NOEL L. HILLMAN, District Judge.
This matter comes before the Court pursuant to Section 205(g) of the Social Security Act, as amended, 42 U.S.C. § 405(g), regarding Plaintiff's application for Supplemental Security Income ("SSI")
Plaintiff, Elizabeth Guzman, claims that she is entitled to SSI due to cervical and lumbar degenerative disc disease with radiculopathy, diabetes mellitus, carpal tunnel syndrome, asthma, depression, and anxiety. Plaintiff had previously filed for SSI claiming a disability onset date on June 17, 2009.
After the Appeals Council upheld the denial of her SSI claim for the alleged onset of disability of June 17, 2009, but before she appealed the decision to the District Court, Plaintiff filed a second application for SSI on April 17, 2013 alleging that date as her onset of disability. While her appeal before the District Court was pending, the Commissioner granted her second SSI disability claim on November 10, 2014.
Because of the approval of her second SSI claim for disability beginning on April 17, 2013, the issue before the ALJ on remand from the District Court for Plaintiff's first claim became whether Plaintiff was disabled from June 17, 2009 through April 16, 2013. A hearing was held on May 26, 2016, and the ALJ issued his decision on May 10, 2017 denying Plaintiff's claim for disability between June 17, 2009 and April 16, 2013. The ALJ's decision became final on July 10, 2017. Plaintiff brings this civil action for review of the Commissioner's decision.
Under 42 U.S.C. § 405(g), Congress provided for judicial review of the Commissioner's decision to deny a complainant's application for social security benefits.
A reviewing court has a duty to review the evidence in its totality.
The Commissioner "must adequately explain in the record his reasons for rejecting or discrediting competent evidence."
The Third Circuit has held that access to the Commissioner's reasoning is indeed essential to a meaningful court review:
Although an ALJ, as the fact finder, must consider and evaluate the medical evidence presented,
The Social Security Act defines "disability" for purposes of an entitlement to a period of disability and disability insurance benefits as the inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death, or which has lasted or can be expected to last for a continuous period of not less than 12 months.
Under this definition, a Plaintiff qualifies as disabled only if his physical or mental impairments are of such severity that he is not only unable to perform his past relevant work, but cannot, given his age, education, and work experience, engage in any other type of substantial gainful work which exists in the national economy, regardless of whether such work exists in the immediate area in which he lives, or whether a specific job vacancy exists for him, or whether he would be hired if he applied for work. 42 U.S.C. § 1382c(a)(3)(B) (emphasis added).
The Commissioner has promulgated regulations
20 C.F.R. § 416.20(b)-(f).
Entitlement to benefits is therefore dependent upon a finding that the claimant is incapable of performing work in the national economy.
This five-step process involves a shifting burden of proof.
At step one, the ALJ found that Plaintiff had not engaged in substantial gainful activity since the alleged onset of disability through the end of the relevant time period. At step two, the ALJ found that Plaintiff's cervical and lumbar degenerative disc disease with radiculopathy, diabetes mellitus, carpal tunnel syndrome, asthma, depression, and anxiety were severe. At step three, the ALJ determined that Plaintiff's severe impairments or her severe impairments in combination with her other impairments did not equal the severity of one of the listed impairments. Plaintiff did not have any past relevant work, but the ALJ determined that Plaintiff's residual functional capacity ("RFC") rendered her capable of performing unskilled work at the sedentary exertional level (steps four and five) during the period of June 17, 2009 and April 16, 2013.
The ALJ determined Plaintiff's RFC to be as follows:
(R. at 451-52.)
Based on that RFC and the hypotheticals posed by the ALJ to the VE at the hearing, the VE testified that someone with Plaintiff's RFC would be capable of performing jobs such as an assembly worker, inspector, and office clerical worker. (R. at 459.)
Plaintiff argues that the ALJ erred in his formulation of Plaintiff's RFC by not supporting his determination with medical evidence but instead with only his lay speculations, which he also used to reject the severity and nature of Plaintiff's pain. Plaintiff also contends that those errors were compounded when the ALJ failed to consider the Vocational Expert's testimony regarding Plaintiff's "stand and stretch" requirement in determining that jobs existed in the national economy that Plaintiff was capable of performing.
Focusing first on Plaintiff's objection to the ALJ's RFC assessment, in making the RFC assessment the ALJ was required to consider all evidence before him. "In doing so, an ALJ may not make speculative inferences from medical reports," he is "not free to employ [his] own expertise against that of a physician who presents competent medical evidence," and "[w]hen a conflict in the evidence exists, the ALJ may choose whom to credit but cannot reject evidence for no reason or for the wrong reason."
The ALJ detailed the medical evidence in the record, which spanned from April 2009 through April 2011. Notably, despite claiming disability through April 16, 2013, the record does not contain any treatment records from May 2011 through April 16, 2013. (R. at 455.) During those two years documented in the record, the ALJ noted that beginning in 2009, Plaintiff suffered from impairments of her lumbar and cervical spine, which caused her pain, and required her to use a cane. The ALJ related that by February 2010, physical therapy and anti-inflammatory medications had not provided any relief for her pain, and a right LS-S1 transforaminal epidural steroid injection was recommended.
On July 13, 2010, Plaintiff had her first epidural injection, which was helpful for pain in her lower back. Because she had pain in her neck and left shoulder, on August 5, 2010 Plaintiff had a left shoulder trigger point injection, which she reported was also helpful. At that time, on examination and based on her own reports, Plaintiff was feeling better overall, and she had near full motion of the left shoulder and 5/5 strength throughout.
On December 7, 2010, Plaintiff complained of left wrist pain, but she had only slightly decreased left grip, x-rays of the left wrist from December 20, 2010 were negative, and an MRI on that same date of the cervical spine revealed that her C5-6 disc herniation had regressed slightly when compared with the April 3, 2010 study. The MRI also showed a C5-6 disc herniation produced minimal impression on the cord and a small left disc protrusion was noted at C6-7 with no cord compression, which was unchanged from the prior study.
The last treatment note for her physical impairments on April 1, 2011 related that after a second epidural injection, Plaintiff reported that her right lower extremity pain had completely resolved and she stated that she still has lower back pain, "but that it is okay." On examination, Plaintiff had cervical and paraspinal tenderness, but straight leg raising was negative, deep tendon reflexes were 2+ (i.e., normal), motor strength was 5/5, and sensory functioning was intact.
With regard to her mental impairments, the ALJ noted that during the relevant time period, Plaintiff's treating psychiatrist, Dr. Stephen Grelecki, had only seen her two times on July 1, 2010 and October 4, 2010. He determined that Plaintiff (1) had moderate restriction of the activities of daily living, (2) had marked difficulties in maintaining social functioning, (3) had extreme difficulties in maintaining concentration, persistence, or pace, (4) had no episodes of decompensation, and (5) would be absent from work more than 4 days per month.
After detailing the medical evidence of Plaintiff's physical and mental impairments from her treating sources, as well the reports of three consultative examiners, the ALJ explained the weight he afforded each opinion, and how the medically established impairments supported Plaintiff's RFC.
For Dr. Grelecki, the ALJ explained:
(R. at 457.)
The ALJ also considered a June 25, 2010 report to Work First New Jersey by Dr. Groves, who treated Plaintiff for her physical impairments. The ALJ assigned little weight to Dr. Groves' estimation of Plaintiff's disability from June 25, 2010 to June 25, 2011, and the finding that Plaintiff could not lift more than 10 pounds, and cannot bend, stoop, or climb. (R. at 456.) The ALJ accorded little weight to this opinion because it was inconsistent with the record as a whole and Plaintiff's reported activities. (
The ALJ also discussed the weight he afforded to the consultative examiners' reports. In a December 16, 2009 Case Analysis report, Dr. Shapiro, a non-examining state agency medical consultant, noted that (1) Plaintiff was not in psychiatric treatment and was not prescribed psychiatric medication, (2) Plaintiff's activities of daily living did not report any limitations with following directions, getting along with others, handling stress, or change in routine, (3) Plaintiff got along very well with authority figures, cared for her children, managed her finances, shopped, traveled, prepared meals, and did household chores, and (4) noted that he felt that psychiatric development was not indicated. (R. at 455.) The ALJ assigned little weight to this assessment because the record as a whole supported Plaintiff had some mental limitations. (
On January 4, 2010, Dr. Potashnik performed a consultative examination as to Plaintiff physical impairments, where he noted that, among other findings, Plaintiff's gait was normal without the cane during the examination, she was independent with dressing and mounting the exam table, and she was able to squat holding onto the exam table, and was able to walk on heels and tiptoes. (
In a January 13, 2010 RFC report, Dr. Bustos, a nonexamining state agency medical consultant, found that Plaintiff could lift and carry up to 20 pounds occasionally and 10 pounds frequently, stand/walk at least 2 hours in an 8-hour day, sit 6 hours in an 8-hour day, and perform unlimited pushing and/or pulling, but she could not climb ladders, ropes, or scaffolds, but could perform all other postural functions occasionally. (
Based on the foregoing, the ALJ concluded that Plaintiff had reported daily activities that were not limited to the extent one would expect given Plaintiff's complaints of disabling symptoms and limitations, and Plaintiff's treatment had been essentially routine and conservative in nature, including medication and regular doctor's appointments. The ALJ determined that despite the evidence demonstrating that Plaintiff had suffered from medically determinable "severe" impairments, the evidence also established that Plaintiff retained the capacity to function adequately to perform many basic activities associated with work. (R. at 457.)
Plaintiff argues that the ALJ came to this conclusion out of thin air by substituting his own perceptions of how Plaintiff's daily activities contradicted the disabling nature of her physical and mental impairments. The Court does not agree. The ALJ recounted the medical evidence, which documented the successes of Plaintiff's treatment for her physical impairments, and otherwise related less than totally disabling manifestations of her impairments, including her mental impairments. The ALJ also detailed Plaintiff's daily activities, as she self-reported in the disability claim process, as well as through her reports to treating and consultative physicians. The ALJ did not conjure the comparison between her daily living activities and the extent of the physical and mental impairments from the ether — the medical evidence provided the contrast. Moreover, the ALJ determined that Plaintiff suffered from limitations more severe than two of the consultative examiners, which demonstrates that the ALJ credited Plaintiff's subject complaints and the corroborating medical evidence from Plaintiff's treating physicians.
Based on this detailed analysis, the Court finds that the ALJ properly supported his RFC determination.
Plaintiff also argues that the ALJ erred by including a "stand and stretch" requirement in Plaintiff's RFC but not considering how that requirement would impact Plaintiff's ability to perform the jobs suggested by the VE. Plaintiff also argues that the ALJ's hypothetical questioning to the VE did not reasonably convey the extent of Plaintiff's mental limitations.
Plaintiff's arguments are unavailing. A hypothetical posed by the ALJ must accurately portray the claimant's impairments, but only those impairments that are credibly established.
Plaintiff also challenges the effect of a "stand and stretch" requirement on Plaintiff's ability to perform the jobs suggested by the VE. The VE testified that the "stand and stretch" requirement would not erode the jobs available "[a]ssuming that [a] brief period of time does not interfere with work, for the stretch." (R. at 490.) Plaintiff argues that for the assembly worker job, for example, it would not be possible to remain on task while standing and stretching at the sedentary work bench every 20 minutes, and the VE's "assumption" of no effect on the ability to do that job is unsupported, and therefore improperly relied upon by the ALJ for the Step Five determination.
There are two reasons why this argument is not persuasive. First, Plaintiff's argument that the assembly worker job — or any job — would not be properly performed if she took stretch breaks every 20 minutes is Plaintiff's own opinion unsupported by the record. Plaintiff's opinion does not compel a reversal and remand of the ALJ's decision.
Second, the RFC did not impose a requirement that Plaintiff would have to stand and stretch every 20 minutes. Instead, the RFC provided that she was required to have the "option" to stand and stretch every 20 minutes. ("[T]he claimant had the residual functional capacity to perform sedentary work as defined in 20 CFR 416.967(a) except the claimant required the option to stand or stretch every 20 minutes." R. at 451.) A lack of specificity as to the number of times Plaintiff would utilize that option and the length of such breaks is not fatal to a finding that Plaintiff would be capable of performing the suggested jobs based on Plaintiff's overall RFC.
The Court therefore finds that the ALJ satisfied his obligations at Step Five by identifying jobs in significant numbers that do not conflict with Plaintiff's RFC, and by determining that Plaintiff, with her specific RFC, was capable of performing other work that exists in significant numbers in the national economy. 20 C.F.R. § 404.1566 ("Work exists in the national economy when there is a significant number of jobs (in one or more occupations) having requirements which you are able to meet with your physical or mental abilities and vocational qualifications.").
This Court may not second guess the ALJ's conclusions, and may only determine whether substantial evidence supports the ALJ's determinations.
An accompanying Order will be issued.
To Whom It May Concern
(R. at 442.) The ALJ addressed the letter in his decision by stating, "Dr. Grelecki stated that a home air conditioner was medically necessary during the summer months but did not state that the claimant is totally disabled (Exhibit 24F). The undersigned notes that the issue of disability is reserved to the Commissioner and that Dr. Grelecki is less knowledgeable than the state doctors about SSA's definition of disability." (R. at 457.)
Plaintiff takes issue with this statement, arguing that the ALJ considers Dr. Grelecki's silence on whether he finds Plaintiff disabled or not to undermine the severity of her mental impairments, but in the same breath, chastises him if he would have made such a statement, since the determination of whether a claimant is "disabled" under the regulations is for the ALJ and not a physician. While Plaintiff's point is well-taken when the ALJ's statement is read literally, the Court construes that statement to mean that the most recent report from Plaintiff's treating psychiatrist, which is a brief letter almost a year after the last visit with Dr. Grelecki on October 4, 2010, does not support the severity of the limitations Plaintiff claims, especially when contrasted against her daily living activities. By only recommending air conditioning during the summer the ALJ construed Dr. Grelecki's statement as unsupportive of a finding of disabling mental impairments. On the record as a whole, the ALJ's characterization of the Grelecki letter is not legal error.
Relatedly, Plaintiff takes issue with the ALJ's use of the term "closed period" for Plaintiff's claim that she was disabled before April 17, 2013, beginning on June 17, 2009. A "closed period" is a term of art in the SSA meaning "the period of disability with a definite beginning date and a definite ending date that the adjudicator establishes at the time of adjudication." SSA — POMS: DI 25510.001 — Closed Period of Disability. That term as defined by the SSA usually applies when a claimant has returned to work or has died. In this case, Plaintiff did not return to work, but rather was deemed disabled as of April 17, 2013, and the ALJ's task was to effectively determine whether Plaintiff's disability had an earlier onset date. The Court does not find that ALJ erred in referring to the time period at issue here — June 17, 2009 through April 16, 2013 — as "closed" because ALJ was required to determine a "definite beginning date and a definite ending date." Moreover, it is clear from the ALJ's written opinion that he was aware of Plaintiff's application for disabled status as of April 17, 2013 and we surmise also likely aware of the favorable determination in November 2014 since the request for a "closed" period was made by the Plaintiff's counsel. (R. at 446.) Even if the ALJ was unaware of the November 2014 determination, nothing in the record suggests that characterizing the period relevant here as "closed", a request actually made by the Plaintiff, improperly influenced or changed the reasoning or process of the ALJ in this matter.