-44. The applications were initially denied on February 2, 2015, and then denied upon reconsideration on May 18, 2015. AR 163-66; 170-72. Plaintiff then requested a hearing before an administrative law judge ("ALJ"), which was held on July 26, 2016, and at which Plaintiff appeared and testified. AR 45-91. At the hearing, Plaintiff amended her onset date to January 1, 2013. AR 48.
On November 15, 2016, the ALJ issued his written decision finding that Plaintiff was not disabled. AR 24-44. On December 20, 2016, Plaintiff requested the Appeals Council review the ALJ's decision. AR 222-23. On July 9, 2018, the Appeals Council notified Plaintiff that it granted Plaintiff's request for review. AR 4. The Appeals Council informed Plaintiff that it would add Exhibit 16F to the record, which contained treatment notes from Plaintiff's treating doctor, Mary Myers, Ph.D.
Plaintiff filed a Complaint on January 5, 2019, seeking review of the denial of her applications for SSDI and SSI benefits. ECF No. 1. On May 31, 2019, Plaintiff filed her Opening Brief ("Opening Br."). ECF No. 15. On July 30, 2019, Defendant Andrew Saul, the Acting Commissioner of Social Security (the "Commissioner"),
A district court has jurisdiction pursuant to 42 U.S.C. § 405(g) to review final decisions of the Commissioner of Social Security.
A final decision denying Social Security disability benefits will not be disturbed by the reviewing district court if it is free of legal error and supported by substantial evidence.
But reviewing courts must be cognizant of the "[l]ong-standing principles of administrative law require us to review the ALJ's decision based on the reasoning and factual findings offered by the ALJ—not
"To establish a claimant's eligibility for disability benefits under the Social Security Act, it must be shown that: (a) the claimant suffers from a medically determinable physical or mental impairment that can be expected to result in death or that has lasted or can be expected to last for a continuous period of not less than twelve months; and (b) the impairment renders the claimant incapable of performing the work that the claimant previously performed and incapable of performing any other substantial gainful employment that exists in the national economy."
The Social Security regulations set forth a five-step sequential process for determining whether a claimant is disabled.
At step one, the ALJ will consider a claimant's work activity, if any. 20 C.F.R. § 404.1520(a)(4)(i). If the ALJ finds the claimant is engaged in substantial gainful activity, the ALJ will determine that the claimant is not disabled, regardless of the claimant's medical condition, age, education, or work experience. 20 C.F.R. § 404.1520(b). Substantial gainful activity is work that is defined as both substantial (work activity involving significant physical or mental activities) and gainful (work activity usually done for pay or profit, whether or not a profit is realized). 20 C.F.R. § 404.1572. If the ALJ finds that the claimant is not engaged in substantial gainful activity, the analysis proceeds to step two.
Step two requires that the ALJ consider the medical severity of the claimant's impairments. 20 C.F.R. § 404.1520(a)(4)(ii). Only if the claimant has an impairment or combination of impairments that "significantly limits [her] physical or mental ability to do basic work activities" will the analysis proceed to step three. 20 C.F.R. § 404.1520(c). If not, the ALJ will find the claimant is not disabled and the analysis ends there. 20 C.F.R. § 404.1520(a)(4)(ii).
The ALJ also considers the severity of the claimant's impairments at step three. 20 C.F.R. § 404.1520(a)(4)(iii). Here, the ALJ will determine whether the claimant's impairments meet or equal the criteria of an impairment specifically described in the regulations.
Step four first requires the ALJ to determine the claimant's residual functional capacity ("RFC").
In the fifth and final step, the ALJ will once again consider the claimant's RFC, as well as her age, education, and work experience, in order to determine whether the claimant can perform other work. 20 C.F.R. § 404.1520(a)(4)(v). Here, the ALJ is responsible for providing "evidence that demonstrates that other work exists in significant numbers in the national economy that [the claimant] can do." 20 C.F.R. § 404.1520(g)(1). If the claimant is unable to perform other work, she is deemed disabled. 20 C.F.R. § 404.1520(g). If she can make an adjustment to other available work, she is considered not disabled.
The ALJ issued his decision in this case on November 15, 2016. The Appeals Council granted review of that decision, and therefore the Appeals Council's November 2, 2018 decision was the Commissioner's final decision in this case. AR 1. In that final decision, the Appeals Council adopted the ALJ's (1) statements regarding the pertinent provisions of the Social Security Act, Social Security Administration Regulations, Social Security Rulings and Acquiescence Rulings, the issues in the case, and the evidentiary facts; (2) findings and conclusions regarding whether Plaintiff is disabled; (3) findings under steps one, two, three, and four of the sequential evaluation; (4) conclusions regarding Plaintiff's statements concerning the alleged symptoms; and (5) conclusions regarding Plaintiff's mental impairment under the four functional areas requiring evaluation. AR 4-7. Aside from these statements, the Appeals Council did not discuss or evaluate the medical reports or other evidence that was before the ALJ.
The Appeals Council did add Exhibit 16F to the record, which was not addressed in the hearing decision or previously entered into the record. AR 4. The Appeals Council found that "Exhibit 16F do[es] not contain objective, clinical findings that would otherwise change the Administrative Law Judge's mental functional findings." AR 4;
The ALJ's decision is therefore treated as the decision of the Appeals Council concerning the evaluation of the medical evidence and the credibility of plaintiff's subjective testimony.
The ALJ found that, at step one, Plaintiff had not engaged in substantial gainful activity since January 1, 2013— the amended alleged disability onset date—and at step two, that she suffered from the following severe impairments: depression; post-traumatic stress disorder (PTSD); and possible personality disorder. AR 29-30.
At step three, the ALJ found that Plaintiff did not have an impairment or combination of impairments that met or medically equaled the severity of an impairment listed in 20 C.F.R. Part 404, Subpart P, Appendix 1. AR 30-31. Specifically, the ALJ found that Plaintiff's mental impairments, considered singly and in combination, did not meet or medically equal the criteria related to depressive, bipolar and related disorders; anxiety and obsessive-compulsive disorders; and personality and impulse-control disorders.
Moving to step four, the ALJ determined that Plaintiff had the RFC
AR 31-32. Based on this RFC, the ALJ determined at step four that Plaintiff is capable of performing past relevant work as a data entry clerk. AR 38. This determination led the ALJ to find Plaintiff "not disabled" at step four. AR 38.
Plaintiff does not challenge any of the findings the ALJ made at the first three steps.
The ALJ considered medical opinions issued by six doctors in this case.
In assessing whether a claimant is disabled, the ALJ must "develop the record and interpret the medical evidence," considering the "`combined effect' of all the claimant's impairments," regardless of whether any one impairment, considered alone, would be of sufficient severity.
The applicable regulations state that the agency will consider all the medical opinions it receives.
"Although a treating physician's opinion is generally afforded the greatest weight in disability cases, it is not binding on an ALJ with respect to the existence of an impairment or the ultimate determination of disability."
"Even if a treating physician's opinion is contradicted, the ALJ may not simply disregard it."
An ALJ may only reject a treating physician's contradicted opinions by providing "specific and legitimate reasons that are supported by substantial evidence."
Similarly, an examining physician's opinion is entitled to greater weight than that of a nonexamining physician.
With this framework in mind, the Court considers whether the ALJ properly weighed the opinions of Plaintiff's physicians.
Dr. Myers is Plaintiff's treating psychologist and has been treating Plaintiff in individual psychotherapy since October 9, 2012. AR 34, 374. Dr. Myers submitted five medical reports to the agency, dated November 21, 2012, May 12, 2013, August 18, 2014, June 3, 2016, and August 15, 2016. AR 374, 375, 388-92, 683-85, 707-721.
Dr. Myers's November 21, 2012 report took the form of a letter describing Plaintiff's diagnoses, background, and treatment. AR 374. Specifically, she described daily survival as a struggle for Plaintiff, which was exacerbated when Plaintiff was required to comply with a 30-hour-per-week job search requirement under the state of Hawaii's First to Work Program.
Dr. Myers's May 12, 2013 report provided "an update to the previous report, dated 11/21/12." AR 375. After reiterating Plaintiff's background, Dr. Myers opined that Plaintiff "has made good progress but is clearly not yet ready to return to employment. I would anticipate that she will require at least 6 months to be fully ready to become gainfully employed on a full time basis."
On August 18, 2014, Dr. Myers completed a form entitled "Report of Treating Mental Health Provider." AR 388-92. On that form, Dr. Myers indicated that she met with Plaintiff one to two times per month. AR 388. She provided narrative descriptions of Plaintiff as polite and pleasant, actively engaged in her treatment, and interested in being an excellent parent to her eight children, and Dr. Myers described her ability to relate as "excellent." AR 389-91. Dr. Myers found Plaintiff to have an IQ functioning in the average or above average range, and found Plaintiff displayed an "appropriate range of emotions given topics discussed." AR 389.
In response to questions regarding Plaintiff's RFC, Dr. Myers stated that Plaintiff was capable of understanding and remembering simple work instructions but "may not be able to do so consistently on [a] daily basis for employment," noting that Plaintiff continued to struggle with past traumas. AR 390. Similarly, she opined that Plaintiff was "probably" capable of maintaining regular job attendance and persisting at simple, repetitive work tasks under ordinary supervision, "but may not be able to do so consistently for employment as she is most likely at or near her limit for coping [with] stressors of any kind."
The ALJ found this report the most persuasive of the reports Dr. Myers submitted. AR 35. The ALJ contrasted Dr. Myers's "detailed findings" used "to support her conclusions" in the August 18, 2014 report against the lack of detailed findings used to support Dr. Myers's conclusions in her later-submitted June 3, 2016 and August 15, 2016 reports.
On June 3, 2016, Dr. Myers completed a form entitled "Mental Health Questionnaire." AR 683-85. The form included:
(2) a check-box identification of signs and symptoms, where Dr. Myers checked eleven of thirty-two signs or symptoms;
(3) a check-box ranking of the ability to make necessary adjustment to maintain a job across a list of categories, where Dr. Myers indicated zero no limitations, five mild limitations, fourteen moderate limitations, three marked limitations, and zero extreme limitations;
(4) a check-box ranking of the degree to which the patient's mental health impairs her ability to function, where Dr. Myers indicated zero no limitations, one mild limitation, three moderate limitations, zero marked limitations, and zero extreme limitations;
(5) an expected average monthly work absence, where Dr. Myers wrote 5-6 days, "possibly more"; and
(6) an indication of whether the limitations have been present since the provided onset date, where Dr. Myers wrote "yes."
AR 683-85. The ALJ referred to this report in his decision but found it "cursory" and "provided no detailed clinical findings, much less any significant rationale." AR 34-35.
Finally, after the hearing before the ALJ, Dr. Myers submitted a fifth report in response to materials provided and questions posed by Plaintiff's attorney. AR 707-21. This report is dated August 15, 2016. AR 721. As described by Plaintiff, "Dr. Myers' fifth opinion was designed to address Dr. Jonas' testimony about her August 18, 2014 opinion, but also to more fully address this earlier opinion."
The ALJ appears to have misinterpreted the quotes from the August 18, 2014 report as new statements made on August 15, 2016. AR 34-35. Nevertheless, the ALJ considered the report and remarked on Dr. Myers's conclusion that Plaintiff's condition has worsened. AR 35. The ALJ found the report "offers mostly conclusions, and does not provide detailed clinical findings to support her conclusion." AR 35.
Considering Dr. Myers's reports together and based on the above critiques, the ALJ ultimately gave Dr. Myers's opinion "only some weight." AR 35. The ALJ criticized Dr. Myers's reports as conclusory and lacking clinical findings that supported her conclusions.
The ALJ specifically found that the "very restricted assessment offered" by Dr. Myers was "not supported by the record in its entirety." AR 35. The ALJ contrasted Dr. Myers's conclusory reports against Dr. Wingert's "very detailed report," to which he assigned greater weight to the extent that Dr. Wingert found Plaintiff able to concentrate in a structured setting and make simple work-related decisions. AR 36. The ALJ likewise found Dr. Myers's conclusions to be inconsistent with Dr. Kiyota's August 14, 2014 report, to which the ALJ assigned significant weight, indicating that Plaintiff could cope with low demand, entry-level work.
Plaintiff argues the ALJ made three errors in limiting the weight afforded to Dr. Myers's reports: (1) the ALJ improperly relied on inconsistencies he found in Dr. Myers's reports to reject Dr. Myers's opinions, Opening Br. at 17-19; (2) the ALJ's comparison of Dr. Kiyota's August 14, 2014 report to Dr. Myers's reports was improper and relied on a misunderstanding Dr. Myers's last report, Opening Br. at 19; and (3) the ALJ's finding that Dr. Myers's reports were not supported by the record in its entirety relies on a mischaracterization of the record, Opening Br. at 19-20.
Plaintiff first argues that the ALJ erred in relying on inconsistencies he found in Dr. Myers's reports to reject her opinions. Opening Br. at 17-19. Plaintiff argues that Dr. Myers consistently referred to the presence of her disabling limitations, and that it is "improper to reject Dr. Myers' opinions because [these] limitations were not always present to the same degree." Opening Br. at 18. She cites
The Commissioner replies that there were numerous conflicting medical opinions in this case and the ALJ was responsible for resolving the conflicts. Ans. Br. at 10-11. The Commissioner argues that the ALJ reasonably found Dr. Myers's reports to be both internally inconsistent and inconsistent with the record. Ans. Br. at 12-15. The Commissioner points to the Appeals Council's consideration of additional progress notes submitted by Dr. Myers, which were not available to the ALJ, and which the Appeals Council held did not change the ALJ's findings.
Plaintiff's second argument is that the ALJ erroneously found Dr. Myers's August 2014 report lacked detail while finding Dr. Kiyota's August 2014 report "much more detailed and well-reasoned." Opening Br. at 19. Plaintiff argues that Dr. Kiyota's August 2014 report was completed on the same form as Dr. Myers's August 2014 report, and was actually less detailed.
The Commissioner replies that Plaintiff misunderstands the ALJ's comparison of Dr. Kiyota's August 2014 report. Ans. Br. at 16-17. The ALJ found that Dr. Kiyota's conflicting conclusions undermined Dr. Myers's opinion but did not directly compare the level of detail in Dr. Kiyota's report against the level of detail in Dr. Myers's report. Ans. Br. at 17. Rather, the ALJ's statements regarding Dr. Kiyota's "much more detailed" report contrasted Dr. Kiyota's several other check-box reports against Dr. Kiyota's August 2014 narrative report.
Lastly, Plaintiff argues that the ALJ excluded all opinion evidence regarding Plaintiff's disabling limitations in order to draw the conclusion that Dr. Myers's opinion was not supported by the record in its entirety. Opening Br. at 19-20. In so doing, he mischaracterized the record, which Plaintiff argues was in error.
The Commissioner acknowledges that this record provides substantial evidence that could support a finding of disability or non-disability. Ans. Br. at 15 n.9. The Commissioner argues that because this record could support either outcome, the Court must affirm the ALJ's decision. The ALJ here weighed the conflicting medical opinions by making "numerous specific findings" and by stating "what in the record supported his findings."
The Court notes—and Plaintiff does not contest—that the ALJ provided specific reasons for limiting the weight he afforded to Dr. Myers's opinions. AR 34-35; Opening Br. at 20. At issue, then, is whether the specific reasons provided were legitimate and supported by substantial evidence.
"[I]t is error for an ALJ to pick out a few isolated instances of improvement over a period of months or years and to treat them as a basis for concluding a claimant is capable of working."
Here, the ALJ did not selectively rely on Dr. Myers's findings regarding Plaintiff's capabilities to the exclusion of those regarding Plaintiff's limitations. Rather, the ALJ took pains to compare the reports Dr. Myers provided in order to assess the more restrictive findings that Dr. Myers made. Plaintiff points to the ALJ's statement that Dr. Myers "assessed at least at one point" moderate or mild restrictions, which the ALJ found at odds with Dr. Myers's report that Plaintiff could not carry out tasks and complete a workday. AR 35. But the ALJ's argument in so writing was that Dr. Myers's own findings did not support her conclusions. The ALJ reviewed Dr. Myers's reports and explained his decision to limit the weight afforded to them based on the lack of support or clinical findings contained therein, and Plaintiff misconstrues the ALJ's decision to the extent that Plaintiff argues that the ALJ limited their weight because Plaintiff's symptoms waxed and waned over the course of her treatment. AR 35.
The Court rejects Plaintiff's first contention that the ALJ improperly limited the weight it afforded Dr. Myers's opinion because Plaintiff's reported limitations fluctuated between reports.
Plaintiff next argues that the ALJ improperly found Dr. Myers's reports lacked detail where the ALJ simultaneously found that Dr. Kiyota's shorter responses in her August 2014 report contained more detail. Plaintiff encourages a side-by-side comparison of Dr. Kiyota's August 2014 report against Dr. Myers's August 2014 report, each of which was completed on the same form. Opening Br. at 19.
Plaintiff appears to misunderstand the nature of detail to which the ALJ refers. The ALJ is not merely counting total words used, in which case Dr. Myers's reports would certainly weigh heavier. Instead, the ALJ afforded significant weight to Dr. Kiyota's August 2014 report because "her conclusions are supported by her own findings." AR 36. The ALJ apparently found the details provided in Dr. Kiyota's August 2014 report consistent with the conclusions she provided; namely, that Plaintiff could cope with low demand, entry-level work, could understand and remember simple work instructions, could maintain regular job attendance and persist at simple work tasks on a consistent basis, and could get along with others with minimal contact.
In contrast, the ALJ found Dr. Myers's reports lacked the type of details that would support her conclusions. This was particularly true in Dr. Myers's August 2014 report, to which Plaintiff urges the instant comparison. Dr. Myers's August 2014 report did contain some specific findings of Plaintiff's limitations. For example, Dr. Myers stated that Plaintiff was coping with multiple psychosocial stressors and had a limited psychosocial support network, and continued to struggle with past traumas. Dr. Myers also that indicated Plaintiff's coping resources were compromised as a result of past traumas and multiple deaths in her family, as well as being a single parent of eight kids. AR 388-91. But Dr. Myers also provided a number of findings regarding Plaintiff's capabilities. For example, Dr. Myers stated that Plaintiff performed all activities of daily living, provided for the needs of her eight children as a single parent, managed her own funds, had an interest in being an excellent parent to her kids, had an excellent ability to relate, engaged with others easily and was pleasant, displayed an appropriate range of emotions given the topics discussed, had an "X3" cognitive status, and had an estimated IQ functioning in the average or above average range. AR 388-91.
The ALJ found these latter descriptions inconsistent with Dr. Myers's conclusions regarding Plaintiff's inability to work. Further, when providing her assessment of Plaintiff's limitations, Dr. Myers was surprisingly equivocal. When asked if Plaintiff was capable of maintaining regular job attendance and persisting at simple, repetitive work tasks, Dr. Myers responded "probably." AR 390. Dr. Myers went on to qualify that response by remarking Plaintiff "may not be able to do so consistently for employment."
The ALJ found Dr. Kiyota's report better supported by her own findings and consistent with other evidence in the record. AR 36. In contrast, the ALJ found Dr. Myers's reports conclusionary and lacking in the type of detail that supported her findings. AR 34-35. The evidence here reasonably and substantially supports this conclusion and the ALJ did not err in so finding.
Plaintiff's third argument is that the ALJ improperly characterized the record to exclude all opinion evidence of Plaintiff's disabling limitations. Specifically, Plaintiff argues that the ALJ improperly found that Dr. Myers's reports were "not supported by the record in its entirety." Opening Br. at 19-20; AR 35.
The record "in its entirety" consisted of:
(1) Dr. Myers's five opinions, at issue here;
(2) Dr. Wingert's opinion, concluding Plaintiff "could maintain adequate concentration and attention in a structured setting, and demonstrated sufficient cognitive ability to make simple work related decisions," but that Plaintiff's "symptoms of withdrawal and irritability could interfere with her ability to interact with the public and get along with coworkers," and her "depressive symptoms might limit her ability to complete a normal workday," AR 36;
(3) Dr. Kiyota's August 2014 report, concluding Plaintiff could cope with low demand, entry-level work, AR 36;
(4) Dr. Kiyota's seven State of Hawaii Department of Human Services mental health reports (the "DHS reports"), covering the period from about June 2013 to March 2016, which commonly indicated Plaintiff could not function for as much as half of the day, AR 36;
(5) the conclusions of two nonexamining State agency psychological consultants who reviewed some, but not all, of the reports by Dr. Myers, Dr. Kiyota, and Dr. Wingert, and who opined Plaintiff "could engage in simple routine tasks involving minimal contact with others, and could adapt to routine changes and make simple plans," AR 37;
(6) the conclusions of nonexamining doctor, Dr. Jonas, who found Plaintiff has no more than mild functional limitations, AR 34; and finally
(7) Plaintiff's own testimony, wherein she stated she could not get through a workday and could not maintain attendance for full time employment, AR 38.
The ALJ reviewed each of these pieces of the record in his decision. After his review, he afforded significant weight to Dr. Kiyota's August 2014 report, significant weight to the conclusions of the State agency psychological consultants, relatively greater weight, but not full weight, to the opinion of Dr. Wingert (but not including Dr. Wingert's conclusion that Plaintiff's depressive symptoms might limit her ability to complete a normal workday), some weight to the opinion of Dr. Myers, and limited weight to Dr. Kiyota's seven DHS reports. AR 34-37. The ALJ appeared to find some credibility in Plaintiff's testimony but did not fully credit the severity with which Plaintiff testified she experienced her symptoms. AR 32-33, 37-38.
Because Dr. Myers was the treating doctor, the ALJ was required to provide specific and legitimate reasons supported by substantial evidence to limit the weight he afforded her testimony.
Indeed, a review of Dr. Myers's reports shows that, aside from a recitation of Plaintiff's undeniably traumatic history, Dr. Myers largely fails to provide concrete observations that would plainly support Plaintiff's limitations. Nor does Dr. Myers provide substantiation of clinical and laboratory diagnostic techniques used that might support her conclusions, which would be required to give even an uncontradicted treating doctor's opinion controlling weight. 20 C.F.R. § 404.1527(c)(2) (providing controlling weight where the "nature and severity" of the impairments described are "well-supported by medically acceptable clinical and laboratory diagnostic techniques" and are "not inconsistent with the other substantial evidence" in the case record).
Although the ALJ did not specifically mention Dr. Myers's November 21, 2012 report, the ALJ is not obligated to discuss "every piece of evidence" where the evidence is "neither significant nor probative."
The ALJ properly resolved the clear conflicts in this record by presenting specific and legitimate reasons that were supported by substantial evidence. To the extent that Plaintiff takes issue with the ALJ's use of the phrase "the record in its entirety," the Court rejects the semantic point. A plain reading of the ALJ's decision shows that the ALJ acknowledged that the record contained evidence both in support of and in opposition to Dr. Myers's reports. When referring to "the record in its entirety," the ALJ was referring to the record as he characterized it, and the ALJ nowhere suggested that the record contained only evidence contrary to Dr. Myers's opinion.
The Court affirms the ALJ's decision with regard to Dr. Myers's medical opinion.
Dr. Wingert, an examining doctor, served as a Consultative Examiner. He provided a six-page narrative describing his January 20, 2015 examination of Plaintiff. AR 394-99. He provided (1) behavioral observations and interview information, AR 394-96; (2) the results of a cognitive and learning assessment, AR 396-97; (3) an assessment of Plaintiff's emotional status and personality, AR 397-98; (4) a diagnostic impression, AR 398; and (5) a formulation summarizing his conclusions. AR 398-99.
The ALJ found that Dr. Wingert's detailed report substantiated portions of his ultimate opinion. Specifically, the ALJ found that Dr. Wingert's findings supported his conclusion that Plaintiff
AR 36. The ALJ went on to discount Dr. Wingert's suggestion that Plaintiff's "depressive symptoms might limit her ability to complete a normal workday," because the ALJ found "this is not evident from any of the findings from the exam and appears mainly derived from the claimant's subjective reports."
Plaintiff argues the ALJ improperly rejected Dr. Wingert's suggestion that Plaintiff "may well be limited in her ability to complete a normal workday and workweek without interruptions from her psychologically-based symptoms."
Where the ALJ ascribed relatively greater weight to the bulk of Dr. Wingert's opinion, the ALJ specifically rejected Dr. Wingert's suggestion regarding Plaintiff's ability to complete a normal workday without interruption. AR 36. The ALJ did so because he thought the suggestion was mainly derived from Plaintiff's subjective reports and was inconsistent with a treatment that involved only low-dose medication and therapy.
The Court finds the ALJ did not err in rejecting one of Dr. Wingert's suggestions while giving relatively greater weight to the remainder of Dr. Wingert's opinion.
The Court disagrees that the ALJ improperly formed his own medical opinion by reinterpreting Dr. Wingert's raw data. An ALJ is permitted to evaluate the bases provided for a medical opinion and, considering the record as whole, determine certain portions are supported while other portions are not.
The cases Plaintiff cites do not hold otherwise. Plaintiff appears to cite
Here, the ALJ relied on the findings of the examining doctor, Dr. Wingert, and found they did not support that same doctor's concluding suggestion that Plaintiff "may well be limited in her ability to complete a normal workday and workweek without interruptions from psychologically-based symptoms." AR 399. The ALJ went on to articulate that he found the unsupported suggestion by Dr. Wingert based mainly on Plaintiff's subjective reports and not supported by Plaintiff's medical record evidencing a conservative treatment (the characterization of "conservative treatment" was in turn supported by the statement of nonexamining doctor, Dr. Jonas, regarding Plaintiff's "very low" dose of medication).
Plaintiff also cites to
The Court finds the ALJ permissibly relied, in part, on Plaintiff's subjective reports to Dr. Wingert as a basis for rejecting one of Dr. Wingert's suggestions. Where an ALJ determines that a claimant's "description of her limitations [are] not entirely credible," an ALJ may reasonably discount evidence from a physician "that was based on those less than credible statements."
The Ninth Circuit held in
The ALJ here reviewed the clinical evidence provided by Dr. Wingert: that Dr. Wingert "noted that [Plaintiff] presented as distracted and distraught . . . but her responses to self-inventories reflected only a low level of depression and concerns of anxiety but not at clinical level." AR 35. Dr. Wingert administered the WAIS-IV, at which Plaintiff was "able to persist" and "demonstrate[ed] an average range of intellectual function."
Because Dr. Wingert's suggestion regarding Plaintiff's potential inability to complete a normal workday or workweek was contradicted by other medical evidence in the record, the ALJ needed only provide specific and legitimate reasons supported by substantial evidence in order to reject it.
Plaintiff argues the ALJ could not reject a part of Dr. Wingert's opinion for what the ALJ deemed conservative treatment.
Reviewing courts have taken it upon themselves to determine what type of treatment is properly considered conservative. In
In contrast, the court in
Although Plaintiff testified that she has not asked for an increase in her medication because she is not sure her medication is helping her at all, AR 62, this does not rise to the type of medical corroboration described in
Plaintiff cites to
Dr. Kiyota, an examining doctor, submitted eight reports. The August 14, 2014 report, which the ALJ assigned significant weight, has been discussed
The remaining seven of Dr. Kiyota's reports were filled out as part of Plaintiff's application to the State of Hawaii Department of Human Services for state disability benefits. Dr. Kiyota is a state psychiatric examiner who examined Plaintiff approximately every six months between June 2013 and March 2016. AR 379-82, 558-90. Each report was filled out on the same form, consisting largely of check boxes.
Dr. Kiyota's seven reports suggest some improvements and then regression over time. The reports mark Plaintiff with moderate limitations—defined as an inability to function half of the time—in a few categories, and two of the reports (from December 2013 and March 2016) list Plaintiff as very limited— defined as unable to function three-quarters of the time—in the category regarding capability of adapting/copying with a low demand, entry-level job. AR 382, 562, 567, 574, 579, 585, 590.
The DHS reports also have a section for employability. Dr. Kiyota's conclusions regarding Plaintiff's employability vary over time. Dr. Kiyota's first report in June 2013 concludes that Plaintiff is unable to participate in any activities except treatment. AR 590. Then, in December 2013, Dr. Kiyota finds Plaintiff able to participate in activities less than 30 hours weekly with reasonable accommodations; those reasonable accommodations being that Plaintiff cannot be around people. AR 585. This same finding, that Plaintiff is able to participate in activities less than 30 hours weekly with reasonable accommodations, is repeated in Dr. Kiyota's May 2014, October 2014, and April 2015 reports, although these latter three reports also indicate that as a reasonable accommodation, Plaintiff must avoid stress. AR 382, 574, 579. Notably, the August 2014 report, provided on a separate form and to which the ALJ affords significant weight, is written between these DHS reports.
Dr. Kiyota's last two DHS reports, written in September 2015 and March 2016, again list Plaintiff as unable to participate in any activities except treatment. AR 562, 567. All seven of the DHS reports were certified by two additional doctors who reviewed the forms and signed off on them.
The ALJ afforded limited weight to Dr. Kiyota's DHS reports "because they are conclusory and cite very few clinical findings, and because the conclusions reached in these reports are not consistent with the medical and other evidence," or with Dr. Kiyota's August 2014 report. AR 36. The ALJ specifically noted that Dr. Kiyota provided a Global Assessment of Functioning ("GAF") score at about 55, which he found inconsistent with Dr. Kiyota's indication that Plaintiff could not function for as much as half the day.
Plaintiff argues that the ALJ improperly rejected Dr. Kiyota's seven State of Hawaii DHS reports. Plaintiff first emphasizes that the DHS examinations are performed through a joint program with the Social Security Administration and use identical criteria to determine if the claimant is disabled. Opening Br. at 25. She next argues that the ALJ afforded Dr. Kiyota's August 2014 report significant weight because it was much more detailed and well-reasoned than the DHS reports, and was supported by Dr. Kiyota's own findings in the previous DHS examinations. Opening Br. at 26. But, Plaintiff argues, Dr. Kiyota's August 2014 opinion lacked both detail and clear reasoning; and it was not supported by the previous DHS examinations (nor by the later DHS examinations), which show the August 2014 report to be "an anomaly."
While the Commissioner acknowledges the similarity between the disability standards used by the State of Hawaii DHS program and the Social Security Administration, the Commissioner argues that "Dr. Kiyota had the opportunity to certify that Plaintiff was permanently disabled and should apply for Social Security benefits every single time she examined Plaintiff; but she never checked that box." Ans. Br. at 24. The Commissioner further responds that the ALJ properly rejected Dr. Kiyota's check-box forms as limited in terms of providing any detailed rationale, and internally contradictory where Dr. Kiyota assigned Plaintiff a GAF score of 55 but stated Plaintiff was unable to work. Ans. Br. at 22-23.
The ALJ did not address whether Dr. Kiyota's State of Hawaii DHS reports were undermined or validated by the relationship between the State of Hawaii's disability benefits program and the Social Security Administration's disability benefits program.
This Court's conclusion is not changed by the Commissioner's argument that Dr. Kiyota did not find Plaintiff "permanently disabled" and chose not to refer her for SSI benefits by checking a box in the evaluation form. Ans. Br. at 24. Again, the ALJ made no findings whatsoever on this point and the Court has no power to "assess the ALJ's reasoning with respect to [the doctor's] completion of the forms when the record does not provide any findings by the ALJ on the issue."
The Court next finds the ALJ was permitted to credit the written form of Dr. Kiyota's August 2014 over the mostly check-box form of Dr. Kiyota's DHS reports. Courts have held that it may be proper in some instances for an ALJ to assign less weight to an opinion because of the cursory nature or format of the opinion; for example, a "check-box form report of a single examination."
The Court finds the inconsistencies between Dr. Kiyota's August 2014 report and her seven DHS reports surprising. Dr. Kiyota's seven DHS reports, spanning between June 2013 to March 2016, consistently have the box checked indicating Plaintiff is at least "moderately limited" in her ability to adapt and cope with a low demand, entry level job. AR 382, 562, 567, 574, 579, 585, 590. Yet on the August 2014 report, Dr. Kiyota indicates that "yes," Plaintiff is capable of adapting/coping with a low-demand, entry-level job. AR 386. The seven DHS reports also, at various times, have boxes checked indicating Plaintiff is incapable of maintaining attention and concentration in simple, repetitive tasks at least half of the time and is incapable of regularly attending to a routine and maintaining a schedule at least half of the time. AR 379-82, 558-90. Yet on August 2014, Dr. Kiyota indicates that "yes," Plaintiff is capable of understanding and remembering simple work instructions, and "yes," Plaintiff is capable of maintaining regular job attendance and persisting at simple, repetitive work tasks on a consistent basis. AR 385.
Despite these inconsistencies, the ALJ's decision to credit short-form responses over check-box responses was not here in error. Where Dr. Kiyota's reports facially conflicted, it was reasonable to assign greater weight to written responses over check-boxes, particularly where the ALJ found the written responses better supported by Dr. Kiyota's own findings, such as by the provided GAF score.
As discussed in this Court's review of the record generally,
"In assessing the credibility of a claimant's testimony regarding subjective pain or the intensity of symptoms, the ALJ engages in a two-step analysis."
"`The ALJ must specifically identify what testimony is credible and what testimony undermines the claimant's complaints.'"
Plaintiff provided testimony regarding her difficulty concentrating, her feelings of incompetence to handle basic tasks and social situations, and her need for frequent breaks to go lie down. AR 58-60, 79-82;
At step one, the ALJ considered this evidence and concluded that Plaintiff's medically determinable impairments could reasonably be expected to cause the alleged symptoms. AR 32. At step two, the ALJ found that Plaintiff's statements regarding the "intensity, persistence and limiting effects of these symptoms are not entirely consistent with the medical evidence and other evidence in the record."
The ALJ concluded that Plaintiff's "subjective complaints of inattention, need for frequent breaks, inability to handle stress, and other related symptoms, along with the clinical record and other evidence," supported limitations but did not support Plaintiff's inability to work. AR 38. The ALJ found Plaintiff's allegations that she could not get through a workday were not supported by (1) the clinical findings and psychological test results, and the evidence overall; (2) evidence of Plaintiff's activities of daily living; (3) Plaintiff's record of conservative treatment; and (4) Plaintiff's demeanor at the hearing. AR 37-38.
Plaintiff argues that, although the ALJ did not reject Plaintiff's testimony outright, he addressed her inattention and need for breaks by limiting her to simple, routine, repetitive tasks, occasional changes in setting, and no assembly-line work. Opening Br. at 29. She states these limitations would not allow her the breaks that she testified she needs. Opening Br. at 30. Although the ALJ considered multiple aspects of Plaintiff's testimony, Plaintiff's briefing specifically takes issue with the ALJ's failure to incorporate Plaintiff's need for frequent breaks. Opening Br. at 28-30; Reply Br. at 13-14.
The parties disagree over whether the ALJ's four stated reasons for discounting Plaintiff's allegations were sufficient. Ans. Br. at 29-32; Reply Br. at 13-14. The Commissioner argues that the ALJ compared Plaintiff's testimony to objective medical evidence, but Plaintiff replies that this argument fails where the ALJ improperly rejected objective findings. Ans. Br. at 29-30; Reply Br. at 13. The Commissioner argues that the ALJ discussed evidence of Plaintiff's daily living throughout his decision, but Plaintiff replies that these activities are not inconsistent with her need for breaks. Ans. Br. at 30-31; Reply Br. at 13. The Commissioner argues Plaintiff's record of conservative healthcare supports the ALJ's decision, but Plaintiff replies that Plaintiff's treatment is not conservative, nor is more care necessary to substantiate her need for breaks, nor is there adequate availability of treatment available. Ans. Br. at 32-33; Reply Br. at 14. Finally, the Commissioner argues that the ALJ properly relied on his own observations at the hearing, but Plaintiff replies that the ALJ mischaracterized her demeanor in his descriptions. Ans. Br. at 33; Reply Br. at 14.
Here, the ALJ found that "the claimant's medically determinable impairments could reasonably be expected to cause the alleged symptoms," which satisfies the first step of the analysis. AR 32;
Because the ALJ partially rejected Plaintiff's testimony regarding the severity of her need for breaks, the ALJ was required to give specific, clear and convincing reasons.
The ALJ could not reject Plaintiff's testimony as to the severity of her symptoms solely because it was not corroborated by objective evidence.
Here, the ALJ found Plaintiff's testimony not fully credible in part because of "the detailed clinical findings and psychological test results." AR 38. As the Court has discussed, the ALJ did not improperly reject medical findings as Plaintiff claims. But "[t]he fact that a claimant's testimony is not fully corroborated by the objective medical findings, in and of itself, is not a clear and convincing reason for rejecting it."
The ALJ concluded that Plaintiff could get through a workday and maintain attendance for full-time employment based in part on Plaintiff's activities of daily living. AR 38.
To find a claimant not credible, an ALJ may consider conflicts between a claimant's testimony and her own conduct or internal contradictions in her testimony.
Although Plaintiff isolates her need for breaks, the ALJ considered her testimony regarding her limitations as whole. The ALJ recognized that although Plaintiff "testified that her older, adult children help her with tasks like cleaning and cooking, [she] remains capable of managing her own funds, driving, and shopping." AR 38. The ALJ found these tasks contradicted Plaintiff's testimony that she was unable make it through a workday without several breaks. Further, the ALJ found Plaintiff's testimony not only lacked support, but was specifically contradicted by the medical opinions, where her treating psychologist Dr. Myers stated Plaintiff had no limitation in her activities of daily living. AR 37. Even where Plaintiff's "activities suggest some difficulty functioning, they may be grounds for discrediting" the testimony provided by Plaintiff "to the extent that they contradict claims of a totally debilitating impairment."
The ALJ did not err in finding Plaintiff's daily activities contradicted the severity of her symptoms as alleged.
The ALJ also found that Plaintiff's testimony was undermined by her conservative health care record, which did not include the need for acute intervention or other aggressive measures or intensive therapies. AR 38. As discussed above, this circuit permits an ALJ to rely on evidence of conservative treatment.
The ALJ relied in part on Plaintiff's demeanor during the hearing. At the hearing, Plaintiff "did become tearful," but she "was able to compose herself enough to appropriately and adequately respond to questioning," and "she appeared able to follow the proceedings and she did not ask to take a break during the hearing." AR 37. Given that this demeanor contradicted Plaintiff's assertions regarding her inability to handle any stress, and when viewed in combination with the other factors the ALJ cited, the Court does not find the ALJ erred in considering Plaintiff's demeanor as described.
For the foregoing reasons, the Court AFFRIMS the Commissioner of Social Security's decision denying SSDI and SSI benefits.
IT IS SO ORDERED.
AR 5.